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LUCIANO, NOEL CHRISTIAN O.

UP LAW 2015

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TABLE OF CONTENTS

rule page
INTRODUCTION 4
Rule 1 16 General Provisions
Rule 2 24 Cause of Action
Rule 3 34 Parties to Civil Actions
Rule 4 47 Venue of Actions
Rule 5 53 Uniform Procedure in Trial Courts
Rule 6 59 Kinds of Pleadings
Rule 7 70 Parts of a Pleading
Rule 8 78 Manner of Making Allegations in Pleadings
Rule 9 87 Effect of Failure to Plead
Rule 10 94 Amended and Supplemental Pleadings
Rule 11 102 When to File Responsive Pleadings
Rule 12 107 Bill of Particulars
Rule 13 111 Filing and Service of Pleadings, Judgments, and other Papers
Rule 14 120 Summons
Rule 15 133 Motions
Rule 16 137 Motion to Dismiss
Rule 17 147 Dismissal of Actions
Rule 18 153 Pre-Trial
Rule 19 163 Intervention
Rule 20 167 Calendar of Cases
Rule 21 170 Subpoena
Rule 22 174 Computation of Time
Rule 23 177 Depositions Pending Action
Rule 24 188 Depositions Before Action or Pending Appeal
Rule 25 191 Interrogatories to Parties
Rule 26 194 Admission by Adverse Party
Rule 27 198 Production or Inspection of Documents of Things
Rule 28 201 Physical and Mental Examination of Persons
Rule 29 203 Refusal to Comply with Modes of Discovery

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4) The power to admit attorneys to the Bar is not an arbitrary and
INTRODUCTION despotic one but is the duty of the court to exercise and
regulate it by a sound and judicial discretion.

Rules of procedure of special courts and quasi-judicial bodies


GENERAL PRINCIPLES shall remain effective unless disapproved by the Supreme Court

Remedial Law is that branch of law which prescribes the method of


enforcing rights or obtaining redress for their invasion POWER OF THE SUPREME COURT TO AMEND
AND SUSPEND PROCEDURAL RULES
Substantive Law as Distinguished from Remedial Law
A. Substantive Law creates, defines and regulates rights and When compelling reasons so warrant or when the purpose of justice
duties regarding life, liberty or property which when requires it
violated gives rise to a cause of action - Discretionary upon courts.
B. Remedial Law prescribes the methods of enforcing those
rights and obligations created by substantive law by Reasons that would warrant the suspension:
providing a procedural system for obtaining redress for 1. The existence of special or compelling circumstances;
the invasion of rights and violations of duties and by 2. Merits of the case;
prescribing rules as to how suits are filed, tried and 3. Cause not entirely attributable to the fault or negligence of
decided by the courts The party favored by the suspension of rules
4. A lack of showing that the review sought is merely
SUBSTANTIVE LAW REMEDIAL LAW frivolous and dilatory;
It is that part of the law which 5. The other party will not be unjustly prejudiced thereby.
It refers to the legislation
creates, defines, or regulates
providing means or methods
rights, concerning life, liberty Other reasons
whereby causes of action may
or property or the powers of 1. Where substantial and important issues await resolution.
be effectuated, wrongs
agencies or instrumentalities 2. When transcendental matters of life, liberty or state
redressed, and relief obtained
for the administration of public security are involved.
It is also called Adjective Law
affairs
It makes vested rights possible It has no vested rights The constitutional power of the Supreme Court to promulgate rules
It governs acts and transactions of practice and procedure necessarily carries with it the power to
It is prospective in application
which took place (retroactive) overturn judicial precedents on points of remedial law through the
The SC is expressly empowered amendment of the Rules of Court.
It cannot be enacted by the SC
to promulgate procedural rules

RULE MAKING POWER OF THE SUPREME COURT


NATURE OF PHILIPPINE COURTS
Judicial Power includes the duty of the courts of justice to settle
actual controversies involving rights, which are legally demandable Philippine courts are both courts of law and equity. Hence, both legal
and enforceable, and to determine whether or not there has been and equitable jurisdiction is dispensed with in the same tribunal.
grave abuse of discretion amounting to lack or excess of jurisdiction
on the part of any branch or instrumentality of the Government (Sec. What is a Court:
1, Art. VIII, 1987 Constitution) a. It is an organ of government belonging to the judicial
department the function of which is the application of the
The power of judicial review is the SCs power to declare a law, laws to the controversies brought before it as well as the
treaty, international or executive agreement, presidential decree, public administration of justice.
proclamation, order, instruction, ordinance, or regulation b. It is a governmental body officially assembled under
unconstitutional authority of law at the appropriate time and place for the
administration of justice through which the State enforces
Sec. 5(5), Art. VIII, of the 1987 Constitution provides that that the its sovereign rights and powers.
Supreme Court shall have the power to: c. It is a board or tribunal which decides a litigation or
a. promulgate rules concerning the protection and contest.
enforcement of constitutional rights, pleading, practice,
and procedure in all courts;
b. admission to the practice of law; COURT DISTINGUISHED FROM A JUDGE
c. the Integrated Bar;
d. and legal assistance to the underprivileged COURT JUDGE
A tribunal officially assembled
An officer of such tribunal
under authority of law
LIMITATIONS OF THE RULE-MAKING POWER An organ of the government
The judge is the one who sits
OF THE SUPREME COURT with a personality separate
in court
from the person or judge
1) The rules shall provide a simplified and inexpensive procedure A being in imagination
A physical and natural person
for the speedy disposition of cases comparable to a corporation
2) They shall be uniform for all courts of the same grade May be considered an office A public officer
3) They shall not diminish, increase, or modify substantive rights.

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CLASSIFICATION OF PHILIPPINE COURTS COURTS OF ORIGINAL AND APPELLATE JURISDICTION

Regular courts engaged in the administration of justice are A court is one with ORIGINAL jurisdiction when actions or
organized into 4 levels: proceedings are originally filed with it
A court is one with APPELLATE jurisdiction when it has
A. FIRST LEVEL (MTCs, MeTCs, MCTCs) which try and decide: the power of review over the decisions of a lower court
1. Criminal actions involving:
a. Violations of city or municipal ordinances committed Discussion on the different courts:
within their respective territorial jurisdiction; and 1. MeTCs, MCTCs and MTCs are courts of original jurisdiction
b. Offenses punishable with imprisonment not without appellate jurisdiction
exceeding six (6) years irrespective of the amount of 2. RTCs (see Sec. 22, BP129)
fine and regardless of other imposable accessory or a. Court of original jurisdiction with respect to cases
other penalties, and originally filed with it
2. Civil actions including: b. Court of appellate jurisdiction with respect to cases
a. Ejectment Cases (Feud) decided by MTCs within its territorial jurisdiction.
b. Recovery of personal property with a value of not 3. CAs (See Sec. 9, BP 129)
more than P300,000 outside Metro Manila (MM) or a. Primarily a court of appellate jurisdiction with
does not exceed P400,000 in MM competence to review judgments of the RTCs and
specified quasi-judicial agencies
B. SECOND LEVEL (RTCs, Family Courts) b. It is also a court of original jurisdiction with respect
1. Courts of general jurisdiction among the civil actions to cases filed before it involving issuance of writs of
assigned to them by law are those in which the subject of certiorari, mandamus, quo warranto, habeas corpus,
litigation is: and prohibition
a. Actions incapable of pecuniary estimation c. It is also a court of original and exclusive jurisdiction
b. Actions involving title to or possession of real over actions for annulment of judgments of RTCs
property where the assessed value of the property 4. SC
exceeds P20,000 outside MM or exceeds P50,000 in a. Fundamentally a court of appellate jurisdiction
MM b. But it may also be a court of original jurisdiction over
c. Where the demand exclusive of interest, damages of cases affecting ambassadors, public ministers and
whatever kind, attorneys fees, litigation expenses, consuls, and in cases involving petitions for certiorari,
and cost, or the value of the personal property or prohibition and mandamus
controversy exceeds P300,000 outside MM or c. Note that the SC en banc is not an appellate court to
exceeds P400,000 in MM which decisions or resolutions of a division of the
2. Exercise appellate jurisdiction review cases appealed Supreme Court may be appealed
from courts of the first level

C. THIRD LEVEL (CA, Sandiganbayan) SUPERIOR AND INFERIOR COURTS


1. CA is an appellate court
a. Reviewing cases appealed to it from the RTC on Superior courts refer to those courts which have the
questions of fact or mixed questions of fact and law power of review or supervision over another lower court
b. Decisions of the RTC in the exercise of its original Inferior courts are those which, in relation to another, are
jurisdiction lower in rank and subject to review and supervision of the latter
(1) As a matter of right
(2) As a matter of discretion
c. Occasionally, CA may act as a trial court, as in actions COURTS OF RECORD
praying for the annulment of final and executory
judgments of RTCs on the ground of extrinsic fraud Those whose proceedings are enrolled and which are bound to keep
subsequently discovered, against which no other a written record of all trials and proceedings handled by them
remedies lies - RA 6031 mandates all MTCs to be courts of record
2. Sandiganbayan has jurisdiction:
a. Over all criminal cases involving:
(1) Graft and corrupt practices act COURTS OF GENERAL AND SPECIAL JURISDICTION
(2) Such other offenses committed by public officers
and employees including those in GOCCs in Courts of GENERAL JURISDICION are those with competence to
relation to their office decide on their own jurisdiction and to take cognizance of all cases,
b. It also has exclusive appellate jurisdiction over final civil and criminal, of a particular nature
judgments, resolutions, or orders of RTCs whether in
the exercise of their own original or appellate Courts of SPECIAL (LIMITED) JURISDICTION are those which have
jurisdiction over criminal and civil cases committed only a special jurisdiction for a particular purpose or are clothed
by public officers or employees including those in with special powers for the performance of specified duties beyond
GOCCs in relation to their office which they have no authority of any kind

D. FOURTH LEVEL Supreme Court Note: A court may also be considered general if it has the
competence to exercise jurisdiction over cases not falling within the
jurisdiction of any court, tribunal, person or body exercising judicial
or quasi-judicial functions. It is in the context that the RTC is
considered a court of general jurisdiction

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CONSTITUTIONAL AND STATUTORY COURTS DOCTRINE OF NON-INTERFERENCE OR
DOCTRINE OF JUDICIAL STABILITY
A CONSTITUTIONAL court is one created by a direct Constitutional
provision. Cannot be abolished by Congress without amending the Courts of equal and coordinate jurisdiction cannot interfere with
Constitution each others orders. Thus, the RTC has no power to nullify or enjoin
- E.g. SC which owes its creation from the Constitution the enforcement of a writ of possession issued by another RTC. The
- Only the SC is a constitutional court principle also bars a court from reviewing or interfering with the
judgment of a co-equal court over which it has no appellate
A STATUTORY court is one created by law other than the jurisdiction or power of review.
Constitution. May be abolished by Congress by just simply repealing
the law which created those courts This doctrine applies with equal force to administrative bodies.
- All courts except the SC are statutory When the law provides for an appeal from the decision of an
- The SB was not directly created by the Constitution but by administrative body to the SC or CA, it means that such body is co-
law pursuant to a constitutional mandate equal with the RTC and logically beyond the control of the latter.

General Rule: No court has the authority to interfere by injunction


COURTS OF LAW AND COURTS OF EQUITY with the judgment of another court of coordinate jurisdiction or to
pass upon or scrutinize and much less declare as unjust a judgment
Courts of Law a court of law decides a case according to of another court
the existing laws
Courts of Equity a court of equity adjudicates a Exception: The doctrine of judicial stability does not apply where a
controversy according to the common precepts of what is right and third party claimant is involved
just without inquiring into the terms of the statutes
DOCTRINE OF ADHERENCE TO JURISDICTION
Note: In the Philippines, every court both original and appellate, Or CONTINUITY OF JURISDICTION
exercise both the legal and equitable jurisdiction (US v. Tamparong)
Once jurisdiction has been acquired the court retains it until the final
termination of the case

General Rule: Law enacted during the pendency of a case which


PRINCIPLES AND DOCTRINES transfers jurisdiction to another court does not affect cases prior to
its enactment.
PRINCIPLE OF JUDICIAL HIERARCHY
Exceptions:
This is an ordained sequence of recourse to courts vested with 1. When the new law expressly provides for a retroactive
concurrent jurisdiction, beginning from the lowest, on to the next application
highest and ultimately to the highest. This hierarchy is 2. When the change of jurisdiction is curative in character
determinative of the venue of appeals, and is likewise determinative
of the proper forum for petitions for extraordinary writs. This is an EXCLUSIONARY PRINCIPLE
established policy necessary to avoid inordinate demands upon the
Courts time and attention which are better devoted to those matters The court first acquiring jurisdiction excludes all others
within its exclusive jurisdiction, and to preclude the further clogging
of the Courts docket (Sec. 9[1], BP 129; Sec. 5[1], Art. VIII, DOCTRINE OF PRIMARY JURISDICTION
Constitution of the Philippines).
Under this doctrine, courts will not resolve a controversy involving a
A higher court will not entertain direct resort to it unless the redress question which is within the jurisdiction of an administrative
cannot be obtained in the appropriate courts tribunal. Especially where the question demands the exercise of
The SC is a court of last resort. It cannot and should not be sound administrative discretion requiring the special knowledge and
burdened with the task of deciding cases in the first instances. Its experience of said tribunal in determining technical and intricate
jurisdiction to issue extraordinary writs should be exercised only matters of fact
where absolutely necessary or where serious and important reasons
exist DOCTRINE OF ANCILLARY JURISDICTION
The doctrine of hierarchy of courts may be disregarded if warranted It involves the inherent or implied powers of the court to determine
by the nature and importance of the issues raised in the interest of issues incidental to the exercise of its primary jurisdiction.
speedy justice and to avoid future litigations, or in cases of national
interest and of serious implications. Under the principle of liberal Under its ancillary jurisdiction, a court may determine all questions
interpretations, for example, it may take cognizance of a petition for relative to the matters brought before it, regulate the manner in
certiorari directly filed before it. which a trial shall be conducted, determine the hours at which the
witnesses and lawyers may be heard, direct the disposition of money
While it is true that the SC, CA, and RTC have concurrent original deposited in court in the course of the proceedings, appoint a
jurisdiction to issue writs of Certiorari, Prohibition, and Mandamus, receiver and grant an injunction, attachment or garnishment.
Such concurrence does not accord litigants unrestrained freedom of
choice of the court to which the application for the writ may be
directed. Application should be filed with the court of lower level.
Unless the importance of the issue involved deserves the action of
the court of higher level.

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2. Appellate jurisdiction exercised by a superior court to
JURISDICTION review and decide cases previously decided by a lower
court now elevated for judicial review
Jurisdiction
- Latin: juris and dico I speak of the law C. As to nature and extent of exercise
- Is the power and authority of a court to try, hear, and 1. Exclusive jurisdiction confined to a particular court to
decide a case and to carry its judgment into effect the exclusion of other courts
2. Concurrent jurisdiction pertaining to different courts
over the same subject matter at the same time and place.
REQUISITES FOR THE VALID EXERCISE OF JURISDICTION When 2 or more courts have concurrent jurisdiction over
the case, the court which has first validly acquired
1. That it must have jurisdiction over the persons of the parties jurisdiction takes it to the exclusion of the others
a. Jurisdiction over the person of the plaintiff it is acquired (confluent or coordinate jurisdiction)
the moment he files his complaint, petition, or initiatory
pleading D. As to situs
b. Jurisdiction over the person of the defendant it is 1. Territorial jurisdiction exercised within the limits of the
acquired either by: place where the court is located
(1) Voluntary appearance in court and his submission to 2. Extra-territorial jurisdiction exercised beyond the
its authority, or confines of the territory where the court is located
(2) By service of summons or other coercive process
upon him
JURISDICTION OVER THE PARTIES
2. That it must have jurisdiction over the subject matter of the
controversy Notes:
a. Jurisdiction over the subject matter is determined by the - The manner by which the court acquires jurisdiction over
allegations made in the complaint
the parties depends on whether the party is the plaintiff or
b. It is conferred by law and not by the voluntary act or
agreement of the parties the defendant
c. GENERAL RULE: lack of jurisdiction over the subject - Jurisdiction over the plaintiff is acquired by his filing of the
matter of an action cannot be waived by the parties and complaint or petition. By doing so, he submits himself to
may be raised at any stage of the proceeding, the court the jurisdiction of the court.
being authorized to dismiss the case motu proprio - Jurisdiction over the person of the defendant is obtained
d. EXCEPTIONS: either by a valid service of summons upon him or by his
(1) Estoppel by laches
voluntary submission to the courts authority.
(2) Estoppel in pais where defendant actively
participated in all stages of the proceedings before - The mode of acquisition of jurisdiction over the plaintiff
the trial court and invoked its authority by asking for and the defendant applies to both ordinary and special
an affirmative relief civil actions like mandamus or unlawful detainer case
e. Note that jurisdiction is governed by the law at the time
the action is commenced Jurisdiction over the plaintiff acquired when the action is
commenced by the filing of the complaint. This presupposes
3. That it must have jurisdiction over the res (thing or property payment of the docket fees
under litigation)
a. It is acquired either by: Jurisdiction over the defendant required only in an action in
(1) The seizure of the property under legal process or personam; it is not a prerequisite in an action in rem and quasi in
(2) As a result of the institution of legal proceedings, in rem
which the power of the court is recognized and made - In an action in personam, jurisdiction over the person is
effective necessary for the court to validly try and decide the case,
- While in a proceeding in rem or quasi in rem, jurisdiction
4. That it must have jurisdiction over the issues over the person of the defendant is not a prerequisite to
a. As raised in the pleadings or by their agreement in a pre- confer jurisdiction on the court, provided the latter has
trial order or those tried by the implied consent of the jurisdiction over the res
parties
By voluntary appearance of the defendant, without service of
summons or despite a defective service of summons
CLASSIFICATION OF JURISDICTION - The defendants voluntary appearance in the action shall
be equivalent to service of summons
A. As to cases tried
1. General jurisdiction exercised over all kinds of cases, Instances when appearance of defendant is not tantamount to
except those withheld from the plenary powers of the voluntary submission to the jurisdiction of the court:
court 1. When defendant files the necessary pleading;
2. Limited jurisdiction exercised over and extends only to 2. When defendant files motion for reconsideration of the
particular or specified cases judgment by default;
3. When defendant files a petition to set aside the judgment
B. As to nature of the cause: of default;
1. Original jurisdiction exercised by courts in the first 4. When the parties jointly submit a compromise agreement
instance for approval of the court;

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5. When defendant files an answer to the contempt charge; HOW JURISDICTION IS CONFERRED AND DETERMINED
6. When defendant files a petition for certiorari without
questioning the courts jurisdiction over his person. Notes:
- Jurisdiction is a matter of substantive law because it is
conferred by law refers only to jurisdiction over the
JURISDICTION OVER THE SUBJECT MATTER subject matter
- Jurisdiction over the parties, the issues, and the res, are
It is the power to deal with the general subject involved in the action, matters of procedure
and means not simply jurisdiction of the particular case then
occupying the attention of the court but jurisdiction of the class of The test of jurisdiction is whether the court has the power to enter
cases to which the particular case belongs. It is the power or into the inquiry and not whether the decision is right or wrong
authority to hear and determine cases to which the proceeding is
question belongs. It is the duty of the court to consider the question of jurisdiction
before it looks at other matters involved in the case.
When a complaint is filed in court, the basic questions that ipso facto - If the court finds that it has jurisdiction, it is the duty of the
are to be immediately resolved by the court on its own: court to exercise the jurisdiction conferred upon it by law
a. What is the subject matter of their complaint filed before and to render a decision in a case properly submitted to it.
the court? - It cannot decline to exercise its jurisdiction. Failure to do
b. Does the court have jurisdiction over the said subject so may be enforced by way of mandamus proceeding.
matter of the complaint before it?
Note: Jurisdiction over the subject matter is conferred by substantive
Answering these questions inevitably requires looking into the law which may either be a Constitution or statute; while jurisdiction
applicable laws conferring jurisdiction. over the subject matter is determined by the allegations of the
complaint regardless of whether or not the plaintiff is entitled to the
claims asserted therein.
JURISDICTION v. EXERCISE OF JURISDICTION
Applicable doctrines:
Jurisdiction is the power or authority of the court. The exercise of 1. Doctrine of Primary Jurisdiction Courts will not resolve a
this power is the exercise of jurisdiction. controversy involving a question which is within the
- The exercise includes the courts decision and its jurisdiction of an administrative tribunal, especially where
consequences the question demands the exercise of sound
administrative discretion requiring the special knowledge,
experience and services of the administrative tribunal to
ERROR OF JURISDICTION v. ERROR OF JUDGMENT determine technical and intricate matters of fact
2. Doctrine of Adherence of Jurisdiction Once a court has
Error of Jurisdiction -- One where the act complained of was issued acquired jurisdiction, that jurisdiction continues until the
by the court without or in excess of jurisdiction; it occurs when: court has done all that it can do in the exercise of that
1. The court exercises a jurisdiction not conferred upon it by jurisdiction. This principle also means that once
law; or jurisdiction has attached, it cannot be ousted by
2. When the court or tribunal although with jurisdiction, acts subsequent happenings or events and retains that
in excess of its jurisdiction or with grave abuse of jurisdiction until it finally disposes of the case
discretion amounting to lack or jurisdiction

Error of Judgment One which the court may commit in the exercise OBJECTION TO JURISDICTION OVER THE SUBJECT MATTER
of its jurisdiction
- As long as the court acts within its jurisdiction, any alleged When it appears from the pleadings or evidence on record that the
errors committed in the exercise of its discretion will court has no jurisdiction over the subject matter, the court shall
amount to nothing more than mere errors of judgment. dismiss the same. (Sec. 1, Rule 9)
Errors of judgment include errors of procedure or
mistakes in the courts findings The court may on its OWN INITIATIVE object to an erroneous
jurisdiction and may ex mero motu take cognizance of lack of
Errors of judgment are correctible by appeal; errors of jurisdiction jurisdiction at any point in the case and has a clearly recognized
are correctible only by the extraordinary writ of certiorari. Any right to determine its own jurisdiction
judgment rendered without jurisdiction is a total nullity and may be
struck down at any time, even on appeal; the only exception is when Jurisdiction over the subject matter may be raised at any stage of the
the party raising the issue is barred by estoppel proceedings, even for the first time on appeal. When the court
dismisses the complaint for lack of jurisdiction over the subject
ERROR OF JURISDICTION ERROR OF JUDGMENT matter, it is common reason that the court cannot remand the case
One where the court, officer, or One that the court may commit to another court with the proper jurisdiction. Its only power is to
quasi-judicial body acts in the exercise of its dismiss and not to make any other order.
without or in excess of jurisdiction, it includes error of
jurisdiction, or with grave procedure or mistakes in the
abuse of discretion courts findings
It renders judgment void or at Such an error does not make
least voidable the courts decision void
Correctible by certiorari Correctible by appeal

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EFFECT OF ESTOPPEL ON OBJECTION TO JURISDICTION
JURISDICTION OF THE METROPOLITAN TRIAL
The active participation of a party in a case is tantamount to COURTS and MUNICIPAL TRIAL COURTS
recognition of that courts jurisdiction and will bar a party from
impugning the courts jurisdiction. The general rule remains: a JURISDICTION OF THE MTCs IN CIVIL CASES
courts lack of jurisdiction may be raised at any stage of the
proceedings even on appeal. The Sibonghanoy applies only to EXCLUSIVE ORIGINAL JURISDICTION
exceptional circumstances.
1) If the amount involved does not exceed P300,000 outside MM
Doctrine of estoppels by laches (in relation to objections to or does not exceed P400,000 in MM in the following cases:
jurisdiction) = the SC barred a belated objection to jurisdiction that
was raised only after an adverse decision was rendered by the court a) Actions involving personal property
against the party raising the issue of jurisdiction and after seeking b) Probate Proceeding (testate and intestate) based on
affirmative relief from the court and after participating in all stages gross value of the estate
of the proceedings. c) Admiralty and maritime cases
d) Demand for money
The SC frowns upon the undesirable practice of submitting ones Note: Do not include Interest, Damages of whatever
case for decision, and then accepting the judgment only if favorable, kind, Attorneys fees, Litigation Expenses, and Costs
but attacking it for lack of jurisdiction if it is not. (IDALEC). However, in cases where the claim or
damages is the main cause of action, or one of the
causes of action, the amount of such claim shall be
JURISDICTION OVER THE ISSUES considered in determining the jurisdiction of the
court.
It is the power of the court to try and decide issues raised in the
pleadings of the parties. 2) Actions involving title to, or possession of, real property, or any
interest therein where the assessed value of the property or
An issue is a disputed point or question to which parties to an action interest therein does not exceed P20,000 outside MM or does
have narrowed down their several allegations and upon which they not exceed P50,000 in MM
are desirous of obtaining a decision. Where there is no disputed
point, there is no issue. 3) Inclusion and exclusion of voters
Generally, jurisdiction over the issues is conferred and determined 4) Those governed by the Rules on Summary Procedure
by the pleadings of the parties. The pleadings present the issues to
be tried and determine whether or not the issues are of fact or law. a) Forcible entry and unlawful detainer (FEUD)
a) may also be determined and conferred by stipulation of With jurisdiction to resolve issue of ownership to
the parties as when in the pre-trial, the parties enter into determine ONLY issue of possession (provisional
stipulations of facts and documents or enter into only)
agreement simplifying the issues of the case.
Irrespective of the amount of damages or unpaid
b) may also be conferred by waiver or failure to object to the
rentals sought to be recover
presentation of evidence on a matter not raised in the
Where attorneys fees are awarded, the same shall
pleadings. Here the parties try with their express or
not exceed P20,000
implied consent or issues not raised by the pleadings. The
b) Other civil cases, except probate proceeding, where the
issues tried shall be treated in all respects as if they had
total amount of the plaintiffs claim does not exceed
been raised in the pleadings.
P200,000 in MM, exclusive of interests and costs.

SPECIAL JURISDICTION over petition for writ of habeas corpus OR


JURISDICTION OVER THE RES OR PROPERTY IN LITIGATION
application for bail in criminal cases in the absence of all RTC judges
in the province or city
Jurisdiction over the res refers to the courts jurisdiction over the
thing or the property which is the subject of the action.
DELEGATED JURISDICTION to hear and decide cadastral and land
registration cases where there is no controversy over the land or in
Jurisdiction over the res may be acquired by the court
case of contested lands, the value does not exceed P100, 000 =
1) by placing the property or thing under its custody
appealable to the CA
(custodia legis) (the seizure of the thing under legal
process whereby it is brought into actual custody of law).
1st level courts:
Example: attachment of property.
a. Metropolitan Trial Court Metro Manila;
2) through statutory authority conferring upon it the power
b. Municipal Trial Courts in Cities situated in cities
to deal with the property or thing within the courts
c. Municipal Circuit Trial Court composed of multi-sala
territorial jurisdiction (institution of a legal proceeding
d. Municipal Trial Courts in one municipality
wherein the power of the court over the thing is
recognized and made effective). Example: suits involving
the status of the parties or suits involving the property in
the Philippines of non-resident defendants.

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7) Such other classes of disputes which the President may
JURISDICTION OVER SMALL CLAIMS, determine in the interest of justice or upon the
SUMMARY PROCEDURE, AND recommendation of the Secretary of Justice
8) Any complaint by or against corporations, partnerships, or
BARANGAY CONCILIATION juridical entities. The reason is that only individuals shall
be parties to barangay conciliation proceedings either as
JURISDICTION OVER SMALL CLAIMS complainants or respondents
9) Disputes where urgent legal action is necessary to prevent
1) MTCs, MeTCs and MCTCs shall have jurisdiction over actions for injustice from being committed or further continued,
payment of money where the value of the claim does not exceed specifically:
P100,000 exclusive of interest and costs (Sec. 2, AM 08-8-7-SC, a) A criminal case where the accused is under
Oct. 27, 2009). police custody or detention
2) Actions covered are b) A petition for habeas corpus by a person illegally
a) purely civil in nature where the claim or relief prayed for detained or deprived of his liberty or one acting
by the plaintiff is solely for payment or reimbursement of in his behalf
sum of money, and c) Actions coupled with provisional remedies, such
b) the civil aspect of criminal actions, either filed before the as preliminary injunction, attachment, replevin
institution of the criminal action, or reserved upon the and support pendente lite
filing of the criminal action in court, pursuant to Rule 111 d) Where the action may be barred by statute of
(Sec. 4, AM 08-8-7-SC). limitation
10) Labor disputes or controversies arising from employer-
These claims may be: employee relationship
a) For money owed under the contracts of lease, loan, 11) Where the dispute arises from the CARL
services, sale, or mortgage; 12) Actions to annul judgment upon a compromise which can
b) For damages arising from fault or negligence, quasi- be directly filed in court.
contract, or contract; and
c) The enforcement of a barangay amicable settlement or an Note: It is a condition precedent under Rule 16; can be dismissed but
arbitration award involving a money claim pursuant to without prejudice
Sec. 417 of RA 7160 (LGC).

CASES COVERED BY RULES ON SUMMARY PROCEDURE


IN CIVIL CASES
JURISDICTION OF THE REGIONAL TRIAL
1) All cases of forcible entry and unlawful detainer (FEUD), COURTS, FAMILY COURTS, AND
irrespective of the amount of damages or unpaid rentals sought
to be recovered. Where attorneys fees are awarded, the same SHARIAH COURTS
shall not exceed P20,000;
2) All other cases, except probate proceedings where the total JURISDICTION OF THE REGIONAL TRIAL COURT IN CIVIL CASES
amount of the plaintiffs claim does not exceed P100,000
(outside MM) or P200,000 (in MM), exclusive of interest and EXCLUSIVE ORIGINAL JURISDICTION
costs.
1) The action is incapable of pecuniary estimation (such as
rescission of contract, action to revive judgment, declaratory
CASES COVERED BY THE RULES ON BARANGAY CONCILIATION relief (1st part), support, expropriation)

The Lupon of each barangay shall have the authority to bring 2) Title to, possession of, or interest in, real property with
together the parties actually residing in the same municipality or assessed value exceeding P20,000 outside Metro Manila, or
city for amicable settlement of all disputes except: exceeds P50,000 in Metro Manila
1) Where one party is the government or any subdivision or
instrumentality thereof 3) If the amount involved exceeds P300,000 outside MM or
2) Where one party is a public officer or employee, and the exceeds P400,000 in MM in the following cases:
dispute relates to the performance of his official functions a) Admiralty and maritime cases
3) Offenses punishable by imprisonment exceeding one (1) b) Matters of Probate (testate and intestate)
year or a fine exceeding P5,000 c) Other actions involving personal property
4) Offenses where there is no private offended party d) Demand for money
5) Where the dispute involves real properties located in
different cities or municipalities unless the parties thereto 4) Cases not falling within the jurisdiction of any court, tribunal,
agree to submit their differences to amicable settlement by person or body exercising judicial or quasi-judicial functions
an appropriate lupon (general jurisdiction of RTC)
6) Disputes involving parties who actually reside in
barangays of different cities or municipalities, except 5) All actions involving the contract of marriage and family
where such barangay units adjoin each other and the relations
parties thereto agree to submit their differences to
amicable settlement by an appropriate lupon JURISDICTION OF FAMILY COURTS (RA 8369)
a) Petitions for guardianship, custody of children and
habeas corpus involving children

10
b) Petitions for adoption of children and the revocation SPECIAL JURISDICTION SC may designate certain branches of RTC
thereof to try exclusively criminal cases, juvenile and domestic relations
c) Complaints for annulment of marriage, declaration of cases, agrarian cases, urban land reform cases not falling within the
nullity of marriage and those relating to status and jurisdiction of any quasi-judicial body and other special cases in the
property relations of husband and wife or those living interest of justice.
together under different status and agreements, and
petitions for dissolution of conjugal partnership of gains
d) Petitions for support and/or acknowledgment JURISDICTION OF THE SHARIAH COURTS
e) Summary judicial proceedings brought under the
provisions of EO 209 (Family Code) EXCLUSIVE JURISDICTION
f) Petitions for declaration of status of children as 1) All cases involving custody, guardianship, legitimacy,
abandoned, dependent or neglected children, petitions paternity and filiation arising under the Code of Muslim
for voluntary or involuntary commitment of children, Personal Laws;
the suspension, termination or restoration of parental 2) All cases involving disposition, distribution and settlement
authority and other cases cognizable under PD 603, EO of estate of deceased Muslims, probate of wills, issuance of
56 (1986) and other related laws letters of administration of appointment administrators or
g) Petitions for the constitution of the family home executors regardless of the nature or aggregate value of
the property;
In areas where there are no Family Courts, the above- 3) Petitions for the declaration of absence and death for the
enumerated cases shall be adjudicated by the RTC (RA 8369) cancellation and correction of entries in the Muslim
Registries;
6) To hear and decide intra-corporate controversies Sec. 52, 4) All actions arising from the customary contracts in which
Securities and Regulations Code): the parties are Muslims, if they have not specified which
a) Cases involving devises or schemes employed by or any law shall govern their relations; and
acts, of the board of directors, business associates, its 5) All petitions for mandamus, prohibition, injunction,
officers or partnership, amounting to fraud and certiorari, habeas corpus and all other auxiliary writs and
misrepresentation which may be detrimental to the processes in aid of its appellate jurisdiction
interest of the public and/or of the stockholders, partners,
members of associations or organizations registered with CONCURRENT JURISDICTION
the SEC 1) Petitions of Muslim for the constitution of the family home,
b) Controversies arising out of intra-corporate or partnership change of name and commitment of an insane person to an
relations, between and among stockholders, members or asylum
associates; between any or all of them and the corporation, 2) All other personal and legal actions not mentioned in par 1
partnership or association of which they are stockholders, (d) wherein the parties involved are Muslims except those
members or associates, respectively; and between such for forcible entry and unlawful detainer, which shall fall
corporation , partnership or association and the state under the exclusive jurisdiction of the MTC.
insofar as it concerns their individual franchise or right to 3) All special civil actions for interpleader or declaratory
exist as such entity relief wherein the parties are Muslims or the property
c) Controversies in the election or appointments of directors, involved belongs exclusively to Muslims
trustees, officers or managers of such corporations,
partnerships or associations Cases that can be filed:
d) Petitions of corporations, partnerships or associations to 1) Offenses defined and punished under PD 1083
be declared in the state of suspension of payments in cases 2) Disputes relating to:
where the corporation, partnership of association a. Marriage
possesses sufficient property to cover all its debts but b. Divorce
foresees the impossibility of meeting them when they c. Betrothal or breach of contract to marry
respectively fall due or in cases where the corporation, d. Customary dowry (mahr)
partnership of association has no sufficient assets to cover e. Disposition and distribution of property upon
its liabilities, but is under the management of a divorce
Rehabilitation Receiver or Management Committee. f. Maintenance and support and consolatory gifts
(muta)
CONCURRENT JURISDICTION g. Restitution of marital rights
1) with the Supreme Court in actions affecting ambassadors, 3) Disputes relative to communal properties
other public ministers and consuls
2) with the SC and CA in petitions for certiorari, prohibition
and mandamus against lower courts and bodies in
petitions for quo warranto, habeas corpus, and writ of
continuing mandamus on environmental cases
3) with the SC, CA and Sandigabayan in petitions for writs of
habeas data and amparo
4) With Insurance Commissioner claims not exceeding
P100,000

APPELLATE JURISDICTION over cases decided by lower courts in


their respective territorial jurisdictions except decisions of lower
courts in the exercise of delegated jurisdiction.

11
3) Decisions, orders or resolutions of the RTCs in local taxes
JURISDICTION OF THE SANDIGANBAYAN originally decided or resolved by them in the exercise of
their original or appellate jurisdiction;
JURISDICTION OF THE SANDIGANBAYAN 4) Decisions of the Commissioner of Customs
a. in cases involving liability for customs duties, fees or
ORIGINAL JURISDICTION in all cases involving other charges, seizure, detention or release of property
1) Violations of RA 3019 (Anti-Graft and Corrupt Practices Act) affected, fines, forfeitures or other penalties in relation
2) Violations of RA 1379 (Anti-Ill-Gotten Wealth Act) thereto, or
3) Sequestration cases (E.O. Nos. 1,2,14,14-A) b. other matters arising under the Customs law or other
4) Bribery (Chapter II, Sec. 2, Title VII, Book II, RPC) where one or laws, part of laws or special laws administered by BOC;
more of the principal accused are occupying the following 5) Decisions of the Central Board of Assessment Appeals in the
positions in the government, whether in permanent, acting or exercise of its appellate jurisdiction over cases involving the
interim capacity at the time of the commission of the offense: assessment and taxation of real property originally decided
a) Officials of the executive branch occupying the positions of by the provincial or city board of assessment appeals;
regional director and higher, otherwise classified as Grade 6) Decision of the secretary of Finance on customs cases
27 and higher, of the Compensation and Position elevated to him automatically for review from decisions of
Classification Act of 1989 (RA 6758) the Commissioner of Customs which are adverse to the
b) Members of Congress and officials thereof classified as G- government under Sec. 2315 of the Tariff and Customs
27 and up under RA 6758 Code;
c) Members of the Judiciary without prejudice to the 7) Decisions of Secretary of Trade and Industry in the case of
provisions of the Constitution non-agricultural product, commodity or article, and the
d) Chairmen and Members of the Constitutional Commissions Secretary of Agriculture in the case of agricultural product,
without prejudice to the provisions of the Constitution commodity or article, involving dumping duties and
e) All other national and local officials classified as Grade 27 counterveiling duties under Secs. 301 and 302, respectively,
and higher under RA 6758 of the Tariff and Customs Code, and safeguard measures
f) Other offenses or felonies committed by the public officials under RA 8800, where either party may appeal the decision
and employees mentioned in Sec. 4(a) of RA 7975 as to impose or not to impose said duties.
amended by RA 8249 in relation to their office
g) Civil and criminal cases filed pursuant to and in connection EXCLUSIVE ORIGINAL JURISDICTION
with EO Nos. 1, 2, 14-A (Sec. 4, RA 8249) 1) Over all criminal cases arising from violation of the NIRC
and the TCC and other laws, part of laws, or special laws
Note: Without the office, the crime cannot be committed. administered by the BIR or the BOC where the principal
amount of taxes and fees, exclusive of charges and penalties
APPELLATE JURISDICTION - from the RTC in cases under PD 1606, claimed is less than P1M or where there is no specified
as amended by PD 1861, whether or not the cases were decided b amount claimed (the offenses or penalties shall be tried by
them in the exercise of their original or appellate jurisdictions. the regular courts and the jurisdiction of the CTA shall be
appellate);
CONCURRENT ORIGINAL JURISDICTION WITH SC, CA AND RTC 2) In tax collection cases involving final and executory
for petitions for writs of habeas data and amparo assessments for taxes, fees, charges and penalties where the
principal amount of taxes and fees, exclusive of charges and
The requisites that the offender the offender occupies salary penalties claimed is less than P1M tried by the proper MTC,
Grade 27 and the offense must be intimately connected with the MeTC and RTC.
official function must concur for the SB to have jurisdiction
Justice Magdangal De Leon EXCLUSIVE APPELLATE JURISDICTION
1) In criminal offenses
a) over appeals from the judgment, resolutions or orders
of the RTC in tax cases originally decided by them, in
their respective territorial jurisdiction, and
JURISDICTION OF THE b) over petitions for review of the judgments, resolutions
or orders of the RTC in the exercise of their appellate
COURT OF TAX APPEALS jurisdiction over tax cases originally decided by the
MeTCs, MTCs, and MCTCs in their respective
UNDER RA 9282 and RULE 5, AM 05-11-07 CTA jurisdiction.
2) In tax collection cases
EXCLUSIVE ORIGINAL OR APPELLATE JURISDICTION TO a) over appeals from the judgments, resolutions or orders
REVIEW BY APPEAL of the RTC in tax collection cases originally decided by
1) Decisions of CIR in cases involving disputed assessments, them in their respective territorial jurisdiction; and
refunds of internal revenue taxes, fees or other charges, b) over petitions for review of the judgments, resolutions
penalties in relation thereto, or other matters arising under or orders of the RTC in the exercise of their appellate
the NIRC or other laws administered by BIR; jurisdiction over tax collection cases originally decided
2) Inaction by CIR in cases involving disputed assessments, by the MeTCs, MTCs and MCTCs in their respective
refunds of IR taxes, fees or other charges, penalties in jurisdiction.
relation thereto, or other matters arising under the NIRC or
other laws administered by BIR, where the NIRC or other
applicable law provides a specific period of action, in which
case the inaction shall be deemed an implied denial;

12
APPELLATE JURISDICTION
JURISDICTION OF THE COURT OF APPEALS 1) by way of petition for review on certiorari (appeal by
certiorari under Rule 45) against CA, Sandiganbayan, RTC
JURISDICTION OF THE COURT OF APPEALS IN CIVIL CASES on pure questions of law and CTA in its decisions rendered
en banc.
EXCLUSIVE ORIGINAL JURISDICTION in actions for the annulment 2) in cases involving the constitutionality or validity of a law
of the judgments of the RTC. or treaty, international or executive agreement, law,
presidential decree, proclamation, order, instruction,
CONCURRENT ORIGINAL JURISDICTION ordinance or regulation, legality of a tax, impost,
1) With SC to issue writs of certiorari, prohibition and assessment, toll or penalty, jurisdiction of a lower court;
mandamus against the RTC, CSC, CBAA, other quasi- and
judicial agencies mentioned in Rule 43, and the NLRC 3) all cases in which the jurisdiction of any court is in issue;
(however, this should be filed first with the CA as per St. 4) all cases in which an error or question of law is involved
Martin Funeral Home case), and writ of kalikasan.
2) With the SC and RTC to issue writs of certiorari, Exceptions in which factual issues may be resolved by the Supreme
prohibition and mandamus (CPM) against lower courts Court:
and bodies and writs of quo warranto, habeas corpus, a) When the findings are grounded entirely on speculation,
whether or not in aid of its appellate jurisdiction, and writ surmises or conjectures;
of continuing mandamus on environmental cases. b) When the inference made is manifestly mistaken, absurd or
3) With SC, RTC and Sandiganbayan for petitions for writs of impossible;
amparo and habeas data where the action involves public c) When there is grave abuse of discretion;
data or government office d) When the judgment is based on misapprehension of facts;
e) When the findings of facts are conflicting;
EXCLUSIVE APPELLATE JURISDICTION f) When in making its findings the CA went beyond the issues of
1) by way of ordinary appeal from the RTC and the Family the case, or its findings are contrary to the admissions of both
Courts. the appellant and the appellee;
2) by way of petition for review from the RTC rendered by g) When the findings are contrary to the trial court;
the RTC in the exercise of its appellate jurisdiction. h) When the findings are conclusions without citation of specific
3) by way of petition for review from the decisions, evidence on which they are based;
resolutions, orders or awards of the CSC, CBAA and other i) When the facts set forth in the petition as well as in the
bodies mentioned in Rule 43 and of the Office of the petitioners main and reply briefs are not disputed by the
Ombudsman in administrative disciplinary cases. respondent;
4) over decisions of MTCs in cadastral or land registration j) When the findings of fact are premised on the supposed
cases pursuant to its delegated jurisdiction; this is because absence of evidence and contradicted by the evidence on
decisions of MTCs in these cases are appealable in the record; and
same manner as decisions of RTCs. k) When the Court of Appeals manifestly overlooked certain
relevant facts not disputed by the parties, which, if properly
Note: There is no action to annul the decision of the CA. considered, could justify a different conclusion.

JURISDICTION OF THE SUPREME COURT TOTALITY RULE


JURISDICTION OF THE SUPREME COURT IN CIVIL CASES
Where there are several claims or causes of actions between the
EXCLUSIVE ORIGINAL JURISDICTION in petitions for certiorari, same or different parties, embodied in the same complaint, the
prohibition and mandamus against the CA, COMELEC, COA, CTA, amount of the demand shall be the totality of the claims in all the
Sandiganbayan claims of action, irrespective of whether the causes of action arose
out of the same or different transactions (Sec. 33[1], BP 129).
CONCURRENT JURISDICTION
1) With Court of Appeals in petitions for certiorari,
prohibition and mandamus against the RTC, CSC, Central
Board of Assessment Appeals, NLRC, Quasi-judicial
agencies, and writ of kalikasan, all subject to the doctrine
of hierarchy of courts.
2) With the CA and RTC in petitions for certiorari, prohibition
and mandamus against lower courts and bodies and in
petitions for quo warranto, and writs of habeas corpus, all
subject to the doctrine of hierarchy of courts.
3) With CA, RTC and Sandiganbayan for petitions for writs of
amparo and habeas data
4) Concurrent original jurisdiction with the RTC in cases
affecting ambassadors, public ministers and consuls.

13
NOTES ON INTRODUCTION

14
NOTES ON INTRODUCTION

15
2. Examples:
RULE 1 a. When a party litigant seeks to recover property
GENERAL PROVISIONS from another, remedy is to file an action
b. If his purpose is to seek an appointment of a
guardian for an insane, remedy is a special
proceeding to establish insanity
SECTION 1 - Title of the Rules.These Rules shall be known and
c. A petition for liquidation of an insolvent
cited as the Rules of Court.
incorporation should be classified as a special
proceeding, not as an ordinary action
The Rules of Court do not have retroactive effect
But they can be made applicable to pending cases at the Action v. Claim
time of their passage and therefore are retroactive in that
sense
ACTION CLAIM
An ordinary suit in a court of A right possessed by one
The rule making power of the SC has the following limitations:
justice against another
1. Simplified and inexpensive procedure for the speedy
One party prosecutes another
disposition of cases;
for the enforcement or The moment said claim is filed
2. Uniform for all courts of the same grade; and
protection of aright or the before a court, claim is
3. Shall not diminish, increase, or modify substantive rights
prevention or redress of a converted into an action or suit
(Art. VIII, Sec. 5(5), 1987 Constitution)
wrong
In the interest of just and expeditious proceedings, the SC may
suspend the application of the rules and except a case from its CLASSIFICATION OF ACTIONS
operation because the rules were precisely adopted with the
primary objective of enhancing fair trial and expeditious justice. As to Nature

ORDINARY CIVIL ACTION SPECIAL CIVIL ACTION


SECTION 2 - In what courts applicable.These rules shall apply in Also governed by ordinary
all courts, except as otherwise provided by the Supreme Court. Governed by the ordinary rules rules but subject to specific
rules prescribed
Sec. 2 provides for the scope of the applicability of the rules Formal demand or ones legal
rights in a court of justice in Special features not found in
the manner prescribed by ordinary civil actions
SECTION 3 - Cases governed.These Rules shall govern the court or by law
procedure to be observed in actions, civil or criminal, and special
proceedings. As to Object
(a) A civil action is one by which a party sues another for
the enforcement or protection of a right, or the ACTION IN ACTION QUASI
ACTION IN REM
prevention or redress of a wrong. (1a, R2) PERSONAM IN REM
A civil action may either be ordinary or Directed against
Directed against the Directed against
special. Both are governed by the rules for ordinary particular
thing itself particular persons
civil actions, subject to the specific rules prescribed for persons
a special civil action. (n) Jurisdiction over
(b) A criminal action is one by which the State prosecutes a the person of
Jurisdiction over the
person for an act or omission punishable by law. (n) Jurisdiction over the defendant is not
person of the
(c) A special proceeding is a remedy by which a party seeks person of defendant required as long
defendant not
to establish a status, a right, or a particular fact. (2a, required as jurisdiction
required
R2) over the res is
required
An action is a formal demand of ones legal rights in a court of justice Proceeding to
in the manner prescribed by the court or by the law subject the
a. Determinative fact which converts a claim into an action or Proceeding to Action to impose a interest of a
suit --- the filing of the same with a court of justice determine the state responsibility or named defendant
1. If filed elsewhere, claim may not be categorized under or condition of a liability upon a person over a particular
either term thing directly property to an
2. E.g. Extra-judicial foreclosure of real estate mortgage obligation or lien
it is initiated by filing a petition with the office of the burdening it
sheriff, not in a court of justice; it is not a judicial Judgment is binging Judgment
proceeding, action, or suit Judgment is binding only upon impleaded binging upon
b. Distinguished from Special Proceeding on the whole world parties or their particular
1. Special proceeding an application or proceeding to successors in interest persons
establish the status or right of a party, or a particular E.g. Action for
E.g. Probate
fact E.g. Specific partition;
proceeding,
a. No formal pleadings are required, unless performance, action foreclosure of
cadastral
expressly provided by statute for breach of contract real estate
proceeding
b. Remedy is granted generally upon an application mortgage
or motion

16
The distinction is important in determining the following: Exception: The Rules are applicable to the above cases only by
1. Whether or not jurisdiction over the person of the analogy or suppletory whenever applicable and convenient
defendant is required; and
2. Persons upon whom judgment is binding
SECTION 5 - Commencement of action.A civil action is
As to Cause: commenced by the filing of the original complaint in court. If an
additional defendant is impleaded in a later pleading, the action is
REAL ACTION PERSONAL ACTION MIXED ACTION commenced with regard to him on the date of the filing of such
Personal property is later pleading, irrespective of whether the motion for its
Ownership or sought to be admission, if necessary, is denied by the court. (6a)
Both real and
possession of real recovered or where
personal properties
property is damages for breach Commencement of Action
are involved
involved of contract are 1. By the filing of the original complaint in court
sought a. If additional defendant is impleaded in later pleading
Founded on privity Founded on privity (1) Action is commenced, with regard to him, on the
Founded on both
of real estate of contract date of the filing of the amended complaint
Filed in court where joining additional defendant
Filed in the court (2) If amended complaint is filed after the answer to
plaintiff or any of Rules on venue of
were property or the original complaint has been served on
defendant resides, at real actions shall
any part thereof is plaintiff:
the option of govern
situated (a) Motion for its admission now becomes
plaintiff
E.g. Accion necessary
E.g. Accion E.g. Action for a sum (b) If amended complaint is attached to the
publiciana with a
reinvindicatoria of money motion for its admission, date of filing
claim for damages
thereof is the date of commencement with
Note: regard to additional defendant, irrespective
- An action could be real as to cause and in personam as to of the action of the court thereon
object (e.g. action to recover a piece of land). 2. And the payment of docket fees
- An action could also be personal as to cause and in rem as a. Determined not only by the amount of the claim but
to object (e.g. action for annulment of marriage) also by the amount of damages
- The distinction is significant in determining the venue of
action An action capable of pecuniary estimation is one where the action is
brought primarily for the recovery of a sum of money; and the
As to Place of Filing amount of the claim shall determine where the jurisdiction lies.

LOCAL ACTION TRANSITORY ACTION An action incapable of pecuniary estimation is one wherein the basic
Must be brought in a particular Dependent on the place where issue is something other than the right to recover a sum of money or
place where the subject party resides regardless of where the money claim is purely incidental to, or a consequence of,
property or a portion thereof is where the cause of action arose the principal relief sought and are cognizable exclusively by the RTC.
located, unless there is an
agreement to the contrary
E.g. Action to recover real E.g. Action to recover sum of PAYMENT OF DOCKET FEES
property money
General Principles
Note:
- If action is founded on privity of contract between parties, Sec. 1, Rule 141 (AM No. 04-2-04 SC) provides that Upon filing of
then the action is transitory the pleading or other application which initiates an action or
- But if there is no privity of contract and the action is proceeding, the fees prescribed thereafter shall be paid in full.
founded on privity of estate only, such as a covenant that The court does not acquire jurisdiction and the action is
runs with the land in the hands of remote grantees, then not deemed commenced unless the correct docket fee is paid.
the action is local and must be brought in the place where
the land lies The Manchester Rule (as held in Manchester Development Corp. v.
CA)
- All complaints, petitions, answers, and other similar
SECTION 4 - In what cases not applicable.These Rules shall not
pleadings, should specify the amount of damages being
apply to election cases, land registration, cadastral, naturalization
prayed for not only in the body of the pleading but also in
and insolvency proceedings, and other cases not herein provided
the prayer
for, except by analogy or in a suppletory character and whenever
- Said damages shall be considered in the assessment of
practicable and convenient. (R143a)
filing fees
- Any pleading that fails to comply shall not be accepted or
Where rules not applicable:
admitted
1. Election cases
- Court acquires jurisdiction over any case only upon the
2. Land Registration
payment of the prescribed docket fee
3. Cadastral
- Amendment of the complaint or similar pleading will not
4. Naturalization
vest jurisdiction in the court, much less the payment of the
5. Insolvency Proceedings
docket fee based on the amount sought in the amended
6. Other cases not herein provided for
pleading

17
The Manchester Rule is embodied in SC Circ No. 7 of March 24, 1988 New Docket Fee to be Paid for the Filing of the Same Case that was
- Court acquires jurisdiction over any case only upon the Dismissed for Improper Venue
payment of the prescribed docket fees Suson v. CA where the same case was filed after it was
- Sun Insurance Office, Ltd. v. Asuncion it is not the filing dismissed for improper venue, another filing fee must be paid within
of the complaint or appropriate initiatory pleading, but the the prescriptive period as a condition precedent for further hearing
payment of the prescribed docket fee that vests in a trial of the case
court with jurisdiction over the subject matter or nature of - Plaintiff must not rely on the filing fee paid in the first case
the action - First case was dismissed for improper venue and did not
- Action is not deemed commenced and will not interrupt interrupt the running of the prescriptive period
the running of the period of prescription, unless and until
docket and other court fees are fully paid Mathematical Precision Not Required; Amount Not Stated in
Complaint
Relaxation of the Manchester Rule It is not necessary that the amounts be stated with
- Rule in Manchester that a complaint may not be amended mathematical precision.
if the prescribed docket fee has not been paid upon the Ng Soon v. Alday:
filing of the initiatory pleading was relaxed in Sun - While it may be that the body of the complaint was silent
Insurance Office, Ltd. v. Asuncion as to the exact amount of damages, the prayer did specify
- In Sun Life and unlike in Manchester, respondent an estimate
demonstrated his willingness to abide by the rules by - Said amounts were definite enough and enabled the Clerk
paying the additional fees as required to compute the docket fees payable
- Failure to state the rate of interest demanded was not
The SC laid down the following rules: fatal:
1. It is not simply the filing of the complaint or appropriate a. It is the courts which ultimately fix the same
initiatory pleading, but also the payment of the prescribed b. Rule 141, Sec. 5(a), itemizing the filing fees, speaks of
docket fee that vests a trial court with jurisdiction over the the sum claimed, exclusive of interest
subject matter or nature of the action
a. Where filing of the initiatory pleading is not A final determination is still to be made by the Court
accompanied by payment of docket fee: - Fees ultimately found to be payable will either be
b. Court may allow payment of the fee within a additionally paid or refunded
reasonable time - Rule allows an initial payment of the filing fees
c. But in no case beyond the applicable prescriptive or corresponding to the estimated amount of the claim
reglementary period. subject to adjustment as to what later may be proved
2. Same rule applies to permissive counterclaims, third-party
claims and similar pleadings, which shall not be Circular No. 7 Applies Only where the Amount of Value of Property
considered filed until and unless the filing fee prescribed Sought to be Recovered is Determinative of Jurisdiction
therefor is paid As held in Tacay v. RTC of Tagum:
a. Court may also allow payment of said fee within a - Circ. No. 7 does not apply where the amount of damages or
reasonable time value of property is immaterial to the courts jurisdiction
b. But also in no case beyond the applicable prescriptive - Where the action is principally in the nature of an accion
or reglementary period publiciana, failure to state the amounts claimed as
3. Where trial court acquires jurisdiction over a claim by the damages is not a ground for dismissal
filing of the appropriate pleading and payment of the
prescribed filing fee but, subsequently. Judgment awards a Docket Fee as Determined by Nature of Action
claim not specified in the pleading, or if specified, same has - There are actions or proceedings involving real property,
been left for the determination by the court, additional in which the value of the property is immaterial to the
filing fee shall constitute a lien on the judgment courts jurisdiction
a. It is the responsibility of the Clerk of Court or his duly - There are actions or proceedings involving personal
authorized deputy to enforce said lien and assess and property for the recovery of money and/or damages, in
collect the additional fee which the value of the property or amount is decisive of
trial courts competence
Central Bank v. CA The docket fee must be paid before the lapse of - Note that in RA 7691, MTCs now have jurisdiction over
the prescriptive period real actions depending on the assessed value of the real
property
Gochan v. Gochan The Sun Insurance rule allowing payment of - Where the action is purely for the recovery of money or
deficiency does not apply where plaintiff never demonstrated any damages, docket fees are assessed on the basis of the
willingness to abide by the rules to pay the docket fee but stubbornly aggregate amount claimed, exclusive only of interests and
insisted that the case filed was one for specific performance and costs
damages.
Two Situations:
Filing Fee for Counter-claim or Cross-claim 1. Where complaint or similar pleading sets out a claim
- Effective Aug. 16, 2004, Rules required the payment of purely for money or damages and there is no precise
filing fees for compulsory counterclaim or cross-claim statement of the amounts being claimed
- Sec. 7(a), Rule 141, AM No. 14-2-04 SC a. Rule: pleading will not be accepted nor admitted, or
shall otherwise be expunged from records
b. Complaint or pleading may be dismissed or claims
may be expunged

18
c. Although court may, on motion, permit the Docket fee may be based on:
amendment of the complaint and payment of the fees 1. Nature of the action
(1) Provided that claim has not prescribed 2. Value of the property involved, or
2. Where pleading does specify the amount of every claim, 3. Value of the demand
but fees paid were insufficient
a. Court may allow a reasonable time for payment of Deficiency in Payment of Docket Fee or Failure to Specify Amount
prescribed fees or balance upon Filing of Complaint Considered Merely as a Lien. Estoppel or
b. Upon such payment, defect is cured and court may Laches also applied.
take cognizance of the action 1. In assessing docket fee for filing of an action for rescission
(1) Unless prescription has set in of contract, nature of the action is one for rescission and is
incapable of pecuniary estimation (De Leon v. CA)
Actions for Annulment or Rescission of Contract Involving Real 2. Original Devt Corp. v. CA the fact that the main action
Property or principal relief sought is for specific performance
- Where the action involves real property and a related and/or rescission is only determinative of jurisdiction in
claim for damages as well, legal fees shall be assessed on the sense that regardless of the amount of damages
the basis of both: claimed, case is within the exclusive jurisdiction of the RTC
a. Value of the property; and a. But this does not mean that the separate claims for
b. Total amount of related damages sought damages are exempted from payment of docket fees
- Where the fees prescribed for an action involving real 3. Where the action for specific performance is for recovery
property have been paid, but amounts of certain related of property, docket fees should be based on the value of
damages being demanded are unspecified: property sought to be recovered (National Steel Corp v.
a. Action may not be dismissed; court immediately has CA)
jurisdiction 4. In Ruiz v. JM Tuason and Co., an action to execute a deed
b. It is not divested with jurisdiction by the of sale in his favor is an action to recover real property and
circumstance that it may not have jurisdiction over not for specific performance since the primary objective is
the accompanying claims for damages for lack of to regain ownership and possession of the land
specification 5. An action for specific performance to execute a deed of
c. What should be done? assignment was considered as an action to recover
(1) To expunge those claims for damages to which property rather than for specific performance in National
no amounts are stated Steel Corp v. CA so the docket fee was based on the value
(2) Or allow a reasonable time for the amendment of of the property sought to be recovered
the complaints so as to allege the precise amount 6. A complaint for cancellation and assignment of sale is an
of each action to ultimately give plaintiff possession and
ownership of assets and should be the basis of the filing
Determination of Nature of Action is Essential to Determine the fee
Amount of the Docket Fee
- It is necessary to determine the true nature of the When the corresponding docket fee for damages in the original
complaint in order to resolve the issue of whether the complaint was properly paid, court does not lose jurisdiction over
correct fees were paid amended complaint increasing the amount of damages even if
- Nature of an action is determined by the allegations in the corresponding docket fee for increase was not paid
body of the pleading or complaint itself - Unpaid docket fee is considered a lien on judgment
- Amount of docket fee is not determinative of the
jurisdiction of the court; but non-payment or insufficient Effect of Failure to Specify Sum of Exemplary Damages Where Action
payment pay prevent courts from acquiring jurisdiction is Not Purely for Damages
- Rule 2, Sec. 5(d) where the claims in all such joined - Sps. Belen Gregorio v. Angeles an action for sum of
causes of action are principally for the recovery of money, money; failure of complaint to specify the sum of
the aggregate amount claimed shall be the test of exemplary damages does not warrant dismissal of
jurisdiction complaint
- Whether or not the different claims for damages are based - Ayala Corporation v. Judge Madayag action for specific
on a single cause of action or different causes, it is the total performance with damages; plaintiff did not pay docket fee
amount thereof and did not specify amount of exemplary damages both in
the body and prayer
Jurisdiction may not necessarily be determined by the subject a. Motion to dismiss on the ground of jurisdiction was
matter of the action but by the nature of the action denied
- In ejectment cases, jurisdiction is with the MTC even if the b. The RTC was directed either to expunge from the
amount of real property may reach millions records the claim for exemplary damages or, upon
- In eminent domain cases, regardless of the value of the motion, give reasonable time to amend pleading and
land, jurisdiction is with the RTC pay (within the reglementary and prescriptive
period)
Yusingco v. Ong - In PAL v. CA entitlement to moral damages having been
- Jurisdiction over the subject matter means jurisdiction to established, exemplary damages may be awarded even
hear and determine the general class of cases to which the though not expressly pleaded
proceedings in question belong
- It is the nature of the cause of action and of the relief Sec. 3(1), RA 7691, amending Sec. 33 of BP 129 defining the
sought exclusive original jurisdiction of the MTC over civil actions, interest,
damages of whatever kind, attorneys fees litigation expenses, and

19
costs must be specifically alleged and shall be included in the - Judgment awards which may be proved during trial would
determination of the filing fees still be subject to additional filing fees which shall
constitute a lien on the judgment
Under RA 7691, incidental damages of whatever kind are not
included in the determination of the jurisdiction of the court, but the Applicable Rule
law requires that the amount thereof be specified in the complaint - Sec. 5(a), Rule 141 defines two kinds of claims:
1. Those which are immediately ascertainable
Payment of Docket Fee is Required even if Motion for Attorneys 2. Those which cannot be immediately ascertained as to
Fees is filed as an Incident in Special Proceedings the exact amount
- A motion for attorneys fees is in the nature of an action - The 2nd class of claims, where exact amount still has to be
commenced by a lawyer against his clients for attorneys finally determined by the courts, falls under 3 rd par. Of Sec.
fees 5(a)
- Lacson v. Reyes it may be true that the claim for - An initial payment of docket fees based on an estimated
attorneys fees was but an incident in the main case still, it amount must be paid simultaneous with the filing of the
is not an escape from the payment of docket fees complaint
a. In all actions, whether separate or as an offshoot,
payment of docket fees is mandatory Payment of Docket Fee to Acquire Jurisdiction
- Pascual v. CA no docket fee is required where claim for The court in Ballatan v. CA summarized different
attorneys fees was not in the nature of an action principles for the court to acquire jurisdiction upon payment of
commenced by a lawyer against his client, but in the form docket fee:
of a claim against the estate 1. When an action is filed in court, complaint must be
accompanied by the payment of the requisite docket and
Defense of Good Faith filing fees
- Timely filing of correct docket fees is jurisdictional 2. In real actions, docket and filing fees are based on the
- Pronouncements of the court on the matter have always value of the property and the amount of damages claimed,
been influenced by the peculiar legal and equitable if any
circumstances surrounding each case (Yuchengco v. 3. If complaint is filed but the fees are not paid at the time of
Republic) filing, court acquires jurisdiction upon full payment of fees
within a reasonable time as the court may grant, barring
Payment of docket fees is required in civil actions filed in the prescription
Sandiganbayan (Yuchencgo v. Republic) but no docket fee is 4. Where fees prescribed for real action have been paid but
required for a counter-petition (San Miguel Corp. v. the fees of certain related damages are not, the court,
Sandiganbayan) although having jurisdiction over the real action, may not
have acquired jurisdiction over the accompanying claim
Estoppel to Question Jurisdiction for Non-Payment of Docket Fee for damages
In Maersk Tabacalera Shipping v. CA 5. Accordingly, the court may expunge those claims for
- An action for damages; SC refused to apply Manchester damages, or allow, on motion, a reasonable time for
- In Manchester, the jurisdictional issue arising from amendment of the complaint so as to allege the precise
insufficiency of docket fees paid was seasonably raised in amount of damages and accept payment of the requisite
the answer of the defendant in the trial court legal fees
- In this case, issue of jurisdiction was being raised for the 6. If there are unspecified claims, the determination of which
first time in the SC may arise after the filing of the complaint or similar
- A party who voluntarily participates in the trial court pleading, the additional filing fee thereon shall constitute a
cannot later on raise the issue of the courts lack of lien on the judgment award. The same rule applies to 3rd
jurisdiction party claims and other similar pleadings
- Since this is a case where some of the claims for moral and
exemplary damages were not specified in the plaintiffs Election Protests; Payment of Full Amount of Filing Fees
pleading, the applicable rule is the 3rd rule set out in Sun - Before, it was held that election laws and rules are to be
Insurance interpreted and applied in a liberal manner so as to give
effect, not to frustrate, the will of the electorate
Significance of Absence of Intent to Defraud - But in Gonzales v. COMELEC - the complaint was
- In the determination of whether or not plaintiff may be dismissed on grounds of prescription since the fees were
permitted to amend his complaint to specify the amounts belatedly paid
claimed and pay the unpaid balance of the prescribed - In Pahilab v. Tabalba, court reverted to the previous
docket fee, absence of intent to defraud the Government in doctrine and held en banc that there are strong and
payment of filing fees plays a significant role compelling reasons to rule that the doctrine established in
- Sps. Belen Gregorio v. Angeles Manchester involved Manchester cannot be made to apply to election cases
clearly an effort to defraud the government, and so resort - But in Miranda v. Castillo Court in an en banc decision
to its ruling must be justified by a showing of a prior reiterated the caveat in Loyola v. COMELEC that the court
attempt to cheat the court would no longer tolerate any mistake in the payment of
the full amount of the filing fees for election cases filed
Additional Filing Fee as Lien on the Judgment after the promulgation of the Loyola decision on March 25,
- Fees as lien = see Sec. 2, Rule 141 1997
- Filing fees for damages and awards that cannot be
estimated constitute liens on the awards finally granted by
the court

20
SECTION 6 - Construction.These Rules shall be liberally Impairment of Vested Rights
construed in order to promote their objective of securing a just, - Rule does not apply where the statute itself expressly or
speedy and inexpensive disposition of every action and by necessary implication provides that pending actions are
proceeding. excepted from its operation or where to apply it to
pending actions would impair vested rights
Liberal Construction
- Rules of procedure should be viewed as mere tools
designed to aid Courts in the speedy, just and inexpensive END OF RULE 1
determination of cases before them
- Liberal construction of the rules and the pleadings is the
controlling principle to effect substantial justice
- Departures from procedure may be forgiven where they
do not appear to have impaired substantial rights of
parties
- There are reasonable delays which are necessary in a good
administration of justice
- It is well settled that litigation should, as much as possible,
be decided on their merits and not on technicalities

GENERAL RULE: Liberal construction


EXCEPTIONS:
1. Reglementary periods
2. Rule on forum shopping
3. Service of summons

Reasons which would warrant the suspension of the rules:


1. The existence of special or compelling circumstances
2. The merits of the case
3. A cause not entirely attributable to the fault or negligence
of a party favored by the suspension of rules
4. A lack of any showing that the review sought is merely
frivolous and dilatory
5. The other party will not be unjustly prejudiced thereby

Liberal Interpretation of Pleadings To avoid possible denial of


substantive justice due to legal technicalities, pleadings as well as
remedial laws should be liberally construed so that the litigants may
have ample opportunity to prove their respective claims

Rules of Procedure are not Mere Technicalities


- Rules of procedure are tools designed to promote
efficiency and orderliness as well as to facilitate
attainment of justice, such that strict adherence thereto is
required
- Application of the rules may be relaxed only when rigidity
would result in a defeat of equity and substantial justice

Rules of Procedure Generally Cannot be Changed by Parties


- Rules of procedure are matters of public interest and
cannot be changed by agreements of the parties (Banco
Espanol-Filipino v. Palanca)
- On the other hand, there are matters of procedure which
may be waived if public interest is not affected thereby

Retroactive Application of Rules


- Retroactive application of procedural laws is allowed to
actions pending and undetermined at the time of their
passage
- Procedural laws are retrospective in that sense and to that
extent

Amendatory Acts
- The general rule is that an amendatory act, every case of
doubt must be resolved against its retroactive effect
- Since retroactive application of a law usually divests rights
already vested

21
NOTES ON RULE 1

22
NOTES ON RULE 1

23
b. Jurisdiction depends on the value and location of the
property

Action in Personam
- Technical object of the suit is to establish a claim against
RULE 2 some particular person
CAUSE OF ACTION - With a judgment which generally, in theory, binds his
body, or to bar some individual claim or objection, so that
only certain persons are entitled to be heard in defense
SECTION 1 - Ordinary civil actions, basis of.Every ordinary civil
action must be based on a cause of action. (n) Action in Rem
- Object is to bar indifferently all who might be minded to
NOTE: The law on jurisdiction, rules on venue, prescription, make an objection of any sort against the right sought to
defenses against the action, payment of the docket fee and service of be established
summons depends on the nature of the action - If anyone in the world has a right to be heard on the
strength of alleging facts, which if true, show an
KINDS OF ACTION inconsistent interest, proceedings is in rem

1. Civil or Criminal Action Quasi in Rem


a. Civil one by which a party sues another for the - Proceedings which not strictly and purely in rem
enforcement or protection of a right, or the - But are brought against a defendant personally
prevention or redress of a wrong - Although the real object is to deal with a particular
b. Criminal one by which the State prosecutes a property or subject it to discharge of claim asserted
person for an act or omission punishable by law therein
- Jurisdiction over person of defendant is not necessary;
2. Ordinary or Special both are governed by the rules of summons is required only for due process
ordinary civil actions, subject to the specific rules
prescribed for a special civil action Notes:
a. Special - Aim and object of the action determines its character
b. Ordinary may be classified as: - Whether a proceeding is in rem, in personam, or quas in
(1) As to place rem, is determined by its nature and purpose
(a) Transitory action founded on privity of - Only a complaint for forcible entry is a real action and in
contract between parties; brought in the personam (Domagas v. Jensen)
place where the party resides
(b) Local action founded on privity of estate Illustrations:
only and there is no privity of contract; 1. Proceedings having for their sole object the sale of
brought in a particular place property of defendant (e.g. foreclosure or attachment)
(2) As to object or against which the action is a. These are actions quasi in rem
directed, actions may be classified as: b. Judgment is conclusive only between parties
(a) In personam; 2. Action for partition under Rule 69
(b) In rem; or a. It is a real action
(c) Quasi in rem b. It is in the nature of an action quasi in rem
(3) As to cause or foundation c. Action is essentially for the purpose of affecting the
(a) Real, or defendants interest in a specific property
(b) Personal 3. Action intended to exclude a non-resident defendant from
any right or interest in property
Real Action is that founded on privity of real estate and seeks to a. Action quasi in rem
recover a specific real property or its possession 4. Annulment of marriage
a. Action affecting civil status action in rem
Personal Action that founded on privity of a contract or recovery of b. Status affects or binds the whole world
personal property or damages c. The res is the relation between the parties or their
- One brought for the recovery of personal property, marriage
enforcement of some contract or recovery of damages 5. Action to review the decision of a Secretary
- A personal action may be: a. An action in personam
1. Incapable of pecuniary estimation jurisdiction lies b. Even if it involves real property
with the RTC 6. Action for enforcement of a maritime lien
2. Capable of pecuniary estimation jurisdiction would a. Action quasi in rem
depend on the value of the demand or personal 7. Insolvency proceedings
property involved a. Similar to the settlement of a decedents estate
b. Proceeding in rem and is binding against the whole
Example: world
1. Action for breach of covenant of a lease
a. It is a personal action Distinctions Between Actions in Personam, In Rem, Quasi in Rem
b. Although damages to real estate may be sought, such 1. Action in personam is in an action against a person on the
claim is only incidental to the breach basis of his personal liability
2. Action by lessee of a rice land against buyer to recover 2. Action in rem is an action against the thing itself
possession of real property 3. Real action is not the same as an action in rem; personal
a. It is a real action action is not the same as an action in personam

24
4. Real action may be at the same time an action in personam Actions are also classified for purposes of venue
and not necessarily an action in rem - Depend on whether or not the action is personal or real
a. E.g. action to recover property is a real action but in - Regardless of the value of the property
personam that binds only that particular individual
5. Actions to remove clouds from title to real property GENERAL RULE: The facts alleged in the complaint as constituting
a. Governed by Art. 476 to 481 and Rule 64 on the cause of action and not those averred as defense in defendants
Declaratory Relief answer determines the nature of the action and consequently the
b. These are quasi in rem jurisdiction of the court
c. Judgment in such proceedings is conclusive only - Even without the prayer for a specific remedy, proper
between parties relief may nevertheless be granted if the facts alleged in
d. Since action affects title to or possession of real the complaint and evidence introduced so warrant
property, they are real actions - Nature of an action is determined by the body of the
pleading or complaint itself; not the title or caption
Justice Callejo Sr.s discussion in Domagas v. Jensen
- A proceeding in personam is a proceeding to enforce Examples:
personal rights and obligations brought against the person 1. Prayer for annulment or rescission of sale does not
and is based on the jurisdiction of the person operate to efface the prime objective and nature of the
- Purpose of a proceeding in personam is to impose, through action which is recovery of real property and is thus a real
judgment, some responsibility or liability directly upon the action
person of the defendant 2. If it is alleged that contract is breached and the party is
- An action in personam is said to be one which has for its asking for rescission and return of the property, the action
object a judgment against the person, as distinguished is an action for recovery of the possession of the land
from a judgment against the property 3. Action for specific performance to execute a deed of
assignment transferring stock certificates was considered
- A proceeding quasi in rem is one brought against persons an action to recover property rather than specific
seeking to subject the property of such persons to the performance
discharge of claims assailed
- In an action quasi in rem, an individual is named as For purposes of Jurisdiction, Actions are classified into actions that
defendant and the purpose of the proceeding is to subject are incapable of pecuniary estimation and those that are capable of
his interests therein to the obligation burdening the pecuniary estimation involving real and personal property
property Ascertain the nature of the principal action or remedy
- Actions quasi in rem deal with the status, ownership, or sought:
liability of a particular property but which are intended to 1. If it is primarily for the recovery of a sum of money, it is
operate on only as between the particular parties capable of pecuniary estimation
2. Where the basic issue is something other than the right to
Nature of Action Determines Jurisdiction recover a sum of money or is purely incidental to or as a
- For purposes of jurisdiction, actions are classified as to consequence of the principal relief sought like specific
whether or not the case is capable of pecuniary estimation performance, action for support or for annulment of
- If it is incapable, it falls under the exclusive original judgment, it is not capable of pecuniary estimation
jurisdiction of the RTC
- In such case, the docket fee is a flat rate
SECTION 2 - Cause of action, defined.A cause of action is the act
or omission by which a party violates a right of another.
WHEN CAPABLE OF PECUNIARY ESTIMATION
CAUSE OF ACTION, RIGHT OF ACTION
From BP 129, as amended by RA 7961, what must be determined to
be capable or incapable of pecuniary estimation is not the cause of Cause of Action Defined
action, but the subject matter of the action - Sec. 2, Rule 2 provides for the statutory definition
- The subject matter of the action is the physical facts, the - Rebollido v. CA a cause of action is defined as an act or
thing real or personal, the money, lands, chattels, and the omission of one party in violation of the legal right of the
like, in relation to which the suit is prosecuted, and not the other which causes the latter injury
delict or wrong committed by defendant
Elements:
Example: Action for damages based on quasi-delicts 1. Existence of a legal right in plaintiff
- This is primarily and effectively an action for recovery of 2. A correlative legal duty of defendant to respect ones right;
the sum of money for damages suffered and
- Damages claimed is the principal relief sought and is not 3. An act of omission of the defendant in violation of
merely incidental thereof plaintiffs right with a consequential injury or damage to
the plaintiff for which he may maintain an action for the
If it is capable of pecuniary estimation, jurisdiction will depend on recovery of damages or other appropriate relief
the value of the demand exclusive of interests, damages of whatever
kind, attorneys fees, litigation expenses and costs, or value of the Note: there must be damnum et injuria
property in controversy.
- Other form of damages even if not essential for purposes Damnum absque injuria:
of jurisdiction must be specified in the filing fees - Custodio v. CA the mere fact that plaintiff suffered losses
- Amount of docket fee is not determinative of jurisdiction; does not give rise to a right to recover damages
But non-payment or insufficiency of payment may prevent - wrong without damages, or damage without wrong, does
courts from acquiring jurisdiction not constitute a cause of action

25
- in order that the law will give redress for an act causing CONDITIONS PRECEDENT
damage, that act must not only be hurtful, but wrongful
A cause of action does not accrue until the party obligated refuses, Failure to comply with a condition precedent is a ground for a
expressly or impliedly, to comply with his duty (Summit Guaranty motion to dismiss (Rule 16, Sec. 1(j))
and Insurance v. De Guzman)
This will determine the reckoning date of the period of EXHAUSTION OF ADMINISTRATIVE REMEDIES
prescription (Texton Manufacturing v. Millena)
- Exhaustion of administrative remedies stands as a bar to a
Cause of Action or Lack of it Does Not Affect Jurisdiction judicial review of administrative agencies made in the
A cause of action or the lack of it does not affect the exercise of their quasi-judicial function
authority of the court to hear and decide a given case, if the court has - Failure to do so results in the absence of a cause of action
jurisdiction over its subject matter, over the parties therein, and in - Non-exhaustion is not jurisdictional
an action in rem, over the res. a. It only renders the action premature (claimed cause
of action is not ripe for judicial determination)
Right of Action right to commence and prosecute an action to b. The motion to dismiss must then be understood to be
obtain the relief sought based on:
(1) Lack of jurisdiction, and
Right of Action Distinguished from Cause of Action (2) Lack of cause of action for failure to exhaust
- they have been held to be synonymous administrative remedies
- but in Code Pleading, one is distinguished from the other:
a. Right of action remedial right belonging to some When Exhaustion of Administrative Remedies is Required
person; a matter of right and depends on substantive - If a remedy within the administrative machinery can still
law he had by giving the administrative officer concerned
b. Cause of action formal statement of the operative every opportunity to decide on a matter that comes within
facts that give rise to such remedial right; a matter of his jurisdiction, then such remedy should be priorly
statement and is governed by procedural law exhausted before the courts judicial power is invoked
- Right of action springs from the cause of action - Reason for principle:
a. But it does not accrue until all facts which constitute a. Sound practice and policy
the cause of action have occurred b. Ensures an orderly procedure which favors a
b. There can be no right of action until there has been a preliminary sifting process
wrong a violation of a legal right c. Avoidance of interference with functions of the
administrative agency
Elements of a Right of Action d. Prevention of attempts to swamp the courts by a
1. The existence of a cause of action resort to them in the first instance
2. The performance of all conditions precedent to the
bringing of the action Note: Exhaustion of Administrative Remedies refers ONLY to quasi-
3. The right to bring and maintain the action must be in the judicial functions
person instituting it - It does not apply to a resolution issued by an
administrative body in the exercise of its rule-making or
Note: All valid conditions precedent to the institution of a particular legislative power
action, whether prescribed by statute, fixed by agreement of the - Only judicial review of decisions of administrative
parties, or implied by law must be performed or complied with agencies made in the exercise of their quasi-judicial
before commencing the action function is subject to the exhaustion doctrine
Unless the conduct of the adverse party has been such as - E.g. in questioning the validity or constitutionality of a
to prevent or waive performance or excuse non-performance of the rule or regulation issued by an administrative agency, a
condition party need not exhaust administrative remedies before
going to court
Cause of Action v. Right of Action
When Exhaustion of Administrative Remedies not Necessary
CAUSE OF ACTION RIGHT OF ACTION The doctrine is a relative one and its flexibility is called
Remedial right or right to relief upon by the peculiarity and uniqueness of the factual and
Delict or wrongful act or circumstantial setting of the case (Paat v. CA)
granted by law to a party to
omission committed by Exhaustion of remedies are not necessary:
institute an action against a
defendant in violation of the 1. Where the questions involved are purely judicial or a legal
person who has committed a
primary rights of plaintiff one (Limoco v. PVA)
delict or a wrong against him
The remedy or means afforded 2. When the controverted act is patently illegal or was
The reason for the action performed without jurisdiction or in excess of jurisdiction
or the consequent relief
The formal statement of the The remedial right given to a (Brett v. IAC)
operative facts that give rise person because of the 3. Where respondent official acted in utter disregard of due
to a remedial right occurrence of the alleged facts process (Triste v. Leyte State College Board)
A matter of procedure and 4. When it does not provide a plain, speedy, and adequate
A matter of right and depends remedy (Laganapan v. Elpidio Asedillo)
depends on the pleadings
on substantive law 5. When its application may cause great and irreplaceable
filed by the parties
Not affected by affirmative Affected by affirmative damage (Tesorero v. Mathay)
defenses defenses 6. When the insistence in its observance would result in the
nullification of the claim being asserted
7. When the respondent is a Department Secretary, whose
acts as an alter ego of the President bears the implied or

26
assumed approval of the latter unless actually disapproved subject of an action, or the parties to any contract may in
by him (Demaisip v. CA) such contract agree to settle by arbitration a controversy
8. Where there are circumstances indicating the urgency of thereafter arising between them
judicial intervention (Cuevas v. Pineda) 2. Construction Industry Arbitration Commission
9. When there is estoppel on the part of the administrative a. Has exclusive and original jurisdiction over
agency concerned (Vda. De Tan v. Veterans Backpay construction disputes pursuant to Sec. 49, EO 1008
Division) b. Sec. 1, Art III, of the new Rules of Procedure
10. When to require administrative remedies would be Governing Construction Arbitration has dispensed
unreasonable (Cipriano v. Marcelino) with the requirement of request
11. When the subject matter is a private land in land case c. Recourse to the CIAC may now be availed of
proceedings (Soto v. Jareno) whenever a contract contains a clause for the
12. Exhaustion of administrative remedies may also be submission of future controversy to arbitration
considered waived if there is a failure to assert it for an d. There is no more need to file a request with the CIAC
unreasonable length of time (Republic v. Sandiganbayan) in order to vest it with jurisdiction
13. A civil action for damages may, however, proceed 3. RA 9285 Alternative Dispute Resolution Act of 2004
notwithstanding the pendency of an administrative action
(Esuerte v. CA) Where Arbitration Clause Not Applicable
14. When the claim involved is small 1. Even if there is an arbitration clause, there are instances
15. When strong public interest is involved; and when referral to arbitration does not appear to be the
16. In quo warranto proceedings (Castro v. Gloria) most prudent action
Failure to exhaust administrative remedies does not affect 2. Where the panel of arbitrators is bereft of jurisdiction over
jurisdiction of the court the complaint because the issue is judicial (e.g. issues on
- Failure to observe this doctrine only deprives the the validity of the contract)
complaint of a cause of action which is a ground for a
motion to dismiss Barangay Conciliation (Katarangung Pambarangay)
- If not invoked in proper time, ground is deemed waived - Source: Local Government Code of 1991
and court can take cognizance of the case and try it - The lupon of each barangay shall have authority to bring
together the parties actually residing in the same city or
OTHER CONDITIONS PRECEDENT municipality for amicable settlement of all disputes,
except:
1. Investigation by a fiscal is a prerequisite to annulment of 1. Where one party is the government or any
marriage when defendant defaults (Tolentino v. subdivision or instrumentality thereof
Villanueva) 2. Where one party is a public officer or employee, and
2. No suit shall be filed or maintained between members of the dispute relates to the performance of his official
the same family unless it should appear that earnest functions
efforts at compromise have been made but that the same 3. Offenses punishable by imprisonment exceeding 1
have failed. (Art. 222; Versoza v. Versoza) year or a fine exceeding P5,000
4. Offenses where there is no private offended party
ARBITRATION AS CONDITION PRECEDENT 5. Where the dispute involves real properties located in
different cities or municipalities unless the parties
Rule: Where there is an agreement to arbitrate as a condition thereto agree to submit their differences to amicable
precedent to court of action and one party puts up a claim which the settlement by an appropriate lupon
other disputes, the need to arbitrate is imperative 6. Disputes involving parties who actually reside in
- Arbitration agreements are valid, binding, enforceable, and barangays of different cities or municipalities, except
not contrary to public policy such that when there obtains where such barangay units adjoin each other and the
a written provision for arbitration which is not complied parties thereto agree to submit their differences to
with, trial court should suspend the proceedings and order amicable settlement by an appropriate lupon
the parties to proceed to arbitration in accordance with 7. Such other classes of disputes which the President
the terms of the agreement may determine in the interest of justice or upon the
recommendation of the Secretary of Justice
Advantages of Arbitration
1. Expeditious determination of a dispute Note: no complaint, petition, action, or proceeding involving any
2. Lawyers fees can be saved or lessened as arbitration matter within any matter within the authority of the lupon shall be
proceedings are shorter than court trials filed or instituted directly in court or any other government office
3. Private arbitration costs the public nothing, and parties for adjudication, unless there has been a confrontation between the
and witnesses become less tense and nervous as parties before the lupon chairman or the pangkat, and that no
proceedings are conducted in private conciliation or settlement has been reached as certified by the lupon
4. Arbitration being private and more informal than court secretary or pangkat secretary as attested to by the lupon chairman
trials, there is more possibility of amicable settlement or pangkat chairman or unless the settlement has been repudiated
5. There is a quick determination of the dispute, thus by the parties thereto.
avoiding the situation of an award that has less purchasing
power than the amount due him because of inflation Parties may go directly to court in the following instances:
1. Where the accused is under detention
Some Laws on Arbitration 2. Where a person has otherwise been deprived of personal
1. RA 876 The Arbitration Law under this law two or liberty calling for habeas corpus proceedings
more persons or parties may submit to the arbitration of 3. Where actions are coupled with provisional remedies such
one or more arbitrators any controversy existing between as preliminary injunction, attachment, delivery of personal
them at the time of the submission and which may be the property, and support pendent lite; and

27
4. Where the action may otherwise be barred by the statute Nemo debet bis vexare pro una et eadem causa (no man shall be
of limitations twice vexed for one and the same cause)
Re-statement of Principle: Where there is only one delict or wrong,
Conciliation among Members of Indigenous Cultural Communities there is but a single cause of action regardless of the number of
- Customs and traditions of indigenous cultural rights violated belonging to one person
communities shall be applied in settling disputes between
members of cultural communities What is Prohibited
- The NCIP, through its regional offices, shall have - Note that a single right might give rise to more than one
jurisdiction over all claims and disputes involving the relief
rights of the ICCs/IPs - It is the filing of separate complaints for those several
- Provided, however, that no such dispute shall be brought reliefs that constitutes splitting up of the cause of action
to the NCIP unless the parties have exhausted all remedies - The other case may be dismissed either on the ground:
under their customary laws 1. Of litis pendentia (Sec. 1(e), Rule 16); or
2. Of res judicata (Sec. 1(f), Rule 16)
RELIEF, REMEDY, SUBJECT MATTER
Test of Singleness of Action
Relief The redress. Protection, award or coercive measure which The test of singleness of cause of action lies in the
the plaintiff prays the court to render in his favor as consequence of singleness of the delict or wrong violating the rights of one person.
the delict committed by defendant - A single delict or wrong may consist of a single act or
series of acts of a single transaction or series
Remedy The procedure or appropriate legal form of relief of action - As held in City of Bacolod v. San Miguel Brewery:
which may be availed of by the plaintiff as the means to obtain 1. A single act or omission can be violative of various
desired relief rights at the same time
a. As when the act constitutes juridically a
Subject Matter The thing, wrongful act, contract, or property which violation of several separate and distinct legal
is directly involved in the action, concerning which the wrong has obligations
been done and with respect to which the controversy has arisen b. Violation of each of these rights is a cause of
action in itself
2. Several acts or omissions may violate one right
SECTION 3 - One suit for a single cause of action.A party may a. In this case, there would be only one cause of
not institute more than one suit for a single cause of action. action
3. A violation of a single right may give rise to more than
SECTION 4 - Splitting a single cause of action; effect of.If two or one relief
more suits are instituted on the basis of the same cause of action, a. So for a single cause of action or violation of a
the filing of one or a judgment upon the merits in any one is right, the plaintiff may be entitled to several
available as a ground for the dismissal of the others. reliefs
b. It is the filing of separate complaints for these
SPLITTING OF CAUSE OF ACTION several reliefs that constitutes splitting up of the
cause of action
Splitting a Cause of Action the act of dividing a single cause of
action, claim, or demand into two or more parts, and bringing suit Rules on Actions Ex-Contractu
for one of such parts only, intending to reserve the rest for another 1. For a single and indivisible contract
separate action a. Only one cause of action arises from a single breach
or several breaches of a single and indivisible
Remedy: Where a single cause of action has been split, the remedy of contract
defendant is to: b. All damages claimed by reason thereof must be
1. Move to dismiss under Rule 16 on the grounds of: secured in a single action
a. Litis pendentia when there is another action 2. For contracts providing for several obligations
pending between the same parties for the same cause a. A contract providing for several obligations to be
b. Res judicata if the first action has already been performed at different times gives rise to a single and
finally terminated independent cause of action for each obligation that
2. An answer alleging either of the aforementioned grounds is not performed at the proper time
as affirmative defense b. If upon the filing, several obligations have already
matured, all of them shall be considered as
Scope of Rule The rule against splitting a single cause of action integrating into a single cause of action and must be
applies not only to complaints but also to counterclaims and cross- included in the complaint, otherwise, those not
claims. included are barred forever
This may be set up either by motion to dismiss or by
affirmative defense on the ground of pendency of another action Other Cases
between the same parties for the same cause or bar by prior 1. Separate contracts to be performed on separate occasions
judgment gives rise to several causes of action
2. Non-payment of a note secured by a mortgage, creditor
Purpose it is intended: has a single cause of action against debtor
1. To prevent repeated litigation between the same parties in a. Single cause of action is the recovery of credit with
regard to the same subject of controversy; the execution of the security
2. To protect defendant from unnecessary vexation b. Creditor may make his demands of payment and
3. To avoid the costs and expenses incident to numerous foreclosure but both arise from the same cause which
suits is the non-payment of debt

28
3. Only one cause of action for a single breach of an - Where there is only one delict or wrong, there is but a
obligation which cannot be split into 2 separate actions single cause of action regardless of the number of rights
4. A mortgage creditor may not institute against the that may have been violated belonging to one person
mortgage debtor either a personal action for debt or a real - Singleness of a cause of action lies in the singleness of the
action to foreclose delict or wrong violating the rights of one person
a. He may pursue either of the two but not both - A recovery by petitioner under one remedy necessarily
5. Caltex Phils. Inc. v. IAC plaintiff cannot split his single bars recovery under the other
cause of action by filing a complaint for payment of debt - This prohibition stems from the fundamental rule against
and thereafter a complaint for foreclosure; this will in unjust enrichment
effect be authorizing plural redress for a single contractual
breach Examples:
1. Only one suit for recovery of real property and damages
Limitations of the Rule may be filed
1. A cause of action is not made different by merely changing 2. In ejectment cases:
the form of action (Marsteel v. Lawin Security Services) a. Only rentals or reasonable value for the use and
2. The rule against splitting a cause of action applies only occupation of the premises are recoverable
where the action lies between the same parties (Itogon b. Other damages must be recovered in a separate
Suyoc Mines v. Sangil-Itogon Workers Union) action (Felisilda v. Villanueva)
3. Where the nature of relief is cognizable by different 3. Illegally dismissed employees have only one cause of
tribunals, the rule is not violated action (Primero v. IAC)

GENERAL RULE: A contract embraces only one cause of action even


if it contains several stipulations SECTION 5 - Joinder of causes of action.A party may in one
pleading assert, in the alternative or otherwise, as many causes of
EXCEPTION: A contract to do several things at several times is action as he may have against an opposing party, subject to the
divisible, and judgment for a single breach of a continuing contract is following conditions:
not a bar to a suit for subsequent breach (a) The party joining the causes of action shall comply with
the rules on joinder of parties;
EXCEPTION TO THE EXCEPTION: All obligations which have (b) The joinder shall not include special civil actions or
matured at the time the suit must be integrated as one cause of actions governed by special rules;
action in one complaint, and those not included would be barred (c) Where the causes of action are between the same
parties but pertain to different venues or jurisdictions,
DOCTRINE OF ANTICIPATORY BREACH: An unqualified and positive the joinder may be allowed in the Regional Trial Court
refusal to perform a contract, though performance thereof is not yet provided one of the causes of action falls within the
due, may, if renunciation goes into the whole contract, be treated as jurisdiction of said court and the venue lies therein;
a complete breach which will entitle the injured party to bring his and
action at once (d) Where the claims in all the causes of action are
principally for recovery of money, the aggregate
Actions to Recover Real Property amount claimed shall be the test of jurisdiction.
In actions to recover real property, one does not
necessarily bar the other depending on the nature of the action. A joinder of causes of action is the uniting of two or more demands
1. A judgment in an accion publiciana is not a bar to an action or right of action in a complaint.
to compel defendant to execute a deed of sale
a. Judgment is only as to who of the parties had a better The rule in Sec. 5 is purely permissive and the plaintiff can always
right to possess file separate actions for each cause of action (Baldovir v. Sarte)
2. In De Luzuriaga v. Adil where both action to quiet title
and forcible entry is anchored on ownership, forcible entry SPLITTING OF CAUSES JOINDER OF CAUSES
case was dismissed There is a single cause of Contemplates several causes
action of action
Rules in Actions Ex-Delicto Prohibited Encouraged
1. A single tort gives rise but to one cause of action no matter It causes multiplicity of suits It minimizes multiplicity of
how many items of damages may have been caused to one and double vexation on part of suits and inconvenience on the
person defendant parties
2. When by a single delict or wrong, several rights are
violated belonging to different persons, several causes Section 5 presupposes:
arise on behalf of such persons 1. That the different causes of action which are joined accrue
3. When there are separate tortuous acts resulting in in favor of the same plaintiff/s and against the same
different injuries, separate causes of action arise and defendant/s; and
several actions may be maintained 2. That no misjoinder of parties is involved
4. But if only one injury resulted from several wrongful acts,
only one cause of action arises. Double recovery for the Discussion of Justice Feria in Flores v. Mallare-Philipps
same act or omission is prohibited. The Rule liberalizes the 1964 rule on the requisite of
permissive joinder of causes of action by limiting the condition as
Rule Against Double Recovery follows:
- A cause of action is understood to be the delict or wrongful 1. The first condition is based on the ruling in Flores v.
act or omission committed by the defendant in violation of Mallare-Philipps
the primary rights of the plaintiff 2. The reason for the 2nd condition is that the special civil
action may be governed by a different rule

29
3. Under the 3rd condition, if one cause of action falls within Unity of Problems
the jurisdiction of the RTC and the other with the MTC, the - The absence of unity of problems is no longer a bar to a
action shall be filed in the RTC joinder of causes of action under Sec. 5, Rule 2
a. If the causes of action have different venues, they may - The provision removed the restriction of venue,
be joined in any of the courts of proper venue jurisdiction, and causes of action arising from money, the
4. Under the 4th condition, the totality of the principal claims same nature or character or similar transactions
for money determines which court has jurisdiction - The only grounds to refuse joinder of causes of action are:
1. The rules on joinder of parties, which require:
Under Sec. 5(a) a. That the claims arise from the same or series of
- It is a requirement that the joinder of causes of action shall transactions and
comply with the rule on joinder of parties b. That there is a common question of law and fact
- As such, under Sec. 6, Rule 3, it is necessary that the right 2. It must not be cognizable by different tribunals
of relief from said causes of action: 3. Joinder of ordinary and special civil actions
1. Should arise out of the same transaction or series of - But the presence of unity of problems is not by itself a
transactions; and sufficient ground for joinder of causes of action, where the
2. A question of law and fact common to all plaintiffs or separate causes of action are cognizable by different
defendants may arise in the action tribunals

Under Sec. 5(b) The joinder of causes of action may involve the same person or
- Only causes of action in ordinary civil actions may be different parties
joined since they are subject to the same rules - If the joinder involves different parties, there must be a
- Special civil actions or actions governed by special rules question of fact or of law common to both parties joined,
should not be joined with ordinary civil actions so as to arising out of the same transaction
avoid confusion:
1. In the conduct of the proceedings Joinder of causes is Permissive
2. As well as in the determination of the presence of the - The rule is permissive, not obligatory
requisite elements of each cause of action - There is no positive provision of law or any rule of
jurisprudence which compels a party to join all his causes
Under Sec. 5(c) and (d) of action and bring them at one and the same time
- These paragraphs determine which court will have - Plaintiff MAY, and not that he MUST
jurisdiction over the action wherein several causes of
action have been joined Totality Rule
- The aggregate or totality rule applies only where: Under Sec. 33, BP 129 where there are several claims or
1. The claims are principally for sums of money causes of action between the same or different parties embodied in
2. Said claims for money must arise out of the same the same complaint, the amount of the demand shall be the totality
transaction or series of transactions wherein a of the claims in all causes of action, irrespective of whether the
question of law or fact common to the parties may causes of action arose out of the same or different transactions
arise in the action
Application of Totality Rule
Tests to Determine Joinder of Causes of Action 1. In actions where the jurisdiction of the court is dependent
1. Question of the joinder of causes of action involves in on the amount involved, test of jurisdiction shall be the
particular cases a preliminary inquiry as to whether two aggregate sum of all money demands
or more causes of action are alleged a. Exclusive only of interest and costs
2. In declaring whether more than one cause of action is b. Irrespective of whether or not the separate claims are
alleged, the main thrust is whether more than one primary owned by or due to different parties
right or subject of controversy is present c. If any demand is for damages in a civil action, the
3. Whether recovery on one ground would bar recovery on amount thereof must be specifically alleged
the other 2. Rule also applies to cases where two or more plaintiffs
4. Whether the same evidence would support the other having separate causes of action against a defendant join
different counts in a single complaint
5. Whether the same evidence be maintained for separate 3. Rule applies to cases where a plaintiff has separate causes
relief, of action against two or more defendants joined in a single
6. Whether more than one distinct primary right or subject of complaint
controversy is alleged for enforcement or adjudication 4. Note however that the causes of action in favor of the 2 or
more plaintiffs or against 2 or more defendants should
Note: Distinguish a single cause of action from several causes of arise out of the same transaction or series of transaction
action and there should be a common question of law or fact (Sec.
- A cause of action may be single although the plaintiff seeks 6, Rule 3)
a variety of remedies
- If the allegations of the complaint show one primary right Examples:
and one wrong, only one cause of action is alleged even 1. In a proceeding for the summary settlement of an estate,
though other matters are incidentally involved where two parcels of land were claimed by 2 heirs of the
- When two or more primary rights and wrongs appear, deceased, the probate court had no jurisdiction to try title
there is a joinder of causes of action to said lands
a. Issue of title constitutes a separate cause of action
Incidental claims to main action are not separate cause of action which must be decided by a separate suit
2. A special civil action for forcible entry or unlawful detainer
cannot be joined with an ordinary civil action for collection

30
3. Neither may a case governed by the Rules on Summary - Joiner of causes of action which is accrued in favor of a
Procedure be joined with an action to b governed by the party is only permissive
regular rules of procedure So a party may institute as many actions as he has
4. Joinder of an action for ejectment with that of causes of action
reivindicacion cannot be done Without prejudice to the provisions of Sec. 1, Rule 31
a. Proceedings in ejectment cases are summary in on joint trial or consolidation of actions
nature
b. Actions for recovery of ownership require a full
blown trial on the merits
END OF RULE 2
5. Joinder of causes which are separate and distinct is
permissive
a. Cause of action where amount is P20,000 or less may
be the subject of a separate complaint filed with the
MTC
b. That which exceeds P20,000 may be filed with the
RTC
6. Action for acknowledgement of a natural child may be
joined with an action to compel defendants to a partition
of all properties left by deceased natural father
7. Settlement of estates and disposition of property of 2
deceased can lawfully be made in the same proceeding
(e.g. conjugal property of deceased spouses)
8. Action based on quasi delict and breach of contract of
carrier may be joined

SECTION 6 - Misjoinder of causes of action.Misjoinder of causes


of action is not a ground for dismissal of an action. A misjoined
cause of action may, on motion of a party or on the initiative of
the court, be severed and proceeded with separately.

Discussion of Justice Feria in Flores v. Mallare-Philipps


- Sec. 6, Rule 2 is similar to the rule on misjoinder and non-
joinder of parties in Sec. 11, Rule 3
- Except that court may not order the joinder of causes of
action if neither the court nor the adverse party objects to
the misjoinder of a cause of action
- It will be adjudicated together with other causes, provided
that the court has jurisdiction

Misjoinder of causes of action and parties do not involve a question


of jurisdiction
- They are not grounds for dismissal
- It involves an implied admission of the courts jurisdiction
- It acknowledges the power of the court, acting upon the
motion of party or on its own initiative, to:
a. Order the severance of the cause of action, to be
proceeded with separately (in misjoinder of causes of
action)
b. To the dropping of a party and the severance of any
claim against said misjoined party, also to proceed
separately (in misjoinder of parties)

Regalado summarizes the following points:


- In case of misjoinder of causes of action, the cause of
action erroneously joined need only be separated and
dismissed, without affecting the action with regard to
other causes of action
- Misjoinder of causes of action, like misjoinder of parties, is
not a ground for dismissal of an action
- Party misjoined shall only be dropped by order of the
court sua ponte or on motion, and any claim against a
party may be severed and proceeded with separately
- Unlike in non-joinder of parties (regulated by Sec. 9 to 11,
Rule 3), there is no provision on or sanction against non-
joinder of separate causes of action
A plaintiff needs only a single cause of action to
maintain an action

31
NOTES ON RULE 2

32
NOTES ON RULE 2

33
- Some cases:
RULE 3 a. Litonjua Group of Companies v. Vigan - Sec 4, Rule
PARTIES TO CIVIL ACTIONS 8 provides that facts showing the capacity of a party
to sue or the legal existence of an organized
association of persons that is made a party must be
averred; for having failed to show that they are
SECTION 1 - Who may be parties; plaintiff and defendant.Only
juridical entities, they are deemed to be devoid of
natural or juridical persons, or entities authorized by law may be
legal personality to bring action
parties in a civil action. The term plaintiff may refer to the
b. PLACU v. Cuneta a civic organization together with
claiming party, the counter-claimant, the cross-claimant, or the
a real party-in-interest is not disqualified as
third (fourth etc.)party plaintiff. The term defendant may
petitioner because as a non-profit civic and non-
refer to the original defending party, the defendant in a
partisan organization like the PHILCONSA, it is
counterclaim, the cross-defendant, or the third (fourth, etc.)
merely interested in upholding the rule of law
party defendant.
c. Juansing Hardware v. Mendoza a sole
proprietorship not being vested with juridical
For a Person to be a Party to a Civil Action:
personality cannot sue or file or defend an action in
1. He must be a natural or juridical person or an entity
court
authorized by law
2. He must have legal capacity to sue; and
EXCEPTIONS: Entities Authorized by Law
3. He must be the real party-in-interest
1. Partnership has a juridical personality separate and
distinct from that of each of the partners, even in case of
Plaintiff one having an interest in the matter of the action or in
failure to comply with the requirements in Art 1772 NCC
obtaining the relief demanded. The term may either refer to the
(Art. 1768 NCC)
claiming party, counter-claimant, cross-claimant, or third-party
2. Labor organizations organized in accordance with law may
plaintiff
file a complaint or petition in court in representation of its
members (Art 242 LC)
Defendant one claiming an interest in the controversy or the
3. As to properties of the Roman Catholic Church, the
subject thereof adverse to the plaintiff. Term may also include:
Archbishop or diocese to which they belong may be a
1. An unwilling co-plaintiff or one who should be joined as
party (Ponce v. Roman Catholic)
plaintiff but refuses to give his consent thereto (Sec. 10,
Rule 3)
SECOND REQUIREMENT: Legal Capacity to Sue
2. The original plaintiff becoming a defendant to the original
Legal capacity to sue or be sued means that the party is
counterclaim of defendant; and
free from general disability (e.g. minority or insanity) or, in case of
3. One necessary to a complete determination or settlement
juridical entities, that it must be duly registered in accordance with
of the questions involved therein
law
Distinguish: Real Party-in-Interest, Capacity to Sue and Standing
Under Sec. 4, Rule 8, legal capacity to sue must be averred
lack of legal capacity to sue means either:
Real Paty-in-Interest party who stands to be benefited or injured
a. Plaintiff does not have the necessary qualifications to
by the judgment in the suit or the party entitled to the avails of the
appear in the case because he is not in full exercise of his
suit
civil rights (e.g. minority, incompetent, etc.); or
b. When he does not have the character or representation
Capacity to Sue deals with a situation where a person who may
which he claims (e.g. corporation not duly registered)
have a cause of action is:
1. Disqualified from bringing suit under applicable law, or
Example: Rights of Heirs to Sue
2. Is incompetent to bring a suit, or
- A prior settlement of the estate, or even the appointment
3. Is under some legal disability that would prevent him from
of an administrator, is not necessary for any of the heirs to
maintaining an action unless represented by a guardian ad
acquire legal capacity to sue (see Art. 777 NCC)
litem
- Even if administration proceedings have already been
commenced, heirs may still bring the suit if an
Legal Standing a personal and substantial interest in the case, such
administrator has not yet been appointed
that the party has sustained or will sustain direct injury as a result of
- Once administrator has been appointed, he brings the suit
the challenged act
- Even if there is an appointed administrator, jurisprudence
a. Interest material interest; an interest in issue to be
recognizes 2 exceptions:
affected by the questioned act as distinguished from mere
a. If the executor or administrator is unwilling or
interest in the question involved or mere incidental
refuses to bring suit
interest
b. When the administrator is alleged to have
b. Test in public law whether the party has a direct and
participated in the act complained of and he is made
personal interest in the controversy and whether such
party defendant
party has sustained or is in imminent danger of sustaining
an injury as a result of the act complained of
Lack of Legal Capacity to Sue is DIFFERENT from Lack of Legal
Personality to Sue
FIRST REQUIREMENT: A party must be a natural or juridical person
a. Lack of legal capacity to sue
or an entity authorized by law
(1) Refers to plaintiffs general disability to sue
- Only natural and juridical persons may be parties
(2) May be a ground for a motion to dismiss on the
- Art. 44 NCC an association is considered a juridical
ground of lack of legal capacity to sue
person if the law grants it a personality separate and
distinct from that of its members

34
b. Lack of legal personality to sue Failure to Name Real Party in Interest
(1) Plaintiff does not have the necessary qualification to a. Effect: a motion to dismiss may be filed on the ground that
appear in the case or any other general the complaint states no cause of action
disqualifications (a) If a complaint is filed for and in behalf of a plaintiff
(2) May be a ground for a motion to dismiss on the who is not authorized to do so, the complaint is not
ground that the complaint states no cause of action deemed filed
b. Remedies:
Note: Dilweg v. Philip held that non-resident aliens living abroad (1) Amendment of pleadings (Alonso v. Villamor); or
may maintain PERSONAL actions against Philippine residents in (2) Complaint may be deemed amended to include the
Philippine courts, even if a counterclaim is brought against said real party-in-interest (Balquidra v. CFI Capiz)
plaintiffs. c. Exception: A real litigant may be held bound as a party
even if not formally impleaded provided he had his day in
court (Albert v. University Publishing Co.)
SECTION 2 - Parties in interest.A real party in interest is the
party who stands to be benefited or injured by the judgment in Illustrations:
the suit, or the party entitled to the avails of the suit. Unless 1. In Oposa v. Factoran, minors represented by their parents
otherwise authorized by law or these Rules, every action must be were held as real parties in interest to file an action to
prosecuted or defended in the name of the real party in interest. annul timber licenses under the following principles:
a. Inter-generational responsibility
Classification of Parties b. Inter-generational justice
1. Indispensable Parties those without whom no final c. Right of Filipinos to a balanced and healthful ecology
determination can be held of an action (Sec. 7) d. Minors represent themselves and generations to
2. Necessary Parties those who are not indispensable but come
ought to be parties if complete relief is to be accorded as to 2. In Eminent Domain cases:
those already parties, or for a complete determination or a. Owner of the fee is not necessarily the only person
settlement of the claim subject of the action (Sec. 8) who is entitled to compensation
3. Representative Parties those referred to in Sec. 3 b. owner when employed in statutes relating to
4. Pro-Forma Parties Those who are required to be joined eminent domain to designate the persons who are to
as co-parties in suits by or against another party as may be be made parties to the proceeding, refers, as is the
provided by the applicable substantive law or procedural rule in respect of those entitled to compensation, to
rule all those who have lawful interest in the property to
5. Quasi-Parties Those in whose behalf a class or be condemned
representative suit is brought (Sec. 17) 3. Party to a contract is the real party-in-interest
a. Contracts may be violated only by the parties thereto,
A real party-in-interest is one who would be benefited or injured by as against each other, in an action upon the contract,
the judgment, or who is entitled to the avails of the suit the real parties in interest must be the parties to said
- A decision rendered against a person who is not a real contract
party-in-interest in the case cannot be executed; a b. As to contracts with stipulations pour autrui (Art.
complaint filed against such a person should be dismissed 1311)
for failure to state a cause of action (1) Note that there must be a stipulation clearly and
- An action shall be prosecuted in the name of the party, deliberately conferring a favor to any third
who, by the substantive law, has the right sought to be person
enforced 4. Those who are not parties, heirs, assignees, or
beneficiaries of a stipulation pour autrui, do not, under
Interest within the meaning of Sec. 2, Rule 3 substantive law, possesses the right they seek to enforce
- Material interest; an interest in issue to be affected by the a. So, commission agents are not allowed to sue
decree b. Assignees are allowed to sue when one has a right
- As distinguished from mere interest in the question of action assigned to him he is then the real party-in-
involved, or mere incidental interest interest and may maintain an action upon such claim
- The interest of the party must be personal and not one or right
based on a desire to vindicate the rights of a third and 5. In insurance contracts, third person can directly sue the
unrelated party insurer
a. Direct liability of the insurer under indemnity
Substantial interest such interest of a party in the subject matter of contracts against TPL does not mean that insurer can
the action as will entitle him, under the substantive law, to recover if be held solidarily liable with the insured and/or other
the evidence is sufficient or that he has the legal title to the demand parties at fault (liabilities of insurer and insured are
and the defendant will be protected in a payment to or recovery by based on different laws)
him b. See insurance laws
6. In annulment of marriage cases:
Note that party-in-interest applies to both a. If based on minority, parent who did not give consent
- Real party-in-interest plaintiff one who has legal right is the real party-in-interest
- Real party-in-interest defendant one who has a b. If based on fraud, force, or intimidation, party himself
correlative obligation whose acts or omissions violate the is a real-party-in-interest without need of a guardian
legal rights of the former ad litem
7. A validly disinherited heir and not claiming to be a
creditor of his father is not a real party-in-interest to
question the validity of sale executed by his father

35
8. Childrens rights to parents property is merely inchoate SECTION 4 - Spouses as parties.Husband and wife shall sue or
and vests only upon the latters death be sued jointly, except as provided by law.
9. In proceedings to set aside an execution sale, the real
party-in-interest is the person who has an interest either The general rule is that the husband and wife shall sue or be sued
in the property sold or the proceeds thereof jointly
- This is inasmuch as both are the co-administrators of the
community property as well as the conjugal partnership
SECTION 3 - Representatives as parties. Where the action is - EXCEPTIONS:
allowed to be prosecuted or defended by a representative or 1. A spouse without just cause abandons the other or
someone acting in a fiduciary capacity, the beneficiary shall be fails to comply with his or her obligations to the
included in the title of the case and shall be deemed to be the real family with respect to marital, parental, or property
party in interest. A representative may be a trustee of an express relations
trust, a guardian, an executor or administrator, or a party 2. A spouse of age mortgages, encumbers, alienates, or
authorized by law or these Rules. An agent acting in his own otherwise disposes of his or her exclusive property
name and for the benefit of an undisclosed principal may sue or 3. The regime of separation of property relations of the
be sued without joining the principal except when the contract spouses
involves things belonging to the principal.
Cases:
Comment by Justice Feria 1. Peyer v. Martinez Where the husband abandoned the
- This rule makes mandatory the joinder of the beneficiary wife and child, the wife may bring an action to cancel a real
or the party for whose the benefit the action is brought estate mortgage executed by the husband in favor of the
- A public interest suit may be brought provided the class bank without joining the husband
benefited by it is included in the title of the case 2. Laperal v. Katigbak an action against the husband for
- Party for whom or in whose name a contract has been promissory note signed by the husband alone does not
made for the benefit of another may sue or be sued make the wife a necessary party nor personally liable
provided the person benefited by the contract is joined 3. Pacquing v. Marquez failure to join the husband is not a
jurisdictional defect
Trusts 4. Uy v. CA non-joinder of the husband does not warrant
- The provision refers to an express trust and has no dismissal as it is merely a formal requirement which may
application to an implied trust be cured by amendment
- The provision authorizing a trustee to sue in his own name
joining the person for whose benefit the action is NOTE: The propriety of suits by or against the spouses should now
presented or defended do not ordinarily prevent the real take into account the pertinent provisions of the FC
party-in-interest or the beneficiary of the trust, from
maintaining an action in his own name
- Rule is permissive and not mandatory SECTION 5 - Minor or incompetent persons.A minor or a person
- Therefore, beneficiary, being the real party-in-interest may alleged to be incompetent, may sue or be sued, with the assistance
sue or be sued alone or be joined by the trustee of his father, mother, guardian, or if he has none, a guardian ad
litem.
Guardians See notes under Sec. 5
Note: a person alleged to be incompetent encompasses insane
Executor of Administrator persons and judicially declared incompetents
- Note that unless there is a pending proceeding for the
settlement of the estate of a deceased, the legal heirs may
commence an ordinary action arising out of a right JOINDER OF PARTIES
belonging to the ancestor without the necessity of a
provision and separate judicial declaration of their status Types of Joinder of Parties:
as such, and without the necessity of appointing an a. Permissive Sec. 6
executor or administrator b. Compulsory Sec. 7
- If deceased has debts, creditors or heirs may initiate a c. Proper or Necessary Sec. 8
special proceeding
a. Once a special proceeding is instituted and an
administrator/executor appointed, PERMISSIVE JOINDER OF PARTIES
b. Any action arising out of a right belonging to the
deceased may be brought by or against him and not SECTION 6 - Permissive joinder of parties.All persons in whom
by or against the heirs 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,
Agents whether jointly, severally, or in the alternative, may except as
- An agent acting in his own name and for the benefit of an otherwise provided in these Rules, join as plaintiffs or be joined
undisclosed principal may sue or be sued without joining as defendants in one complaint, where any question of law or fact
the principal (See Art. 1883) common to all such plaintiffs or to all such defendants may arise
a. EXCEPTION: when the contract involves things in the action; but the court may make such orders as may be just
belonging to the principal to prevent any plaintiff or defendant from being embarrassed or
- Note however the ruling in Beamount v. Prieto although put to expense in connection with any proceedings in which he
a contract is made in the name of the agent, where the may have no interest.
agency is disclosed and the principal appears to be the
owner of the thing involved in the suit, action should be
brought against both

36
Sec. 8 enunciates the rule on Permissive Joinder of Parties prejudiced by a judgment which does complete justice to
- They can either be joined in one single complaint or may the parties in court
themselves maintain or be sued in separate suits - He is not indispensable if his presence would merely
- This rule is also applicable to counterclaims (Go et.al. v. Go permit complete relief between him and those already
et.al.) parties to the action, or will simply avoid multiple
- Note that in the case of indispensable and necessary litigation
parties, their joinder is compulsory (Sec. 7 and 8) - Their differences are summarized as follows:
1. In Indispensable Parties
Permissive Joinder Requirements for a permissive joinder of a. Action cannot proceed unless they are joined
parties to be allowed, there must be: b. If not impleaded, any judgment would have no
1. A right to relief arising out of the same transaction or effectiveness
series of transactions; 2. In Necessary Parties
2. A question of fact or law common to all plaintiffs or a. Action can proceed even in the absence of some
defendants; and necessary parties
3. Such joinder is not otherwise proscribed by the provisions b. Even if not impleaded, the case may be finally
of the Rules on jurisdiction and venue determined in court; But the judgment therein
will not resolve the whole controversy
Definitions:
a. Transaction not only a stipulation or agreement but any Joinder is Mandatory
event resulting in wrong, without regard to whether the - Joinder of indispensable parties are mandatory
wrong has been done by violence, neglect, or breach of - Courts cannot proceed without their presence
contract - Without their presence, judgment of the court cannot
b. Series of transaction transactions connected with the attain finality
same subject of the action - Their presence is a sine qua non for the exercise of judicial
power (Borlosa v. Polistico)
Distinguished from Joinder of Causes of Action
- In joinder of causes of action, it is enough if the cause of Test of Indispensability if a partys interest in the controversy is
action arises out of the same contract that a final decree would necessarily affect their rights so that the
- Unlike permissive joinder of parties, in joinder of causes of court cannot proceed without their presence, then the party is
action, there is no need for a common question of fact or indispensable
law
Effect of Absence of Indispensable Parties
Illustrations of Permissible Joinder of Parties - It is the duty of the court to stop the trial and to order the
1. Four owners of 4 houses burned by spark of locomotive inclusion of such party (Cortez v. Avila)
may file a single complaint for damages against the a. Such an order is unavoidable
railroad company b. General rule with reference to the making of parties
2. Several farmers sustaining damages by reason of diversion in a civil action requires the joinder of all necessary
of water from irrigation system may unite in filing a single parties wherever possible, and the joinder of all
complaint indispensable parties under any and all conditions
3. Injuries to driver and damages to car of employer. The - Absence of an indispensable party renders all subsequent
driver and owner of car may join in a single complaint actuations of the court null and void, for want of authority
4. 25 teachers dismissed by a school may join in suing the to act, not only as to the present parties but even as to
school for separation pay those present

Responsibility of impleading all the indispensable parties rests on


COMPULSORY JOINDER OF PARTIES the plaintiff
- It would seem an obvious proposition that a plaintiff has
SECTION 7 - Compulsory joinder of indispensable parties.Parties the right to choose which of the several persons to implead
in interest without whom no final determination can be had of an as defendants or to drop
action shall be joined either s plaintiffs or defendants. a. None of the defendants has the right to compel said
plaintiff to prosecute the action against a party if he
Indispensable Party does not wish to do so
- One whose interest will be affected by the courts action in b. But the plaintiff will have to suffer the consequences
the litigation, and without whom no final determination of of any error in exercising this option
the case can be held - The remedy of the co-defendant who is not dropped is not
- His interest in the subject matter and in the relief sought to insist that plaintiff continue to prosecute against the
are so inextricable intertwined with the other parties that dropped defendant but to:
his legal presence as a party to the proceeding is an a. Move for the dismissal of the action against himself,
absolute necessity or
- In his absence, there cannot be a resolution of the dispute b. To take such appropriate action as might otherwise
of the parties before the court which is effective, complete, be proper
or equitable
The court pursuant to Sec. 11, Rule 3 may, however, take the
Distinguished from Necessary Party initiative to implead an indispensable party
- A party is not indispensable if his interest in the - Where court orders the plaintiff to amend its complaint to
controversy or subject matter is distinct and divisible from implead an indispensable, plaintiffs refusal to comply is
the interest of the other parties and will not necessarily be ground for dismissal of the complaint

37
Examples and Illustrative Cases: - Those whose presence is necessary to adjudicate the
1. In vehicular collisions where driver, registered owners, whole controversy, but whose interests are so far
beneficial owners, and insurer were sued, separable that final decree can be made in their absence
a. Court ruled that the registered owners are without affecting them
indispensable parties but not the insurer
b. Hence, case may proceed without the insurer Illustrative Examples
2. When defendant alleged in his answer to a complaint for 1. See Seno v. Mangubat
recovery of real property, that he was occupying the 2. In judicial foreclosure of mortgage, junior encumbrancers
property as a tenant of a 3rd person, the latter is an are not indispensables but are necessaries to foreclose the
indispensable (Sanedad v. Cabotaje) equity of redemption in favor of all junior encumbrancers
3. In an action for recovery of possession of land against a (Nufable v. Nufable)
person not in possession for having sold the property to a 3. In an action for reformation, all parties claiming an
3rd person, such 3rd person is indispensable (Laeno v. interest in the land purportedly conveyed by the
Laeno) instrument sought to be reformed, and whose interest will
4. In special civil action for partition, all persons interested in be affected by reformation, are necessary parties (Toyota
the property are indispensables Motor Philippines v. CA)
5. As to co-owners: a. But this does not apply where the joinder of third
a. Co-owners in an action for the security of tenure of a parties in an action for reformation, would in effect
tenant are indispensables (Arcelona v. CA) be a collateral attack on the Torrens Title
b. But co-owners are not, however, indispensable to
maintain an action for ejectment (clarified in the
correction of Arcelona v. CA SECTION 9 - Non-joinder of necessary parties to be pleaded.
6. In an action for rescission of sale, vendee is indispensable Whenever in any pleading in which a claim is asserted a
7. Owners of property over which reconveyance is asserted necessary party is not joined, the pleader shall set forth his name,
are indispensable parties (Acting Register of Land Titles if known, and shall state why he is omitted. Should the court find
v. RTC Makati) the reason for the omission unmeritorious, it may order the
8. Action for recovery of the subject party converted into inclusion of the omitted necessary party if jurisdiction over his
prime residential subdivision would affect proprietary person may be obtained.
rights of many lot owners and are thus indispensables The failure to comply with the order for his inclusion,
9. All heirs of deceased in an action to recover real property without justifiable cause, shall be deemed a waiver of the claim
are indispensables against such party.
10. In an action for recognition of a natural child with claim to The non-inclusion of a necessary party does not prevent the
share in the property left by deceased natural father, all court from proceeding in the action, and the judgment rendered
legitimate heirs or kin of the latter who are entitled to therein shall be without prejudice to the rights of such necessary
inherit if recognition is denied, are indispensables party.
11. In an action for recovery of property against a person who
purchased it from another who in turn acquired it from The rule specifically points to the consequence of an omission of a
someone, predecessors of defendants are indispensables necessary party and directs that should the court find the reason for
as the transfers, if not voided, may bind plaintiff (Alabang the omission unmeritorious, it may order the inclusion of the
Dev. Corp. v. Valenzuela) omitted necessary party
12. In reconstitution of title proceedings, all actual occupants
and possessors are indispensables Sanction: failure to comply without justifiable cause shall be deemed
13. A solidary obligor is not an indispensable party in a suit by a waiver of the claim against such party
the creditor. Any of the solidary creditors may file an
action for collection without joining the other creditors Note: the non-inclusion of a necessary party does not prevent the
14. A mortgagee is an indispensable in a suit for cancellation court from proceeding with the action
of title - Judgment rendered therein shall be without prejudice to
15. In an action for quasi-delict against employer under Art. the rights of such necessary party
2180, employee is not indispensable
a. But an action based on delict seeking to enforce the Regalado notes that the non-inclusion of the necessary party may be
subsidiary liability of employer under Art 103, RPC, excused only on meritorious grounds
employee is indispensable - Absent such grounds, the court shall order him to be
impleaded if jurisdiction over his person can be obtained
As ordered by par. 1
SECTION 8 - Necessary party.A necessary party is one who is Plaintiff is ordered to file an amended complaint
not indispensable but who ought to be joined as a party if impleading the necessary party therein as co-
complete relief is to be accorded as to those already parties, or for defendant
a complete determination or settlement of the claim subject of the - If plaintiff fails to follow par. 1, the sanction in 2 nd par
action. applies
Plaintiff deemed to have waived his claim against said
Proper or Necessary Parties party
- Those without whom the case may be finally determined Same rule applies to any pleading asserting a claim
between the parties in court, but should be included in against a necessary party
order that a final determination may be had in a single - If his inclusion cannot be effected for valid reasons, par. 3
action of the whole controversy applies
a. EXCEPT: when it is not permissible to join them; in
which event, the case should be heard and
determined without prejudice to their rights

38
Note also that under Sec. 3, Rule 17 states that where the plaintiff - Rule does not comprehend whimsical and irrational
fails without justifiable cause to comply with an order of the court, dropping or adding of parties
his complaint may be dismissed - It contemplates an erroneous or mistaken non-joinder or
- This dismissal shall not be ordered where the plaintiff fails misjoinder
to comply with the order for the joinder of a necessary - No one is free to join anybody in a complaint in court only
party under Rule 3 to drop him unceremoniously later at the pleasure of the
- Indeed, Sec. 11 provides that non-joinder of parties should plaintiff
not be a ground for dismissal - The rule presupposes that the original inclusion was a
- As such, this provision is an exception to the rules on mistake
penalties imposed on a disobedient party under Rule 17 - This is the reason why the rule ordains that the dropping
be on such terms as are JUST just to all
- Lim Tanhu v. Ramolete the SC did not allow the
SECTION 10 - Unwilling co-plaintiff. If the consent of any party dropping of 2 defendants despite motion by plaintiff
who should be joined as plaintiff cannot be obtained , he may be because the motion was filed after the 2 remaining
made a defendant and the reason therefor shall be stated in the defendants defaulted
complaint.
Although both misjoinder of parties and causes of action are not
grounds for dismissal, both stand on different premises
SECTION 11 - Misjoinder and non-joinder of parties.Neither - There can be misjoinder of parties even if there is only one
misjoinder nor non-joinder of parties is ground for dismissal of an cause of action common to them
action. Parties may be dropped or added by order of the court on - There can be misjoinder of causes of action even if there is
motion of any party or on its own initiative at any stage of the only one plaintiff
action and on such terms as are just. Any claim against a
misjoined party may be severed and proceeded with separately.
CLASS SUITS
A party is MISJOINED when he is made a party to the action although
he should not be impleaded SECTION 12 - Class suit.When the subject matter of the
controversy is one of the common or general interest to many
A party is NOT JOINED when he is supposed to be joined but is not persons so numerous that it is impracticable to join all as parties,
impleaded in the action a number of them which the court finds to be sufficiently
numerous and representative as to fully protect the interests of
NON-JOINDER all concerned may sue or defend for the benefit of all. Any party
in interest shall have the right to intervene to protect his
Non-Joinder of Proper Parties individual interest.
- Neither a misjoinder nor a non-joinder of parties is a
ground for the dismissal of action For a class suit to prosper, the following requisites must be present:
- Parties may be dropped or added, at any stage of the 1. Subject matter of the controversy that is of common or
proceedings, by: general interest to many persons
1. Order of the court 2. Persons are so numerous that it is impracticable to join all
2. On motion of any party as parties
3. On courts own initiative 3. Parties actually before the court are sufficiently numerous
and representative so that all interests concerned are fully
Non-joinder does not warrant dismissal respected
- Remedy: Court should order the inclusion of the necessary 4. The representative sues or defends for the benefit of all
party
- BUT if the case is erroneously dismissed on this ground An action does not become a class suit merely because it is
without stating that it is without prejudice, and plaintiff designated as such in the pleadings
did not appeal, such dismissal bars the filing of another - Whether the suit is or is not a class suit depends upon the
action on the same cause (Rivera v. Luciano) attending facts,
- In order for the court to be able to determine if a class suit
Objections or defects in the parties impleaded is proper under the circumstances:
- Should be made at the earliest opportunity, the moment 1. The complaint or other pleading initiating the class
such defects become apparent action should allege the existence of a subject-matter
- Remedy: Motion to strike the names of parties impleaded of common interest;
- If there is a misjoinder: 2. As well as the existence of a class and the number of
a. A separate action should be brought against the persons in the alleged class
party misjoined
b. Objection to misjoinder cannot be raised for the first Subject Matter of Action
time on appeal (Garcia v. Chua) - The subject matter of the controversy that must be of
common or general interest refers to the physical facts, the
things real or personal, the money, lands or chattels and
MISJOINDER the like, in relation to which the suit is prosecuted, and not
the delict or wrong committed by defendant (Mathay v.
Rules do NOT allow for whimsical dropping Consolidated Bank)
- In case of misjoinder, remedy has never been to dismiss - In Meralco v. Phil Consumers Foundation Inc. involving
the entire petition but to dismiss it only as against the the issue of whether or not there is identity of subject
party upon whom the tribunal or body cannot acquire matter between the 2 cases, the subject matter of an action
jurisdiction (Union Bank of the Phils. v. CA) was referred to include the thing, wrongful act, contract or

39
property, which is directly involved in the action, ALTERNATIVE DEFENDANTS
concerning which the wrong has been done and with
respect to which the controversy has arisen SECTION 13 - Alternative defendants.Where the plaintiff is
- Interest must be common or general and not separate with uncertain against who of several persons he is entitled to relief,
each having determinable interest 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
Class Suit Distinguished from Joinder of Parties right of relief against the other.
- What is contemplated in a class suit is that:
1. The subject matter in controversy is of common Example: Where the owner of the goods is not sure whether the
general interest to many persons, and same was lost in transit or while it was on deposit in the arrastre
2. Those persons are so numerous as to make it warehouse, he may sue the shipper or the operator in the alternative
impracticable to bring them all before the court (to Although the right against the former is based on
join them as parties) admiralty while that against the operator is on
- In joinder of parties: contract
a. There are many persons who have distinct, separate
rights against the same party or group of parties
b. But those rights arise from the same transaction or SECTION 14 - Unknown identity or name of defendant.
series of transactions Whenever the identity or name of a defendant is unknown, he
c. There are common questions of fact or law resulting may be sued as the unknown owner, heir, devisee, or by such
therefrom other designation as the case may require; when his identity or
- In both juridical situations, similar essential factors exist: true name is discovered, the pleading must be amended
1. The same transaction or series of transactions is accordingly.
involved; and
2. Common questions of fact or law are at issue See Sec. 14, Rule 14 on Service upon defendant whose identity or
- What makes the situation a proper case for a class suit is whereabouts are unknown
the circumstance that there is only one right or cause of
action pertaining or belonging in common to many This section presupposes that the plaintiff really does not know the
persons identity and/or address of the defendant or is not in a position to
a. Note that in permissive joinder of parties, there are ascertain such identity or whereabouts.
separate or several rights of action to distinct
individuals
- Basically: SECTION 15 - Entity without juridical personality as defendant.
a. If there are plural rights of actions joinder When two or more persons not organized as an entity with
b. If there is a singular right of action class suit juridical personality enter into a transaction, they may be sued
under the name by which they are generally or commonly known.
Rules from Jurisprudence: In the answer of such defendant the names and addresses
1. The complaint must specifically state that the same is of the persons composing said entity must all be revealed.
being brought in behalf of others with whom the parties
share a common interest (Borlosa v. Polistico) See Sec. 8, Rule 14 on Service upon entity without juridical
2. If there is a conflict of interest between those sought to be personality
represented and those who filed the action, the class suit
will not prosper (Ibanez v. Roman Catholic Church) Requisites:
3. The party bringing the class suit must have the legal 1. There are two or more persons not organized under a
capacity to do so (Chinese Flour Importers Assoc. v. Price juridical entity
Stablization Board) 2. They enter into a transaction; and
4. The parties who brought the class suit have control over 3. A wrong or delict is committed against a 3rd person in the
the case with the right to compromise or even discontinue course of such transaction
the same
But a class suit cannot be compromised or dismissed Comment of Justice Feria
without court approval (Sec. 2, Rule 17) - Two or more persons transacting as an entity without
Member of the class is bound by the judgment in the juridical personality may be sued under the name by
class suit which they are generally or commonly known, but they
As such, the Rules give him the right to intervene if he cannot sue under such name
desires to protect his own individual interests - Summons may be served upon any one of them, or upon
the person in charge of the office or place of business
Illustrative Cases: maintained under such name
1. Class suit is not permissible in action to recover real - Answer of defendant must reveal the names and addresses
property against several persons occupying different of the persons composing said entity so that judgment may
portions (Sulo ng Bayan v. Gregorio Araneta) be rendered against them under Sec. 6, Rule 36
2. Derivate suit brought in behalf of numerous stockholders
of a corporation to perpetually enjoin or nullify what is With respect to judgments to be rendered in this situation:
claimed to be a breach of trust or an ultra vires act of the - See Sec. 6, Rule 36
BOD (this is a class suit) - Said rule provides that when judgment is rendered against
a. In such a suit, there is one, single right of action 2 or more persons associated in an entity without juridical
pertaining to numerous stockholders personality, judgment shall set out their individual or
b. Not multiple right belonging separately to several, proper names, if known
distinct persons

40
Instances Where Substitution of Parties is Proper: - However, formal substitution is not necessary when:
1. Death of a party Sec. 16 a. Heirs voluntarily appeared, participated in the case,
2. Death or separation of a party- public officer Sec. 17 and presented evidence in defense of deceased
3. Incompetency or incapacity Sec. 18 defendant (Vda. De Salazar v. CA)
4. Transfer of interest Sec. 19 b. When parties who claim interest in the estate had
already been fully heard and what remained was the
DEATH OF A PARTY evaluation of the evidence and rendition of judgment
(Torres Jr. v. CA)
SECTION 16 - Death of party; duty of counsel.Whenever a party
to a pending action dies, and the claim is not thereby Illustrations:
extinguished, it shall be the duty of his counsel to inform the court 1. If there is already a final decree of legal separation, the
within thirty (30) days after such death of the fact thereof, and to action continues with respect to the liquidation of the
give the name and address of his legal representative or conjugal property (Macadangdang v. CA)
representatives. Failure of counsel to comply with this duty shall 2. Death of the putative father during the pendency of the
be a ground for disciplinary action. action for compulsory recognition is not a bar to the action
The heirs of the deceased may be allowed to be substituted commenced during his lifetime by one who pretended to
for the deceased, without requiring the appointment of an be his natural son. It may survive against the executor,
executor or administrator and the court may appoint a administrator or any other legal representative of the
guardian ad litem for the minor heirs. estate (Mendoza v. CA)
The court shall forthwith order said legal representative or 3. As held in Poe, Jr. v. Macapagal-Arroyo, a public office is
representatives to appear and be substituted within a period of personal to the public officer and not a property
thirty (30) days from notice. transmissible to the heirs upon death. As such, the
If no legal representative is named by the counsel for the substitution by the widow or heirs in election contests
deceased party or if the one so named shall fail to appear within where the protestant dies during the pendency of the
the specified period, the court may order the opposing party, protest is not allowed.
within a specified time, to procure the appointment of an
executor or administrator for the estate of the deceased and the DUTIES
latter shall immediately appear for and on behalf of the
deceased. The court charges in procuring such appointment, if Death of a client divests counsel of authority
defrayed by the opposing party, may be recovered as costs. - A dead client has no personality and cannot be
represented by an attorney
This provision applies: - In the absence of a retainer from the heirs or authorized
1. Where the claim survives representatives of deceased client, lawyer has no further
2. Regardless of whether either plaintiff or defendant dies authority to act save to inform the court of the death and
3. Regardless of whether the case is in trial or on appeal take necessary steps to safeguard the clients rights

SURVIVAL OR DEATH OF ACTION Duty of Lawyer it is the duty of the attorney to:
1. Inform the court promptly of his clients death, incapacity,
The question as to whether an action survives or not depends on the or incompetency during the pendency of action; and
nature of the action and the damage sued for 2. To give the name and residence of his executor,
administrator, guardian, or other legal representatives
A. Causes of Action that SURVIVE
The wrong complained of affects primarily and Duty of Court in case of death, the court if the action survives, shall
principally property and property rights order, upon proper notice, the legal representative of the deceased
Injuries to the person are merely incidental to appear and to be substituted for the deceased within a period of
B. Causes of Action which DO NOT SURVIVE 30 days or within such time as may be granted.
The injury complained of is to the person If there is notice of death, court should await appointment
The property and property rights affected are of legal representative; otherwise, subsequent proceedings are void.
incidental Period of filing of brief is suspended.

The actions that survive against the decedents representatives are: Upon learning of the death of a party
1. Actions to recover real and personal property against the - The trial court should not order the amendment of the
estate complaint
2. Actions to enforce liens thereon; and - Order for amendment of the complaint before substitution
3. Actions to recover for an injury to person or property by of the deceased party is void (Casenas v. Rosales)
reason of tort or delict committed by the deceased
EFFECTS
Claims that are Extinguished PURELY PERSONAL actions
Examples: support, divorce, annulment of marriage, legal separation Effect of Failure to Notify
- If there is no notice of death, the case may continue
General rule: a party having died in an action that survives, the trial - Proceedings are valid and judgment is binding on
held by the court without the appearance of the deceaseds legal successors-in-interest
representative or substitution of heirs and the judgment rendered - Failure of counsel to comply with this duty shall be ground
after such trial are null and void for disciplinary action
- Court acquired no jurisdiction over the persons of the legal
representatives or of the heirs upon whom the trial and Proceedings conducted by the trial court after the death of the
judgment would be binding defendant and without substitution are null and void (Lawas v. CA)

41
Discussion in Regoso v. CA - No legal representative ever appeared in court to be
- Rules operate on the presumption that the attorney for the substituted
deceased is in a better position to know about the death of - Complainant never procured the appointment of such legal
his client and to inform the court of the names and representative
addresses of his legal representatives - Heirs never asked to be allowed to be substituted
- Were no such notice of death, nor motion for substitution
of the deceased was ever made, the trial court could not be If no valid substitution court never acquired jurisdiction over the
expected to know or take judicial notice of the death of party seeking substitution
defendant without proper manifestation from counsel Effect of failure to notify court of death the decision rendered shall
- The supervening death of defendant did not extinguish his bind his successors-in-interest
wifes action for partition of conjugal assets, for it is an
action that survives Formal substitution is not a jurisdictional but a due process
a. The trial of the case on merits was finished before the requirement
death of defendant - Non-compliance results in the undeniable violation of the
b. Since the court was not informed of the death, the right of due process of those who, though not duly notified
trial court may not be faulted for proceeding to of the proceedings, are substantially affected by the
render judgment without ordering the substitution of decision
the deceased defendant
c. The judgment is valid and binding upon defendants OTHER INSTANCES WHEREIN SUBSTITUTION OF PARTIES IS
legal representatives or successors-in-interest, PROPER (Subject to the conditions therein and whenever the court,
insofar as his interest in the property is concerned upon motion and notice, finds justifiable reason therefor:
1. Sec. 17 on death or separation of public office
NOTE: The court should not order the amendment but the 2. Sec. 18 on incompetence or incapacity
appearance of the legal representative (Casenas v. Rosales) 3. Sec. 19 on transfer of interest

As to suits concerning spouses SECTION 17 - Death or separation of a party who is a public


- Creditor cannot sue the surviving spouse of a decedent in officer.When a public officer is a party in an action in his official
an ordinary proceeding for the collection of sum of money capacity and during its pendency dies, resigns, or other wise
chargeable against the CPG ceases to hold office, the action may be continued and maintained
a. Proper remedy: to file a claim in the settlement of the by or against his successor if, within thirty (30) days after the
estate of the deceased (Alipio v. CA) successor takes office or such time as may be granted by the
- When spouses are sued for the enforcement of an court, it is satisfactorily shown to the court by any party that
obligation, they are being impleaded in their capacity as there is a substantial need for continuing or maintaining it and
representatives to the CPG that the successor adopts or continues or threatens to adopt or
a. They are not being impleaded as independent debtors continue the action of his predecessor. Before a substitution is
b. As such, the concept of joint or solidary as between made, the party or officer to be affected, unless expressly
them does not apply assenting thereto, shall be given reasonable notice of the
- However, if they are being sued on the bases of joint or application therefor and accorded an opportunity to be heard.
solidary liability, the death of one would not necessarily
result against the other Notes:
- Rule emphasizes that the public officer is a party in an
action in his official, not private, capacity
RULES ON SUBSTITUTION - The showing to the court of substantial need for
continuing and maintaining the action may be made by
Note that substitution must be valid in order that the court may any party
acquire jurisdiction over the party substituted. - The rule is no longer limited to actions involving an officer
in the Philippines
No summonses are required to be served on the substitute There are permissible instances for maintaining civil
defendants suits against public officers of a foreign government
- Instead, the order of substitution shall be served upon the But subject to the nature of the action and
parties substituted in the action considerations of international law
- Otherwise, the court does not acquire jurisdiction over the - It is not required that what the successor in office is
substitute party continuing or threatens to adopt and continue is an action
of his predecessor in enforcing a law alleged to be in
The defendants legal heirs are his legal representatives if there is no violation of the Constitution
pending proceeding for the settlement of his estate (Magdalera v. The challenged action need not necessarily involve a
Benedicto) constitutional issue

In substitution, priority is given to his legal representative (executor Republic v. CFI Lanao del Norte the officer contemplated in Sec.
or administrator) 17 does not include a judge who issued in connection with the
- Court may allow the substitution by the heirs instead IF: exercise of his judicial functions as any action impugning it is not
1. There is unreasonable delay in the appointment of an abated by his cessation from office
executor or administrator or
2. When the estate was extrajudicially settled

There is no valid substitution effected in the following cases:


- Where there had been no court order for any such legal
representative to appear

42
SECTION 18 - Incompetency or incapacity.If a party becomes Two Important Aspects:
incompetent or incapacitated, the court, upon motion with notice, 1. The action must primarily be for recovery of money, debt,
may allow the action to be continued by or against the or interest thereon
incompetent or incapacitated person assisted by his legal Not where the subject matter is primarily for some
guardian or guardian ad litem. other relief and collection of money is merely
incidental
With this rule, instead of the action being continued by or against the 2. The claim subject of the action arose from a contract,
representative of the incompetent, it may now be continued by or express or implied, entered into by the decedent in his
against the incompetent or incapacitated assisted by his legal lifetime or the liability for which had been assumed by or
guardian or guardian ad litem. is imputable to him
In line with Sec. 3 and 5, he continues to be the real
party in interest although assisted by corresponding Under the present procedure, if defendant dies before entry of final
guardian judgment in the court where it was pending at that time, action shall
not be dismissed but shall be allowed to continue until entry of final
judgment thereon
SECTION 19 - Transfer of interest.In case of any transfer of - Such entry may take place in the RTC, where no appeal is
interest, the action may be continued by or against the original taken, or by the appellate court
party, unless the court upon motion directs the person to whom - In either case, the former objection against probate court
the interest is transferred to be substituted in the action or joined having to review the judgment of another court is
with the original party. eliminated
Since the money claim that shall thereafter be filed in
The SC has declared in a number of decisions that a transferee the probate court is based upon a final and executory
pendente lite stands in the exactly the same position as its judgment, former does not have to, and cannot,
predecessor-in-interest, the original defendant, and is bound by the review said judgment
proceedings had in the case before the transfer.
- It is a proper but not an indispensable party as it would in The death of the defendant does not affect a pending action for
any event be bound by the judgment against his money,
predecessor - Whether the death occurs while the case is pending in a
- Such would follow even if it is not formally included as a municipal, regional, or appellate court.
defendant through an amendment of the complaint - Defendant is substituted by his executor or administrator
- To erase all doubts as to the status of the transferee, the or legal heirs and the action continues until a final
latter may be deemed impleaded in substitution of the judgment is entered
original defendant - Once a final judgment is entered against the estate, it shall
be enforced as a money claim without need of proving the
Regalado notes the following points: same
- Sec. 19 does not provide that the substitution of parties
contemplated therein is mandatory If a writ of attachment had been issued and levied, the death of the
It is permissible to continue the action by or against defendant at whatever stage of the action would not be ground for
the original party in case of transfer of interest the dismissal of the action and the dissolution of the writ of
pendente lite attachment.
- Since the original party is bound by the decision, his - If judgment is entered against the estate, the same shall be
substitution by transferee is not necessary enforced as a money claim
UNLESS the substitution by or the joinder of the latter - The writ of attachment obtained by plaintiff which has not
is required by court been dissolved will entitle him to preference over the
OTHERWISE failure to do so does not warrant other creditors against the estate
dismissal of case
- A transferee pendente lite is a proper, not an SECTION 21 - Indigent party.A party may be authorized to
indispensable, party to the case (Heirs of Francisco v. litigate his action, claim or defense as an indigent if the court,
Guballa Sr.) upon an ex parte application and hearing, is satisfied that the
- But where the transfer was effected BEFORE the party is one who has no money or property sufficient and
commencement of the suit available for food, shelter and basic necessities for himself and his
Transferee must necessarily be the defendant or family.
plaintiff Such authority shall include an exemption from payment
But transferee may file a third-party complaint of docket and other lawful fees, and of transcripts of stenographic
against and implead the transferor in the action notes which the court may order to be furnished him. The
whenever the same is necessary and proper for a amount of the docket and other lawful fees which the indigent
complete determination of all rights of parties was exempted from paying shall be a lien on any judgment
rendered in the case favorable to the indigent, unless the court
otherwise provides.
SECTION 20 - Action on contractual money claims.When the Any adverse party may contest the grant of such authority
action is for recovery of money arising from contract, express or at any time before judgment is rendered by the trial court. If the
implied, and the defendant dies before entry of final judgment in court should determine after hearing that the party declared as an
the court in which the action was pending at the time of such indigent is in fact a person with sufficient income or property, the
death, it shall not be dismissed but shall instead be allowed to proper docket and other lawful fees shall be assessed and
continue until entry of final judgment. A favorable judgment collected by the clerk of court. If the payment is not made within
obtained by the plaintiff therein shall be enforced in the manner the time fixed by the court, execution shall issue or the payment
especially provided in these Rules for prosecuting claims against thereof, without prejudice to such other sanctions as the court
the estate of a deceased person. may impose.

43
Herrera Notes:
- Under this rule, the application to litigate as a pauper may
be filed by either the plaintiff or defendant and hearing to
litigate as a pauper may be made ex parte
- Proof in support of the application need not necessarily be
by affidavits and certificates for as long as the court 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
- See also Sec. 19, Rule 141

Regalado Notes:
- The term indigent party has been substituted for what
used to be called a pauper litigant
- For purposes of a suit in forma pauperis, a pauper litigant
is not really a pauper but a person who is indigent
although not a public charge
This means that he has no property or income
sufficient for his support aside from his labor, even if
he is self-supporting when able to work and in
employment
- When an application to litigate as an indigent litigant is
filed and the court finds that it complies with Sec. 19, Rule
141, authority to litigate as such is automatically granted
- But if both requirements therein have not been complied,
a hearing shall be conducted and the application resolve
on the evidence of parties
- The adverse party may later still contest the grant before
judgment and proceed in accordance with the present
provisions of Sec. 21

SECTION 22 - Notice to the Solicitor General.In any action


involving the validity of any treaty, law, ordinance, executive
order, presidential decree, rules or regulations, the court, in its
discretion, may require the appearance of the Solicitor General
who may be heard in person or through a representative duly
designated by him.

This provision is applicable to any court and not limited to a


superior court

Lucena Grand Central Terminal Inc. v. JAC Liner failure to notify


the SolGen about the petition is not a jurisdictional effect

END OF RULE 3

44
NOTES ON RULE 3

45
NOTES ON RULE 3

46
Under the rule, the rules on venue of the courts of the first and
RULE 4 second levels are now uniform
VENUE OF ACTIONS
Venue depends on:
1. The nature of action; or
Venue the place where an action must be instituted and tried
2. The residence of the parties; or
3. By stipulation; or
Nature of Venue as Distinguished from Jurisdiction
4. By law
1. Jurisdiction
a. Treats of the power of the court to decide a case on
When Venue determined by the Nature of Action
the merits (venue deals with the locality)
1. Real actions actions affecting title to or possession of real
b. Venue has nothing to do with jurisdiction
property, or interest therein
c. Note that in criminal actions, venue is jurisdictional
2. Personal actions all other actions
d. Jurisdiction may not be conferred by consent or
waiver upon a court which otherwise would have no
Remember:
jurisdiction over the subject matter
1. Action in personam action against the person on the
e. Rules as to jurisdiction can never be left to the
basis of personal liability
consent or agreement of the parties, whether or not
2. Action in rem action against the thing itself
prohibition exists against their alteration
2. Venue
Test to determine real nature of the action:
a. Question relating to venue are governed by Rule 4
The nature of an action whether real or personal is
b. Laying of venue is procedural rather than substantive
determined by the allegations of the complaint, not by the title of the
c. Relates to the jurisdiction of the court over the
complaint, or by the fundamental and prime object and nature of the
person rather than the subject matter
action (Prime Objective Test)
d. Relates to trial, not to jurisdiction and touches more
on the convenience of the parties rather
e. The venue of an action as fixed by statute may be
REAL ACTIONS
changed by the consent of the parties
f. An objection that the plaintiff brought his suit in the
Venue for Real Actions: Sec. 1
wrong country may be waived by failure to make
- Venue shall be in the proper court which has jurisdiction
timely objection
over the area wherein the real property involved, or a
g. Failure to allege venue may be cured by amendment
portion thereof is situated
- This is so because under the amendments by RA 7961 to
Purpose of Venue rules on venue are designed to insure a just and
Sec. 19 and 33 of BP 129, both RTC and lower courts now
orderly administration of justice or the impartial and evenhanded
have jurisdiction over real action, depending on the value
determination of every action and proceeding
of the property
This presupposes that such real action involves the
title to or possession of real property or any interest
SECTION 1 - Venue of real actions.Actions affecting title to or
therein
possession of real property, or interest therein, shall be
commenced and tried in the proper court which has jurisdiction
Examples:
over the area wherein the real property involved, or a portion
1. Torres v. JM Tuason complaint was entitled to be one
thereof, is situated.
for specific performance but was asking for a deed of sale
Forcible entry and detainer actions shall be commenced
to be issued in their favor
and tried in the municipal trial court of the municipality or city
a. Primary objective and nature of the action was to
wherein the real property involved, or a portion thereof, is
recover the parcel of land
situated.
b. As such, there is a need to make a finding of
ownership which is a real action
SECTION 2 - Venue of personal actions.All other actions may be
c. Action must be commenced in the province where the
commenced and tried where the plaintiff or any of the principal
property is located
plaintiffs resides, or where the defendant or any of the principal
2. Dr. Antonio Lizares, Inc. v. Calalang respondent filed an
defendants resides, or in the case of a non-resident defendant
action to compel petitioner to accept payment for a lot
where he may be found, at the election of the plaintiff.
a. Although the remedy sought was to compel
acceptance of payment, the relief is merely the first
SECTION 3 - Venue of actions against nonresidents.If any of the step to establish his title over the lot
defendants does not reside and is not found in the Philippines, b. The action was in reality a real action
and the action affects the personal status of the plaintiff, or any 3. Where action affects, not only the possession but also title
property of said defendant located in the Philippines, the action to real property, it should be instituted in the court where
may be commenced and tried in the court of the place where the property is situated
plaintiff resides, or where the property or any portion thereof is 4. If complainant seeks to annul deeds of sale and to obtain a
situated or found. declaration of ownership, action is real action
5. Deudor v. JM Tuason plaintiffs claimed that their action
SECTION 4 - When Rule not applicable.This Rule shall not was one for rescission but they prayed for reconveyance of
apply the land; it was a real action
(a) In those cases where a specific rule or law provides 6. Where the primary object of the action is to nullify
otherwise; or defendants title to a land, with an alternative prayer for a
(b) Where the parties have validly agreed in writing before sum of money, action is a real action
the filing of the action on the exclusive venue thereof.

47
7. If the plaintiff is primarily interested in establishing his Examples of Personal Actions:
right to recover possession of land, it is a real action 1. Actions to compel execution of purchase contracts where
8. Where main relief sought is the delivery of the Torrens there is no issue of title (Adamos v. JM Tuason)
Title which is entirely dependent on who has a better right 2. Action to annul cancellation of award which does not
to the land, action is a real action involve title and ownership over the properties but seeks
9. Action to declare a certain lot as conjugal is a real action to compel respondent to recognize that the award is valid
and subsisting (Hernandez v. DBP)
When an action involves various parcels of land situated in different 3. Action for cancellation of real estate mortgage
provinces a. Where the action is primarily to compel the
- Venue is determined by the singularity or plurality of the mortgagee to accept payment of the mortgage debt
transactions involving said parcels of land: and to release the mortgage, it is a personal action
1. If the parcels are object of one and the same b. However, an action for nullification of the mortgage
transaction venue is with the Court which has documents and the foreclosure of the mortgaged
jurisdiction over any of the provinces wherein a properties is a real action that affects title of property
parcel is located 4. Action to recover damages is personal
Judgment therein rendered can be executed in 5. Liquidation of partnership is personal
the other provinces where the rest of the real
estate is located
2. If parcels are subject to separate and distinct VENUE AS TO NON-RESIDENTS
transactions no common venue; separate actions
should be laid in the court which has jurisdiction over Venue of actions against non-residents if any of the defendants
the province wherein each parcel is situated does not reside and is not found in the Philippines, and the action
affects the personal status of the plaintiff, or any property of said
defendant located in the Philippines, the action may be commenced
PERSONAL ACTIONS and tried in the court of the place where the plaintiff resides, or
where the property or any portion thereof is situated or found.
Actions Founded on Privity of Contract
- If action is founded on privity of contract between the Where a personal action is against principal defendants:
parties, then the action whether debt or covenant, is 1. One is a resident defendant; and
transitory 2. The other is a non-resident defendant but who is in the
- If there is no privity of contract and the action is founded Philippines
on privity of estate only, then the action is local What is the venue? Venue may be laid either:
a. Where the resident defendant resides; or
Venue in Personal Actions: at the election of plaintiff: b. Where the non-resident defendant may be found; and,
1. Where the plaintiff or any of the principal plaintiffs reside; (Sec. 2)
or c. An additional alternative avenue: Residence of any of the
2. Where the defendant or any of the principal defendants principal plaintiffs (Sec. 2 and 3)
reside; or
3. In case of non-resident defendant where he may be found OBSERVE: When there is more than one defendant or plaintiff, the
residences of the PRINCIPAL parties should be the basis for
Distinguish Residence and Domicile determining proper venue
- Residence is used to indicate a place of abode, whether
permanent or temporary Where plaintiff is a non-resident but is permitted to sue here
- Domicile denotes a fixed permanent residence to which - Like in the case of foreign corporation with the requisite
when absent, one has the intention of returning license under Sec. 123 of the Corp Code
- Venue is:
The term resides as employed in the rule on venue on personal 1. If PERSONAL -- the place where defendant resides
actions means the place of abode, whether permanent or temporary, 2. If REAL where the real property or part thereof is
of the plaintiff or defendant situated
- The alternative venue granted to plaintiffs is not available
Rescission of Contracts (as discussed in Cabutihan v. Landcenter to a non-resident
Construction and Development Corporation)
A breach of contract gives rise to a cause of action for But where it is the defendant who is a non-resident and is not found
specific performance or for rescission. This would depend on the in the Philippines
objective of the action. - Civil actions are proper ONLY when the action affects:
Actions affecting title to or possession of real property or 1. The personal status of plaintiff, or
an interest therein shall be commenced and tried in the proper court 2. The property of the defendant
that has territorial jurisdiction over the area where the real property - In which case, Sec. 2 determines venue
is situated.
All other actions shall be commenced and tried in the
proper courts where the plaintiff/defendant or any of the principal VENUE BY AGREEMENT OF PARTIES
plaintiffs/defendants resides.
A case for specific performance with damages is a personal Venue determined by Stipulation where the parties have validly
action. In the present case, petitioner seeks payment of her services agreed in writing before the filing of the action on the exclusive
in accordance with the undertaking the parties signed and is a venue thereof, agreement prevails whether the action is real or
personal action. personal

48
Stipulations as to Venue may be Permissive or Mandatory 2. To be restrictive, the language or terminology employed in
Stipulations in a contract which specify a definite place for the stipulation must be unequivocal and admit of no
the institution of an action do not, as a rule, supersede the general contrary or doubtful interpretation
rules on the matter set out in Rule 4, but should be construed merely 3. In case of irreconcilable doubt, venue provision shall be
as an agreement on an additional forum. deemed to be permissive
Written stipulations are either mandatory or permissive, 4. In ascertaining the intent in that provision which
so inquiry must be made as to what they are: reasonably admits of more than one meaning, the
1. Agreement is restrictive the suit may be filed only in the construction should be adopted which most conduces to
place agreed upon; mandatory the convenience of the parties
2. Agreement is permissive parties may file their suits not
only in the place agreed upon but also in the places fixed The Court takes caution in contracts of adhesion
by the rules - Greater caution on a case to case basis must be adopted by
Look at the language of the stipulation. the courts where such stipulation is contained in a
contract of adhesion
Examples: - The rule on restrictive venue stipulations should not apply
1. Where it is stipulated that in case of any litigation, the where it would be violative of a settled and important
venue of the action shall be in the City of Manila without policy of the State
either party reserving the right to choose the venue - Where the venue stipulation would be contrary to public
a. It can reasonably be inferred that the parties policy of making courts accessible to all who may have
intended to definitely fix the venue at Manila only need of their service, the stipulation is void and
b. Notwithstanding that neither party is a resident unenforceable
thereof - Agreements as to venue is oppressive when venue
2. The stipulation that the parties agree to sue and be sued stipulations work injustice or deny the party concerned
in the Courts of Manila access to courts by reason of poverty
a. Does not preclude the filing of suits in the residence
of the parties Additional Limitations
b. Plain meaning of the stipulation is that the parties - Exclusive venue stipulation embodied in a contract
merely consented to be sued in Manila restricts or confines parties thereto when the suit relates
c. Qualifying or restrictive words which would indicate to the breach of the said contract
that Manila alone is the venue are absent - But where the exclusivity clause does not make it
d. Stipulation as to venue is permissive necessarily all encompassing, such that even those not
related to enforcement of contract should be subject to the
Note, however, the ruling in Zoleta v. Ramillo where the action is exclusive venue, the stipulation designating exclusive
no longer based on the agreement but the tortious act of sending venues should be strictly confined to the specific
collection telegrams despite the fact that the obligation had already undertaking or agreement
been paid, venue is no longer based on the written stipulation but at
the election of the plaintiff as fixed by law.
VENUE AS DETERMINED BY THE LAW
As to Corporations and Sole Proprietorships
1. Corporations venue is the place of business Venue as Determined by Rules - see BP 129
2. Sole proprietorship venue is the residence of plaintiff or - Under Sec. 18, BP 129, the SC shall define the territory
defendant and not the place of business over which a branch of the RTC shall exercise its authority
- Territory thus defined shall be deemed to be the territorial
Unimasters Conglomeration, Inc. v. CA upheld the Polytrade area of the branch concerned for the purpose of
principle (Polytrade Corporation v. Blanco): determining the venue of all suits, proceedings, actions,
- Of the essence is the ascertainment of the parties civil or criminal, as well as the MTCs over which said
intention in their agreement governing the venue of branch may exercise appellate jurisdiction
actions between them
- Ascertainment must be done keeping in mind that Venue in Special Proceedings
convenience is the foundation of venue regulations 1. Settlement of estate of deceased Sec. 1, Rule 73
- Construction should be adopted which most conduces a. If deceased is Philippine inhabitant at time of death
thereto RTC in the province in which he resides at time of
- Invariable construction placed on venue stipulations is death
that they do not negate but merely complement or add to b. If inhabitant of foreign country RTC of any province
the codal standards of Rule 4 in which he had estate
- Unless the parties make very clear, by employing 2. Escheat proceedings Sec. 1, Rule 91
categorical and suitably limiting language, that they wish a. If resident RTC of province where he last resided
the venue between them to be laid only and exclusively at b. If non-resident RTC of province in which he had
a definite place, and to disregard the prescriptions of Rule estate
4m agreements on venue are not to be regarded as 3. Guardianship of person or estate of an incompetent Sec.
mandatory or restrictive, but merely permissive or 1, Rule 92
complementary of Rule 4 a. If resident RTC of province where he resides
b. If non-resident RTC of province wherein his
Justice Regalado, in his separate concurring opinion, suggested some property or part thereof is situated
parametric qualifications on venue stipulations: 4. Trustee Sec. 1, Rule 98
1. The agreement on venue shall, in the first instance, be a. If will allowed in the Philippines RTC in which the
normally considered as merely permissive will was allowed

49
b. If not by the RTC of province in which the property child-caring agency to which the child has been
or some portion thereof, affected by the trust is voluntarily committed is located or where child may
situated be found
5. Inter-Country Adoption Sec. 10, RA 8043 c. Petition for commitment of disabled child family
a. With the RTC having jurisdiction over the child; or court of place where parent or guardian or where
b. With the ICA board child resides
6. Proceedings for the hospitalization of the insane Sec. 1, 10. Rules on VAWC
Rule 101; RTC of province where person alleged to be a. With the family court where offended party resides
insane is found b. Application for BPO rules on venue under Sec. 409
7. Habeas Corpus: of LGC of 1991 applies
a. Sec. 2, Rule 102 in the SC, CA, RTC, enforceable only 11. Katarungang Pambarangay venue
within the judges region a. Disputes between persons actually residing in the
b. Sec. 34, BP129 in the MTC in the absence of all RTC same barangay shall be brought for amicable
judges settlement before the lupon
8. Change of name Sec. 1, Rule 103, in RTC of province in b. Those involving actual residents of different
which person desiring to change his name resides barangays within the same city or municipality shall
9. Absentees Sec. 1, Rule 107; in RTC where the absentee be brought in the barangay where the respondent or
resided before his appearance any of the respondents actually resides, at election of
10. Cancellation or correction of entries in civil registry Sec. complainant
1, Rule 108, in RTC where the civil registry is located c. All disputes involving real property or any interest
therein shall be brought in the barangay where the
Venue as Fixed by Law real property or larger portion thereof is situated
1. Filed in the proper court of the place where the child d. Those arising at the workplace where the contending
resides (Art. 250 FC) in the following cases: parties are employed or at the institution where such
a. Art. 223 petitions for an order providing for parties are enrolled for study shall be brought in the
disciplinary measures over the child barangay where such workplace or institution is
b. Art. 225 in case of disagreement in the exercise of located
legal guardianship over the property of the 12. Libel cases see Art. 360 RPC
unemancipated child a. Whether offended party is a public official or private
c. Art. 235 approval of agreement as to emancipation person, file with the RTC of the province or city where
2. Guardianship of Minors libelous article is printed and first published
a. If minor is resident Family court of the province or b. If offended party is private individual, action may also
city where minor resides be filed in the RTC of the province where he actually
b. If non-resident Family court of province or city resided at the time of the commission of the offense
where his property or part thereof is situated c. If offended party is public officer, whose office is in
3. Rule on Adoption family court of the province or city Manila at the time of commission, action may be filed
where the prospective adoptive parents reside (Sec. 6, in the RTC of Manila
Rule on Adoption) d. If offended party is a public officer holding office
4. Rules of Procedure on Corporate Rehabilitation RTC outside of manila, action may be filed in the CFI of
having jurisdiction over territory where debtors principal province or city where he held office at the time of the
office is located (Rule 3, Sec. 2) commission of the offense
5. Rules on Procedure for Intra-Corporate Controversies
a. In RTC which has jurisdiction over the principal office Note that the rule on venue refers to the FILING of actions
b. Where the principal office is registered in the SEC as - As such, if it is not an action, rules on venue dont apply
Metro Manila, action must be filed in the City or - An extra-judicial foreclosure of mortgage is NOT an action
municipality where head office is located (Sec. 5)
6. Rules on Declaration of Absolute Nullity of Marriage in
the family court IMPROPER VENUE
7. Annulment of voidable marriages and for legal separation
cases The ground of improper venue is placed on the same footing as the
a. Family court of province or city where petitioner or other grounds for a motion to dismiss enumerated in Sec. 1, Rule 16
respondent has been residing for at least 6 months - It is entitled to the same considerations
prior to filing - If it is not raised in a motion to dismiss, it may be alleged
b. If non-resident respondent, where he may be found in as an affirmative defense in the answer for a preliminary
the Philippines at election of petitioner hearing thereon
c. In stations where no family courts are designated, - It is likewise subject to the sanction in Sec. 1, Rule 9 in
case is raffled among RTC branches within the same that if it is not pleaded as an objection (either in a motion
station to dismiss or in a the answer), it is deemed waived
8. Rule on custody of minors and writ of habeas corpus in
relation to custody of minors family court of the province
or city where the petitioner resides or where they may be END OF RULE 4
found
9. Rule on commitment of children
a. Petition for involuntary commitment family court of
province or city in which parent or guardian resides
or where child is found
b. Petition for voluntary commitment family court of
province or city where child placement agency or

50
NOTES ON RULE 4

51
NOTES ON RULE 4

52
II. Civil Cases
RULE 5 (Condensed)
UNIFORM PROCEDURE IN TRIAL COURTS
Sec. 3 Pleadings
A. Pleadings allowed to be filed:
1. Complaints
SECTION 1 - Uniform procedure.The procedure in the Municipal
2. Compulsory counterclaims and cross-claims pleaded in
Trial Courts shall be the same as in the Regional Trial Courts,
the answer
except (a) where a particular provision expressly or impliedly
3. Answers thereto
applied only to either of said courts, or (b) in civil cases governed
B. All pleadings shall be verified
by the Rule on Summary procedure.
Sec. 4 Duty of Court
SECTION 2 - Meaning of terms.The term Municipal Trial A. After determination that the case falls under summary
Courts as used in these Rules shall include Metropolitan Trial procedure, court may dismiss the case outright on any of the
Courts, Municipal Trial Courts in Cities, Municipal Trial Courts, grounds apparent therefrom for the dismissal of a civil
and Municipal Circuit Trial Courts. action; based on:
1. From an examination of the allegations therein
REVISED RULES ON SUMMARY PROCEDURE 2. And such evidence as may be attached thereto
Condensed B. If no ground for dismissal is found:
1. Court shall issue summons
Sec. 1 Scope rule shall govern the summary procedure in the MTC, 2. Summons shall state that summary procedure shall
MTC in Cities, MCTC in the following cases falling within their apply
jurisdiction:
A. Civil Cases Sec. 5 Answer
1. Cases of forcible entry and unlawful detainer A. Within 10 days from service of summons:
a. Irrespective of the amount of damages or unpaid 1. Defendant shall file his answer to the complaint
rentals sought to be recovered a. Affirmative and negative defenses not pleaded
b. Where attorneys fees are awarded, it shall not therein shall be deemed waived
exceed P20,000 (1) EXCEPT: for lack of jurisdiction over the
2. All other civil cases where total amount of plaintiffs subject matter
claim does not exceed P100,000 or P200,000 in b. Cross-claims and compulsory counterclaims not
Metropolitan Manila, exclusive of interest and costs asserted shall be considered barred
a. EXCEPT: probate proceedings 2. Defendant to serve a copy thereof on the plaintiff
B. Criminal Cases B. Within 10 days from service of the answer
1. Traffic laws, rules, and regulations violation 1. Answer to counterclaims or cross-claims shall be filed
2. Rental law violations and served
3. Municipal or city ordinance violations
4. All other criminal cases where penalty prescribed by Notes:
law for offense charged is imprisonment not exceeding - Parties are not prohibited from filing an answer with
6 months and/or a fine not exceeding P1,000 affirmative defenses in cases falling under summary
a. Irrespective of other imposable penalties, procedure
accessory or otherwise, or of civil liability arising a. But the trial courts are enjoined from conducting a
therefrom preliminary hearing on such affirmative defenses to
b. In offenses involving damage to property through prevent unnecessary delay
criminal negligence, this rule shall govern where - Adjudication of the case can be done on the basis of
imposable fine does not exceed P10,000 affidavits or other evidence
Rule shall not apply: - Proceeding must be as summary as possible
1. To a civil case where plaintiffs cause of action is pleaded in - Filing of an answer within the reglementary period is
the same complaint with another cause of action subject to mandatory and non-extendible
ordinary procedure a. The Rules use the word Shall
2. To a criminal case where offense charged is necessarily b. Giving the provisions a directory application would
related to another criminal case subject to ordinary subvert the nature of the rule and defeat its objective
procedure - Affidavit filed within the period to answer may be
considered as an answer
Notes:
- Rules on summary procedure do not apply to forcible Sec. 6 Effect of Failure to Answer
entry and unlawful detainer A. If defendant fail to answer the complaint within the period
- Rule on summary procedure applies only to cases filed provided:
before the MTC (Sec. 16, BP 129) 1. Court (motu proprio or on motion of plaintiff) shall
a. It has no application to cases before RTC render judgment
b. Appeals of MTC decisions to the RTC are governed by 2. Judgment:
the rules of the latter court a. As may be warranted by the facts alleged in the
complaint and
Sec. 2 Determination of Applicability b. Limited to what is prayed for
A. Upon filing of action, court shall issue an order declaring B. The court may in its discretion reduce the amount of
whether or not the case shall be governed by this Rule damages and attorneys fees claimed
B. Patently erroneous determination to avoid application of 1. For being excessive or unconscionable
summary procedure rules = ground for disciplinary action

53
2. Without prejudice to the applicability of Sec. 4, Rule 18 Sec. 8 Record of Preliminary Conference
ROC, if there are 2 or more defendants A. Court shall issue an order stating the matters taken up
therein, including but not limited to:
Notes: 1. Whether the parties have arrived at an amicable
- Sec. 6 allows the trial court to render judgment, even motu settlement, and if so, the terms thereof
proprio, upon failure of defendant to file answer within the 2. Stipulations or admissions entered into by the parties;
reglementary period 3. Whether, on the basis of pleadings and stipulations and
- The Rule do not provide that an answer filed after the admission made, judgment may be rendered without
reglementary period should be expunged from the records need for further proceedings
a. There is no provision for an entry of default when a. In which event, judgment shall be rendered within
defendant fails to file his answer 30 days from issuance of order
- Defense of lack of jurisdiction may be met and ruled 4. Clear specification of material facts which remain
squarely by the court, as this may even be raised in a uncontroverted; and
motion to dismiss as an exception to the rule on prohibited 5. Such other matters intended to expedite the disposition
pleadings in summary procedure of the case
- Motion to dismiss which involves grounds that may qualify B. WHEN: Within 5 days after termination of the preliminary
as defenses in an answer should be treated as an answer conference

Sec. 7 Preliminary Conference; appearance of parties Sec. 9 Submission of affidavits and position papers
A. A preliminary conference shall be held A. Within 10 days from receipt of the order in Sec. 8, parties
1. Not later than 30 days after the last answer is filed shall submit:
2. Rules on pre-trial in ordinary cases shall be applicable 1. Affidavits of their witnesses
unless inconsistent with the provisions of this Rule 2. Other evidence on the factual issues defined in the
B. Failure of plaintiff to appear in preliminary conference order
1. Cause for dismissal of complaint 3. Position papers setting forth the law and facts relied
2. Defendant who appears in the absence of plaintiff shall upon by them
be entitled to judgment on his counterclaim in
accordance with Sec. 6 Notes:
3. All cross-claims shall be dismissed - Formal offer of evidence applicable only to ordinary trials
C. If sole defendant shall fail to appear not to cases covered by the rule on summary procedure
1. Plaintiff entitled to judgment in accordance with Sec. 6 - Failure of adverse party to reply does not ipso facto render
2. Rule shall not apply where one of 2 or more defendants the facts set forth therein duly proven
sued under a common cause of action who had pleaded a. Plaintiffs still has the burden of proving their cause of
a common defense shall appear at preliminary action
conference b. Since they are the ones asserting affirmative relief
- Particular item of evidence may be admissible but
Notes: evidentiary weight depends on judicial valuation provided
- Provision requires that immediately after the preliminary by the rules of evidence
conference, MTC should issue an order clearly and - Joint counter-affidavit which sets forth defenses and raises
distinctly setting forth the issues issues and counterclaims may be considered as an answer
- Preliminary conference: - A defective complaint in summary procedure may be
a. Where parties are admonished to settle their dispute cured by the allegations in the position paper (Dula v.
amicably Maravilla)
b. If amicable settlement not possible, to narrow, clarify a. Similar to a complaint, which fails to state a cause of
and define the issues of the case action, may be cured by evidence presented during
- Sec. 6 is made mandatory by the use of auxiliary verbs trial in regular procedure
shall and must b. For this to apply, plaintiff must have a valid and
a. But it does not follow that the absence of preliminary subsisting cause of action at the time of the
conference would necessarily render nugatory the commencement of action (Sepulveda Sr., v. Pelaez)
proceedings (Martinez v. De La Merced)
b. Unless there is a showing of substantial prejudice Sec. 10 Rendition of judgment
caused to a party, the trial courts inadvertent failure A. Court shall render judgment within 30 days after:
to calendar the case for pre-trial or preliminary 1. Receipt of last affidavits and position papers, or
conference cannot render proceedings illegal or void 2. The expiration of the period for filing the same
ab initio B. Court may issue an order for matters than need to be
- Partys failure to object to the absence of pre-trial is clarified (clarificatory procedure)
deemed a waiver 1. Should the court find it necessary to clarify certain
- Rule allows the application of the Rules on pre-trial matters of facts
a. But only where the provisions of the latter are 2. Order is issued within the same period
consisted with the former 3. Parties are required to submit affidavits and other
b. The latter is merely secondary thereto evidence on said matters within 10 days from receipt of
- Note that it is only when the defendant failed to answer said order
the complaint may the court proceed to judgment 4. Judgment rendered within 15 days after receipt of last
a. When defendant did file an answer to the complaint, clarificatory affidavits, or expiration of the period for
trial court may not declare him in default filing the same
b. A motion to declare defendant in default is a C. Clarificatory hearings shall not be resorted to gain time for
prohibited pleading under Sec. 15(h) of the rules on rendition of judgment
summary procedure

54
Notes: Notes:
- Note that trial courts are no longer allowed to conduct a - Motion to dismiss that is prohibited by the rules is a
clarificatory hearing after submission of affidavits and motion to dismiss which would stop the running of the
submission papers period to file an answer and cause undue delay
a. If court desires to clarify certain material facts, it may - Where no answer is filed, court may not declare defendant
require parties to submit affidavits or other evidence in default because a motion to declare defendant in default
- A court cannot resort to clarificatory procedure when is a prohibited pleading
parties fail to submit their affidavits and position paper as - When the rule on summary procedure bars a petition for
required by Sec. 9 relief from judgment of a petition for certiorari,
- Courts cannot issue subpoena duces tecum in cases triable mandamus, or prohibition against any interlocutory order,
summarily merely on the basis of the answers a. It has in mind:
- It is only after evaluating the affidavits and position papers 1. Sec. 1, Rule 38 on petitions for relief from
submitted by the parties that the court can determine judgment; and
whether he should resort to the clarificatory procedure in 2. Rule 65 regarding petitions for certiorari,
Sec. 10 mandamus, or prohibition
- If any of the parties fail to submit evidence and position b. Aforementioned petitions are cognizable by the RTCs,
papers within the reglementary period, court cannot set not the MTCs
the clarificatory procedure c. If Sec. 19 RSP and Rules 38 and 65 ROC are
juxtaposed, conclusion is that no petition for relief
from judgment nor a special civil action for certiorari,
IV. Common Provisions prohibition, or mandamus arising from a judgment
(Condensed) nor a special civil action of certiorari, prohibition, or
mandamus arising from cases covered by the RSP
Sec. 18 Referral to Lupon Cases requiring referral to the Lupon for may be filed with a superior court
conciliation under the provisions of PD 1508 where there is no
showing of compliance with such requirement, shall be dismissed Sec. 20 Affidavits
without prejudice and may be revived only after such requirement A. Affidavits required to be submitted under this Rule:
shall have been complied with. This provision shall not apply to 1. Shall state only facts of direct personal knowledge of
criminal cases where the accused was arrested without a warrant. the affiants which are admissible in evidence;
2. Shall show their competence to testify to the matters
Notes: stated therein
- Sec. 18 mandates that non-referral shall result in dismissal B. Violation of this requirement:
a. Dismissal is without prejudice 1. May subject the party of the counsel who submits the
b. Except in criminal cases where the accused is in same to disciplinary action
custody without a warrant 2. Shall be cause to expunge the inadmissible affidavit or
- While referral is not jurisdictional, the intent is to increase portion thereof from the record
awareness on the need for conciliation
- The rules regarding finality of judgment under the ROC Sec. 21 Appeal
apply to cases covered by the 1991 Revised Rules on A. Judgment or final order shall be appealable to the
Summary Procedure appropriate RTC
- A judgment or order which is not appealed or made 1. RTC shall decide the same in accordance with Sec. 22,
subject of a motion for reconsideration within the BP 129
prescribed 15 day period attains finality 2. Decision of the RTC in civil cases governed by this Rule,
including forcible entry and unlawful detainer, shall be
Sec. 19 Prohibited pleadings and motions immediately executory
The following pleadings, motions, or petitions shall not be a. Without prejudice to a further appeal that may be
allowed in the cases covered by this Rule: taken therefrom
1. Motion to dismiss the complaint or to quash the complaint B. Sec. 10, Rule 70 shall be deemed repealed
or information except on the ground of lack of jurisdiction
over the subject matter, or failure to comply with the Sec. 22 Applicability of the regular rules The regular procedure
preceding section; prescribed in the Rules of Court shall apply to the special cases herein
2. Motion for a bill of particulars provided for in a suppletory capacity insofar as they are not
3. Motion for new trial, or for reconsideration of a judgment, inconsistent therewith,
or for re-opening of trial
4. Petition for relief from judgment Sec. 23 Effectivity This revised Rule on Summary Procedure shall be
5. Motion for extension of time to file pleadings, affidavits or effective on November 15, 1991.
any other paper; The foregoing rules no longer apply to cases of Forcible
6. Memoranda; Entry and Unlawful Detainer cases under Rule 70 since the pertinent
7. Petition for certiorari, mandamus, or prohibition against and applicable provisions thereof have already been incorporated in
any interlocutory order issued by the court; Rule 70.
8. Motion to declare defendant in default
9. Dilatory motions for postponement
10. Reply
11. Third-party complaints
12. Interventions

55
THE KATARUNGANG PAMBARANGAY LAW The parties may, at any stage of the proceedings, agree in writing to
Title I, Book III, RA 7160 have the matter in dispute decided by arbitration by either the
Condensed Punong Barangay or Pangkat.

No complaint, petition, action, or proceeding involving any matter The settlement and arbitration agreement may be repudiated on the
(between individuals or natural persons) within the authority of the ground that consent is vitiated by fraud, violence, or intimidation.
lupon shall be filed or instituted directly in court or any other Such repudiation shall be sufficient basis for the issuance of the
government office or adjudication certification for filing a complaint in court or any government office
- UNLESS: for adjudication (10 days to repudiate).
1. There has been confrontation between the parties
before the lupon chairman or pangkat; and Rules on Venue under the Katarungang Pambarangay Law
2. That no conciliation or settlement has been reached 1. Disputes between residents of the same barangay shall be
or unless the settlement has been repudiated by the brought for settlement before the lupon of said barangay
parties thereto 2. Residents of different barangays within the same city or
municipality in the barangay where the respondent or
Cases not covered by the Katarungang Pambarangay Law any of the respondents reside at the election of
(Substantive Exceptions) complainant
1. Where one party is the government or any subdivision or 3. Disputes involving real property or any interest therein
instrumentality thereof where real property or larger portion thereof is located
2. Where one party is a public officer or employee, and the 4. Disputes arising at the workplace where contending
dispute relates to the performance of his official functions; parties are employed or at the institution where such
3. Offenses punishable by imprisonment exceeding 1 year or parties are enrolled for study in the barangay where
a fine exceeding P5,000 such workplace or institution is located
4. Offenses where there is no private offended party
5. Where the dispute involves real properties located in
different cities or municipalities END OF RULE 5
a. UNLESS the parties thereto agree to submit their
differences to amicable settlement by an appropriate
lupon
6. Disputes involving parties who actually reside in
barangays or different cities or municipalities
a. EXCEPT:
(1) Where such barangay units adjoin each other;
and
(2) The parties thereto agree to submit their
differences to amicable settlement by an
appropriate lupon
7. Such other classes of disputes which the president may
determine in the interest of justice; and
8. Where one of the parties is a juridical entity

The court in which non-criminal cases not falling within the


authority of the lupon are filed may, at any time before trial, motu
proprio refer the case to the lupon concerned for amicable
settlement.

While the dispute is under mediation, conciliation, or arbitration, the


prescriptive periods for offenses and cause of action under existing
laws shall be interrupted upon filing of the complaint with the
punong barangay. Such interruption shall not exceed 60 days from
time of filing of complaint with punong barangay.

The parties may go directly to court in the following instances:


(Procedural Exceptions):
1. Where the accused is under police custody or detention
2. Where the person has otherwise been deprived of
personal liberty calling for habeas corpus proceeding;
3. Where the actions are coupled with provisional remedies
such as preliminary injunction, attachment, delivery of
personal property, and support pendente lite;
4. Where the action may otherwise be barred by the statute
of limitations;
5. Labor disputes (Montoya v. Escayo)
6. Actions to annul judgment upon a compromise (Sanchez v.
Tupaz)
7. CARL disputes;
8. Disputes involving the traditions of indigenous cultural
community

56
NOTES ON RULE 5

RULES ON SUMMARY PROCEDURE IN CIVIL CASES

Filing of verified complaint with RTC

Court may summon the defendant Court may dismiss outright

Within 10 days from receipt of If defendant fails to answer in 10


summons, defendant answers, days, the court motu-proprio or on
incorporating compulsory plaintiffs motion, may render
counterclaim, or cross-claim, and judgment based on facts alleged in
serves a copy to plaintiff the complaint without prejudice to
Rule 9, Sec. 3

If plaintiff fails to appear in


Answer to counterclaim and cross- preliminary conference, complaint
claim within 10 days may be dismissed. Defendant
entitled to decision based on his
counterclaim. All cross-claims
dismissed

Preliminary conference within 30


days after last answer is filed

If sole defendant fails to appear,


plaintiff is entitled to judgment
based on complaint and what is
Within 5 days after conference, proven therein
court issues record of preliminary
conference

Within 10 days from receipt of


order, submission by the parties of
affidavits and position papers

Rendition of judgment within 30


days from receipt of last affidavit
or within 15 days after last
clarificatory paper

57
NOTES ON RULE 5

58
The Nine Pleadings Allowed:
1. Complaint
2. Counterclaim
3. Cross-claim
4. Third-party complaint
5. Complaint-in-intervention
6. Answer
RULE 6 7. Reply
8. Counter-counterclaim; and
KINDS OF PLEADINGS 9. Counter-cross-claim

SECTION 3 - Complaint.The complaint is the pleading alleging


SECTION 1 - Pleadings defined.Pleadings are the written
the plaintiffs cause or causes of action. The names and
statements of the respective claims and defenses of the parties
residences of the plaintiff and defendant must be stated in the
submitted to the court for appropriate judgment.
complaint.
Pleadings
Notes
- The term includes all papers filed, excluding evidentiary
- Provision is also true and are applicable to other initiatory
matters, from the complaint down to the judgment
pleadings, as well as to petitions filed in the trial or
- Documents attached to the pleadings and made a part
appellate courts
thereof are considered evidence and also part of pleadings
- Note however that in appellate courts, it is the act of the
(Asia Banking Corp. v. Oslen & Co.)
lower court which is complained of that has to be alleged,
- A bill of particulars constitutes part of the pleading that it
instead of a cause of action
supplements (Sec. 6, Rule 12)
- Jurisdiction of the court and the nature of the action are
- A covering letter for a pleading is not part of the latter
determined by the averments of the complaint
(Clorox Co. v. Director of Patents)
- Prayer for relief is not controlling on the court and is
merely advisory as to the nature of the action (See Sec. 2,
Purpose of Pleadings:
Rule 7)
1. To apprise the court of the rival claims in a judicial
controversy submitted for trial and decision.
Ultimate Facts
2. To draw a line of battle between the litigants and to
- Refer to the essential facts constituting the plaintiffs cause
indicate fairly the nature of the claims or defenses of both
of action
parties
- A fact is essential if it cannot be stricken out without
a. A party cannot subsequently take a position
leaving the statement of the cause of action insufficient
contradictory to or inconsistent with his pleadings
- Test of sufficiency of facts alleged in the complaint
b. Issues in a case are limited to those presented in
determine whether upon the averment of facts, a valid
pleadings
judgment may be properly rendered
3. To define the issues and form the foundation of proof to be
submitted during the trial as well as advice a party to what
SECTION 4 - Answer.An answer is a pleading in which a
his adversary would rely on as a cause of action or as
defending party sets forth his defenses.
defense so that he would properly be prepared at the trial
to meet the issues raised
Answer is the pleading where the defendant sets forth his
affirmative or negative defenses. It may or may not contain a
PLEADING MOTION
counterclaim. It may likewise be the response to a counterclaim or
Purpose: to submit a claim or
Purpose: to apply for an order cross-claim
defense for appropriate
not included in the judgment
judgment
SECTION 5 - Defenses.Defenses may either be negative or
Cannot be initiatory as they are
affirmative.
May be initiatory always made in a case already
(a) A negative defense is the specific denial of the material
filed in court
fact or facts alleged in the pleading of the claimant
May be filed even after
Always filed before judgment essential to his cause or causes of action.
judgment
(b) An affirmative defense is an allegation of a new matter
Only 9 kinds of pleading are Any application for relief not by which, while hypothetically admitting the material
allowed by the rules a pleading is a motion allegations in the pleading of the claimant would
May be oral when made in open nevertheless prevent or bar recovery by him. The
Must be written court or in the course of a affirmative defenses include fraud, statute of limitations,
hearing or trial release payment, illegality, statute of frauds, estoppel,
former recovery, discharge in bankruptcy, and any other
matter by way of confession and avoidance.
SECTION 2 - Pleadings allowed.The claims of a party are
asserted in a complaint, counterclaim, cross-claim, third (fourth, Sec. 5(a) defines a NEGATIVE DEFENSE
etc.)party complaint, or complaint-in-intervention. - It is the specific denial of the material facts or facts alleged
The defenses of a party are alleged in the answer to the in the pleading of the claimant essential to his cause of
pleading asserting a claim against him. action
An answer may be responded to by a reply. - A denial is not specific just because it is so qualified (Agton
v. CA)

59
This is especially true where a blanket denial is made - Where defendant who is a counter-claimant and therefore
of all the averments of the complaint instead of a plaintiff in his counterclaim dies, a simple motion for
dealing particularly with each substitution is permissible under Rule 3
Such general denial will be deemed admission of the
averments in the complaint Direct Attack and Collateral Attack Distinguished
- To be considered specific, see Sec. 10, Rule 8 1. Direct attack
a. A direct attack against a judgment is made to an
Sec. 5(b) defines and illustrates an AFFIRMATIVE DEFENSE action or proceeding
- It is an allegation of a new matter which, hypothetically b. Main object of which is to annul, set aside, or enjoin
admitting the material allegations in the pleading of the the enforcement of such judgment
claimant, would nevertheless prevent or bar recovery by c. If not yet carried into effect or if property has been
him disposed of, aggrieved party may sue for recovery
- The enumeration is not exclusive; some affirmative 2. Collateral attack
defenses which should be specifically pleaded include: a. It is made when, in another action to obtain a
1. Res judicata different relief, an attack on the judgment is made as
2. Ultra vires acts of a corporation an incident to such action
3. Laches b. This is proper only when:
4. Unconstitutionality (1) The judgment, on its face, is null and void; or
- Note also that if no motion to dismiss had been filed, any of (2) Where it is patent that the court which rendered
the grounds therefor may be raised as an affirmative said judgment has no jurisdiction
defense in the answer (Sec. 6, Rule 16)
While a counterclaim may be filed with a subject matter or for a
Insufficient denial or denial amounting to admissions: relief different from those in the basic complaint in the case, it does
1. General denial; and not follow that such counterclaim is in the nature of a separate and
2. Denial in the form of a negative pregnant independent action in itself (Co v. CA)
- Its allowance in the action is subject to explicit conditions
Negative Pregnant is a denial in such form as to imply or express as set forth particularly in its required relation to the
an admission of the substantial fact, which apparently is subject matter of the opposing parties claim
controverted. It is a form of denial which really admits the important - Failing in that respect, it cannot be entertained as a
facts contained in the allegations to which it relates. counterclaim in the original
While it is a denial in the form its substance actually has a. It must be filed and pursued as an altogether different
the effect of an admission because of a too literal denial of the and original action
allegation sough to be denied. This arises when the pleader merely
repeats the allegations in a negative form. That being said, may a counterclaim be allowed to nullify a Torrens
Title?
Notes: 1. First school of thought: NOT ALLOWED
- The rules made it clear that the admission to be drawn a. Where the objective of the claim is to nullify the title
from an affirmative allegation is merely hypothetical to the property in question, which thereby challenges
- Justice Feria: an affirmative defense does not require that the judgment pursuant to which the title was decreed,
the defending party admit, expressly or impliedly, the this is apparently a collateral attack which is not
material allegations of the complaint permitted under the principle of indefeasibility of
a. It is an allegation of new matter which, while Torrens Title
hypothetically admitting the material allegations in b. In Co v. CA, the Court held that the issue of validity of
the pleading of the claimant, would prevent or bar title can only be raised in an action expressly
recovery instituted for that purpose and not by counterclaim
- Note also that a collateral attack on Torrens Title as c. Said principle was reiterated in Vda. De Villanueva v.
affirmative defense is not allowed CA
a. Vda. De Villanueva v. CA the issue of invalidity of 2. Second school of thought: COUNTERCLAIM ALLOWED AS
the titles as a defense in an answer/counterclaim to DIRECT ATTACK
respondents action for recovery of ownership a. Lenas v. IAC reconveyance of title was granted in a
partakes of the nature of a collateral attack and is an counterclaim in an action to recover possession
indirect challenge to the final judgment and decrees b. Heirs of Santiago v. Heirs of Santiago the court
of registration which resulted in the issuance of titles held that a counterclaim can be considered a direct
b. Sec. 48, PD 1529 (Property Registration Act) requires attack in the title
no less than a direct action for reconveyance duly c. DBP v. CA it was held that a counterclaim is
filed within the period provided for by law considered a complaint, only this time, it is the
original defendant who becomes the plaintiff
d. Leyson v. Bantuyan court held that an attack on a
SECTION 6 - Counterclaim.A counterclaim is any claim which a certificate of title may be an original action or a
defending party may have against an opposing party. counter-claim in which a certificate of title is assailed
as void; a counterclaim is considered a new suit
Nature of Counterclaim
- It partakes of the nature of a complaint or a cause of action Counterclaim, Set-off, and Recoupment
against a plaintiff 1. Counterclaim or Contrarreclamacion
a. A cross-claimant or a counterclaimant is a plaintiff on a. Includes both set-off and recoupment and is broader
the cross-claim or counterclaim than both

60
b. It includes equitable demands and secures to the SECTION 7 - Compulsory counterclaim.A compulsory
defendant full relief which is a separate action at law counterclaim is one which, being cognizable by the regular courts
and would have secured him on the state of facts of justice, arises out of or is connected with the transaction or
c. Being substantially a cross-action by defendant occurrence constituting the subject matter of the opposing partys
against plaintiff claim and does not require for its adjudication the presence of
2. Set-off or Compensacion third parties of whom the court cannot acquire jurisdiction. Such
a. A money demand by defendant against plaintiff a counterclaim must be within the jurisdiction of the court both as
arising upon contract and constituting a debt to the amount and the nature thereof, except that in an original
independent of and unconnected with the cause of action before the Regional Trial Court, the counterclaim may be
action in the complaint considered compulsory regardless of the amount.
b. May be used to offset a plaintiffs claim but not to
recover affirmatively Purpose the reason for the rule on counterclaims is to avoid
3. Recoupment or Reconvencion multiplicity of suits and to dispose of the whole matter in
a. It differs from a counterclaim in this wise: controversy in one action
(1) Under a counterclaim, defendant may have an
affirmative judgment where he is able to prove a Classification of Counterclaims
demand in excess of the plaintiffs demand 1. Permissive Counterclaim
(2) In recoupment, whatever the damages proved by a. Essentially an independent claim that may be filed
defendant, they can go only to reduce or separately in another case
extinguish the claim against him 2. Compulsory Counterclaim
b. Recoupment must arise out of the contract or a. When its object arises out of or is connected with the
transaction upon which the plaintiffs claim is transaction or occurrence constituting the subject
founded matter of the opposing partys claim and does not
require for its adjudication the presence of third
For Set-off or Recoupment to be considered as counterclaim, the parties of whom the court cannot acquire jurisdiction
following requisites must concur (Lopez v. Gloria and Sheriff of b. Unlike permissive counterclaims, compulsory
Leyte): counterclaims should be set up in the same action,
1. The same be essentially a genuine action of the defendant otherwise they would be barred forever
against the plaintiff c. If a compulsory counterclaim is:
Under this requisite, independent of any other (1) Filed concurrently with the main action but in a
consideration, a genuine action is constituted by different proceeding, it would be abated on the
defendant which could be employed separately ground of litis pendentia
against plaintiff (2) Filed subsequently, abated on the ground of res
2. The same should have as its object, to neutralize, wholly or judicata
partially, that which the plaintiff is trying to obtain
Under this requisite, that the defendant admits the COMPULSORY PERMISSIVE
facts upon which the action of plaintiff is based COUNTERCLAIM COUNTERCLAIM
This requisite is absent if defendant bases his claim One which arises out of or is
It does not arise out of nor is it
on facts which directly destroy the action or cause of necessarily connected with the
necessarily connected with the
action of plaintiff; in this case, the claim of defendant transaction or occurrence that
subject matter of the opposing
would only be a special defense is the subject matter of the
partys claim
3. The same does not have for its object to destroy directly opposing partys claim
the action of the plaintiff; and It may require for its
It does not require for its
Under this requisite, set-off or recoupment may be adjudication the presence of
adjudication the presence of
merely a defense and not a counterclaim if it only third parties over whom the
third parties of whom the court
tends to oppose or to destroy the action of plaintiff court cannot acquire
cannot acquire jurisdiction
4. The same ought not to pray for a positive remedy distinct jurisdiction
from payment of money It is barred if not set up in the It is not barred even if not set
action up in the action
Same Capacity Rule A counterclaim must be filed against an Must be answered, otherwise,
opposing party in the same capacity he is suing (De Borja v. De Need not be answered; no
the defendant can be declared
Borja) default
in default

Note that a counterclaim against counsel is not allowed (Chavez v. Note: A plaintiff who fails or chooses not to answer a compulsory
Sandiganbayan) counterclaim may not be declared in default, principally because the
- A lawyer who acts in the name of a client should not be issues raised in the counterclaim are deemed automatically joined
sued on a counterclaim in the very same case he has filed by the allegations of the complaint. (Gojo v. Goyala)
only as a counsel and not as a party
- Any claim for alleged damages or other causes of action PERMISSIVE COUNTERCLAIMS
should be filed in an entirely separate and distinct civil
action Permissive Counterclaim
- A lawyer cannot properly attend to his duties towards his - Counterclaim is permissive if it does not arise out of, nor is
client if, in the same case, he is kept busy defending necessarily connected with, the subject matter of the
himself opposing partys claim
- This is not barred even if not set up in the action
- Must have independent jurisdictional ground (see notes on
fourth element of compulsory counterclaims)

61
Cases where Counterclaims were Held as Permissive UNLESS: it had independent jurisdictional grounds to
1. In an action for money, defendants counterclaim for support it
damages sustained because of supposed illegal detention Under Sec. 2 and 3 of Rule 17, where the complaint is
by plaintiff is merely permissive (Yap Unki v. Chua Jamco) dismissed upon the motion of the plaintiff or due to
2. The civil case in the Pasig Court, which is in effect a the fault of the plaintiff, the defendant may prosecute
counterclaim to the Manila case, was ordered transferred his counterclaim in the same or in a separate action
and consolidated with the Manila case (Delta v. - Note however the language of the present rule:
Mangosing) 1. The counterclaim must be within the jurisdiction of
the court both as to the amount and the nature
COMPULSORY COUNTERCLAIMS thereof
2. EXCEPT that in an original action before the RTC, the
Requisites of Compulsory Counterclaim: counterclaim may be considered compulsory
1. It must be cognizable by regular courts regardless of the amount (note this is only with
If a claim is cognizable by other quasi-judicial bodies regard to the AMOUNT and not as to NATURE, see
(like the NLRC or the SEC) then it cannot be notes below)
compulsory - As such, a compulsory counterclaim in the RTC needs no
2. It arises out of or is necessarily connected with, the independent jurisdictional grounds
transaction or occurrence that is the subject matter of the - However, permissive counterclaims must have
opposing partys or co-partys claim independent jurisdictional ground
3. Does not require for its adjudication the presence of third In the MTC, a counterclaim beyond the courts
parties of whom the court cannot acquire jurisdiction jurisdiction may only be pleaded by way of defense; if
When the presence of parties other than those to the found to be meritorious, complaint may be dismissed
original action is required for the granting of on the ground that the defendant has bigger credit
complete relief in the determination of a (Calo v. Ajax)
counterclaim or cross-claim, the court shall order In Yu Lay v. Galmes, it has been held that the failure
them to be brought in as defendants, if jurisdiction of the defendant to set up, by way of counterclaim,
over them can be obtained the credit for a sum greater than that of the justice of
4. The trial court has jurisdiction to entertain the claim both the peaces jurisdiction does not mean that he
as to the amount and the nature thereof, except that in an thereby loses his right to set it up before a competent
original action before the RTC, the counterclaim may be court
considered compulsory regardless of the amount The rule that a compulsory counterclaim is barred if
See separate discussion below not set up, when applied to MTCs presupposes that
the amount involved is within said courts jurisdiction
GENERAL RULE: A compulsory counterclaim not set up in the
answer is deemed barred Limitations on Jurisdiction over the Nature of the Claim
- While there is no limit on the amount of the claim as far as
EXCEPTIONS: the RTC is concerned, the RTC must, however, have
1. If it is a counterclaim which either matured or was jurisdiction over the nature of the claim
acquired by a party after serving his answer - Regardless if it is the RTC or MTC, the court must have
In this case, it may be pleaded by filing a jurisdiction over the nature of the claim
supplemental answer or pleading before judgment - Illustrative cases:
(Sec. 9, Rule 11) 1. Vda. De Chua v. IAC it was held that the rules on
2. When a pleader fails to set up a counterclaim through jurisdiction in an independent action applies to
oversight inadvertence, excusable negligence, or when counterclaims; a counterclaim for recovery of
justice requires possession may be allowed in the RTC but not a
He may, by leave of court, set-up the counterclaim by counterclaim for ejectment
amendment of the pleading (Sec. 10, Rule 11) 2. Chan v. CA it was held that a counterclaim for
ejectment may be set up in a consignation case filed
A compulsory counterclaim is auxiliary to the original suit with the MTC but not with the RTC
- It is auxiliary to the proceeding in the original suit and 3. Zulueta v. Pan Am lack of jurisdiction over the main
derives its jurisdictional support therefrom case was cured by the compulsory counterclaim
- It presupposes the existence of a claim against the party based upon damages already suffered by defendant in
filing the counterclaim consequence of the filing of the complaint
- Where there is no claim against a counterclaimant, the 4. Where the MTC has no jurisdiction in ejectment, it
counterclaim is improper and it must be dismissed; more has also no jurisdiction to entertain counterclaim
so where complaint is dismissed at the instance of the
counterclaimant NAMARCO v. Federation of United Namarco Distributors Inc. laid
down the following criteria to determine whether a counterclaim is
As to the Fourth Element compulsory: If YES to all four questions = counterclaim is
- According to Justice Moran, a compulsory counterclaim is COMPULSORY
essentially auxiliary or ancillary to the main controversy 1. Are the issues of fact and law raised by the claim and
- Being ancillary, it needs no independent jurisdictional counterclaim largely the same?
grounds to support it, and as a consequence, no 2. Would res judicata bar a subsequent suit on defendants
jurisdictional amount is required for its adjudication claim about the compulsory counterclaim rule?
- If the court does not have jurisdiction to entertain the 3. Will substantially the same evidence support or refute
main action of the case and dismissed the same, then the plaintiff's claim as well as defendants counterclaim
compulsory counterclaim, being ancillary, must likewise 4. Is there any logical relation between the claim and
be dismissed counterclaim?

62
The Logical Relationship Test Any claim a party has against an If he opts to set up his compulsory counterclaim, he
opposing party that is logically related to the claim being asserted by may still plead his ground for dismissal as an
the opposing party, and that is not within the exception to the rule is affirmative defense in his answer (more favorable
a compulsory counterclaim. option)

Nexus Between the Phrase Logical Relationship and Purpose of Rule Note also that No Filing Fee is required for Compulsory
- A counterclaim is logically related to the opposing partys Counterclaims but only for Permissive Counterclaims
claim where separate trials of each of their respective - Filing fee does not apply to a compulsory counterclaim
claims would involve SUBSTANTIAL DUPLICATION of - Only to permissive counterclaim
effort and time by parties and courts - There is no need to pay docketing fees for compulsory
- Where multiple claims involve many of the same factual counterclaim (Metal Engineering Resources Co. v. CA)
issues, or the same factual and legal issues, or when they
are offshoots of the same basic controversy between Cases where Counterclaim was Held to be Compulsory and Examples
parties, fairness and convenience require that the 1. A counterclaim for damages and attorneys fees as a
counterclaimant be permitted to maintain his cause of consequence of an action filed against petitioner is
action compulsory and must be pleaded in the same action (Tui
Po v. Bautista)
The counterclaim must have MATURED before the answer 2. In an action for recovery of possession of real estate the
- If counterclaim matures AFTER the answer, it is merely expense for clearing and cultivation is a compulsory
PERMISSIVE counterclaim even if it is inconsistent with the defense of
- Counterclaim or cross-claim, which either matured or was ownership (Camara v. Aguilar)
acquired by a party after serving his pleading, may, with 3. In an action for annulment on ground of fraud expenses
court permission, be presented as a counterclaim or a for preservation and improvement of property is
cross-claim by supplemental pleading before judgment compulsory (Maclan v. Garcia)
4. In an action by debtor against a creditor to prevent
Meaning of Transaction or Occurrence extrajudicial foreclosure of chattel mortgage, creditor
- Transaction may comprehend a series of many should file a counterclaim for mortgage debt and damages,
occurrences depending not so much upon the if any, provided that the debt is already mature (Papa v.
immediateness of their connection as upon their logical Banaag)
relationship 5. In an action to quiet title, the claim of defendants for
- Transaction is broad enough to include an occurrence damages against the plaintiff for usurping the produce of
and the words transaction or occurrence as used the property is compulsory (Doliente v. Blanco)
include the facts out of which a cause of action may arise 6. Claims for compensation for improvements in good faith
and probably mean whatever may be done by one person should be set in an action for ejectment suit against
which affects anothers rights and out of which a cause of defendant (Beltran v. Balbuena)
action arises 7. In Linaza v. IAC, and which was reiterated in Melquiades
- It is not enough that the claim and counterclaim arise out v. IAC, reconveyance of title was granted in a counterclaim
of the same contract 8. The claim of employers for actual damages against a
a. It should also arise out of the same transaction or dismiss employee where the basis of the claim arises from
occurrence that is the subject matter of the opposing or is necessarily connected with the fact of termination,
partys claim should be entered as a counterclaim in labor dismissal
case
Failure to Invoke Compulsory Counterclaim a. This should be distinguished from causes of action for
- A party to a case who failed to invoke his claim in the main damages where employment relationship is merely
case, while having the opportunity to do so, will be incidental and the cause of action proceeds from a
precluded, subsequently, from invoking his claim, even if it different source of obligation
were true, after the decision has become final (Tuazon v. 9. Note that compulsory counterclaim incapable of pecuniary
Arca) estimation, such as those arising from quasi-contracts are
- Estoppel may be successfully invoked if party fails to raise not allowed in ejectment cases, but may be the subject of a
the question in early stages of proceeding (Corona v. CA) separate action in the RTC (Arenas v. CA)
- A compulsory claim cannot be the subject of a separate 10. Rules on Counterclaim for Improvements in Ejectment
action Cases
a. Power of the court in ejectment case to decide issue
Filing of a Motion to Dismiss is an Implied Waiver of Compulsory of builder in good faith (Tayag, et.al. v. Yusecom
Counterclaim et.al.)
- If the dismissal of the main action results in the dismissal (1) Speaking of ordinary ejectment cases, if lessees
of the counterclaim already filed, it stands to reason that or occupant has not built anything on the
the filing of a motion to dismiss the complaint is an premises, payment of rent would be a valid and
implied waiver of the compulsory counterclaim since the satisfactory solution
grant of the motion ultimately results in the dismissal of (2) But where defendant has built on the land,
the counterclaim especially where it is substantial and valuable,
- Hence, the filing of a motion to dismiss and setting up of a courts even in ejectment cases are bound to take
compulsory counterclaim are incompatible remedies cognizance of such fact
- In the event that defendant has a ground for dismissal and (3) When the court finds that the construction or
a compulsory counterclaim at the same time, he must planting had been effected in good faith:
choose only one remedy (a) Court enforces or defends the respective
If he chooses a motion to dismiss, he will lose his rights of parties and to assess the value of
compulsory counterclaim the land and improvement

63
(b) Instead of directing the parties to comply SECTION 8 - Cross-claim.A cross-claim is any claim by one party
with Art 448 NCC, and if they cannot agree, against a co-party arising out of the transaction or occurrence
to file a new action that is the subject matter either of the original action or of a
(c) This is to avoid multiplicity of suits and to counterclaim therein. Such cross-claim may include a claim that
administer practical and speedy justice the party against whom it is asserted is or may be liable to the
(4) Court may apply the provisions of the NCC cross-claimant for all or part of a claim asserted in the action
relative to builders specially since there is no against the cross-claimant.
question as to the ownership of the buildings
b. In Alvira v. Vera as an incident to the main issue of Purpose of Cross-claim to settle in a single proceeding all the
possession de facto, inferior courts can decide, if claims of the different parties in the case against each other in order
defendant has built on the land a substantial and to avoid multiplicity of suits
valuable building, and there is no dispute as to
ownership, their rights according to the NCC Requirements for a Cross-claim
c. However, in Depra v. Dumlao, the SC, addressing the 1. A claim by one party against a co-party
question of the decision of the MTC ordering a forced 2. It must arise out of the subject matter of the complaint or
lease between parties after finding that defendant of the counterclaim; and
was builder in good faith, held that the decision is null 3. The cross-claimant is prejudiced by the claim against him
and void by the opposing party
(1) Judgment in a detainer case is effective in
respect of possession only Limitations on Cross-claim
(2) MTC overstepped its bounds when it imposed 1. Must arise out of the subject matter of the complaint
upon the parties a forced lease; a lease is an 2. Can be filed only against a co-party
interest in real property and belongs to the 3. Is proper only where cross claimant stands to be
jurisdiction of CFI prejudiced by filing of the action against him (see notes
d. Counterclaim for improvement is compulsory as held under Cross Bill)
in Baclayon v. CA 4. If the complaint is dismissed, cross-claim should also be
(1) Although the alternative defense of being dismissed (see notes below)
builders in good faith is only permissive,
(2) The counterclaim for reimbursement of the Cross Claim v. Counterclaim they differ in that:
value of the improvements is compulsory 1. In cross-claim, it is filed against a co-party
(3) Failure to set up in an action for recovery of 2. And always arises out of the transaction or occurrence that
ownership and possession filed with the RTC is the subject matter of either the original action or of a
bars the right to raise it in a subsequent counterclaim therein
litigation
e. In a special civil action for declaratory relief a GENERAL RULE: C ross-claim not set up in the action is BARRED
defendant may set up in his answer a counterclaim EXCEPTIONS: Permissive cross-claims
based on or arising from the same transaction, deed 1. When it is outside the jurisdiction of the court; or
or contract on which the petition is based (Ledesma 2. If the court cannot acquire jurisdiction over third parties
v. Morales and Amparo) whose presence is necessary for the adjudication of said
cross-claim
Related Rules on Counterclaims In which case, the cross-claim is considered as
1. Sec. 8, Rule 11 a compulsory counterclaim or a cross- permissive
claim that a defending party has at the time he files his 3. Cross claim that may mature or may be acquired after
answer shall be contained therein service of the answer
2. Sec. 2, Rule 9 a compulsory counterclaim or cross-claim,
not set up shall be barred Note: The dismissal of the complaint carries with it the dismissal of a
3. Sec. 9, Rule 11 a counterclaim or cross-claim which cross-claim which is purely defensive, but not a cross-claim seeking
either matured or was acquired by a party after serving his an affirmative relief.
pleading may, with the permission of the court, be
presented as a counterclaim or cross-claim by On Dismissal of the Complaint (as discussed in Ruiz v. CA)
supplemental pleading before judgment - Where cross-claim stemmed from the alleged unjust
4. Sec. 10, Rule 11 when a pleader fails to set up a refusal of donees to return donated properties, resulting in
counterclaim or a cross-claim through oversight, the donors filing of the complaint for revocation of
inadvertence, or excusable negligence, or when justice donation
requires, he may, by leave of court, set up the counterclaim - Here, the cross-claim arose from the complaint of the
or cross-claim by amendment before judgment donors and was not separable to the main action
5. Sec. 4, Rule 11 a counterclaim or cross-claim must be It had no independent existence and was based
answered within 10 days from service entirely on that complaint
6. Sec. 3, Rule 11 as to an amended counterclaim or cross- - The cross-claim was defensive in character because it can
claim. The counter-defendant shall answer the same prosper only if plaintiffs succeed
within 15 days after being served a copy thereof. Where its - Since plaintiffs failed to establish that the petitioners
filing is not a matter of right, the counter-defendant shall refusal was not justified, it necessarily followed that the
answer the amended counterclaim within 10 days from respondents cross-claim, which was based on the same
notice of the order admitting the same. An answer earlier allegation, also had to fail
filed may serve as the answer to the amended - Cross-claimants cannot claim more right than the plaintiffs
counterclaim if no new answer is filed themselves, on whose cause of action the cross-claimants
depended

64
Test of Propriety of Cross-claims reply, all the new matters alleged in the answer are deemed
- There must at least be a necessary relation to the matter controverted.
constituting the principal cause of action If the plaintiff wishes to interpose any claims arising out of
- If the cause of action set forth in the cross claim is entirely the new matters so alleged such claims shall be set forth in an
foreign to the matters alleged in the original complaint or amended or supplemental complaint.
in the counterclaim, the cross-claim shall be dismissed
- There must be some legal or equitable relationship Primary Purpose of Reply to join issues with new matters raised in
between the ground for recovery alleged in the cross-claim the answer and thereby authorize the pleader of the reply to
and the matters alleged as cause of action by plaintiff introduce evidence on said new issues

Improper Cross-Claims: Regalado notes that the filing of the reply is optional as the new
1. Where the cross-claim is improper, the remedy is matters raised in the answer are deemed controverted even without
certiorari (Malinao v. Luzon Surety) a reply.
2. The dismissal of a cross-claim is unappealable when the Where the party desires to file a reply, he must
order dismissing the complaint becomes final and nevertheless do so within 10 days from service of the
executory (Ruiz, Jr. v. CA) pleading responded to (Sec. 6, Rule 11)
3. A cross-claim is not allowed after declaration of default of
cross-claimant (Tan v. Dimayuga) When Reply is Necessary:
It would be tantamount to setting aside the order of 1. To set up affirmative defenses on the counterclaim
default because then the cross-claimant would re- (Rosario v. Martinez)
obtain a standing in court as party litigant 2. Where the answer alleges the defense of usury in which
case a reply under oath should be made; otherwise, the
THIRD-PARTY allegation of usurious interest shall be deemed admitted
CROSS-CLAIM COUNTERCLAIM
COMPLAINT (Sun Bros. v. Caluntad)
Against a person 3. Where the defense in the answer is based on an actionable
Against an opposing
Against a co-party not a party to the document, a reply under oath must be made; otherwise,
party
action the genuineness and due execution of the document shall
May arise out or be be deemed admitted (Toribio v. Bidin)
necessarily
Must arise out of connected with the Exception to the Rule in Falcasantos v. How Suy Ching where the
the transaction transaction or the case is submitted on the pleadings, the failure of the party to make a
that is the subject subject matter of the Must be in respect reply does not mean that he is deemed to have controverted the
matter of the opposing partys of the opponents issues raised in the answer
original action or claim, in which case, (plaintiff) claim
for a counterclaim it is called Limitations
therein compulsory; or it 1. Calvo v. Roldan a party cannot, in his reply, amend his
may not, in which cause of action
case it is permissive 2. Anaya v. Palaoran a party cannot, in his reply, introduce
No need for a leave No need for leave of Leave of court is therein new or additional causes of action
of court court needed

Illustrative Cases: SECTION 11 - Third, (fourth, etc.)party complaint.A third


1. In an action for damages against the judgment creditor (fourth, etc.)party complaint is a claim that a defending party
and the Sheriff for having sold the property of the plaintiff, may, with leave of court, file against a person not a party to the
the Sheriff may file a cross-claim against the judgment action, called the third (fourth, etc.)party defendant, for
creditor for whatever amount he may be adjudged to pay contribution, indemnity, subrogation or any other relief, in
the plaintiff respect of his opponents claim.
2. In an action against a co-signer of a promissory note one of
whom is merely an accommodation party, the latter may NOTE: for CONTRIBUTION, INDEMNITY, SUBROGATION, or any
file cross-claim against the party accommodated for other RELIEF (CIS)
whatever amount he may be adjudged to pay the plaintiff
3. The cross-claim need not seek relief against all original Nature and Object of Third-Party Complaint
defendants. A third-party complaint may be likened to a - It is a procedural device; Sec. 11 defines it
cross claim (Talisay-Silay v. CIR) - A third-party complaint is actually independent of and
4. A cross-claim of defendant against co-defendant in an separate and distinct from plaintiffs complaint
action where their liability is in solidum is not barred even The Rules permit defendant to bring in a third-party
when the latter is not summoned (Cardenas v. Camus) defendant to litigate his separate cause of action in
respect of plaintiffs claim against a third-party in the
original and principal cause
SECTION 9 - Counterclaims and counter-cross-claims.A - But Regalado notes that a third-party complaint need not
counterclaim may be asserted against an original counter- arise out of or be entirely dependent on the main action as
claimant. it suffices that the former be only in respect of the claim
A cross-claim may also be filed against an original cross-claimant. of the third-party plaintiffs opponent
- Object is to avoid circuity of action and unnecessary
SECTION 10 - Reply.A reply is a pleading, the office or function proliferation of lawsuits and disposing expeditiously in
of which is to deny, or allege facts in denial or avoidance of new one litigation the entire subject matter
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

65
- Purpose is to enable a defending party to obtain Rule on Venue and Jurisdiction Inapplicable
contribution, indemnity, subrogation, or other relief from a - Jurisdiction over 3rd party complaint is but a continuation
person not a party to the action of the main action and is a procedural device to avoid
- Notwithstanding the judgment on the pleadings, defendant multiplicity of suits
could still proceed with the prosecution of the third-party - As such, proscription on jurisdiction and venue applicable
complaint to ordinary suits may not apply (Eastern Assurance v.
- Judgment on a third-party complaint may become final Cui)
and executory without waiting for the final determination - What is determinative of venue are the operative facts in
of the main case (Pascual v. Bautista) the main case, and not those alleged in the third-party
complaint
Reason for Leave of Court - To obviate delay in the resolution of the
complaint as when: Grounds for Third-Party Complaint The third party complaint must
a. Third party defendant cannot be located; or have a connection with the main action, with defendant claiming for:
b. Unnecessary issues may be introduced; or 1. Contribution,
c. Introduction of a new and separate controversy 2. Indemnity,
3. Subrogation, or
Basis of Third-Party Complaint 4. Any other relief
- Under this Rule, a person not party to an action may be
impleaded by the defendant either: Tests of Propriety The tests whether the third-party complaint in
(a) On allegation of liability to the latter; respect to plaintiffs claim are:
(b) On the ground of direct liability to the plaintiff; or 1. Whether it arises out of the same transaction on which
(c) Both (a) and (b) plaintiffs claim is based; or
- Situation in (a) is covered by the phrase contribution, 2. Whether the third partys claim, although arising out of
indemnity or subrogation, while (b) and (c) are subsumed another or different contract or transaction, is connected
under the catch-all phrase (Samala v. Victor) with plaintiffs claim; or
3. Where the third-party defendant would be directly liable
Third-Party Complaint v. Cross-Claim to the plaintiff or to the defendant in whole or in part of
a. SIMILARITY: the third-party seeks to recover from another plaintiffs claim against the original defendant, although
person some relief in respect to the opposing partys claim the third partys liability arises out of another transaction;
b. DIFFERENCE: or
(1) In a cross-claim, third party is already impleaded 4. Where the third-party defendant may assert defenses
(2) In a third-party complaint, third party is not yet which the third-party plaintiff may have against the
impleaded; leave of court is also required and if plaintiffs claim
granted, summons will have to be served on the
third-party defendant Notes:
- Leave of court to file a third-party complaint may be
Third-Party Complaint v. Complaint in Intervention (Rule 19) obtained by motion under Rule 15
a. SIMILARITY: both result in bringing into the action a 3 rd - Summons on third, fourth, etc. party defendant must be
person who was not originally a party served for the court to obtain jurisdiction over his person,
b. DIFFERENCE: since he is not an original party
(1) Initiative in a third-party complaint is with the person - Where the trial court has jurisdiction over the main case, it
already a party to the action also has jurisdiction over the third-party complaint
(2) In intervention, initiative is with a non-party who regardless of the amount involved as a third-party
seeks to join the action complaint is merely auxiliary to and is a continuation of
the main action
No Need to Amend Complaint to Hold Third-Party Defendant - A third party complaint is not proper in an action for
Directly Liable to Plaintiff declaratory relief
- When a third-party defendant is impleaded on the ground
of direct liability to the plaintiff, there is no need to amend Examples of Third-Party Complaint
the complaint to hold the third-party defendant liable 1. A creditor files an action for collection against one of the
- Since liability if third-party defendant is already asserted solidary debtors. Defendant may with leave of court file a
in the third-party complaint, amendment of complaint to third-party complaint against his co-debtor for
assert such liability is a mere matter of form contribution of his share in the obligation
- A third-party complaint, however, involves an action 2. The victim of a vehicular accident files an action for
separate and distinct from, although related to, the main damages against one of the owners of the vehicle involved.
complaint The latter with leave of court may file a third-party
- A third-party defendant who feels aggrieved by some complaint against his insurer for indemnity to the extent
allegations in the main complaint should, aside from of the insurance against any liability of the owner of the
answering the third-party complaint, also answer the main motor vehicle.
complaint 3. Where an action is filed by the lessor against the lessee for
failure to make repairs on the leased premises, the lessee
Same Capacity Rule applies So, one who is sued in his individual may with leave of court file a third-party complaint against
capacity cannot file a third-party complaint in another capacity, like the sublessee who assumes compliance, for subrogation
an administrator (Capayas v. CFI Albay) 4. In an action for damages based on torts, defendant may
with leave of court file a third-party complaint against a
Third-Party Defendant must NOT be a Party The third-party third person on the ground that the latters negligence is
complaint cannot be asserted against one who is already a party to the proximate cause of the accident
the action. (Del Rosario v. Jimenez)

66
Judgment and Appeal A new party impleaded by plaintiff in a compulsory
- There are 2 judgments that may be rendered in the action counterclaim cannot be considered to have
where a third-party complaint is filed: automatically and unknowingly submitted to the
1. Judgment on the principal action; and jurisdiction of the court
2. Judgment on the third-party complaint A contrary ruling would result in mischievous
- An appeal in one does not inure to the benefit of the other consequences whereby a party may be
- When the issues presented in the third-party complaint indiscriminately impleaded
are separate and distinct from those in the complaint, the - The correct procedure in such instances is for the trial
third-party complaint is not a legal obstacle to the court to order such impleaded parties to be brought in as
dismissal of the main action defendants, if jurisdiction over them can be obtained, by
- An order disallowing a third-party complaint is appealable directing that summons be served on them
since it would finally dispose of defendants right to In this manner, they can properly be appraised of and
implead the party (De Dios v. Balagot) answer the charges against them
- But the main case cannot be tried pending receipt of Only upon service of summons can trial court obtain
answer to the third-party complaint jurisdiction over them
It is the duty of the judge to rule on third-party
complaint where issues have been joined and Distinguished from a Third-party Complaint
evidence received - A third-party complaint is proper when not one of the
- Examples: third-party defendants therein is a party to the main
1. Where a third-party defendant appealed but the action
third-party plaintiff did not appeal from the judgment - If one or more of the defendants in the counterclaim or
against him in favor of the plaintiff, such judgment cross-claim is already a party to the action, then the other
became executory, without prejudice to the third- necessary parties may be brought under this section
party defendants appeal being given due course as it
pertains only to the third-party complaint (Firestone
Tire & Rubber Co. v. Tempongko) SECTION 13 - Answer to third (fourth, etc.)party complaint.A
2. Where the trial court dismissed the complaint and the third (fourth, etc.)party defendant may allege in his answer his
defendants third-party complaint, and only the defenses, counterclaims or cross-claims, including such defenses
plaintiff appealed, the CA cannot make a finding of that the third (fourth, etc.)party plaintiff may have against the
liability on the third-party defendants who did not original plaintiffs claim. In proper cases, he may also assert a
appeal from the dismissal of the third-party counterclaim against the original plaintiff in respect of the latters
complaint (Go, et.al. v. CA) claim against the third-party plaintiff.

Notes
SECTION 12 - Bringing new parties.When the presence of - Under this rule, the third-party defendant is allowed to
parties other than those to the original action is required for the include in his answer to the third-party complaint
granting of complete relief in the determination of a counterclaim defenses, counterclaims, or cross-claims, including such
or cross-claim, the court shall order them to be brought in as defenses that the third-party plaintiff may have against the
defendants, if jurisdiction over them can be obtained. original plaintiffs claim
- In proper cases, he may also assert a counter-claim against
For purposes of Sec. 12, the court may authorize the filing of the the third-party plaintiff
proper third-party complaint to implead the other parties not Example:
included in the complaint (Rubio v. Mariano) - A third party complaint was filed against a reinsurer by
- Even where the impleading of third-party defendants does the defendant insurer
not fall squarely within the requisites of Sec. 12, their - The reinsurer may set up in his answer the defense alleged
inclusion in the action may be permitted where there is a by the defendant insurer that the loss was caused by the
question of law or fact common to the right in which they willful act of connivance by the plaintiff insured
are interested and another right sought to be enforced in - But the third-party defendant reinsurer may not ordinarily
the action, hence their inclusion is now necessary under file a counterclaim against the plaintiff insured, there
Sec. 6, Rule 3 being no privity of contract between them

Notes:
- In an action to recover possession by a co-owner, the
defendant files a counterclaim to recover title to the same END OF RULE 6
property
The other co-owners may be brought in under this
section as defendants to the counterclaim for
complete relief thereon
- The plaintiffs husbands may be joined as co-defendants of
their wives in the counter-complaint against them
(Aurelio v. CA)
- While a compulsory counterclaim may implead persons
not parties to the original complaint, the general rule a
defendant in a compulsory counterclaim need not file any
responsive pleading, as it is deemed to have adopted the
allegations in the complaint as its answer does not apply
The filing of a responsive pleading is deemed a
voluntary submission to the jurisdiction of the court

67
NOTES ON RULE 6

68
NOTES ON RULE 6

69
Contents of the Pleading:
RULE 7 1. Pleading designation
PARTS OF A PLEADING 2. Allegations of the partys claims or defenses
Divided into numbered paragraphs
One paragraph for a statement of a single set of
SECTION 1 - Caption.The caption sets forth the name of the circumstances
court, the title of the action, and the docket number if assigned. If more than one cause of action, the first is referred to
The title of the action indicates the names of the as first cause of action then second cause of action
parties. They shall all be named in the original complaint or and so on; same goes to the answers
petition; but in subsequent pleadings, it shall be sufficient if the 3. Relief prayed for
name of the first party on each side be stated with an appropriate May add a general prayer for such further or other
indication when there are other parties. reliefs as may be deemed just or equitable
Their respective participation in the case shall be indicated. 4. Date of the pleading
Every pleading shall be dated
Contents of a Caption:
1. Name of the Court Title of the Pleading not Controlling
2. Title of the Action - Courts should not be misled by a false name given to a
a. Indicates the name of the parties pleading or a defective title
b. Participation of parties - Courts should be guided by the averments thereof
3. Docket number, if assigned
The prayer in a pleading does not constitute an essential part of the
Test of Sufficiency of Plaintiffs Initial Pleading allegations determinative of the jurisdiction of the court
As to form, the test is whether it clearly states the nature, - Question on jurisdiction depends largely upon the
basis, and extent of the claim or demand asserted, so that the determination of the true nature of the action
defendant and the court may be fully informed and proceed This in turn involves the consideration of the ultimate
accordingly. facts alleged as constitutive of the cause of action
therein (Bautista v. Fernandez)
Caption not Determinative of Nature of Pleading - Prayer for relief, although part of the complaint, cannot
- It is not the caption but the facts alleged which give create a cause of action
meaning to the pleading As such, it cannot be considered as a part of the
- Courts are called upon to pierce the form and go into the allegations of the nature of the cause of action
substance thereof (Rosales v. Reyes)

Vlasons Enterprises Corp. v. CA the mere failure to include the


name of the party in the title of the complaint is not fatal by itself SECTION 3 - Signature and address.Every pleading must be
provided there is a statement in the body of the petition indicating signed by the party or counsel representing him, stating in either
that a defendant was made party to such action case his address which should not be a post office box.
The signature of counsel constitutes a certificate by him
that he has read the pleading; that to the best of his knowledge,
SECTION 2 - The body.The body of the pleading sets forth its information, and belief there is good ground to support it; and
designation, the allegations of the partys claims or defenses, the that it is not interposed for delay.
relief prayed for, and the date of the pleading. (n) An unsigned pleading produces no legal effect. However,
(a) Paragraphs.The allegations in the body of a pleading the court may, in its discretion, allow such deficiency to be
shall be divided into paragraphs so numbered as to be remedied if it shall appear that the same was due to mere
readily identified, each of which shall contain a inadvertence and not intended for delay. Counsel who
statement of a single set of circumstances so far as that deliberately files an unsigned pleading, or signs a pleading in
can be done with convenience. A paragraph may be violation of this Rule, or alleges scandalous or indecent matter
referred to by its number in all succeeding pleadings. therein, or fails to promptly report to the court a change of his
(3a) address, shall be subject to appropriate disciplinary action.
(b) HeadingsWhen two or more causes of action are
joined, the statement of the first shall be prefaced by the Breakdown of the Provision:
words first cause of action, of the second by second A. Every pleading must be signed by the party or counsel
cause of action, and so on for the others. representing him
When one or more paragraphs in the 1. Address must be stated
answer are addressed to one of several causes of action 2. Such address must not be a post office box
in the complaint, they shall be prefaced by the words B. Signature of counsel constitutes a certificate by him that:
answer to the first cause of action or answer to the 1. He has read the pleading
second cause of action and so on; and when one or 2. That to the best of his knowledge, information, and
more paragraphs of the answer are addressed to belief there is good ground to support it; and
several causes of action, they shall be prefaced by 3. That it is not interposed for delay
words to that effect. (4) C. Unsigned Pleading
(c) Relief.The pleading shall specify the relief sought, but 1. No legal effect
it may add a general prayer for such further or other 2. Court may, in its discretion, allow such remedy to be
relief as may be deemed just or equitable. (3a, R6) remedied if it appears that:
(d) Date.Every pleading shall be dated. a. It was due to mere inadvertence; and
b. It was not intended for delay
D. Counsel shall be subject to appropriate disciplinary action:
1. If he deliberately files an unsigned pleading,

70
2. If he signs a pleading in violation of the Rule Note: The 2nd paragraph emphasizes that the pleaders affirmation of
3. If he alleges scandalous or indecent matter therein the truth and correctness of the allegations in his pleading shall be
4. If he fails to promptly report to the court a change of based not only on his knowledge and belief but specifically on his
his address PERSONAL knowledge or based on AUTHENTIC records

Effect of Failure to Sign or Signing with Intent to Defeat Purposes of Purpose of Verification
Rules: - Intended to forestall allegations which are perjured or
1. Strike out pleading as sham and false hearsay
2. Action proceeds as if no pleading has been served; and - Purpose is reasonably subserved by the requirement for
3. Attorney may be subjected to disciplinary action authentic documents such as official records
Note that these are exceptions to the hearsay rule
Attorney should also indicate his Roll of Attorneys Number - As such, verification cannot be made on facts or arising in
- Bar Matter No. 287 (2000) lawyers should indicate his whole or in part from mere information and belief
current Professional Tax Receipt, IBP Official Receipt, and
his Roll of Attorneys Number in all pleadings, motions, and Who can make a verification?
papers 1. By the party or his representative
- Bar Matter No. 1132 (2003) all pleadings which do not 2. His lawyer
bear counsels roll number may not be acted upon by the 3. Or any person who personally knows the truth of the facts
court alleged in the pleading
Without prejudice to whatever disciplinary action the
court may take against erring counsel Note: Pleadings filed in the inferior courts in cases covered by the
Counsel is required to comply with the requirement Rules on Summary Procedure are all required to be verified
within 5 days from notice
Failure to comply with said order shall be ground for How a Pleading is Verified: by an affidavit that the affiant:
further disciplinary action and contempt of court 1. Has read the pleading; and
2. That the allegations therein are true and correct of his
GENERAL RULE: No substitution of attorneys will be allowed personal knowledge or based on authentic documents
EXCEPTION: Unless all of the following requisites are present:
1. There is written request for such substitution Verification is REQUIRED in the following:
2. It is filed with the written consent of the client; and 1. Petition for relief from judgment or order (Sec. 3, Rule 38)
3. With the written consent of the attorney to be substituted, 2. Petition for review from RTC to the CA (Sec. 1, Rule 42)
or with proof of service of notice of said motion to the 3. Petition for review from quasi-judicial agencies to the CA
attorney to be substituted (Sec. 5, Rule 43)
4. Appeal by certiorari from the CTA to the SC (Sec. 12, RA
Unless the requisites are complied with, no substitution will be 9282 amending Sec. 19, RA 1125)
permitted and the attorney who last appeared in the case before 5. Appeal by certiorari from CA to the SC (Sec. 1, Rule 45)
such application will be responsible for the conduct of the case 6. Petition for annulment of judgments or final orders and
(Bacarro v. CA, et al., citing US v. Borromeo) resolutions (Sec. 1, Rule 47)
7. Complaint for injunction (Sec. 4, Rule 58)
8. Application for appointment of receiver (Sec. 1, Rule 59)
SECTION 4 - Verification.Except when otherwise specifically 9. Application for support pendente lite (Sec. 1, Rule 69)
required by law or rule, pleadings need not be under oath, 10. Petition for certiorari against judgments, final orders, or
verified or accompanied by affidavit. resolutions of constitutional commissions (Sec. 2, Rule 64)
A pleading is verified by an affidavit that the affiant has 11. Petition for certiorari (Sec. 1, Rule 65)
read the pleading and that the allegations therein are true and 12. Petition for prohibition (Sec. 2, Rule 65)
correct of his personal knowledge or based on authentic records. 13. Petition for mandamus (Sec. 3, Rule 65)
A pleading required to be verified which contains a 14. Petition for quo warranto (Sec. 1, Rule 66)
verification based on information and belief, or upon 15. Complaint for expropriation (Sec. 1, Rule 67)
knowledge, information and belief, or lacks a proper 16. Complaint for forcible entry or unlawful detainer (Sec. 4,
verification, shall be treated as an unsigned pleading. Rule 70)
17. Petition for indirect contempt (Sec. 4, Rule 71)
Breakdown of Provision: 18. Petition for appointment of a general guardian (Sec. 2,
A. Pleadings need not be under oath, verified, or accompanied Rule 93)
by affidavit 19. Petition for leave to sell or encumber property of the ward
1. UNLESS when otherwise specifically required by law by a guardian (Sec. 1, Rule 95)
B. Verification of pleading: 20. Petition for declaration of competency of a ward (Sec. 1,
1. By an affidavit that affiant has read the pleading and Rule 97)
that the allegations therein are true and correct of his 21. Petition for habeas corpus (Sec. 3, Rule 102)
knowledge; or 22. Petition for change of name (Sec. 2, Rule 103)
2. By Authentic Records 23. Petition for voluntary judicial dissolution of a corporation
C. Pleading required to be verified but lacks proper verification (Sec. 1, Rule 104)
1. Effect: Same as unsigned pleading 24. Petition for cancellation or correction of entries in the civil
2. Verification based on information and belief or upon registry (Sec. 1, Rule 108)
knowledge, information, and belief treated as
unsigned pleading The following are not required to be verified in the manner and form
prescribed by Sec. 4 but MUST BE UNDER OATH:
1. Denial of the genuineness and due execution of an
actionable document (Sec. 8, Rule 8)

71
2. Denial of allegations of usury (Sec. 11, Rule 8) action or claim is pending therein; (b) if there is such other
3. Motion to set aside a default order (Sec. 3(b), Rule 9) pending action or claim, a complete statement of the present
4. Answer to written interrogatories (Sec. 2, Rule 25) status thereof; and (c) if he should thereafter learn that the same
5. Answer to request for admission (Sec. 2, Rule 26) or similar action or claim has been filed or is pending, he shall
report that fact within five (5) days therefrom to the court
In the following cases, SUPPORTING AFFIDAVITS or AFFIDAVITS OF wherein his aforesaid complaint or initiatory pleading has been
MERITS are required: filed.
1. Motion to postpone for absence of evidence (Sec. 3, Rule Failure to comply with the foregoing requirements shall
30) not be curable by mere amendment of the complaint or other
2. Motion to postpone for illness of a party or counsel (Sec. 4, initiatory pleading but shall be cause for the dismissal of the case
Rule 30) without prejudice, unless otherwise provided, upon motion and
3. Motion for summary judgment or opposition thereto (Sec. after hearing. The submission, of a false certification or non-
1, 2, 3, and 5, Rule 35) compliance with any of the undertakings therein shall constitute
4. Motion for new trial on the ground of fraud, accident, indirect contempt of court, without prejudice to the
mistake, or excusable negligence or opposition thereto corresponding administrative and criminal actions. If the acts of
(Sec. 2, Rule 37) the party or his counsel clearly constitute willful and deliberate
5. Petition for relief from judgment or order (Sec. 3, Rule 38) forum shopping, the same shall be ground for summary dismissal
6. Third-party claim (Sec. 16, Rule 39) with prejudice and shall constitute direct contempt, as well as a
7. Proof required of a redemptioner (Sec. 30, Rule 39) cause for administrative sanctions.
8. Motion for preliminary attachment (Sec. 3, Rule 57)
9. Motion for dissolution of preliminary injunction (Sec. 6, Breakdown of Provision
Rule 58) A. WHO: The plaintiff or principal party
10. Application for a writ of replevin (Sec. 2, Rule 60) B. HOW: Certify under oath:
11. Claim against the estate of a decedent (Sec. 9, Rule 86) 1. In the complaint or other initiatory pleading asserting
12. Motion for new trial on the ground of newly-discovered a claim for relief; or
evidence in criminal cases (Sec. 4, Rule 121) 2. In a sworn certification annexed thereto and
simultaneously filed therewith
Illustrative Cases C. Contents of the Certification:
1. Verification to the best of my knowledge is insufficient 1. That:
compliance (De Cano v. Edu) a. He has not theretofore commenced any action or
2. Were a petition for mandamus was verified by the counsel filed any claim involving the same issue in any
to be true to the best of his knowledge, information and court, tribunal or quasi-judicial agency; and,
belief, it was held to be insufficient in view of the b. To the best of his knowledge, no such other action
sanctions respecting attorneys (now in Sec. 3) of this Rule or claim is pending therein
(Guerra Enterprises Co. Inc. v. CFI Lanao del Sur) 2. If there is such other pending action or claim, a
complete statement of the present status thereof; and
Principles on relaxation laid down in Jurisprudence 3. If he should thereafter learn that the same or similar
1. Where the verification is made by the attorney who also action or claim has been filed or is pending:
signed the pleadings, the courts are inclined to be liberal a. He shall report that fact within 5 days therefrom
and accept substantial compliance with the verification b. To the court wherein his aforesaid complaint or
rule (Arambulo v. Perez) initiatory pleading has been filed
2. Where the question at issue is one purely of law and there D. Failure to Comply:
is no need of delving into the veracity of allegations, 1. Not curable by mere amendment of the complaint or
technical defects are disregarded (Antem Consolidated v. other initiatory pleading
CA) 2. A cause for the dismissal of the case
3. Even where verification is required by the Rules, the court a. Dismissal without prejudice (unless otherwise
may give due course to the pleading even if such provided)
verification is lacking or is insufficient or defective if the b. Upon motion and after hearing
circumstances warrant the relaxation or dispensing of the E. Submission of a false certification or non-compliance with
rule in the interest of justice (Oshita v. Republic) any undertakings:
4. Verification of a pleading is a formal, not jurisdictional, 1. Constitute indirect contempt of court
requisite (Buenaventura v. Uy) 2. Without prejudice to corresponding administrative and
5. It is simply intended to secure an assurance that the criminal actions
allegations are true and correct and that the pleading is F. If acts of party or his counsel clearly constitute willful and
filed in good faith (Bank of the Phil. Islands v. CA) deliberate forum shopping
6. In the interest of substantial justice, Court may simply 1. Ground for summary dismissal with prejudice
order the correction of the unverified pleading or act on it 2. Constitute direct contempt of court
and waive strict compliance with the rules (Vda. De 3. Cause for administrative sanctions
Gabriel v. CA)
Note: This rule was taken from Circular No. 04-94 or the Certificate
of Non-Forum Shopping
SECTION 5 - Certification against forum shopping. The plaintiff
or principal party shall certify under oath in the complaint or
other initiatory pleading asserting a claim for relief, or in a sworn NATURE, PURPOSE, DEFINITION
certification annexed thereto and simultaneously filed therewith:
(a) that he has not theretofore commenced any action or filed any Forum Shopping
claim involving the same issues in any court, tribunal or quasi- - Forum shopping involves the institution of 2 or more
judicial agency and, to the best of his knowledge, no such other cases, actions, or proceedings grounded on the supposition

72
that one or the other court or tribunal would make a But forum shopping does not require a literal identity
favorable disposition of parties; it is sufficient that there is identity of
- It is the act of a party against whom an adverse judgment interest represented (Firs Philippine International
has been rendered in one forum, of seeking another Bank et al. v. CA)
opinion in another forum, other than by appeal or the
special civil action of certiorari CERTIFICATION IS MANDATORY; INITIATORY PLEADINGS

The Prohibition on Non-Forum Shopping Certification is a mandatory part of an initiatory pleading


- The filing of a similar petition in different courts is - A certificate of non-forum shopping is not, however,
prohibited required in COMPULSORY counterclaims
- Forum shopping is deplorable as it degrades the Since these claims cannot be the subject of a separate
administration of justice, adds to the already congested and independent action, certification is not needed
court dockets, and wreaks havoc upon orderly judicial - However, a certification is needed in PERMISSIVE
procedure counterclaims (Korea Exchange Bank v. Gonzales)
Any judgment of the court on the complaint of the
Distinguish between Certification and Forum Shopping petitioner would not bar any suit on the counterclaim
- The certification against forum shopping is separate from Hence, the permissive counterclaim is an initiatory
and independent of the avoidance of the act of forum pleading, which requires the appendage of a
shopping itself certificate of non-forum shopping
- A violation of the rules on certification is sufficient cause Failure to do so results to the dismissal of the
for the dismissal without prejudice of the complaint or counterclaim without prejudice
initiatory pleading upon motion and after hearing
- A violation of non-forum shopping is a ground for Note also that the Rules require only the initiatory pleading to be
summary dismissal thereof and direct contempt accompanied with a certificate of non-forum shopping
- So a certification is not needed in a search warrant
Three Ways of Committing Forum-Shopping application since it is not a pleading (Kenneth Roy Savage
1. Filing multiple cases based on the same cause of action v. Judge Taypin)
and with the same prayer, the previous not having been - Certification is also not necessary in a mere motion for
resolved yet (litis pendentia) extension (Far Eastern Shipping v. CA)
2. Filing multiple cases based on the same cause of action
and with the same prayer, the previous having been When may an omission be excused?
resolved with finality (res judicata) Only upon manifest equitable grounds proving substantial
3. Filing multiple cases based on the same causes of action compliance therewith
but with different prayers (splitting of cause of action, The court held that in those cases where the deficiency
where the ground for dismissal is also litis pendentia or were tolerated, special circumstances or compelling reasons made
res judicata) the strict application of the rules distinctly unjustified (Ong v. CA)

TESTS ON FORUM SHOPPING WHO EXECUTES CERTIFICATION

It has been held in Executive Secretary v. Gordon that there is Certification by Plaintiff, not Attorney
forum-shopping: - Certification against forum shopping ordained by the
1. Whenever as a result of an adverse decision in one forum, Rules is to be executed by the petitioner, not his counsel
a party seeks a favorable decision (other than by appeal or - The petitioner is in the best position to know whether he
certiorari) in another, or filed or caused the filing of a petition in the case
2. If, after he has filed a petition before the SC, a party files - Certification by counsel
another before the CA since in such case he deliberately Defective certification
splits appeals, or Equivalent to non-compliance with the requirement
3. Where a party attempts to obtain a preliminary injunction and constitutes a valid cause for dismissal of petition
in another court after failing to obtain the same from the - EXCEPTION: In a case, the court held that the rationale of
original court the rule does not apply where it is the attorney-in-fact who
instituted the action in which case the certificate may be
Some Tests of Forum Shopping laid down by Jurisprudence signed by the attorney-in-fact
1. The mere filing, however, of several cases based on the
same incident does not necessarily constitute forum Special Power of Attorney is Insufficient
shopping. - In Santos v. CA, the court held that a special power of
Test is whether the several actions filed involve the attorney executed for convenience was insufficient
same transactions and the same essential facts and considering that:
circumstances (Paredes v. Sandiganbayan) 1. The petitioners are all natural persons and
The actions must also raise identical causes of action, 2. There is no showing of any reasonable cause to justify
subject matter, and issues (Intl Container Terminal their failure to personally sign
Services v. CA) - The court emphasized in Republic v. Carmel
2. Whether in the 2 or more cases pending, there are identity Development Inc. that the certification must be made by
of parties, rights or causes of actions, and reliefs sought petitioner himself and not by counsel, even if the latter has
Forum shopping exists where the elements of litis a special power of attorney specially authorizing counsel
pendentia are present to execute the certification on plaintiffs behalf
Or where a final judgment in one case will amount to
res judicata in the other (Buan v. Lopez)

73
Party Misjoined Need Not Sign Certification Instances when petitioner may not personally sign the certificate:
- Any act or omission committed by a misjoined party (such The fact that petitioners were abroad when the petition
as omission to execute the Certificate should not be a was filed is a justification for not personally signing the Certificate
cause for impediment to the prosecution of the case, much (Hamilton v. Fe Quitanghon)
less dismissal (Chua v. Torres)
In cases where is it is highly impractical to require all the plaintiffs
Certification for Corporations to sign the certificate, it is sufficient, in order not to defeat the ends
- In corporations, as distinguished from a natural person, of justice, for one of the plaintiffs, acting as representative, to sign
may be signed for and in behalf of a corporation by a the certificate provided that the plaintiffs share a common interest
specially authorized lawyer who has personal knowledge in the subject matter of the case filed as a collective, raising only
of the facts required to be disclosed in such document one common cause of action
- Note also that the certification must be accompanied by a
BOARD RESOLUTION authorizing the counsel to sign the Cases where Higher Interests of Justice was invoked
certification (General Milling Corp. v. NLRC) 1. The court set aside procedural technicalities in the higher
Certification not signed by a duly authorized person interest of justice even if the certification was signed by
renders the petition subject to dismissal counsel and filed beyond the reglementary period in
People v. Gako
GENERAL RULE: All parties are required to sign the certification 2. In view of the peculiar circumstances of the case and in the
- The court earlier held in Five Star Bus Co. v. CA that a interest of justice, the procedural defect may be set aside
petition may be summarily dismissed on the ground that pro hac vice (National Steel Corp v. CA)
the affidavit of non-forum shopping was not signed by the 3. Where only 3 out of 4 petitioners in a petition signed the
petitioners certificate, the court held that they should not be unduly
- Verification and certification by one of the five petitioners prejudiced by the fault of their co-petitioner who did not
was held insufficient compliance in Loquias v. Office of sign the certificate (Fiel v. Kris Security Systems Inc.)
the Ombudsman 4. The rules on forum shopping should be applied with
liberality in election cases since a strict application would
EXCEPTION: When the case calls for a relaxation of the doctrine; not work to the best interest of the parties and the
Subject to two conditions: electorate (Bince Jr. v. COMELEC)
1. The petitioners must show justifiable cause for their
failure to personally sign the certification, and
2. They must also be able to prove that the outright dismissal EFFECT OF SUBSEQUENT COMPLIANCE WITHIN
of the petition would seriously impair the orderly REGLEMENTARY PERIOD
administration of justice
Court held in Roadway Express Inc. v. CA that all the more reason
should the petition for review be allowed in this case, in view of the
THE PRINCIPLE OF LIBERAL APPLICATION compliance prior to the dismissal of the petition, and even if the
certification was not filed with the pleading but in a manifestation
The criteria would be where there are special circumstances or
compelling reasons making the strict application of the rule clearly
unjustified EFFECT OF THE SUBMISSION OF A FALSE CERTIFICATION
The apparent merits of the substantive aspects of the case OR NON-COMPLIANCE WITH ANY OF THE UNDERTAKINGS
should be deemed as special or compelling reasons. (Batoy v.
Cabardo) Submission of False Certification or Non-Compliance of Undertaking
- Constitutes indirect contempt
Certificate of Non-Forum Shopping is Mandatory But Not - Without prejudice to the corresponding administrative
Jurisdictional and criminal actions
- The required certificate is mandatory and applies to
election cases but is not jurisdictional If acts of Counsel or Party Constitute Willful and Deliberate Forum
- Substantial compliance by filing certification within Shopping
reglementary period is sufficient (Loyola v. CA) - Summary dismissal with prejudice
- Direct contempt
Rule on Substantial Compliance - As well as administrative sanctions
- The rule on substantial compliance may be availed of with
respect to the contents of the certification
- Note that the requirement of strict compliance with the TIME TO INVOKE RULE
provisions regarding certification merely underscores its
mandatory nature In general, violation of the rule on forum shopping should be raised
This means that the certification cannot be altogether at the earliest opportunity in a motion to dismiss or a similar
dispensed with or its requirements completely pleading
disregarded (Cavile v. Cavile)
- Ex: The failure to state in the certificate that he undertakes Invoking it in the later stages of the proceedings or on appeal may
to inform the court of any petition which may be filed, may result in the dismissal of the action as an exception only if the
be overlooked since it does not appear that any petition violation arises from or will result in:
related to the case has been filed in any court (Cabarbo v. 1. The loss of jurisdiction over the subject matter
CA) 2. The pendency of another action between the same parties
- Where petitioners are husband and wife, the certificate by for the same cause
one of them is substantial compliance with the rule 3. Barring of the action by a prior judgment, or
(Spouses Dar v. Legasto) 4. The crossing of the Statute of Limitations

74
ILLUSTRATIVE CASES AND EXAMPLES

There IS forum shopping in the following cases:


1. The rule has been extended to a defendant who, for
reasons only known to him, commences a new action
against the plaintiff instead of filing a responsive
pleading in the other case (Victronics Computers Inc. v.
RTC)
2. There is also forum shopping in connection with litigations
commenced in the Courts while an administrative
proceeding is pending in order to defeat administrative
processes (Villanueva v. Adre)
3. A willful attempt by the same party to obtain a preliminary
injunction in another court after it failed to acquire the
same from the original court (Fil-Estate Golf and Dev. Inc.
v. CA)
4. After a party has filed a petition before the SC, he
subsequently files another before the IAC is forum
shopping since he deliberately split appeals (Borromeo v.
IAC)
5. Where the litigant sues the same party against whom
another action or actions for the alleged violation of the
same right and the enforcement of the same relief is/are
still pending (First Philippine International Bank v. CA)
6. When, in effect, the petition filed before the CA, not being
an appeal nor special action, was filed during pendency of
her motion before the RTC (Lapu-lapu Development and
Housing Corp v. Group Management Corp.)
7. While petition was pending in COMELEC, respondent filed
a wholly separate petition for certiorari also with the
COMELEC pleading the same reliefs prayed for in the
supplemental petition (Santos v. COMELEC)
8. When a notice of appeal which is the proper mode of
questioning the main decision and a special civil action for
certiorari is filed questioning not only the issuance of
immediate execution which is also proper but also the
merits of the main decision (Candido v. Camacho)

There is NO forum shopping in the following cases:


1. Where the special civil action for certiorari and the appeal
brought by as a party do not involve the same issue (GSIS
v. Bengson Commercial Buildings)
2. Where the first petition involved the propriety of the
affirmative defenses while the second petition raised the
issue of the judges partiality (Gochan v. Gochan)
3. An action for quieting of title and partition has a different
cause of action and is not a valid reason for defeating the
execution of the summary remedy of ejectment (Gachon v.
Devera)
4. When there is no identity of rights or causes of action and
the reliefs prayed for (HSBC v. Catalan)
5. There is no forum shopping in the Supreme Court (as
between divisions) (Republic v. Express
Telecommunications Co. Inc.)

END OF RULE 7

75
NOTES ON RULE 7

76
NOTES ON RULE 7

77
B. Evidentiary Facts
RULE 8 Those which go to prove the case
MANNER OF MAKING ALLEGATIONS Facts which are necessary for the determination of
the ultimate facts
IN A PLEADING Premises upon which conclusions of ultimate facts
are based
Facts which furnish evidence of existence of some
SECTION 1 - In general .Every pleading shall contain in a other facts
methodical and logical form, a plain, concise and direct statement
of the ultimate facts on which the party pleading relies Test to Distinguish Conclusion of Law from Statement of Facts
for his claim or defense, as the case may be, omitting the 1. Statement of fact if from the facts in evidence, the result
statement of mere evidentiary facts. (1) can be reached by the process of natural reasoning
If a defense relief on is based on law, the adopted in the investigation of the truth, it becomes an
pertinent provisions thereof and their applicability to him shall be ultimate fact
clearly and concisely stated. (n) 2. Conclusion of law if resort must be had to the artificial
processes of law in order to reach a final determination,
Breakdown of Provision: the result is a conclusion of law
A. Every pleading shall contain a statement of the ultimate
facts on which the party pleading relies for his claim or Note:
defense - The plaintiff is not required to indicate in his complaint the
1. In a methodical and logical form particular provision of law upon which he relies
2. A plain, concise and direct statement - And if he does so and is mistaken, this will not preclude
3. Statement of mere evidentiary facts omitted relief if the facts stated and proven justify it (La Insular v.
B. If a defense relief is based on law, state in a clear and Jao Oge)
concise manner: - Though take note of the 2nd par.
1. Pertinent provisions of the law
2. Applicability of the law to him
AS TO DOCUMENTS ATTACHED TO PLEADINGS
PRELIMINARIES
Ultimate Facts in Documents
Like all other pleadings, the complaint shall contain in a methodical
and logical form a plain, concise, and direct statement of the ultimate GENERAL RULE: Ultimate facts in documents even if attached to the
facts on which the plaintiff relies for his claim, omitting the complaint cannot take place of allegation and must be alleged as if
statement of mere evidentiary facts the documents were not attached thereo (Orbit Transportation v.
Workmens Compensation Commission)
Note: Facts within judicial notice of courts or presumed by law need
not be pleaded EXCEPTION: Where there are allegations of fact in the complaint,
resort may be had to exhibits attached thereto in aid or elucidation
Office, Purpose, or Function of an indefiniteness or uncertainty of said allegations
- To inform the defendant clearly and definitely of the BUT Annexes cannot supply the omission of
claims made against him allegations necessary to present a good cause of
- So that defendant may be prepared to meet the issues at action
trial
Documents Attached to Pleadings are Part of Pleadings
The Complaint - Documents attached must be construed as evidence and as
- It should inform the defendant of all material facts on part of the pleadings
which the plaintiff relies to support to his demand; - No necessity of expressly introducing them in evidence
- It should state the theory of a cause of action which forms when the authenticity and due execution have not been
the bases of the plaintiffs claim of liability denied under oath
In such case, the documents are facts admitted by
Ultimate Facts and Evidentiary Facts parties
A. Ultimate Facts - Material facts established in annexes attached to the
Means the essential facts constituting the plaintiffs complaint or petition which disprove or are contrary to
cause of action the very allegations of the pleader should not be
A fact is essential if it cannot be stricken out without suppressed in the pleaders statement of his case and
leaving the statement of the cause of action issues involved (Orbit Transportation v. Workmens
insufficient Compensation Commission)
Important and substantial facts which either directly Instead, these must be specifically averred
form the basis of the primary right and duty, or which So that the court may have before it a full and
directly make up the wrongful acts or omissions of complete picture of the questions raised
defendant
Does not refer to details of probative matter or
particulars of evidence by which these material AS TO RELIEFS
elements are to be established
Refers to principal, determinate, constitutive facts, The prayer for relief, though part of the complaint, is not part of the
upon the existence of which, the entire cause of action cause of action and does not give it character
rests - Plaintiff is entitled to as much relief as the facts warrant
- Although that relief is not specifically demanded

78
It is the duty of the courts to grant the relief to which parties are Breakdown of Provision
shown to be entitled by the allegations in their pleadings and the A. A party may set forth 2 or more statements of a claim or
facts proved at trial defense
- The mere fact that they themselves misconstrued the legal 1. Alternatively or hypothetically
effect of the facts alleged and proved will not prevent the 2. Either in one cause of action or defense or in separate
court from placing the just construction thereon and causes of action or defenses
adjudicate the issue accordingly B. When two or more statements are made in the alternative
and one of them if made independently would be sufficient
1. Pleading is not made insufficient by the insufficiency of
JUDICIAL ADMISSIONS IN PLEADINGS one or more of the alternative statements

A party cannot subsequently take a position contradictory to or Election of Remedies


inconsistent with his pleadings - Broadly, election of remedies refers to the choice by a
- The facts therein admitted are to be taken as true for the party of one or two or more co-existing remedial rights,
purpose of the action (Lianga Lumber v. Lianga Timber) where several such rights arise out of the same facts
- Issues in a case are limited to those presented in the - It has been generally limited to a choice by a party
pleadings between inconsistent remedial rights
- Ex: Allegations of having inherited the property from their The assertion of one being necessarily repugnant to,
deceased parents mean that the land is conjugal or repudiation of, the other
- In its technical and more restricted sense, it is the
adoption of one of 2 or more co-existing remedies
ILLUSTRATIVE CASES AND EXAMPLES With the effect of precluding a resort to the others
- As a technical rule of procedure, purpose of the doctrine of
Allegations which are Mere Conclusions of Law election of remedies:
1. The general rule is that an allegation of duty in terms Is not to prevent recourse to any remedy
unaccompanied by a statement of the facts showing the But to prevent double redress for a single wrong
existence of the duty, is a mere conclusion of law - It is an application on the law of estoppel
Unless there is a relation set forth from which the law - Ordinarily, election of remedies is not made until the
raises a duty judicial proceedings has gone to judgment on the merits
2. Allegations that the defendants were actuated by ulterior
motives, gross and evident bad faith, etc. are conclusions HOWEVER, when a certain state of facts under the law entitles a
alleged and expression of opinion unsupported by factual party to these remedies both founded upon identical state of facts,
premises these remedies are not considered inconsistent remedies
3. Allegations characterizing the letter of dismissal as - In this case, invocation of one remedy is not an election
libelous is a conclusion of law without factual basis which will bar the other
4. The allegation that the individual defendants held their UNLESS:
shares in trust for plaintiffs without averment of facts from 1. The suit upon the remedy first invoke shall reach
which the court could conclude the existence of the alleged the stage of final adjudication, or
trust, was not deemed admitted by motion to dismiss for 2. Unless by the invocation of the remedy first
that was a conclusion of law (Mathay v. Consolidated sought to be enforced, plaintiff shall have gained
Bank and Trust) an advantage thereby or caused detriment or
5. Allegations in a petition in the nature of conclusions about change of situation to the other
the meaning of a contract, inconsistent with stated terms
of the contract, cannot be considered No Binding Election Occurs Before a Decision on the Merits is had or
Ex: an allegation characterizing an instrument or a Detriment to the Other Party Supervenes
purporting to interpret it and state its effects - No binding election occurs before a decision on the merits
6. Allegation that there was a violation of trust duty was is had or a detriment to the other party supervenes
plainly a conclusion of law, for a mere allegation that it - The principle of election of remedies is discordant with the
was the duty of a party to do this or that, or that he was modern procedural concepts embodied in civil procedure
guilty of a breach thereof, is a statement of a conclusion which permits a party to seek inconsistent remedies in his
Ex: an allegation that the defendants acquired stock claim for relief without being required to elect between
holdings far in excess of what they were lawfully them at the pleading stage of litigation
entitled
7. An averment that an act was unlawful or wrongful is a Illustrative Cases
mere legal conclusion or opinion of the pleader 1. The defense of expiration of right to repurchase or the
8. Mere conclusions of law are allegations that a contract is alternative defense of having inherited the property is
void, voidable, invalid, illegal, ultra vires, or against public allowed; otherwise, alternative defense is barred (Heirs of
policy, without stating facts showing its invalidity Marquez v. Valencia)
9. An allegation of bad faith is a mere conclusion of law 2. A party may state as many claims or defenses as he has
regardless of consistency but each must be consistent in
SECTION 2 - Alternative causes of action or defenses.A party itself
may set forth two or more statements of a claim or defense 3. The hypothetical defense of prescription is allowed
alternatively or hypothetically, either in one cause of action or (Doran v. Dinamore)
defense or in separate causes of action or defenses. When two or
more statements are made in the alternative and one of them if
made independently would be sufficient, the pleading is not made
insufficient by the insufficiency of one or more of the alternative
statements. (2)

79
Facts that Must be Averred Generally: - The specific circumstances that a foreign corporation is
1. Conditions precedent (Sec. 3) either duly licensed to do business in the Philippines or
But there must still be an allegation that the specific the transaction sued upon is singular and isolated is an
condition precedent has been complied with, essential part of plaintiffs capacity to sue and must be
otherwise, it will be dismissed for lack of cause of affirmatively alleged (Atlantic Mutual Insurance Co. v.
action Cebu Stevedoring Co. Inc.)
2. Capacity to sue or be sued (Sec. 4)
3. Capacity to sue or be sued in a representative capacity
(Sec. 4) SECTION 5 - Fraud, mistake, condition of the mind.In all
NOTE: A party desiring to raise an issue as to the legal averments of fraud or mistake, the circumstances constituting
existence or capacity of any party to sue or be sued in fraud or mistake must be stated with particularity. Malice, intent,
a representative capacity shall do so by specific denial knowledge or other condition of the mind of a person may be
which shall include supporting particulars within the averred generally. (5a)
pleaders knowledge
4. Legal existence of an organization (Sec. 4) State with particularity averments of fraud or mistake
5. Malice, intent, knowledge, or other condition of the mind May be stated generally averments of malice, intent, knowledge or
(Sec. 5) other condition of the mind of a person
6. Judgments of domestic or foreign courts, tribunals, boards,
or officers (Sec. 6) Notes:
No need to show jurisdiction, for it is presumed - Facts constituting the condition of the mind are permitted
7. Official document or act (Sec. 9) to be averred generally as it would be difficult to do so
with particularity
Facts that Must be Averred Particularly The circumstances - Fraud and mistake are required to be averred with
showing fraud or mistake in all averments of fraud or mistake (Sec. particularity in order to enable the opposing party to
5) controvert the particular facts allegedly constituting the
same

SECTION 3 - Conditions precedent.In any pleading a general The test is whether the complaint states sufficient ultimate facts to
averment of the performance or occurrence of all conditions give defendants fair notice of the nature of the action and the
precedent shall be sufficient. (3) fraudulent acts

If plaintiffs cause of action depends upon a condition precedent


- Complaint must allege fulfillment or legal excuse for non- SECTION 6 - Judgment.In pleading a judgment or decision of a
fulfillment domestic or foreign court, judicial or quasi-judicial tribunal, or of
- Omission of such allegation will make the complaint a board or officer, it is sufficient to aver the judgment or decision
insufficient without setting forth matter showing jurisdiction to render it. (6)
Case may be dismissed for failure to state cause of
action Notes:
- This provision is a necessary consequence of the
disputable presumption that a court, or judge acting as
SECTION 4 - Capacity.Facts showing the capacity of a party to such, whether in the Philippines or elsewhere, was acting
sue or be sued or the authority of a party to sue or be sued in a in the lawful exercise of his jurisdiction (Sec. 3(n), Rule
representative capacity or the legal existence of an organized 131)
association of persons that is made a party, must be averred. A - Such judicial record may be impeached by evidence of
party desiring to raise an issue as to the legal existence of any want of jurisdiction in the court or judicial officer (Sec. 29,
party or the capacity of any party to sue or be sued in a Rule 132)
representative capacity, shall do so by specific denial, which shall
include such supporting particulars as are peculiarly within the
pleaders knowledge. (4) SECTION 7 - Action or defense based on document.Whenever an
action or defense is based upon a written instrument or
What must be averred: document, the substance of such instrument or document shall be
1. Facts showing the capacity of a party to sue or be sued; or set forth in the pleading, and the original or a copy thereof shall
2. The authority to sue or be sued in a representative be attached to the pleading as an exhibit, which shall be deemed
capacity; to be a part of the pleading, or said copy may with like effect be
3. Or the legal existence of an organized association of set forth in the pleading. (7)
persons that is made a party
When action or defense based upon a written instrument or document:
How is Capacity challenged? 1. Substance of such shall be set forth in the pleading
1. By specific denial which shall include such supporting 2. The original or copy thereof attached as an exhibit
particulars as are peculiarly within pleaders knowledge, a. It will be deemed part of the pleading
(The Home Insurance Co. v. Eastern Shipping Lines); or
2. By a motion to dismiss (See Rule 16); or Where a pleader relies upon a document, its substance must be set
3. By filing a motion for bill of particulars (Bontillo v. IAC) out in the pleading either by its terms or by its legal effects

As to Foreign Corporations Actionable Document the written instrument upon which the
- Whether or not a foreign corporation may sue or be sued action or defense is based
in the Philippines depends on whether or not it is doing
business in the Philippines

80
Requisites of the Rule: Meaning of Genuineness and Due Execution
1. The substance of such instrument or document shall be set A. Due Execution
forth in the pleading; and 1. That the party whose signature it bears admits that
2. The original or copy thereof shall be attached to the he voluntarily signed it; or
pleading as an exhibit, which shall be deemed to be part of 2. That it was signed by another for him with his
the pleading; or authority
3. Said copy may with like effect be set forth in the pleading B. Genuineness
1. That the party whose signature it bears admits that at
Two permissible ways of pleading an actionable document: the time it was signed it was in words and figures
1. By setting forth the substance of such document in the exactly as set out; and
pleading and attaching the document thereto as an annex; 2. That the formalities, such as swearing and
2. Or by setting forth said document verbatim in the pleading acknowledgement, or revenue stamps which are
required by law are waived by him
Unless alleged in any of the aforementioned modes, the rule on
implied admission in Sec. 8 will not apply To deny the genuineness and due execution of an instrument means
that the defendant must declare under oath that:
Note: A variance in the substance of the document set forth in the 1. He did not sign the document or
pleading and the document annexed thereto does not warrant 2. That it is otherwise false or fabricated
dismissal of the action (Convets Inc. v. National Dev. Co.)
- However, the contents of the document annexed are
controlling DENIAL MUST BE SPECIFIC

Example: Action to enforce or rescind a written contract of lease The denial contemplated by this section must be specific
- The contract itself is the basis of the action - A mere statement in the answer that the instrument was
- A copy of such contract must either be: procured by fraudulent representation does not raise any
1. Set forth in the complaint; or issue as to its genuineness or due execution (Songco v.
2. Its substance must be recited therein Sellner)
- Attached also is the original or a copy thereof with the - An attack on the instrument in general is insufficient even
complaint though the answer is under oath
- Letters written by lessee to lessor or vice-versa concerning - An oath which reads that the contents of the foregoing are
the contract need not and should not be set forth in the true and correct according to my best knowledge and
complaint information is not sufficient
They may have evidential value but evidence, even in Where the genuineness of the document which is the
writing, does not necessarily have a place in a basis of the action has not been specifically denied
pleading (Araneta Inc. v. Lyric Film Exchange)

Rule is not applicable if the document is not the basis of the FAILURE TO DENY
complaint or defense
Effect of Failure to Deny Under Oath
1. The genuineness and due execution is deemed admitted
SECTION 8 - How to contest such documents.When an action or 2. The document need not be formally offered in evidence
defense is founded upon a written instrument, copied in or
attached to the corresponding pleading as provided in the Where the actionable document is properly alleged (Sec. 7), failure
preceding section, the genuineness and due execution of the to deny the same results in the admission of the genuineness and
instrument shall be deemed admitted unless the adverse party, due execution of said document
under oath, specifically denies them, and sets forth what he claims - EXCEPT:
to be the facts; but the requirement of an oath does not apply 1. When the adverse party was not party to the
when the adverse party does not appear to be a party to the instrument, and
instrument or when compliance with an order for an inspection of 2. When an order for the inspection of the document
the original instrument is refused. (8a) (Rule 27) was not complied with

How to Contest an Actionable Document Defenses Cut Off for Failure to Make Denial - Those defenses
1. By specific denial under oath; and inconsistent with genuineness and due execution, such as:
2. By setting forth what is claimed to be the facts 1. Defenses that signature is forgery
2. That it was unauthorized, as in the case of an agent signing
PURPOSE AND DEFINITIONS for his principal, or one signing in behalf of a partnership
or corporation
Reason for the Rule 3. Or that in case of corporation, that the corporation was not
- To enable the adverse party to know beforehand whether authorized under its charter to sign the document
he will have to meet the issue of genuineness or due 4. That the party charged signed the instrument in some
execution of the document during trial other capacity alleged in the pleading setting it out;
- While mandatory, rule is a discovery procedure and 5. That it was never delivered
should be reasonably construed to attain its purpose, and 6. That the document was spurious, counterfeit, or of
in a way as not to effect a denial of substantial justice different import on its face as the one executed

81
Defenses that are NOT deemed Admitted those which are not B. If pleader decides to deny only a part or a qualification of
inconsistent with due execution and genuineness, such as: an averment:
1. Payment, illegality, or want of consideration He shall specify so much of it as is true and material
2. Compromise, estoppel, coercion He shall deny the remainder
3. Failure to deny does not preclude a party from arguing C. If defendant is without knowledge or information
against it by evidence of fraud, mistake, statute of sufficient to form a belief as to the truth of a material
limitations averment made in the complaint
4. Mistake or imperfection in the writing He shall so state
5. That it does not express the true agreement of the parties This shall have the effect of a denial
6. That the agreement is invalid
7. There is an intrinsic ambiguity in the writing
FIRST MODE OF DENIAL

WHEN RULE IS NOT APPLICABLE Specific Absolute Denial By specifically denying the averment and,
whenever practicable, setting forth the substance of the matters
When Rule is NOT Applicable relied upon for such denial
1. When the adverse party does not appear to be a party to
the instrument; or Purpose to make him disclose the matters alleged in the complaint
2. When compliance with an order for an inspection of the which he sincerely intends to disprove at the trial, together with the
original instrument is refused; or matters which he relies upon to support the denial
3. When document or instrument is not the basis of action or
defense Contents of Denial
In this case, a simple specific denial would be - It must not only specify each material allegation of facts,
sufficient the truth of which is not admitted
- But he must also, whenever applicable, set forth the
Examples as to when rule is not applicable: substance of the matters which he will rely upon to
1. Heirs on a written contract executed by the father need support his denial
not be denied by the heirs (Lim Chingco v. Terariray) - Ex: Deny contract and set forth the real contract
2. An endorsement by the payee in a note executed by the
maker need not be denied by the latter (Heinszen and Co. When Denial is Insufficient
v. Jones) - Mere use of the words specific denial is not sufficient
3. Statements of account exclusively prepared by the plaintiff - Denial in the answer does not become specific merely
and attached to the complaint of plaintiff does not have to because it is qualified by the word (Agton v. CA)
be denied under oath and is not binding on defendant
(Kalilid Wood Industries v. IAC) Where the averments in the opposing partys pleading are based on
documents which are:
1. In the possession of defendant; or
SECTION 9 -- Official document or act.In pleading an official 2. Are presumed to be known by him; or
document or official act, it is sufficient to aver that the document 3. Are readily ascertainable by him,
was issued or the act done in compliance with law. (9) A general allegation of lack of knowledge or information thereof on
his part will not be considered a specific denial but an admission
(Warner, Barnes and Co. Ltd. v. Reyes et al.)
SECTION 10 - Specific denial.A defendant must specify each
material allegation of fact the truth of which he does not admit Where the answer merely reproduces the recitals in the complaints
and, whenever practicable, shall set forth the substance of the and denies such recitals without setting forth the matters relied
matters upon which he relies to support his denial. Where a upon in support of such denials, such answer contains only general
defendant desires to deny only a part of an averment, he shill denials and judgment on the pleadings is proper (Syquia v.
specify so much of it as is true and material and shall deny only Marsman)
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 SECOND MODE OF DENIAL
have the effect of a denial. (10a)
Partial Specific Denial Part admission, part denial
PURPOSE
Purpose to abolish negative pregnants which is a denial pregnant
The purpose of requiring the defendant to make a specific denial is with an admission of the substantial facts alleged in the pleadings
to make him disclose the matters alleged in the complaint which he
sincerely intends to disprove at the trial, together with matters Negative Pregnant
which he relies upon to support the denial - Is that form of denial which at the same time involves an
affirmative implication favorable to the opposing party
MODES OF DENIAL - Denial pregnant with an admission of the substantial facts
in the pleading responded to
A. Defendant must specify each material allegation of fact the
truth of which he does not admit A Negative Pregnant Arises:
Whenever applicable, he shall set forth the substance 1. From a too literal denial of the allegations of the
of the matters which he will rely upon to support the opponents pleadings
denial In such case, it is merely the form and not the
substance that is denied

82
2. Where a fact is alleged with qualifying or modifying proceedings do not require proof and cannot be
language, and the words of the allegation are so qualified contradicted
or modified are literally denied 2. EXCEPTION: Unless they have been made through
In such case, the qualifying circumstances alone are palpable mistake or that no such admission was made
denied while the fact itself is admitted
The denial must be made in accordance with the modes in Sec. 10
If the defendants denial is a negative pregnant, it is equivalent to an - Failure to do so would fail to tender an issue and would
admission (Galofa v. Nee Bon Sing) admit the material allegations of the adverse partys
pleading
Example: In the case of Galofa, defendant denies the material In which case, judgment on the pleadings would be
averment of par. 4 of the complaint, the truth being that he never proper
asserted title of ownership to the property, much less to plaintiff, nor
claimed possession of right over said property Examples of Averments NOT Deemed Admitted Even if Not Specifically
- SC held that this denial is as to the material averment Denied
contained in par.4 conjoined with his disclaimer or 1. Immaterial allegations (like allegations by way of anticipation
dominical, or possessory right in the manner alleged in the of defense)
complaint 2. Incorrect conclusions of facts drawn from facts set out in the
complaint
- It was held as a negative pregnant and was deemed to be
3. Conclusions of law
an admission
4. General averment contradicted by specific averment
- The defendant has, in effect, denied only the qualification 5. Unliquidated damages
but not the averment that he had deprived the plaintiff of 6. Default
actual possession of the land 7. Annulment of marriage
8. Legal separation
9. Allegations as to amount of damages
THIRD MODE OF DENIAL 10. All allegations in the complaint where no answer has been
filed by the defendant
Disavowal of Knowledge By an allegation of lack of knowledge or
information sufficient to form a belief as to the truth or falsity of the Withdrawal of Express Admissions
averment in the opposing partys pleading 1. Admissions may be withdrawn by amendments
Under Sec. 8, Rule 10, an amended pleading supersedes
Requisites: the pleading that it amends
1. It is indispensable that the matter regarding which lack of Admissions in superseded pleadings may be received in
knowledge be clearly specified, so that the adversary may evidence against the pleader, and claims or defenses
know what is denied alleged therein not incorporated in the amended
2. The denial must only refer to matters which are not plainly pleading shall be deemed waived
2. Admission may be contradicted by showing palpable mistake
and necessarily within defendants knowledge
or that no such admission was made
Must be made in good faith
Otherwise, it shall be deemed as an admission
SECTION 12 - Striking out of pleading or matter contained therein.
On Ignorance Upon motion made by a party before responding to a pleading or, if no
- A mere allegation of ignorance of the facts alleged in the responsive pleading is permitted by these Rules, upon motion made
complaint is insufficient to raise an issue by a party within twenty (20) days after the service of the pleading
Defendant must positively state how it is that he is upon him, or upon the courts own initiative at any time, the court
ignorant of the facts as alleged (Philippine may order any pleading to be stricken out or that any sham or false,
Advertising v. Revilla) redundant, immaterial, impertinent, or scandalous matter be stricken
- A profession of ignorance about a fact which is patently out therefrom. (5, R9)
and necessarily within the pleaders knowledge or means
of knowing is as ineffective as no denial at all (New Japan Pleadings or Matters to be Stricken Out: Matters that are:
Motors v. Perucho) 1. Sham or false
2. Redundant
3. Immaterial, or
Notes:
4. Scandalous
- The setting up of special defenses which are evasive and
do not touch the heart of the controversy is a strategy that When Court May Order Any Pleading to be Stricken Out
cannot be sanctioned (Syquia v. Marsman) 1. Upon motion made by a party before responding to a pleading;
- Failure to deny estops defendants from questioning the or
allegations (Velasco v. CA) 2. If no responsive pleading is permitted by the rules, upon
motion made by a party within 20 days after the service of the
pleading upon him; or
SECTION 11 - Allegations not specifically denied deemed 3. Upon the Courts initiative at any time
admitted.Material averment in the complaint, other than those
as to the amount of unliquidated damages, shall be .deemed False Allegations
admitted when not specifically denied. Allegations of usury in a An averment in a pleading made without reasonable cause and
complaint to recover usurious interest are deemed admitted if not found untrue shall subject the offending party to a payment of such
denied under oath. (1a, R9) reasonable expenses as may have been necessarily incurred by the other
party by reason of such untrue pleading.
The amount of expenses so payable shall be fixed by the judge
On Judicial Admissions
in the trial, and taxed as costs. (Sec. 4, Rule 142)
1. GENERAL RULE: Admissions made by parties in the
pleadings, or in the course of the trial or other

83
No Cost for Irrelevant Matters
When the record contains any unnecessary, irrelevant, or
immaterial matter, the party at whose instance the same was inserted or
at whose instance the same was printed, shall not be allowed as costs
any disbursement for preparing, certifying, or printing such matter (Sec.
5, Rule 142)

END OF RULE 8

84
NOTES ON RULE 8

85
NOTES ON RULE 8

86
- As to prescription:
RULE 9 It is not deemed waived if it is apparent on the face of
EFFECT OF FAILURE TO PLEAD the complaint or evidence adduced during trial
It has been held that the defense of prescription may
be considered only if the same is invoked in the
SECTION 1 - Defenses and objections not pleaded.Defenses and answer
objections not pleaded either in a motion to dismiss or in the Except where the fact of prescription appears in the
answer are deemed waived. However, when it appears from the allegations in the complaint of the evidence presented
pleadings or the evidence on record that the court has no by plaintiff, in which case such defense is deemed not
jurisdiction over the subject matter, that there is another action waived (Ferrer v. Ercita)
pending between the same parties for the same cause, or that the Thus, it would appear that the non-waiver is
action is barred by a prior judgment or by statute of limitations, dependent on the timeliness of invocation of the
the court shall dismiss the claim. (2a) defense, or where such defense is a matter of record
or evidence
Breakdown of Provision
A. Defenses and objections not pleaded either in a motion to The Presence of any of the Four Grounds
dismiss or in the answer are deemed waived - Authorizes the court to motu proprio dismiss the claim
B. But the court shall dismiss the claim when it appears from The claims asserted in the complaint, counter-claim,
the pleading or records that: cross-claim, third-party complaint, or complaint in
1. Court has no jurisdiction over the subject matter intervention
2. There is another action pending between the same - But it is necessary that the constitutive facts of such
parties for the same cause grounds, if not in the answer with evidence adduced
3. The action is barred by a prior judgment therefor, should appear in the other pleadings filed or in
4. The action is barred by statute of limitations the evidence on record in the case

GENERAL RULE: Defenses and objections not raised in a motion to Illustrative Cases
dismiss or in the answer are deemed waived 1. Brown v. Yambao courts can take cognizance of the
action since actions seeking decree of legal separation, or
EXCEPTIONS: annulment of marriage, involves public interest; defense of
1. Lack of jurisdiction over the subject matter; prescription deemed not waived
2. Litis pendentia; 2. PNB v. Perez the defense of prescription can only be
3. Res judicata; and considered if the same is invoked as such in the answer of
4. Prescription of the action the defendant
In this case, no such defense was invoked because the
Lack of Jurisdiction over the Subject Matter defendant had been declared in default
- The objection on jurisdictional grounds which is not But such rule does not obtain when the evidence
waived even if not alleged is lack of jurisdiction over the shows that the cause of action upon which plaintiffs
SUBJECT MATTER complaint is based is already barred by statute of
- Lack of jurisdiction over the NATURE of the action has limitatioons
been eliminated in Rule 16 3. Garcia v. Mathis where the allegations in the complaint
Although objection may possibly be raised in other showed that the action has prescribed, the case was
pleadings or proceedings dismissed even if prescription was not invoked
- Lack of jurisdiction over the subject matter can always be
raised anytime Limitations on Exceptions
Even for the first time on appeal - Sec. 1 Rule 9 covers situations where a defense or
Jurisdictional issues cannot be waived but subject, objection is not raised in a motion to dismiss or answer
however, to the principle of estoppel by laches - It does not apply where defenses are raised in the answer
but not included in the pre-trial order
Litis Pendentia Non-inclusion of the defense of prescription in the
- Since the other case is still pending, a resolution of the pre-trial order barred its consideration during trial
objection raised on this ground should properly await the
resolution of and developments in the other pending case
- Upon occurrence of the relevant contingencies in the other SECTION 2 - Compulsory counterclaim, or cross-claim, not set up
case, this objection may then be raised barred.A compulsory counterclaim, or a cross-claim, not set up
Unless already submitted to the court shall be barred. (4a)
Which by then would be in a better position to
appreciate the merits of the objection Amended Answer is proper if the counterclaim or cross-claim
already existed at the time the original answer was filed but due to
Res Judicata and Prescription oversight inadvertence, or excusable neglect it was not set up
- Included as exceptions since they are grounds for
extinguishment of the claim Supplemental Answer is proper if the counterclaim or cross-claim
- Note also Sec. 5, Rule 16 which provides that a motion to matures or is acquired after the answer is filed
dismiss on the grounds, inter alia, of res judicata or
prescription shall bar the refiling of the same action or Relevant Provisions
claim 1. See Sec. 8, Rule 11
2. See Rule 17 on Effects of Dismissal of complaint on
counterclaim
3. See Rule 6, Sec. 7

87
Purpose of Rule (d) Extent of relief to be awarded.A judgment rendered
- To avoid multiplicity of suits and to dispose of the whole against a party in default shall not exceed the amount or
matter in controversy in one action be different in kind from that prayed for nor award
- Adjustment of defendants demand by counterclaim rather unliquidated damages. (5a, R18)
than by independent suit (e) Where no defaults allowed.If the defending party in an
action for annulment or declaration of nullity of
Effect of Failure to Set Up Compulsory Counterclaim marriage or for legal separation fails to answer, the
- If a compulsory counterclaim is not set up, it shall be court shall order the prosecuting attorney to investigate
barred whether or not a collusion between the parties exists,
- Party in error is precluded from setting it up in a and if there is no collusion, to intervene for the State in
subsequent litigation on the ground of res judicata order to see to it that the evidence submitted is not
- What are barred by prior judgment are not only the fabricated. (6a, R18)
matters actually raised and litigated, but also such matters
as could have been raised but were not Breakdown of Provision
- Where the counterclaim is made subject of a separate suit, A. If defending party fails to answer within time allowed, the
it may be abated upon plea of auter action pendant or litis court shall declare the defending party in default
pendentia and/or dismissed on the ground of res judicata 1. HOW:
- A compulsory counterclaim is ancillary to the proceedings a. Upon motion of the claiming party
in the original suit b. With notice to the defending party
c. And proof of such failure
Note also that the Filing of Motion to Dismiss is Implied Waiver of 2. The court shall then proceed to render judgment
Compulsory Counterclaim granting the claimant such relief as the pleading may
- The filing of a motion to dismiss and the setting up of a warrant
compulsory counterclaim are incompatible remedies a. UNLESS: the court in its discretion requires the
- Party must choose only one remedy claimant to submit evidence
1. If he decides to file a motion to dismiss, he will lose b. Reception of evidence may be delegated to clerk of
his compulsory counterclaim court
2. If he opts to set up a compulsory counterclaim, he B. Effect of Order of Default
may still plead his ground for dismissal as an 1. Party in default is entitled to notice of subsequent
affirmative defense in his answer proceedings
2. But not to take part in the trial
But if the Dismissal of the Counterclaim was due to Non-Payment of C. Relief from Order of Default
Docket Fees, it is not res judicata 1. A party may file a motion to set aside the order
- In this case, it was not a determination on the merits 2. WHEN:
- And the dismissal would be unqualified a. At any time after notice of the order of default
- So the dismissal is not a bar to the filing of the b. Before judgment
counterclaim in a subsequent action instituted by the 3. HOW: File a motion under oath to set aside the order of
plaintiff involving the same subject-matter default
- See Meliton v. CA, et al. 4. Upon a showing that:
1. His failure to answer was due to fraud, accident,
mistake, or excusable negligence; and
SECTION 3 - Default; declaration of.If the defending party fails 2. That he has a meritorious defense
to answer within the time allowed therefor, the court shall, upon 5. Order of default may be set aside on such terms and
motion of the claiming party with notice to the defending party, conditions as the judge may impose on the interest of
and proof of such failure, declare the defending party in default. justice
Thereupon, the court shall proceed to render judgment granting D. Effect of Partial Default
the claimant such relief as his pleading may warrant, unless the 1. When a pleading asserting a claim states a common
court in its discretion requires the claimant to submit evidence. cause of action against several defending parties, some
Such reception of evidence may be delegated to the clerk of court. answer and the others fail
(1a, R18) 2. Court shall try the case against all upon the answers
(a) Effect of order of default.A party in default shall be thus filed and render judgment upon evidence
entitled to notice of subsequent proceedings but not to presented
take part in the trial. (2a, R18) E. Extent of Relief to be Awarded judgment rendered against
(b) Relief from order of default.A party declared in default party in default:
may at any time after notice thereof and before 1. Shall not exceed the amount or be different in kind
judgment file a motion under oath to set aside the order from that prayed for
of default upon proper showing that his failure to 2. No award of unliquidated damages
answer was due to fraud, accident, mistake or excusable F. Where No Defaults Allowed
negligence and that he has a meritorious defense. In 1. If defending party in an action for legal separation fails
such case, the order of default may be set aside on such to answer
terms and conditions as the judge may impose in the a. Court shall order prosecuting attorney to
interest of justice. (3a, R18) investigate whether or not a collusion between
(c) Effect of partial default.When a pleading asserting a parties exist
claim states a common cause of action against several b. IF there is no collusion, Court shall order
defending parties, some of whom answer and the others prosecuting attorney to intervene for the State in
fail to do so, the court shall try the case against all upon order to see to it that the evidence submitted is
the answers thus filed and render judgment upon the not fabricated
evidence presented. (4a, R18)

88
Dual Stages of Default two stages of default: Basis of Default
1. Declaration of Order of Default when defendant fails to 1. Fundamentally, default orders are taken on the legal
answer within the time specified in the rules, the court presumption that in failing to file an answer, defendant
shall, upon motion of the plaintiff and proof of such failure, does not oppose the allegations and relief demanded in the
declare defendant in default complaint
2. Rendition of Judgment by Default thereafter, on the basis 2. There must be a motion to declare defendant in default
of the allegation of the complaint or after receiving
plaintiffs evidence, the court shall render judgment Take Note:
granting him such relief as the complaint and the facts - The court cannot motu proprio declare a defendant in
proven may warrant default, there must be a motion to that effect by plaintiff
with proof of failure by defendant to file his responsive
ORDER OF DEFAULT JUDGMENT BY DEFAULT pleading despite due notice
Issued by the court, on Rendered by the court - Under the rule of summary procedure, no default order is
plaintiffs motion for failure of following a default order or rendered or required as a motion to declare the defendant
defendant to file his responsive after it received, ex parte, in default is prohibited
pleading seasonably plaintiffs evidence
Interlocutory not appealable Final appealable Caution in Issuing Default Orders
While there are instances when a party may properly be
When Declaration of Default Proper defaulted, these should be the exception rather than the rule, and
There is only one instance when a party defendant can should be allowed only in clear cases of obstinate refusal or
properly be declared in default and that is when he fails to file his inordinate neglect to comply with the orders of the court (Tropical
answer within the reglementary period, or within such extended Homes, Inc. v. Villaluz)
time as he is allowed by the court, under Sec. 1, Rule 18
Kinds of Declaration of Default
Take Note: 1. A validly or properly declared in default for causes
- Failure to file a responsive pleading within the attributable to the defendant
reglementary period, and not failure to appear at hearing, 2. Illegally or improvidently declared in default as when it is
is the SOLE ground for an order of default premature for causes not attributable to defendant
- Except the failure to appear at pre-trial conference The proceedings are null and void
wherein the effects of a default on the part of the Certiorari is an appropriate remedy despite
defendant are followed (Sec. 5, Rule 18) availability of appeal
Failure of the defendant to attend the pre-trial is a
cause for the court to order the plaintiff to present his May a defendant be declared in default while a motion to dismiss or
evidence ex parte and for the court to render a motion for a bill of particulars remains pending and undisposed of?
judgment on the basis thereof; but this consequence No, because the filing of a motion to dismiss or motion for
is not to be called a declaration of default bill of particulars interrupts the running of the period to answer. It
- Also, a default judgment may be rendered, even if will run again from the moment defendant receives the order
defendant had filed his answer, under the circumstances in denying motion to dismiss or for a bill of particulars.
Sec. 3(c), Rule 29
Effect of Order of Default:
NOTE: Where the answer is filed beyond the reglementary period 1. The court shall proceed to render judgment granting the
but before the defendant was declared in default, and there is no claimant such relief as his pleading may warrant; or in its
showing that defendant intended to delay the case, the answer discretion
should be admitted (Cathay Pacific v. Romillo) 2. Shall require the claimant to submit evidence;
3. Loss of standing in court of the defaulting party
GENERAL RULE: Default order and consequently a default judgment 4. Defendant is still entitled to notices of subsequent
are triggered by the failure of the defending party to file the required proceedings
answer (Sec. 3, Rule 9)
EXCEPTIONS: A judgment by default may be rendered in the - Loss of standing in court consequence of an order of
following cases despite an answer having been filed: default; a party in default is considered out of court
1. If a party refuses to obey an order requiring him to comply He cannot appear therein, adduce evidence and be
with the various modes of discovery (Sec. 3, Rule 29); or heard nor take part in the trial
2. If a party or officer or managing agent of a party willfully He loses his right to present his defense, control the
fails to appear before the officer who is to take his proceedings and examine witness
deposition (Sec. 5, Rule 29) Although he is entitled to notice of subsequent
proceedings
Elements of a Valid Declaration of Default - Loss of standing does not constitute a waiver of all his
1. The court must have validly acquired jurisdiction over the rights except that being heard and or presenting evidence
person of the defendant either by service of summons or in trial court:
voluntary appearance He is entitled to notice of final judgments and orders
2. The defendant failed to file his answer within the time and proceedings taken subsequent thereto (Garcia v.
allowed therefor CA)
3. There must be a motion to declare the defendant in default He may be cited and may testify as a witness (Cavile
with notice to the latter v. Florendo)
4. There must be notice to the defendant by serving upon He has the right to notice of motion for execution
him a copy of such motion pending appeal (SC Johnson & Co v. CA)
5. There must be proof of such failure to answer
6. There must be a hearing to declare defendant in default

89
Defaulting defendant in a common cause of action automatically joined by allegations in the complaint
may ask for execution of judgment issued in his favor (Gojo v. Goyala)
(Castro v. Pena) 4. Declaration of default before expiration of period to
- Note that these principles are not applicable where the answer is null and void (Denso v. IAC)
order of default is invalid for lack of proper service of a. Filing of a special civil action for certiorari under Rule
summons 65 does not interrupt the period to file an answer;
defendant may be declared in default even if there is a
Remedies available to defendant in default, as held in Lina v. CA pending petition for certiorari (Diaz v. Diaz)
1. The defendant in default may file a motion, under oath, to 5. A motion to dismiss assailing the merits may be
set aside the order of default considered as an answer but the court explained that a
At any time after discovery thereof (from Notice) motion to dismiss may not be considered as an answer
and before judgment, (Matute v. CA)
2. If the judgment has already been rendered, he may file for
new trial under Sec. 1 (a) Rule 37 Partial Default:
when the defendant discovered the default, 1. The pleading asserting a claim states a common cause of
but before the same has become final and executory action against several defending parties
3. If defendant discovered the default after judgment had 2. Some of the defending parties answer and the others fail to
become final and executory, he may file a petition for relief do so
under Sec. 2, Rule 38 3. The answer interposes a common defense
4. He may also appeal from the judgment rendered against
him as contrary to the evidence or to the law, even if no Effect of Partial Default
petition to set aside the order of default has been - When the complaint states a common cause of action
presented by him against several defendants some of whom answers and
some of them do not, the court should declare defaulting
Certiorari Available Defendant Improvidently Declared in Default defendants in default, and proceed to trial on answers of
- An order of default is interlocutory and is not appealable others
(Vencilan v. Vano) - It must be established that:
- But if the order is void, remedy is certiorari; the appeal 1. Petitioner has a common cause of action against all
may be treated as certiorari (Akut v. CA) defendants; and
- Note that a defendant who is properly declared in default 2. All defendants are indispensable parties to the case
is differently situated from one who is improvidently - Some rules laid down by jurisprudence:
declared: a. The rule is not applicable to defenses personal to the
1. Defendant PROPERLY declared in default answering defendant such as forgery (Luzon Surety
a. He irreparably loses his right to participate in v. Magbanua)
trial b. Where a co-defendant who filed his answer died and
b. He is limited to the remedy set forth in Sec. 2, the case was dismissed as to him, the answer he filed
Par. 3, Rule 41; he can only contest the judgment does not inure to the benefit of the defendant who did
by default on the designated ground that it is not file his own answer
contrary to evidence or law
2. Defendant IMPROVIDENTLY declared in default Requisites to Lift Order of Default
a. He retains his right to participate and the A Verified Motion showing:
subsequent judgment by default annulled and 1. Fraud, accident, mistake, or excusable neglect; AND
case remanded to court of origin 2. Meritorious defenses
b. He has the option to avail of the same remedy in
Rule 41 or to forthwith interpose a petition for Notes:
certiorari seeking nullification of the order of - The motion must be under oath or verified and
default; or in the event that the latter has been accompanied by an affidavit of merits
rendered, to have both decrees declared void - A meritorious defense is synonymous to a good and valid
defense
Illustrative Cases - His motion must be accompanied by a statement of the
1. It is an error to declare defendant in default after an evidence which he intends to present if the motion is
answer had already been filed (Cathay Pacific v. Romillo, granted and which is such as to warrant a reasonable
Jr.) belief that the result of the case would probably be
a. The answer should be admitted (Tumambing v. otherwise if a new trial is granted
Ganzon) - These two requisites MUST concur
2. Failure to furnish plaintiff with copy of answer is ground - It is within the discretion of the trial court to set aside an
for default (Gonzales v. Francisco) order of default and permit the filing of defendants
a. Failure to furnish plaintiff with a copy of letter- answer even beyond the reglementary period, or to refuse
answer prepared by an ordinary layman containing a to set aside the default order where it finds no justification
recital of facts relied upon as defenses, is a sufficient for the delay (Malipod v. Tan)
and substantial compliance, and is not a ground for
default (Cequerra v. Cayetano) Liberality in Setting Aside Default
3. When a counterclaim need not be answered, default is Courts should be liberal in setting aside orders of default,
improper for a default judgment is frowned upon and are not looked upon
a. A plaintiff who fails or chooses not to answer a with favor for such a judgment may amount to a positive and
compulsory counterclaim may not be declared in considerable injustice to the defendant and the possibility of such
default; issues raised in the counterclaim are deemed serious consequences necessitates a careful examination of the

90
grounds upon which the defendant asks that it be set aside.
(Montinola v. Planters Bank)

Effect of Setting Aside of Default Order


- If the court sets aside the order of default, the defendant is
now restored to his standing and rights in the action
- But proceedings already taken are not to be disturbed
(Jamie v. Maniego)
- Although it is within the discretion of the court to re-open
the evidence submitted by the plaintiff and enable the
defendant to challenge the same (Denso Inc. v. IAC)
- The lifting of an order of default does not revert the case to
its pre-trial stage, much less render a second pre-trial
mandatory (DBP v. CA)

Extent of Relief to be Awarded


- A judgment rendered against a party in default shall not
exceed the amount or be different in kind from that prayed
for nor award unliquidated damages
- The rules see to it that any judgment against him must be
in accordance with the law
- The court acts in excess of jurisdiction if it awards an
amount beyond the claim made in the complaint or
beyond that proved by evidence
- Although the defendant would not be in position to object,
elementary justice requires that only legal evidence should
be considered against him
- And if an unfavorable judgment should be justifiable, it
cannot exceed the amount or be different from what is
prayed for in the complaint
- If the claim is not proved, the case should be dismissed

Where No Defaults Allowed


1. An action for annulment or declaration of nullity of
marriage
2. For legal separation
3. Special civil actions of certiorari. Prohibition and
mandamus where comment instead of an answer is
required to be filed
4. Summary procedure

END OF RULE 9

91
NOTES ON RULE 9

DEFAULT IN ORDINARY PROCEDURE

After the lapse of time to file If motion denied:


an answer, the plaintiff may Defendant allowed to file an
move to declare the defendant answer
in default

If motion granted:
Court issues order of default
and renders judgment or
require plaintiff to submit REMEDIES FROM JUDGMENT BY
evidence ex parte DEFAULT

Judgment by default
Before judgment by default is
rendered, defendant may:
(1) Move to set aside order of
Court maintains order of Motion for new trial or
default upon showing of FAME
default reconsideration at any time
and that he has a meritorious
after service of judgment by
defense;
default and within 15 (3)
(2) Avail of Rule 65 in proper
days therefrom
cases

Failure to file a motion for


Court sets aside order of new trial or denial of said
default and defendant is motion
allowed to file an answer
Presentation of plaintiffs
evidence ex-parte

Case set for pre-trial Perfect appeal from said


judgment by default within
the balance of said 15 (30)
day period
If plaintiff proves his If plaintiff fails proves his
allegations: allegations:
Judgment by default Case is dismissed
Failure to appeal without
defendants fault

Petition for relief from


judgment within 60 days
from notice of the judgment
but within 6 months from
entry thereof

Annulment of judgment
under Rule 47

92
NOTES ON RULE 9

93
3. Amendment of reply any time within 10 days after it is
RULE 10 served
AMENDED AND SUPPLEMENTAL PLEADINGS 4. Formal amendment

Illustrative Cases:
SECTION 1 - Amendments in general.Pleadings may be amended 1. Even after a motion to dismiss has been filed by defendant
or such motion has been submitted for decision, plaintiff
by adding or striking out an allegation or the name of any party,
can still amend his complaint as a matter of right
or by correcting a mistake in the name of a party or a mistaken or
inadequate allegation or description in any other respect, so that A motion to dismiss is not a responsive pleading
the actual merits of the controversy may speedily be determined, An error of the court in refusing such amendment is
without regard to technicalities, and in the most expeditious and controllable by mandamus (Breslin, et al. v. Luzon
inexpensive manner. (1) Stevedoring)
2. Amendment of the complaint may be allowed even if an
Pleadings are Amended by: order for its dismissal has been issued as long as the
1. Adding or striking out an allegation or the name of any motion to amend is filed before dismissal became final
party; or (Constantino v. Reyes)
2. By correcting a mistake in the name of a party or a mistake 3. An amended answer may also be allowed even after the
or inadequate allegation or description in any other object case had been set for trial on the merits if the purpose of
the amendment is to submit the real matter in dispute
Purpose of Rule on Amendment: without intent to delay the action (Paman v. Diaz)
- So that the actual merits of the controversy may be 4. The defense of prescription, which is not raised in a
speedily be determined, without regard to technicalities motion to dismiss nor as an affirmative defense in the
- In the most expeditious and inexpensive manner original answer, may validly be set up for the first time in
- To avoid multiplicity of suits an amended answer (Aznar III et al., v. Bernad, et al.)
- The real matter in dispute and other matters included in Effect of the amended answer is the withdrawal of the
the action may be completely determined in a single original answer and its substitution
proceeding Since in this case, no responsive pleading, such as a
reply, had been filed by plaintiff and the case had not
Different Methods of Amendment: been calendared for hearing, defendant had the right
1. Suppression to amend his answer
2. Addition 5. Amendment to the complaint prior to the filing of the
3. Incorporation answer may introduce new causes of action against the
4. Substitution same defendant, in which case new summons together
5. By attaching document to complaint with the amended complaint must be served upon
defendant (Atkins Kroll & Co. v. Domingo)
Types of Amendments: It is only when new causes of action are alleged in the
1. Amendment as a matter of right the party has the amended complaint filed before the defendant has
unconditional right to amend his pleading. The court has appeared in court that another summons must be
no right to prevent him from amending. The opposite served on the defendant with the amended complaint
party has no right to oppose the amendment. If an answer had already been filed or if defendants
2. Amendment as a matter of judicial discretion the court were already served with summons in the original
may or may not allow the amendment. The other party has complaint and appeared and filed a motion to
the right to oppose. dismiss, no new summons is needed (Gumabay v.
Beralin)

SECTION 2 - Amendments as a matter of right.A party may


amend his pleading once as a matter of right at any time before a SECTION 3 - Amendments by leave of court.Except as provided
responsive pleading is served or, in the case of a reply, at any time in the next preceding section, substantial amendments may be
within ten (10) days after it is served. (2a) 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
When Amendments Allowed as a Matter of Right A party may delay. Orders of the court upon the matters provided in this
amend his pleadings: section shall be made upon motion filed in court, and after notice
1. Once as a matter of course; to the adverse party, and an opportunity to be heard. (3a)
2. At any time before a responsive pleading is served
3. In case of a reply, he may so amend it (the complaint) at Requisites for Valid Amendment
any time within 10 days after it is served 1. After the case is set for hearing (not after responsive
pleading is filed)
Amendment for the first time is a matter of right before a responsive 2. Substantial amendment may be made:
pleading is filed or, in the case of a reply, within 10 days after it was a. Only upon leave of court;
served b. Upon motion filed in court;
Amendment for the second or subsequent time must c. And after notice to the adverse party;
always be with leave of court even before a responsive pleading is d. And an opportunity to be heard
filed or before the case is set in the calendar of the court
Note: Such leave may only be refused if it appears to the court that
Instances When an Amendments is a Matter of Right: the motion was made to delay the action
1. Amendment of complaint before an answer is filed.
2. Amendment of answer before a reply is filed or before the
period for filing a reply expires

94
What May be Amended Pleadings, any process, affidavit, or other Limitations on Leave to Amend; Amendments Should Not be
documents in the case; all matters, principal and collateral, involved Allowed in the following:
in the action 1. To set up a cause of action not existing at the time of filing
of complaint (Surigao Mines Exploration Co. v. Harris)
Practice in Amending Pleading with Leave of Court 2. An action for collection of note not yet due when filed is
- The practice is to attach the amended pleading to the not curable by amendment even if it fell during the
motion which is titled as a Motion to admit instead of a pendency of the case (no cause of action) (Limpangco v.
bare motion leave Mercado)
- This is now required by the rules (See Sec. 9, Rule 15)
- If leave of court is not obtained, amended complaint may Summary of Principles:
be stricken out 1. If there is no valid subsisting cause of action at the time of
filing, the complaint is NOT AMENDABLE
There Must be Reasonable Ground 2. If there is merely an imperfect or incomplete statement of
- Where amendment is not a matter of right, a bare cause of action, the complaint IS AMENDABLE
assertion of a desire to amend the pleading because
certain matters have not been therein alleged, or the Effect on Statute of Limitations
submission of an amended one, without more, is obviously 1. For new and different causes of action, the statute runs
insufficient until after amendment (Ruymann and Farris v. Dir. Of
- There must be some reasonable grounds justifying its Lands)
exercise of discretion to allow amendment For purposes of determining the commencement of
the suit, the original complaint is deemed abandoned
Test of Change of Cause of Action and superseded by the amended complaint only if the
- In determining whether a different cause of action is amended complaint introduces a new or different
introduced by amendments, what is to be ascertained is cause of action or demand (Versoza v. CA)
whether the defendants shall be required to answer for a 2. Addition of a new count which merely supplements and
liability or legal obligation wholly different from that amplifies the facts originally alleged relates back to the
which was stated in the original complaint date of the commencement of the action and is not barred
- An amendment will not be considered as stating a new by the statute
cause of action in the following: It is the actual filing in court that controls and not the
1. If the facts alleged in the amended complaint show ate of the formal admission of the amended pleading
substantially the same wrong with respect to the 3. Imperfect statement of cause of action the plea of the
same matter but are more fully and differently stated statute relates back to the time of the filing of the original
2. Where averments which were implied are made complaint
express 4. If the defendant had no means of knowing before trial
3. Where the subject of the controversy or liability began, that the claim advanced by plaintiff is barred by
sought to be enforced remains the same statute of limitations, amendment is allowed
4. An amendment to change the relief sought does not
change the theory of the case Amendments to Vest Court with Jurisdiction
- When the court of origin had no jurisdiction over the
Liberality in Accepting Amendments original complaint in the first place, amendments may not
- In furtherance of justice be had (Stricter view)
- The courts should be liberal in allowing amendments to - Before an amendment can be permitted, the trial court
pleadings to avoid multiplicity of suits and in order that must have acquired jurisdiction over the case in the first
the real controversies between the parties are presented, instance (Tirona v. Alejo)
their rights determined, and the case decided on the - This is only true if a responsive pleading had already been
merits filed, but not when amendment is a matter of right
- Should the trial court find the allegations in the pleadings - In summary (a more Liberal view):
to be inadequate, it should allow the party concerned to 1. The rule that a plaintiff may not amend his cause of
file proper amendments to pleadings in accordance with action for purpose of vesting the court with
the mandate of the Rules jurisdiction which it does not have under the original
- This liberality is greatest in the early stages of a lawsuit complaint, only applies if a responsive pleading had
already been filed and, therefore, leave of court is
Amendments Should Not be Disallowed in the following: required
1. When disallowance would result in injustice to the moving 2. Before the filing of a responsive pleading, the plaintiff
party; may amend his pleading as a matter of course
2. Where the amendment would not prejudice the adverse without leave of court, and this is true even if a
party or place him at a disadvantage and he has all the motion to dismiss has been filed, because the latter is
time allowed by law to answer the amended pleading and not a responsive pleading
to prepare for trial (Shaffer v. Palma) - For as long as no responsive pleading had not yet been
3. An amended answer to include additional defense allowed filed, there is no limitation on the scope and nature of the
liberally (Paman v. Diaz) amendment
4. Even after the parties have rested, it is within the
discretion of the court to allow amendment to an answer Amendments to Cure Lack of Cause of Action
for purposes of questioning the personality of the plaintiff - Note that a complaint may fail to state a cause of action
in bringing the action (International Film v. Lyric Film either because:
Exchange) 1. The action have not yet accrued when the action was
commenced

95
This cannot be cured by amendment since the a. A defect in the designation of the parties; and
cause of action must exist at the time of the b. Other clearly clerical or typographical errors
commencement of action 2. At its own initiative or on motion
2. Or the cause of action have already accrued but was 3. Provided no prejudice is caused thereby to the adverse party
imperfectly stated
This situation is curable by amendment
- Some cases: SECTION 5 - Amendment to conform to or authorize presentation
1. Mere correction of a defect in the allegation of the of evidence.When issues not raised by the pleadings are
complaint because as it then stood, the original tried with the express or implied consent of the parties, they shall
complaint states no cause of action, is permitted be treated in all respects as if they had been raised in the
(Tamayo v. San Miguel Brewery) pleadings. Such amendment of the pleadings as may be necessary
2. Amendment to allege earnest efforts to compromise to cause them to conform to the evidence and to raise these issues
among members of the same family was allowed may be made upon motion of any party at any time, even after
(Versoza v. Versoza) judgment; but failure to amend does not affect the result of the
- Remember that where the plaintiff has no valid cause of trial of these issues. If evidence is objected to at the trial on the
action at the time of the filing of the complaint, this defect ground that it is not within the issues made by the pleadings, the
cannot be cured or remedied by the acquisition or accrual court may allow the pleadings to be amended and shall do so with
of one while the action is still pending liberality if the presentation of the merits of the action and the
An amendment which seeks to set up a cause of ends of substantial justice will be subserved thereby. The court
action after it had accrued is NOT permissible may grant a continuance to enable the amendment to be made.
(Surigao Mines Exploration v. Harris) (5a)

Illustrative Cases: Applicability of this Section


1. Amendment to include prescription was allowed even - This is an instance wherein the court acquires jurisdiction
after case is set for trial but before trial (Castillo v. over the issues even if the same are not alleged in the
Galvan) original pleadings of the parties
2. A motion to amend answer long after pre-trial was Where the trial of said issues is with the express or
terminated and the case placed in the pre-trial calendar, to implied consent of the parties
include the defenses of prescription, estoppel, laches, and - This rule is premised on the fact that evidence had been
fraud was denied (Gulang v. Nodayag) introduced on an issue not raised by the pleadings without
3. An amendment from sole proprietorship to name of owner any objection by the adverse party
is a mere formal amendment (Juasing Hardware v. - It does not apply when the case was decided on a
Mendoza) stipulation of facts in which case the pleadings are not
4. Plaintiff may amend the complaint to place it out of deemed amended to conform to the evidence (MWSS v.
prescription based on an erroneous allegation of fact CA)
(Malayan Insurance v. Delgado Shipping Agencies)
5. Amendment to include compulsory counterclaim is What this rule contemplates
allowed (Uy Hoo & Co. Inc. v. Tan) - This rule allows a complaint which states no cause of
6. Amendment to question capacity to sue even after resting action to be cured either by:
by both parties discretionary (International Films v. Lyric 1. Evidence presented without objection or
Film Exchange) 2. In the event of an objection sustained by the court, by
7. Prayer for reinstatement and additional damages in an an amendment of the complaint with leave of court
amended answer filed 6 years from original answer is not - It also allows the admission of evidence:
barred by laches or prescription as this allegation is 1. On a defense not raised in a motion or answer if no
merely supplemented and amplified fact of termination objection is made thereto;
(Panay Electric Co. v. CA) 2. In the event of such objection, court may allow
8. Even if amended defense will alter theory of defense, if it amendment of the answer in order to raise said
will negate defendants liability, amendment is permissible defense
(R and B Surety and Insurance v. Savellano) - Remember, however, that where the plaintiff has no valid
9. The court may allow amendment of pleadings even if the cause of action at the time of the filing of the complaint,
cause of action or defense is substantially altered if no this defect cannot be cured or remedied by the acquisition
substantial injury will be caused thereby (Marini or accrual of one while the action is pending
Gonzales v. Lood)
10. An amendment eliminating claims of ownership and This Section Envisions Two Scenarios
limiting the same to the issue of prior possession does not 1. When evidence is not objected to
substantially alter the theory of the complaint (Espejo v. When issues not raised by pleadings are tried by
Malate) express or implied consent of the parties, they shall
be treated in all respected as if they had been raised
in the pleadings
SECTION 4 - Formal amendments.A defect in the designation of This is premised on the fact that evidence has been
the parties and other clearly clerical or typographical errors may introduced on an issue not raised by the pleadings
be summarily corrected by the court at any stage of the action, at without any objection thereto raised by parties
its initiative or on motion, provided so prejudice is caused Such amendments of pleadings as may be necessary
thereby to the adverse party. (4a) to cause them to conform to the evidence and raise
these issues may be made upon motion of any party
Breakdown of Provision at any time, even after judgment
1. The following may be summarily corrected by the court at But failure to amend does not affect the result of the
any stage of the action: trial of those issues

96
2. When evidence is objected to Principles in Jurisprudence
Objection on the ground that it is not within the 1. The rule on amendment need not be applied rigidly,
issues made by the pleadings particularly where no surprise or prejudice is caused the
Court may allow the pleadings to be amended and objecting party (Co Tiamco v. Diaz)
shall do so freely 2. Where there is a variance in the defendants pleadings and
When the presentation of the merits of the action will the evidence adduced at trial, the court may treat the
be subserved pleading as amended to conform to the evidence (National
As safeguard, the court may grant a continuance to Power Corp. v. CA)
enable the objecting party to meet such evidence
On Pre-Trial
- The rules on pre-trial do not prohibit a subsequent
AS TO THE FIRST SCENARIO amendment of the complaint after pre-trial has been
issued
There is an implied consent even if no motion is filed and no - To forbid allowance of a succeeding amendment would
amendment is ordered render nugatory the rules on amendment after the case
- The court may just as well render a valid judgment on the had been set for hearing
issues thus proved - Such amendments may even be allowed at any stage of the
- Appellate courts may treat the pleadings as amended to action if only to insure the actual merits of the controversy
conform to the evidence although pleadings were not may speedily be determined without regard to
actually amended technicalities

Relevant Rules
1. The complaint must contain a statement of all the facts SECTION 6 - Supplemental pleadings. Upon motion of a party
constituting the plaintiffs cause of action the court may, upon reasonable notice and upon such terms as
If it does not, it is subject to demurrer are just, permit him to serve a supplemental pleading setting
2. If the defendant permits evidence to be introduced forth transactions, occurrences or events which have happened
without objection, which supplies the necessary since the date of the pleading sought to be supplemented. The
allegations of a defective complaint, then this evidence has adverse party may plead thereto within ten (10) days from notice
the effect of curing the defects of such complaint of the order admitting the supplemental pleading. (6a)
A demurrer thereafter is inadmissible
Court is required to render judgment in any Breakdown of Provision
particular case, giving such relief as consistent with A. Court may permit a party to serve a supplemental pleading
the case made by the pleadings and the evidence 1. Upon motion of a party
2. Upon reasonable notice
3. Upon such terms as just
AS TO THE SECOND SCENARIO B. Supplemental pleading sets forth transactions, occurrences,
events which have happened since the date of the pleading
There must be an amendment sought to be supplemented
- Amendment before accepting evidence (Co Tiam Co v. C. Adverse party may plead thereto within 10 days from notice
Diaz) of order admitting supplemental pleading
- Purpose of the amendment after judgment is to support
the judgment or to make the record show more perfectly Supplemental Pleadings those which aver facts occurring after the
what was really tried and decided filing of the original pleadings and which are materials to the mature
An amendment to pleadings after judgment which claims and/or defenses therein alleged
would nullify the judgment and begin a new contest is
not authorized Distinctions between Supplemental Pleadings and Amended
- Objection to evidence not alleged must be supported by Pleadings
affidavit of merits to show that he has meritorious defense 1. As to subject
of which he may be deprived if the amendment to a. Amended Pleadings refer to the facts existing at
accommodate the evidence be allowed, not merely on time of filing of original pleading
technical grounds (Chua Kiong v. Whitaker) b. Supplemental Pleadings refer to those occurring
after the filing of original pleading
Two Conflicting Rulings 2. As to effect
1. One line of cases holds that where the evidence sustains an a. Amended Pleadings supersedes the original
award in excess of that claimed in the complaint, but the b. Supplemental Pleadings merely supplements
plaintiff failed to amend the prayer of its complaint as to 3. As to time
the amount of damages to conform to the evidence, the a. Amended Pleadings original may be amended
amount demanded in the complaint should be the measure without leave of court before a responsive pleading is
of damages (Malayan Insurance Co. Inc. v. Manila Port filed
Services) b. Supplemental Pleadings always needs a leave of
2. There are cases where the SC has held that even without court
such amendment to conform to the evidence, the amount 4. As to form
proved at trial may validly be awarded (Tuazon v. a. Amended Pleadings amendment must be
Bolanos) appropriately marked
b. Supplemental Pleadings no such requirement

97
Nature of a Supplemental Pleading Note: Amendments to a pleading should be indicated in the amended
- Only serves to bolster or adds something to the primary pleading, as by underscoring, enclosing them in quotation marks,
pleading putting them in capital letters, and so forth, as would make them
- It exists side by side with the original readily evident
- Does not replace that which it supplements
- Assumes that the original pleading is to stand and that The Amended Pleading SUPERSEDES the Original Pleading
issues joined with the original pleading remained an issue - Original pleading is deemed withdrawn and no longer
to be tried in the action constitutes part of the record
- A continuation of the complaint - However, the filing of the amended pleading does not
- Usual office is to set up new facts which justify enlarge, or retroact to the date of the filing of the original
change the kind of relief with respect to the same subject Hence, the statute of limitations runs until the filing of
matter as the controversy referred to in the original the amendment (Ruymann, et al. v. Dir. Of Lands)
complaint But an amendment which merely supplements and
- It may be allowed to supply deficiencies or to raise issues amplifies facts originally alleged in the complaint
in the pleadings but brought out during the pre-trial, but relates back to the date of the commencement of the
not on separate and distinct causes of action action and is not barred by the statute of limitations
- A supplemental complaint should supply only deficiencies (Panay Electric Co. v. CA)
in aid of an original complaint - It is the actual filing in the court that controls, and not the
Should contain only causes of action relevant and date of the formal admission of the amended pleading
material to the plaintiffs right and which help or aid
the plaintiffs right or defense Specific Rules on Prescription
Must be based on matters arising subsequently to the - Where the original complaint states a cause of action but
original complaint related to the claim or defense does it imperfectly, and afterwards an amended complaint
presented therein, and founded on the same new is filed correcting the defect, the plea of prescription will
cause of action relate to the time of the filing of the original complaint
It cannot be used to try a new matter or new cause of (Pangasinan Trans. Co. v. Phil Farming Co. Ltd.)
action - But such rule will not apply to the party who was
impleaded for the first time in the amended complaint
Effect of Supplemental Complaint which was filed after the period of prescription had
- It relates back to the date of commencement of the action already elapsed; hence, the amended complaint should be
and is not barred by the statute of limitations dismissed (Aetna Insurance Co. v. Luzon Stevedoring)
- Period of which expires after services of the original
complaint but before service of the amendment Liberal Application
- It is the actual filing in court that controls - The rule is that amendments should be liberally allowed
(Cese v. GSIS)
Some Limitations - This liberality at the outset of the action decreases as the
1. Claims or defenses which have matured after the filing of case moves to its termination (Salvador v. Frio)
the original pleadings cannot be averred in a supplemental - Amendments to pleadings may be permitted even for the
pleading (it may be the subject of an amendment) first time on appeal, if, without changing the cause of
2. Supplemental pleadings are not allowed on separate and action or causing unfair prejudice to the other party, the
distinct causes of action purpose is to:
3. The admission or non-admission of a supplemental 1. Correct a defect of party plaintiff, as where it is
pleading is not a matter of right but is discretionary on the merely to include the husband of the plaintiff
court (Cuyugan v. Dizon)
2. Substitute the name of the real party in interest
Effect of Failure to Answer (Polacio v. Fely Trans Co.)
- Failure to answer a supplemental complaint when ordered
by the court is ground for default
- But where the basic and principal issue which had been SECTION 8 - Effect of amended pleadings. An amended pleading
previously traversed and joined by the answer remained, supersedes the pleading that it amends. However,
there is no necessity to require defendant to plead further admissions in superseded pleadings may be received in evidence
to the supplemental complaint and there is no legal ground against the pleader; and claims or defenses alleged therein not
to declare defendant in default for such failure to plead incorporated in the amended pleading shall be deemed waived.
(n)
Note Sec. 7, Rule 11
- A supplemental complaint may be answered within 10 Effect of an Amended Pleading
days from notice of the order admitting the same 1. An amended pleading supersedes the pleading that it
- Unless a different period is fixe by the court amends
- The answer to the complaint shall serve as the answer to a 2. Admissions in the superseded pleading can still be
supplemental complaint if no new supplemental answer is received in evidence against the pleader
filed 3. Claims or defenses alleged therein but not incorporated or
reiterated in the amended pleading are deemed waived

SECTION 7 - Filing of amended pleadings. When any pleading is According to Justice Moran
amended, a new copy of the entire pleading, incorporating the - Pleadings superseded or amended disappear from the
amendments, which shall be indicated by appropriate marks, record as judicial admissions
shall be filed. (7a) - Any statement contained therein may be considered as an
extrajudicial admission

98
As such, in order that the court may take it into
consideration, it should be offered formally in
evidence
- Ex: If in the original answer, the defendant admitted his
debt claimed by plaintiff, and he amends it later, denying
in his amended answer the whole debt
The admission contained in the original answer is
receivable against him
But such original answer should be introduced
formally in evidence since it is no longer a part of the
record as judicial admission because it has been
superseded or amended by another pleading
If not offered in evidence, admission contained
therein will not be considered
- Note that the present rule states that admissions in
superseded pleadings may be received in evidence against
the pleader

An amended pleading supersedes the original pleading


- Original pleading disappears from the records
- Defenses in original pleadings not reproduced in the
amended pleading are deemed waived
- Case stands for trial on the amended pleading only

END OF RULE 10

99
NOTES ON RULE 10

100
NOTES ON RULE 10

101
is filed.
RULE 11 This Rule shall apply to the answer to an amended
WHEN TO FILE RESPONSIVE PLEADINGS counterclaim amended cross-claim, amended third (fourth,
etc.) party complaint, and amended complaint-in-intervention.
(3a)
SECTION 1 - Answer to the complaint.The defendant shall file his
answer to the complaint within fifteen (15) days after service of Breakdown of Provision
summons, unless a different period is fixed by the court. (1a) A. If plaintiff files amended complaint as matter of right
1. Defendant to answer within 15 days after being served
Note: In case of a non-resident defendant on whom extrajudicial a copy thereof
service of summons is made, period to answer must be at least 60 B. If plaintiff files amended complaint which is not a matter of
days (Sec. 15, Rule 15) right
1. Defendant to answer within 10 days from notice of the
order admitting the same
2. Answer earlier filed may serve as answer to amended
SECTION 2 - Answer of a defendant foreign private
complaint if no answer is filed
juridical entity.Where the defendant is a foreign private
C. Sec. 3, Rule 11 shall apply to:
juridical entity and service of summons is made on the
1. Answer to an amended counterclaim
government official designated by law to receive the same, the
2. Answer to amended cross-claim
answer shall be filed within thirty (30) days after receipt of
3. Answer to amended third-party complaint
summons by such entity. (2a)
4. Answer to amended complaint-in-intervention
Breakdown of Sec. 1 and 2
Reckoning Dates:
A. Defendant to file his Answer to the Complaint
A. If the filing of an amended complaint is a matter of right
1. Within 15 days after service of summons
As where no answer has yet been filed to the original
2. UNLESS different period is fixed by the court
complaint, no motion for leave of court order
B. If defendant is a foreign private juridical entity
granting such leave to file amended complaint being
1. Service of summons made on the government official
involved
designated by law to receive the same
2. Answer is filed within 30 days after receipt of summons 15-day period to answer is counted from service of
amended complaint
Answer to Complaint: B. If filing of amended complaint is not a matter of right
1. Within 15 days after service of summons Leave of court is required
UNLESS a different period is fixed by the court The 10-day period to answer runs from notice of the
2. In case the defendant is a foreign juridical entity court order granting the same
a. If it has a resident agent within 15 days after service
of summons to him Leave of Court
b. If it has no resident agent, but it has an agent or - Leave of court to file a pleading or motion is obtained by
officer in the Philippines within 15 days after filing a motion for leave accompanied by the pleading or
service of summons to said agent or officer motion sought to be admitted (See Sec. 9, Rule 15)
c. If it has no resident agent nor agent nor officer in - Plaintiff should serve on defendant and file with the court
which case service of summons is to be made with the the motion for leave to file an amended complaint
SEC which will then send a copy thereof by registered - If motion is granted, defendant shall file his answer within
mail within 10 days to the home office of foreign 10 days from order admitting amended complaint
corporation within 30 days after receipt of - If no answer is filed, his original answer may serve as
summons by the home office of the foreign private answer to the amended complaint
entity As such, he cannot be held in default
3. In case of service of summons by publication within the However, new material allegations in the amended
time specified in the order granting leave to serve complaint which are not specifically denied are
summons by publication, which shall not be less than 60 deemed admitted
days after notice (Rule 14 and 15)
4. In case of a non-resident defendant on whom Note: this rule shall also apply to the answer to an amended
extraterritorial service of summons is made answer counterclaim, amended cross-claim, amended third-party complaint,
should be at least 60 days and amended complaint-in-intervention
- If no new answer is filed, answer to original pleading shall
Note: The court may extend the time to file the pleadings but it may be deemed as answer to amended pleading
NOT shorten them
Except in Quo warranto proceedings
SECTION 4 - Answer to counterclaim or cross-claim.A counter-
claim or cross-claim must be answered within ten (10) days from
SECTION 3 - Answer to amended complaint.Where the plaintiff service. (4)
files an amended complaint as a matter of right, the defendant
shall answer the same within fifteen (15) days after Note: Failure to answer is a ground for default
being served with a copy thereof.
Where its filing is not a matter of right, the defendant shall A Counterclaim need not be answered in the following cases:
answer the amended complaint within ten (10) days from notice 1. Where the answer would be a repetition of the allegations
of the Order admitting the same. An answer earlier filed may in the complaint (Navarro v. Bello)
serve as the answer to the amended complaint, if no new answer

102
2. Where the issues raised in the counterclaim are merely omitted by pleader and, in all probability,
inseparable from those posed in the complaint (Sarmiento were likewise known to defending party
v. Juan) In a supplemental complaint, it seeks the introduction
3. A plaintiff who fails or chooses not to answer a of facts or events which occurred or supervened after
compulsory counterclaim may not be declared in default, the filing of the original complaint; hence, for lack of
principally because the issues raised in the counterclaim knowledge thereof, defending party may need a
are deemed automatically joined by the allegations in the longer period of time to respond to the allegations
compliant (Gojo v. Goyala)
Effect of Failure to Answer Supplemental Complaint
Nature of Default on Counterclaim - Failure to answer a supplemental complaint when ordered
Unlike default on a complaint, default to a counterclaim by the court is a ground for default (Del Bros. v. IAC)
does not divest the plaintiff of standing in court or right to produce - But where the basic and principal issue had been
evidence on his complaint nor per se entitle defendant to immediate previously traversed and joined by the answer remained:
judgment on the counterclaim (Navarro v. Bello) There is no necessity to require defendant to plead
further to the supplemental complaint
A counterclaim or cross claim must be answered within 10 days There is no legal ground to declare defendant in
from service. default for such failure to plead
- The answer to the complaint shall serve as an answer to
the supplemental complaint
SECTION 5 - Answer to third (fourth, etc.)party complaint. Justice Feria notes that new and material allegations
. The time to answer a third (fourth, etc.)party complaint shall in the supplemental complaint which are not
be governed by the same rule as the answer to the complaint. (5a) specifically denied are deemed admitted

Notes:
- Contents of an answer to a third-party complaint are SECTION 8 - Existing counterclaim or cross-claim.--A compulsory,
provided for in Sec. 13, Rule 6 counterclaim or a cross-claim that a defending party has at the
- Time to file such answer is 15 days from service of time he files his answer shall be contained therein. (8a, R6)
summons to which are attached copies of the complaint
and the third-party complaint SECTION 9 - Counterclaim or cross-claim arising after answer. A
- The third-party defendant is served with summons just counterclaim or a cross-claim which either matured or was
like the original defendant, hence he also has 15, 30, or 60 acquired by a party after serving his pleading may, with the
days from service of summons, as the case may be permission of the court, be presented as a counterclaim or a
a. 15 days for resident defendant cross-claim by supplemental pleading before judgment. (9, R6)
b. 30 days for defendant foreign private juridical entity
c. 60 days for non-resident defendant SECTION 10 - Omitted counterclaim or cross-claim.
When a pleader fails to set up a counterclaim or a cross-claim
through oversight, inadvertence, or excusable neglect, or when
SECTION 6 - Reply.A reply may be filed within ten (10) days justice requires, he may, by leave of court, set up the counterclaim
from service of the pleading responded to. (6) or cross-claim by amendment before judgment. (3a, R9)

A reply may be filed within 10 days from service of pleading Breakdown of Provisions
responded to. A. A compulsory counterclaim or a cross-claim that defendant
has at time of filing of answer
Notes: 1. The same shall be contained in the answer
- This section uses the word MAY B. Counterclaim or cross-claim arising after the Answer
- It is ordinarily optional to file a reply since, by his failure 1. This covers counterclaim or cross-claim which either:
to do so, all the new matters alleged in the antecedent a. Matured or
pleading are deemed controverted b. Was acquired by a party after his pleading
2. May be presented as counterclaim or cross-claim by
SUPPLEMENTAL PLEADING
SECTION 7 - Answer to supplemental complaint.A supplemental a. How: With the permission of the court
complaint may be answered within ten (10) days from notice of b. When: Before judgment
the order admitting the same, unless a different period is fixed by C. Omitted counterclaim or cross-claim
the court. The answer to the complaint shall serve as the answer 1. When pleader fails to set up counterclaim or cross-
to the supplemental complaint if no new or supplemental answer claim through:
is filed. (a) a. Oversight, inadvertence, or excusable neglect; or
b. When justice requires
Since the filing of a supplemental complaint requires leave of court, 2. Pleader may set up the counterclaim or cross-claim by
- The procedure for filing an answer thereto is similar to the AMENDED PLEADING
case of an amended complaint the filing of which is not a a. How: By leave of court
matter of right, hence likewise requiring leave of court b. When: Before judgment
- Unlike the amended complaint, the court may, in a
supplemental complaint, fix a different period for Notes:
answering the supplemental complaint in lieu of the - See Sec. 2, Rule 11 for comments for Sec. 11
reglementary 10 day period - See Sec. 6 and 7, Rule 6 discussion:
Note that in an amended complaint, the facts sought An after-acquired counterclaim or cross-claim may be
to be incorporated were already known to but were set up by filing a supplemental pleading

103
While an omitted counterclaim or cross-claim may be RECAP OF THE RULES
raised in an amended pleading pursuant to and under
the conditions in Sec. 9 and 10 of this Rule PLEADING WHEN TO FILE
15 days after service of summons
Note also: Defendants Answer
Unless different period is fixed by court
- A counterclaim or cross-claim need not be answered if: Foreign Private
1. It is based on or is inseparable from the defenses Juridical Entitys Within 30 days after receipt of summons
raised by the opposing party, or Answer
2. Merely allege the opposite of the facts in the Non-Resident At least 60 days from extrajudicial service
complaint Defendants Answer of summons
- Where the counterclaim or cross-claim is only for damages Answer to Amended
or attorneys fees arising from the filing of the complaint, it Complaint when Within 15 days after being served a copy
need not be answered Filed as a Matter of thereof
- The foregoing doctrines also apply to after-acquired or Right
omitted counterclaims and cross-claims subsequently Within 10 days from notice of the order
allowed by the court to be filed in the action Answer to Amended
admitting the same;
Complaint when
if no new answer is filed, answer earlier
Filed Not as a
filed may serve as the answer to amended
SECTION 11 - Extension of time to plead .Upon motion and on Matter of Right
complaint
such terms as may be just, the court may extend the time to plead Answer to
provided in these Rules. Counterclaim or Within 10 days from service
The court may also, upon like terms, allow an answer or Cross-Claim
other pleading to be filed after the time fixed by these Rules. (7) Answer to Third-
Same rules as answer to complaint
Party Complaint
Requisites: Within 10 days from service of the
1. There must be a motion Reply
pleading responded to
2. With service of such motion to other party; and
Within 10 days from notice of the order
3. On such terms as may be just
admitting the same
Answer to
Unless a different period is fixed by the
Notes: Supplemental
court
- A motion for extension of time to file petition should be Complaint
If no new answer is filed, answer to the
filed prior to the expiration or lapse of the period fixed by
complaint shall serve as answer
law
- Parties and counsel should not assume that courts are
bound to grant the time they pray for; a motion that is not
acted upon in due time is deemed denied
- But, once granted, the extension of time starts from the
end of the original reglementary period END OF RULE 11
It runs whether or not the movant/grantee has
knowledge of such actions of the granting
Notice in this instance is unimportant as, in the first
place, lawyers should never presume that their
motions for extension or postponement would be
granted
- As to rules regarding period allowed to defendant to file its
answer following the motion to dismiss, See Sec. 4, Rule 16

104
NOTES ON RULE 11

105
NOTES ON RULE 11

106
Principal Function it is intended to inform the adverse party more
RULE 12 specifically of the precise nature and character of the cause of action
BILL OF PARTICULARS or defense alleged in a pleading with a view to enable him to
properly prepare his responsive pleading, and an opportunity to
prepare an intelligent answer
SECTION 1 - When applied for; purpose.Before responding to a
Notes:
pleading, a party may move for a definite statement or for a bill of
- The motion for a bill of particulars shall be filed before
particulars of any matter which is not averred with sufficient
responding to a pleading; Hence, it must be filed within the
definiteness or particularity to enable him properly to prepare his
period granted by Rule 11 for the filing of a responsive
responsive pleading. If the pleading is a reply, the motion must be
pleading
filed within ten (10) days from service thereof. Such motion shall
- The motion must comply with the requirements for
point out the defects complained of, the paragraphs wherein they
motions under Sec. 4, 5, and 6 of Rule 15; Otherwise the
are contained, and the details desired. (1a)
motion will not suspend the period to answer
- The motion applies to ANY pleading which in the
Breakdown of Provision
perception of the movant contains ambiguous allegations
A. A party may move for a definite statement or for a bill of
particulars
Illustrative Cases
1. On any matter which is not averred with sufficient
1. Mere ambiguity or indefiniteness is not a ground for a
definiteness or particularity
motion to dismiss so long as the complaint sufficiently
a. To enable him to properly prepare his responsive
shows a cause of action. The deficiency could be cured by
pleading
means of a motion for a bill of particulars (City of Cebu v.
2. Before responding to a pleading
CA)
B. If the pleading is a reply, motion must be filed within 10
2. A motion to dismiss based upon failure to state a cause of
days from service thereof
action with particularity should be treated as a motion for
C. Such motion shall:
bill of particulars (Salvador v. Frio)
1. Point out the defects complained of
3. A co-defendant is not proper party to ask for a bill of
2. Point out the paragraphs wherein they are contained
particulars of a co-partys answer. That rule belongs to the
3. And the details desired
plaintiff (Garcia v. Flores, et al.)
Bill of Particulars a complementary procedural document
Scope The rule is strictly construed as applicable only to
consisting of an amplification or more particularized outline of a
particulars necessary to enable a party to prepare his responsive
pleading, and being in the nature of a more specific allegation of the
pleading and not to evidentiary matters obtainable by discovery
facts recited in the pleading.
Note: The granting of a motion for a bill of particulars lies within the
Under this rule, the remedy available to a party who seeks
sound discretion of the court and its ruling will not be reversed
clarification of any issue or matter vaguely or obscurely pleaded by
unless there was palpable abuse of discretion or it was a clearly
the other party is to file a motion, either for (1) a definite statement,
erroneous order. (Santos v. Liwag)
or (2) for a bill of particulars.
An order directing the submission of such statement or bill
Instances When Bill of Particulars Allowed
is proper where it enables the party movant to intelligibly prepare a
1. When the allegations are indefinite and uncertain that the
responsive pleading, or adequately prepare for trial (Virata v.
nature of the action cannot be understood therefrom (Co
Sandiganbayan)
Tiamco v. Diaz)
2. When the allegations are so vague that they do not appear
It is Within the Office of the Bill of Particulars:
therefrom in what capacity a party sues or is sued
- To amplify or limit a pleading, specify more minutely and
(Bartillo v. IAC)
particularly a claim or defense set up and pleaded in
3. When allegations are uncertain as to time, place, quantity,
general terms
title, person or any other matter required to be pleaded
- To give information, not contained in the pleading, as to
with certainty
the precise nature, character, scope, and extent of the
4. When the allegations are faulty in duplication, setting out
cause of action or defense relied on by the pleader
two grounds for a single claim
- To apprise the opposite party of the case which he has to
5. When denials are so indefinite and uncertain that it cannot
meet
be understood what is denied and what is admitted
- To the end that proof at trial may be limited to the matters
6. Particulars of details of computation of bank account were
specified and in order that surprise be avoided
allowed; technicalities are frowned upon (Mutuc v.
- To expedite trial, and assist the court
Agloro)
- To prevent injustice or do justice in the case when that
7. Conclusions of law; these allegations need statement of
cannot be accomplished without the aid of such bill
facts (Santos v. Liwag)
It is Not The Office of the Bill Particulars:
Instances Where Bill of Particulars Improper the bill is improper
- To supply material allegations necessary to the validity of
on matters:
a pleading
1. Specified with particularity
- To change a cause of action or defense stated in the
2. Within partys knowledge; or
pleading
3. Irrelevant to allegations of complaint
- To state a cause of action or defense other than that one
4. Which are more properly ascertainable by discovery
stated
- To set forth the pleaders theory of his cause of action or a
Note: The motion for a bill of particulars must comply with the
rule of evidence on which he intends to reply
requirements of motions under Sec. 4, 5, and 6 of Rule 15
- To furnish evidentiary information

107
SECTION 2 - Action by the court.Upon the filing of the motion, 2. Insufficiently complied
the clerk of court must immediately bring it to the attention of the B. Court may:
court which may either deny or grant it outright, or allow the 1. Order the striking out of the pleading or the portions
parties the opportunity to be heard. (n) thereof to which the order was directed
2. Or to make such other order as it deems just
Upon the filing of the motion, the clerk must immediately bring it to
the attention of the court. Plaintiffs failure to comply with order of the court may be a ground
The court may either deny or grant it outright, or allow for dismissing the complaint. Such dismissal, unless made without
the parties opportunity to be heard. prejudice, would be a bar to a subsequent action on the same cause.
A seasonable motion for a bill of particulars interrupts (Bautista v. Teodoro)
the period within which to Answer.
Effect of Non-Compliance
Stay Period to File Responsive Pleading: 1. If the order is not obeyed or in case insufficient
1. After service of the bill or for a more definite pleading, or compliance therewith, the court may:
after notice of denial of the motion: a. Order the striking out of the pleading or the portion
a. Movant shall have the same time to serve his thereof to which the order is directed; or
responsive pleading, if any is permitted by this rule, b. Make such order as it may deem just
as that to which he was entitled at the time of serving 2. If the plaintiff fails to obey, his complaint may be
his motion dismissed with prejudice UNLESS otherwise ordered by
b. But not less than 5 days in any event the court (Rule 12, Sec. 4; Rule 17, Sec. 3)
2. If the motion is filed beyond that period, it should rightly 3. If the defendant fails to obey, his answer will be stricken
be denied off and his counterclaim dismissed, and he will be declared
3. If the motion is filed on time, whether or not the movant in default upon motion of the plaintiff (Rule 12, Sec. 4; Rule
succeeds, he has the same time to serve his responsive 17, Sec. 4; Rule 9, Sec. 3)
pleading as that to which he was entitled but not less than
5 days in any event
4. Pending resolution of these questions, SECTION 5 - Stay of period to file responsive pleading
a. Issues of the case cannot be said to have been joined After service of the bill of particulars or of a more definite
b. Partys failure to attend subsequent hearings does not pleading, or after notice of denial of his motion, the moving party
amount to failure to prosecute 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 any event. (1[b]a)
SECTION 3 - Compliance with order.If the motion is granted,
either in whole or in part, the compliance therewith must be Effect of Motion
effected within ten (10) days from notice of the order, unless a 1. If the motion is granted, in whole or in part,
different period is fixed by the court. The bill of particulars or a The movant can wait until the bill of particulars is
more definite statement ordered by the court may be filed either served on him by opposing party
in a separate or in an amended pleading, serving a copy thereof Then he will have the balance of the reglementary
on the adverse party. (n) period within which to file his responsive pleading
2. If the motion is denied
Breakdown of Provision He will still have such balance of the reglementary
A. If motion is granted, compliance therewith must be effected: period to file his responsive pleading, counted from
1. Within 10 days from notice of the order service of the order denying his motion
2. UNLESS a different period is fixe by the court
B. The bill of particulars or a more definite statement ordered: In any case, he shall have not less than 5 days to file his responsive
1. May be filed either: pleading
a. In a separate pleading or
b. In an amended pleading
2. Copy thereof is served on adverse party SECTION 6 - Bill a part of pleading.A bill of particulars becomes
part of the pleading for which it is intended. (1[a]a)
Note:
- The motion may be granted in whole or in part Review of Section 1
- Period to comply with order granting motion: 10 days - A motion for a bill of particulars must be filed within the
from notice of order unless a different period is fixed by reglementary period for the filing of a responsive pleading
court to the pleading sought to be clarified
- The bill may be filed either in a separate or amended This contemplates pleadings which are required by
pleading, serving a copy thereof to the adverse party the Rules to be answered under pain of procedural
sanctions
Sanctions such as default or implied admissions of the
SECTION 4 - Effect of non-compliance.If the order is not obeyed, facts not responded to
or in case of insufficient compliance therewith, the court may - A special provision regarding vague reply is included
order the striking out of the pleading or the portions thereof to A motion for a bill directed to a reply must be filed
which the order was directed or make such other order as it within 10 days
deems just. (1[c]a) Note that a responsive pleading is not required for a
reply; the filing of the reply itself is optional or
Breakdown of Provision permissive (Sec. 6, Rule 11)
A. If order is:
1. Not obeyed or

108
The filing of a motion for a bill of particulars interrupts the time to
plead, but only if it is sufficient in form and substance.

1. If the motion is granted


Movant can wait until the bill is served on him by
opposing party
When served, he will have the balance of the
reglementary period within which to file his
responsive pleading
He will have at least 5 days to file his responsive
pleading
2. If the motion is denied
Movant will still have such balance of the
reglementary period to do so
Counted from the service of the order denying his
motion
He will have at least 5 days to file his responsive
pleading

END OF RULE 12

109
NOTES ON RULE 12

110
Note: However, in Labor cases, both the party and its counsel must
RULE 13 be duly served their separate copies of the order, decision, or
FILING AND SERVICE OF PLEADINGS, resolution, unlike in ordinary judicial proceedings where notice to
counsel is deemed notice to party
JUDGMENTS AND OTHER PAPERS
Formal Notice is Not Necessary Where there is Actual Notice
- Formal notice is necessary as a rule but not where there is
SECTION 1 - Coverage .This Rule shall govern the filing of all actual notice of the decision
pleadings and other papers, as well as the service thereof, except - Like when there is a motion for reconsideration of the
those for which a different mode of service is prescribed. (n) decision which was filed

SECTION 2 - Filing and service, defined.Filing is the act of Where there is Substantial Compliance
presenting the pleading or other paper to the clerk of court. 1. The actual presence of the offended party and signing of
Service is the act of providing a party with a copy of the the judgment by the private prosecutor was considered as
pleading or paper concerned. If any party has appeared by an actual notice (Neplum Inc. v. Orbesco)
counsel, service upon him shall be made upon his counsel or one 2. There is substantial compliance when petitioner acquired
of them, unless service upon the party himself is ordered by the knowledge of the writ of execution containing a literal
court. Where one counsel appears for several parties, he shall copy of the judgment (De Los Reyes v. Ugarte)
only be entitled to one copy of any paper served upon him by the 3. A copy of the decision obtained by counsel from PSC
opposite side. (2a) Secretary is substantial compliance with the requirement
of notice of judgment (Laoag v. PSC)
Breakdown of Provision: 4. The filing of the petitioners comment of the motion for
A. Filing the act of presenting the pleading or other paper to reconsideration shows that he has received copy of the
the clerk of court judgment (Luzon Rubber & Manufacturing Co v. Estaris)
B. Service the act of providing a party with a copy of the
pleading or paper concerned Service on Lawyer is at Given Address
1. If any party has appeared by counsel - Notice should be made upon the counsel of record at his
a. Service upon him shall be made upon his counsel exact given address (National Investment and Dev. Corp.
or one of them v. CA) , to which notice of all kinds emanating from the
(1) UNLESS service upon the party himself is court should be sent in the absence of a proper and
ordered by the court adequate notice to the court of a change of address
2. If one party appears for several parties - Service upon a lawyer must be effected at the exact given
a. He shall only be entitled to one copy of any paper address of the lawyer and not in the vicinity or at a general
served upon him by the opposite side receiving section for an entire multi-storied building with
many offices (PLDT v. NLRC)
GENERAL RULE: Notice to counsel is notice to party - Leaving abroad by lawyer is no excuse for not receiving
notice (Antonio v. CA)
Purpose the purpose of requiring a formal service to the lawyer is
to maintain a uniform procedure, calculated to place in competent Duty of Counsel - It is the duty of counsel to adopt and strictly
hands the orderly prosecution of a partys case. (National maintain a system that efficiently takes into account all court notices
Investment and Development Corp. v. CA) sent to him (Mercado v. Domingo)

Lawyers Must Make Formal Appearance As to Change of Addresses


- There must be a formal appearance of lawyer A. Use of different address is not a notice of change
- Not enough that the attorney appear for a party at the trial 1. There must be a formal change of address (Philippine
- Notice to a provisional lawyer is not binding Suburban Dev. Corp. v. CA)
2. The fact that counsel used a different address in later
Right of Lawyer to Formal Notice pleadings should not be taken as notice to the court of
- Where a party appears by attorney in an action or either change of address or of another address in
proceeding in a court of record, all notices required to be addition to that which was already of record (Lopez
given therein must be given to the attorney of record v. De Los Reyes)
Service of the courts order upon any person other B. Where Court already took Notice of Change of Address
than the counsel of record: 1. Notice, however, sent to counsel of record is valid
1. Not legally effective and binding upon the party even if the latter did not make a formal appearance
2. Nor may it start the corresponding reglementary where previous notices were sent to and received by
period for the subsequent procedural steps that said lawyer without complaint from defendant (Vda.
may be taken by the attorney De Mintu v. CA)
- Where a copy of the decision is served on a person who is 2. Where the court had already taken notice of the
neither a clerk nor one in charge of the attorneys office, change of address, notice sent to old address not
such service is invalid binding. (Anthony Sy v. IAC)
- Service to a party is allowed only if the party is not 3. Where the trial judge was informed in open court and
represented by counsel had already taken cognizance of the change, it had in
UNLESS service upon the party himself is ordered by fact acted in accordance with the change
the court
- Where a party is represented by a lawyer, service to
lawyer is service to party
UNLESS service upon party is ordered by the court

111
Substitution of Counsel Filing by Mail
A. General Principles: - Should be through the registry service which is made by
1. A lawyers withdrawal as counsel must be made in a deposit of the pleading in the post office; not through other
formal petition filed in the case, without which, notice means of transmission
of judgment rendered in the case served on counsel of - Date of delivery of the pleadings to a private letter-
record, is for all intents and purposes, notice to the forwarding agency of private carrier is not a recognized
client mode of filing pleadings
2. There must be a formal petition for substitution - Filing by mail can only be done through the Philippine
3. Consent of lawyer to be changed is not needed Government Post Office or its postal agencies
B. No substitution of attorney will be allowed unless the - If a private carrier is availed of by the party, the date of
following requisites concur: actual receipt by the court of such pleading, and not the
1. Written application for substitution date of delivery to carrier, is deemed to be the date of the
2. Written consent of client to substitution filing of that pleading
3. Written consent of attorney to be substituted, if such
consent can be obtained; or if not,
4. There must be filed with application for substitution, SECTION 4 - Papers required to be filed and served. Every judg-
proof of service of such motion in the manner ment, resolution, order, pleading subsequent to the complaint,
required by the rules on the attorney to be written motion, notice, appearance, demand, offer of judgment or
substituted similar papers shall be filed with the court, and served upon the
parties affected. (2a)

SECTION 3 - Manner of filing .The filing of pleadings, Breakdown of Provision


appearances, motions, notices, orders, judgments and all other A. Every judgment, resolution, order, pleading
papers shall be made by presenting the original copies thereof, 1. Subsequent to the complaint, written motion, notice,
plainly indicated as such, personally to the clerk of court or by appearance, demand, offer of judgment, or similar
sending them by registered mail. In the first case, the clerk of papers
court shall endorse on the pleading the date and hour of filing. In 2. Shall be filed with the court
the second case, the date of the mailing of motions, pleadings, or 3. And served upon parties affected
any other papers or payments or deposits, as shown by the post
office stamp on the envelope or the registry receipt, shall be Filing is an act of presenting the pleading or other paper to the
considered as the date of their filing, payment, or deposit in court. clerk of court
The envelope shall be attached to the record of the case. (1a)
Papers Required to be Filed and Served:
Breakdown of Provision 1. Pleading subsequent to the complaint
The filing of pleadings, appearances, motions, notices, 2. Appearance
orders, judgments, and all other paper shall be made by: 3. Written motion
A. Presenting the original copies thereof, plainly indicated as 4. Notice
such 5. Order
B. Present to: 6. Judgment
1. The clerk of court 7. Demand
a. Clerk shall endorse on the pleading the date and 8. Offer of Judgment
hour of filing 9. Resolution
2. Or by sending them by registered mail 10. Similar papers
a. Date of the mailing as shown by the post office
stamp on the envelope or registry receipt shall be Comment of Justice Feria
considered as the date of filing - In the case of pleadings subsequent to the original
b. Envelope shall be attached to the record of the complaint and written motions, they should first be served
case on the parties affected before filed with the court
- Ex parte written motions are now required to be served on
Manner of Filing: the parties affected, although they need not be set for
1. Personal service by presenting the original copies thereof, hearing
plainly indicated as such, to the clerk of court; or - Original complaint is first filed and subsequently served
2. Registered mail with summons

Under Sec. 8, Rule 136: Clerk shall keep a general docket Parties Must be Furnished Copies
- Each page numbered and prepared for receiving all entries No judgment or order, whether final or interlocutory, has
in a single case juridical existence until and unless it is set down in writing, signed,
- Shall enter therein all cases, numbered consecutively in and promulgated
the order in which they were received 1. Delivered by the Judge to the Clerk for filing
- Under the heading of each case and a complete title 2. Released to the parties and implementation
thereof, the date of: 3. Even after promulgation, it does not bind parties until and
1. Each paper filed or issued unless notice thereof is duly served on them
2. Each order or judgment entered
3. Each other step taken in the case
SECTION 5 - Modes of service.Service of pleadings, motions,
notices, orders, judgments and other papers shall be made either
personally or by mail. (3a)

112
Service is the act of providing a party with a copy of the pleading or 2. By leaving it in his office with his clerk or with a person
paper concerned having charge thereof
3. If he has no office, by leaving a copy between the 8am
Modes of Service and 6pm, at the partys or counsels residence, if known,
with a person of sufficient age and discretion then
1. Personal Service (Sec. 6) residing therein
a. Delivering personally a copy to the party, who is not Notes:
represented by a counsel, or to his counsel; or - Personal service may either be actual or constructive
b. Leaving a copy in counsels office with his clerk or - Service on a person not an employee or person in charge
with a person having charge thereof; or of the office is invalid (Tuazon v. Molina)
c. Leaving the copy between 8am and 6pm at the partys - Service of court notice to a store which was not
or counsels residence, if known, with a person of established as residence or office is not valid (Fuentes v.
sufficient age and discretion then residing thereon if Macandong)
not person is found in his office, or if his office is
unknown, or if he has no office
SECTION 7 - Service by mail.Service by registered mail shall be
2. By Mail (Sec. 7) made by depositing the copy in the office, in a sealed envelope,
a. Ordinary Mail it does not constitute filing until the plainly addressed to the party or his counsel at his office, if
papers are actually delivered into the custody of clerk known, otherwise at his residence, if known, with postage fully
or judge prepaid, and with instructions to the postmaster to return the
b. Registered Mail The date of mailing is the date of mail to the sender after ten (10) days if undelivered. If no registry
filing service is available in the locality of either the sender or the
Such date of filing is determinable from two addressee, service may be done by ordinary mail. (5a)
sources: (1) from the post office stamp on the
envelope or (2) from the registry receipt Breakdown of Provision
Either of which may suffice to prove the A. Service by Registered Mail
timeliness of the filing of pleadings 1. Done by depositing the copy in the post office
If date stamped on one is earlier than the other, 2. Specifics:
the former may be accepted as date of filing a. In a sealed envelope
This presupposes that the envelope or registry b. Plainly addressed to the party or his counsel
receipt and the dates appearing thereon are duly (1) At his office if known
authenticated before the tribunal where they are (2) Otherwise, at his residence if known
presented c. Postage fully pre-paid
d. With instructions to the postmaster to return the
3. Substituted Service (Sec. 8) by delivery of the copy to the mail to the sender after 10 days if undelivered
clerk of court with proof of failure of both personal and B. Service may be done by ordinary mail
service by mail 1. If no registry service is available in the locality of either
sender or the addressee
Fax Pleadings
- Filing a pleading by facsimile is not sanctioned Notes:
- But fax was allowed in an extradition case (Justice Cuevas - Service by ordinary mail is allowed only in instances
v. Juan Antonio Munoz) where no registry service exists
- Where the notice of appeal was sent by special delivery
Docket Fees mail within the period of perfecting appeal but received in
However, where payment of fees is required by law or the court after the expiration of the period, service is valid
rules, a case is deemed filed only upon payment of the correct docket (Verdejo v. CA)
fees regardless of the actual date of the filing in court - If a pleading is posted with a private carrier and not
through registered mail as mandated by Sec. 1, Rule 13
Aside from personal service or by mail, service may also be: Date of receipt by the court and not the date of
1. By substituted service (Sec. 8) mailing is the date of filing of said pleading
2. And judgments, final orders or resolutions may be served - The legal and conclusive presumption is that the date
by publication (Sec. 9) postmarked on the envelope is the date of filing
This is only proper where the summons on the
defendant had also been served by publication
SECTION 8 - Substituted service.If service of pleadings, motions,
notices, resolutions, orders and other papers cannot be made
SECTION 6 - Personal service.Service of the papers may be under the two preceding sections, the office and place of
made by delivering personally a copy to the party or his counsel, residence of the party or his counsel being unknown, service may
or by leaving it in his office with his clerk or with a person having be made by delivering the copy to the clerk of court, with proof of
charge thereof. If no person is found in his office, or his office is failure of both personal service and service by mail. The service is
not known, or he has no office, then by leaving the copy, between complete at the time of such delivery. (6a)
the hours of eight in the morning and six in the evening, at the
partys or counsels residence, if known, with a person of Breakdown of Provision:
sufficient age and discretion then residing therein. (4a) A. Service may be made by delivering the copy to the clerk of
court
Breakdown of Provision: 1. If service cannot be made under the two preceding
A. Service of papers may be made by: sections,
1. Delivering personally a copy to the party or his counsel

113
2. The office and place of residence of the party or his Logical solution would be to authorize the trial court
counsel being unknown to effect service of judgment by publication
B. With proof of failure of both personal service and service by
mail Service by Publication
C. Service is complete at the time of such delivery - What is authorized or required to be served is the
judgment, final order, or resolution
Note: Substituted service as applied to pleadings in this section is - Only the dispositive portion of the fallo should be required
different from the Substituted Service as applied to summons in Rule to be published, not the entire text of the decision or
14. resolution
- The term judgment must be that contemplated in Rule
36
SECTION 9 - Service of judgments, final orders, or resolutions.
Judgments, final orders or resolutions shall be served either
personally or by registered mail. When a party summoned by SECTION 10 - Completeness of service.Personal service is
publication has failed to appear in the action, judgments, final complete upon actual delivery. Service by ordinary mail is
orders or resolutions against him shall be served upon him also complete upon the expiration of ten (10) days after mailing,
by publication at the expense of the prevailing party. (7a) unless the court otherwise provides. Service by registered mail is
complete upon actual receipt by the addressee, or after five (5)
Breakdown of Provision: days from the date he received the first notice of the postmaster,
A. Judgments, final orders, or resolutions shall be served either: whichever date is earlier. (8a)
1. Personally, or
2. By registered mail Breakdown of Provision
B. When party summoned by publication has failed to appear A. When Service is Complete
in the action: 1. Personal Service upon actual delivery
1. Judgments, final orders, resolutions against him shall 2. Service by Ordinary Mail
be served upon him also by publication a. Upon expiration of 10 days after mailing
2. At the expense of the prevailing party b. Unless the court otherwise provides
3. Service by Registered Mail
Kinds of Service for Final Judgments or Orders a. Upon actual receipt by addressee, or
1. Personal; or b. After 5 days from date he received the first notice
2. By registered mail; or of postmaster
3. By publication (in special cases); if party is summoned by Whichever date is earlier
publication and has failed to appear in the action
Completeness of Service
Notes: 1. Personal Service
- Service of final orders and judgments can only be made a. By handling a copy to the defendant; or
either by personal service or by registered mail; or in b. Tendering him a copy if he refuses (complete upon
special cases, by publication actual delivery)
- No substituted service 2. Service by Ordinary mail
- Service cannot be by ordinary mail a. Complete upon expiration of 10 days after mailing,
This service does not become final and executory unless the court provides otherwise
since service if fatally defective (Vda. De Espiritu v. 3. Service by Registered Mail
CFI Cavite) a. Complete upon actual receipt by the addressee; or
- The mere notation in the rollo that a copy of the resolution after 5 days from the date he received the first notice
was sent to counsel, absent a showing of his receipt of the postmaster
thereof, does not constitute proof of service (Soria v. CA) Whichever date is earlier

Constructive Service by Registered Mail Rule on Registered Mail Contemplates of Two Situations:
- There must be conclusive proof that a first notice by the 1. ACTUAL service the completeness of which is determined
postmaster to the addressee was received upon receipt by the addressee of the registered mail; and
- Presumption that official duty has been performed does 2. CONSTRUCTIVE service the completeness of which is
not apply (ITT Philippines Inc. v. CA) determined upon the expiration of 5 days from the date of
- If, however, the postmaster certifies that such notice was first notice of the postmaster without the addressee
sent, presumption arises and overrides the contrary claim having claimed the registered mail
of addressee (Ferraren v. Santos)
Notes:
No Substitute Service - Service by registered mail is complete upon actual receipt
- Judgments, final orders, or final resolutions cannot be by the attorney, his employee or messenger in the office
served by substituted service (Mata v. Legarda)
- Ex: It has been ascertained that a partys counsel is dead or - Service by registered mail is effective at expiration of the
has permanently left the country an withdrawn from the 5-day period from date of first notice (Magno v. CA)
case without substitution, and the whereabouts of the
party represented can neither be ascertained nor the fact Illustration:
thereof obtained from the opposing party, and summons 1. (General rule) If first notice is received by addressee on
had not been served by publication Dec. 1, and he gets his mail on Dec. 3, the service is
Service of the judgment by publication is not complete on Dec. 3, the date of actual receipt
authorized and would not be valid
Substituted service cannot be availed of

114
2. (Exception) But if addressee gets his mail on Dec. 15, C. Violation may be cause to consider paper as not filed
service is deemed complete on Dec. 6, or five days from
Dec. 1, the date of first notice Preference for Personal Service
3. If addressee never gets the mail, service is also deemed - Sec. 11 refers to both:
complete on Dec. 6, as provided in the exception to the 1. Service of pleadings and other papers on the adverse
general rule party or his counsel as provided for in Sec. 6, 7, and 8
4. If he receives his mail 2 months after it is registered and 2. Filing of pleadings and other papers in court
there is no proof of the first notice, service is complete on - Personal service and filing are preferred for obvious
the date of actual receipt, following the general rule reasons
Such should expedite action or resolution on a
For Completeness and Proof of Service by Registered Mail, there is pleading, motion, or other paper
NO Presumption that Official Duty has been Performed Minimize delays likely to be incurred if service or
There must be clear proof of compliance with postal filing is done by mail
regulations governing the sending and receipt of the notice referred It does away with less than ethical practices of some
to in Sec. 8, Rule 13 lawyers

Notice by Postmaster and Certification Personal Service is Mandatory


- Proof of First Notice sent by postmaster to addressee with - Personal service and filing is the general rule and resort to
the Postmasters certification or testimony the other modes of service and filing is the exception
- There must be conclusive proof that counsel or somebody - Whenever personal service or filing is practicable, in light
acting on his behalf was duly notified or had actually of the circumstances of time, place, and person, personal
received the notice service or filing is mandatory
- There must be conclusive proof of sending and receipt of - Only when personal service or filing is not practicable may
notice by registered mail, otherwise service is not resort to other modes be had
complete It must be accompanied by a written explanation as
- Postmasters certification should include data not only as to why personal service or filing was not practicable
to whether or not notice was issued but also as to how, to begin with
when and to whom delivery thereof was made (Dela Cruz
v. Dela Cruz) Discretion of the Court
- Actual receipt of the notice by the addressee - Sec. 11 gives the court the discretion to consider a
This must be stated in the certification pleading or paper as not filed if the other modes of service
Otherwise expiration of period does not apply until or filing were resorted to and no written explanation was
proof of actual receipt made as to why personal service was not done
There is a presumption that the person to whom mail - Exercise of discretion must necessarily consider:
is delivered is duly authorized by addressee to 1. The practicability of personal service
receive it 2. The importance of the subject matter of the case or
issues involved therein
The Rule on Completeness of Service by Registered Mail only 3. The prima facie merit of the pleading sought to be
Provides for a Disputable Presumption expunged for violation of Sec. 11
- It may be rebutted (Cabuang v. Bello)
- For the rule to apply, service must have been made on the
counsel de parte (Fojas v. Navarro) and if it was sent to SECTION 12 - Proof of filing. The filing of a pleading or paper
his address of record and he fails to receive it for causes shall be proved by its existence in the record of the case. if it is not
imputable to him, the service becomes final and it is not in the record, but is claimed to have been filed personally, the
necessary to effect further service (Magno v. CA) 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
Service of notice by registered mail cannot be avoided by counsels registered mail, by the registry receipt and by the affidavit of the
refusal to accept delivery after notification thereof, and notice is person who did the mailing, containing a full statement of the
deemed complete regardless of such refusal to accept (Isaac v. date and place of depositing the mail in the post office in a sealed
Mendoza) 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. (n)
SECTION 11 - Priorities in modes of service and filing Whenever
practicable, the service and filing of pleadings and other papers Proof of Filing
shall be done personally. Except with respect to papers emanating 1. Filing of a pleading or paper shall be proved by its
from the court, a resort to other modes must be accompanied by a existence in the record of the case
written explanation why the service or filing was not done 2. If not in the record, but is claimed to have been filed
personally. A violation of this Rule may be cause to consider the personally:
paper as not filed. (n) a. It shall be proved by the written or stamped
acknowledgement of its filing by the clerk of court on
Breakdown of Provision: a copy of the same
A. GENERAL RULE: Service and filing of pleadings and other 3. If filed by registered mail:
papers shall be done personally, whenever applicable a. By the registry receipt
B. EXCEPTION: With respect to papers emanating from the b. And by the affidavit of the person who did the mailing
court Containing full statement of the date and place of
1. Resort to other modes must be accompanied by a depositing the mail in the post office
written explanation why service or filing was not done In a sealed envelope addressed to the court
personally With postage fully prepaid

115
With instructions to the postmaster to return the C. Only from the filing of such notice for record:
mail to the sender after 10 days if not delivered 1. Shall a purchaser, or encumbrancer of the property
affected thereby, be deemed to have constructive notice
of the pendency of the action
SECTION 13 - Proof of service.Proof of personal service shall 2. And only of its pendency against the parties designated
consist of a written admission of the party served, or the official by their real names
return of the server, or the affidavit of the party serving, D. Notice of lis pendens may be cancelled
containing a full statement of the date, place and manner of 1. Only upon order of the court
service. If the service is by ordinary mail, proof thereof shall 2. After proper showing:
consist of an affidavit of the person mailing of facts showing a. That the notice is for the purpose of molesting
compliance with section 7 of this Rule. If service is made by adverse party
registered mail, proof shall be made by such affidavit and the b. Or that it is not necessary to protect the rights of
registry receipt issued by the mailing office. The registry return the party who caused it to be recorded
card shall be filed immediately upon its receipt by the sender, or
in lieu thereof of the unclaimed letter together with the certified Lis Pendens
or sworn copy of the notice given by the postmaster to the - Literally means a pending suit
addressee. (10a) - Refers to the jurisdiction, power or control which a court
acquires over property involved in a suit, pending the
Proof of Service continuance of the action, and until final judgment
1. Proof of personal service shall consist of: - The annotation of lis pendens is an announcement to the
a. A written admission of the party served whole world that a particular real property is in litigation
b. Or the official return of the server serving as a warning that one who acquires an interest
c. Or the affidavit of the party serving over said property does so at its own risk
Contains a full statement of the date, place, and - A notice of lis pendens may involve actions that deal not
manner of service only with the title or possession of property, but also with
2. Proof of service by ordinary mail shall consist of: the use or occupation of property
a. An affidavit of the person mailing of facts showing The litigation must directly involve a specific
compliance with Sec. 7 property which is necessarily affected by the
3. Proof of service by registered mail shall consist of: judgment
a. Affidavit and the registry receipt issued by the
mailing office Purpose of Lis Pendens
Registry return card shall be filed immediately upon 1. To protect the rights of the party causing the registration
its receipt by sender of the lis pendens
Or, in lieu thereof the unclaimed letter together with 2. To advise third persons who purchase or contract on the
the certified or sworn copy of the postmaster to the subject property that they do so at their peril and subject
addressee to the result of the pending litigation

Two-fold Effect of Filing a Notice of Lis Pendens


SECTION 14 - Notice of lis pendens.In an action affecting the 1. It keeps the subject matter of the litigation within the
title or the right of possession of real property, the plaintiff and power of the court until the entry of final judgment to
the defendant, when affirmative relief is claimed in his answer, prevent the defeat of the final judgment by successive
may record in the office of the registry of deeds of the province in alienations
which the property is situated a notice of the pendency of the 2. It bins a purchaser, bona fide or not, of the land subject of
action. Said notice shall contain the names of the parties and the the litigation to the judgment or decree that the court will
object of the action or defense, and a description of the property promulgate subsequently
in that province affected thereby. Only from the time of filing such
notice for record shall a purchaser, or encumbrancer of the Transfer Does Not Affect the Merits of the Case
property affected thereby, be deemed to have constructive notice - A transferee pendente lite of the property involved in
of the pendency of the action, and only of its pendency against the litigation stands exactly in the shoes of his predecessor in
parties designated by their real names. interest, and as such transferee, he is bound by the
The notice of lis pendens hereinabove mentioned may proceeding in the case
be cancelled only upon order of the court, after proper showing
that the notice is for the purpose of molesting the adverse party, - Without a notice of lis pendens, a third party who acquires
or that it is not necessary to protect the rights of the party who the property after relying only on the certificate of title is a
caused it to be recorded. (24a, R14) purchaser in good faith
Against such 3rd party, the supposed rights of a
Breakdown of Provision litigant cannot prevail
A. A Notice of pendency of action may be filed The former is not bound by the property owners
1. In an action affecting the title or the right of possession undertakings not annotated in the TCT
of real property
2. By the plaintiff and the defendant (when affirmative Actions where Notice of Lis Pendens is Allowed according to Rule
relief is claimed in his answer) 13:
3. In the office of the registry of deeds of the province in 1. An action to recover possession of real estate
which the property is situated 2. An action to quiet title thereto
B. Notice shall contain: 3. An action to remove clouds thereon
1. Names of the parties 4. An action for partition; and
2. The object of the action or defense
3. Description of the property in that province affected

116
5. Any other proceedings of any kind in Court directly
affecting the title to the land or the use or occupation
thereto or the buildings thereon

Note: To put the property under the coverage of the rule on lis
pendens, all a party has to do is to assert a claim of possession or
title over the subject property. It is not necessary that ownership or
interest over the property is involved
Lis pendens is not, however, allowed in an action for
collection of unpaid installments on the purchase price of the
property, as the action is in personam.

Actions where Notice of Lis Pendens has No Application as held in


Tongohan v. CA
1. Preliminary attachments
2. Proceedings for the probate of wills
3. Levies on execution
4. Proceedings for administration of estate or deceased
persons
5. Proceedings in which the only object is the recovery of a
money judgment

Requirements As decreed by Sec. 76, PD 1529; a notice of lis


pendens should contain:
1. A statement of the institution of an action or proceeding
2. The court where the same is pending
3. Date of its institution
4. It should also contain:
a. A reference to the number of the certificate of title
b. An adequate description of the land affected
c. And its registered owner

Cancellation of Lis Pendens The trial courts inherent power to


cancel a notice of lis pendens is exercised only under exceptional
circumstances, such as: (Eduardo Fernandez, et al. v. CA)
1. Where such circumstances are imputable to the party who
caused the annotation
2. Where the litigation was unduly prolonged to the
prejudice of the other party because several continuances
procured by petitioner
3. Where the case which is the basis of lis pendens notation
was dismissed for non-prosequitur on the part of the
plaintiff; or
4. Where judgment was rendered against the party who
caused such a notation

Notes:
- Notice of lis pendens cannot be cancelled ex-parte
- Neither can it be ordered cancelled upon the mere filing of
a bond
- Cancellation cannot be ordered where appeal is perfected
(since the trial court already has lost jurisdiction)

Effect of Order of Cancellation where at the time of the purchase


there was already an order for the cancellation of the notice of lis
pendens, the buyer may not be considered as purchasers in bad faith

Other Principles Laid Down by Jurisprudence


1. The party who had the notice annotated and who won the
litigation over the property has the better right as against
one who bought it with such annotation (Heirs of Maria
Marasigan v. IAC)
2. Where the notice of lis pendens is limited to a one-half
undivided interest in the property in litigation, the owner
of the other half has the right to sell his undivided pro
indiviso share (Mercado v. Viardo)

END OF RULE 13

117
NOTES ON RULE 13

118
NOTES ON RULE 13

119
On Motions to Dismiss
RULE 14 - It is not accurate to say that the motion to dismiss was not
SUMMONS filed seasonably because it was filed beyond the
reglementary period if there was no valid service of
summons to begin with
- If a defendant has not been properly summoned, the
SECTION 1 - Clerk to issue summons.Upon the filing of the
period to file a motion to dismiss for lack of jurisdiction
complaint and the payment of the requisite legal fees, the clerk of
over his person does not commence to run until he
court shall forthwith issue the corresponding summons to the
voluntarily submits to the jurisdiction of the court
defendants. (1a)
Since the court has no jurisdiction to adjudicate the
controversy as to him until such time (Orange
Breakdown of Provision
Theatre Corp. v. Rayhertz Amusement Corp.)
A. Clerk to issue corresponding summons to defendants
1. Upon filing of the complaint
Note: Although as a rule, modes of service of summons are strictly
2. And upon payment of the requisite legal fees
followed in order that the court may acquire jurisdiction over the
person of the defendant, such procedural modes, however, are
Summons the writ by which the defendant is notified of the action
liberally construed in quasi-judicial proceedings, substantial
brought against him
compliance with the same, being considered adequate (Santos v.
NLRC)
Purpose of Summons
1. Actions in Personam
GENERAL RULE: When an additional defendant is joined, summons
a. To acquire jurisdiction over the person of the
must be served upon him
defendant in a civil case; and
b. To give notice to the defendant that an action has
EXCEPTIONS:
been commenced against him (right to due process)
1. When the administrator of a deceased party defendant
2. Actions in Rem and Quasi in Rem
substitutes the deceased
a. Not to acquire jurisdiction over the defendant but
2. Where upon the death of the original defendant his infant
mainly to satisfy the constitutional requirement of
heirs are made parties; and
due process
3. In cases of substitution of the deceased under Sec. 16, Rule
b. Jurisdiction over the defendant is not required and
3
the court acquires jurisdiction over an action as long
as it acquires jurisdiction over the res
In these instances, the service of the order of substitution
is sufficient
Effect of Invalid Summons
1. The trial court does not acquire jurisdiction and renders
null and void all subsequent proceedings and issuances
(Syjuco v. Castro) SECTION 2 - Contents.The summons shall be directed to the
2. Any judgment without service of summons in the absence defendant, signed by the clerk of court under seal, and contain: (a)
of a valid waiver is null and void (Filmerco Commercial the name of the court and the names of the parties to the action;
Co. v. IAC) (b) a direction that the defendant answer within the time fixed by
these Rules; (c) a notice that unless the defendant so answers,
Some Principles in Jurisprudence plaintiff will take judgment by default and may be granted the
1. Personal service is required in actions in personam relief applied for.
(Venturanza v. CA) A copy of the complaint and order for appointment of
2. The modes of service of summons must be strictly guardian ad litem, if any, shall be attached to the original and each
followed in order that the court may acquire jurisdiction copy of the summons. (3a)
over the person (Sps. Isagani Miranda and Miguela
Joguilon v. CA) Breakdown of Provision
A. Summons shall be:
Waiver to Question Jurisdiction over the Person 1. Directed to the defendant
- One of the circumstances considered by the Court as 2. Signed by clear of court under seal
indicative of waiver by the defendant of any alleged defect B. Summons shall contain:
of jurisdiction over his person is his failure to raise the 1. Name of the court and the names of the parties to the
question of jurisdiction in the trial court at the first action
opportunity 2. A direction that the defendant answer within the time
fixed by the Rules
Defects in jurisdiction arising from irregularities in
the commencement of the proceedings may be 3. A notice that unless the defendant so answers, plaintiff
waived by a failure to make seasonable objections will take judgment by default and may be granted the
- Note however that the question of jurisdiction over the relief applied for
subject matter may be invoked at any stage of the C. The following shall be attached to the original and each
proceedings copy of the summons:
1. A copy of the complaint
Unlike in jurisdiction over the person where any
2. Order for appointment of guardian ad litem (if any)
irregularities must be seasonably raised
- Irregularities over the acquisition of jurisdiction over the
Illustrative Cases
person can be pleaded in a motion to dismiss or as an
1. Jurisdiction cannot be acquired over the defendant
affirmative defense in the answer
without service of summons, even if he knows of the case
against him, unless he voluntarily submits to the

120
jurisdiction of the court by appearing therein (Habana v. Breakdown of Provision
Vamenta) A. When service of has been completed:
2. Where the defendant died before the filing of the action 1. The server shall serve a copy of the return
and summons was served on his co-defendant, the court a. Within 5 days therefrom
never acquired jurisdiction over the former and judgment b. Personally or by registered mail
as to him is a nullity (Dumlao v. Quality Plastic Products) c. To the plaintiffs counsel
3. As to copies to be attached: 2. The server shall return the summons
a. If the order for appointment of guardian ad litem is a. To the clerk who issue it
not attached order new summons with copy b. Accompanied by proof of service
(Castanohal v. Castrano)
b. If the complaint is not attached, failure to object is a Proof of Service
waiver (Paglaran v. Ballatan) - It is required to be given to the plaintiffs counsel in order
c. The failure to attach a copy of the complaint to the to enable him:
summons (Pagalaran v. Ballatan) or a copy of the 1. To move for a default order should the defendant fail
order appointing a guardian ad litem (Castano v. to answer on time, or
Castano) are mere technical defects and the service 2. In case of non-service, so that alias summons may be
of summons vests jurisdiction in the court over the sought
defendant - In either of the 2 cases, server must serve a copy of the
4. Where the defendant has already been served with return on plaintiffs counsel within 5 days from completion
summons on the original complaint, no further summons or failure of service
is required on the amended complaint if it does not
introduce new causes of action (Ong Peng v. Custodio) Certificate of Service of Summons
a. But where defendant was declared in default on the - Prima facie evidence of the facts set out in such certificate
original complaint, and plaintiff subsequently filed an - To overcome presumption arising from the sheriffs
amended complaint, new summons must be served return, evidence must be clear and convincing (Olar v.
on the defendant on the amended complaint as the Cuna)
original complaint is deemed withdrawn upon such - In the absence of contrary evidence, the presumption is
amendment (Atkins Kroll & Co. v. Domingo) that he has regularly performed his official duty
b. If defendant has not yet appeared by filing adversary - Where the sheriffs return is defective, the presumption of
pleadings and an amended complaint introducing regularity will not lie
new causes of action is filed, a new service of Defective return is now insufficient and incompetent
summons must be served upon him as regards proof that summons was served in the manner
amended complaint (Ong Peng v. Custodio) prescribed (Syjuco v. Castro)

SECTION 3 - By whom served.The summons may be served by SECTION 5 - Issuance of alias summons. If a summons is
the sheriff, his deputy, or other proper court officer, or for returned without being served on any or all of the defendants, the
justifiable reasons by any suitable person authorized by the court server shall also serve a copy of the return on the plaintiffs
issuing the summons. (5a) counsel, stating the reasons for the failure of service, within five
(5) days therefrom. In such a case, or if the summons has been
Breakdown of Provision lost, the clerk, on demand of the plaintiff, may issue an alias
A. Summons may be served by: summons. (4a)
1. The sheriff
2. His deputy Breakdown of Provision
3. Other proper court officer A. If summons is returned without being served on any or all
4. Any suitable person authorized by the court for defendants
justifiable reasons 1. Server shall serve a copy of the return on plaintiffs
counsel
Note: The enumeration in Sec. 3 of the persons who may validly a. Stating the reasons for the failure of service
serve summons is EXCLUSIVE b. Within 5 days therefrom
B. If summon is not served or if summons has been lost:
Summons was invalidly served by the following, without authority 1. Clerk may issue alias summons
granted by the Court a. On demand of plaintiff
1. A police sergeant (Sequito v. Letrondo)
2. A postmaster (Olar v. Cuna) Alias Summons one issued when the original has not produced its
3. A patrolman (Bello v. Ubo) effect because of a defect in form or in the manner of service, and
when issued supersedes the first writ
In the aforementioned cases, service was invalid and court did not
acquire jurisdiction
THE MODES OF SERVICE OF SUMMONS

SECTION 4 - Return.When the service has been completed, the Modes:


server shall, within five (5) days therefrom, serve a copy of the 1. Personal Service (Sec. 6)
return, personally or by registered mail, to the plaintiffs counsel, a. By handing a copy of summons to him; or
and shall return the summons to the clerk who issued it, b. If he refuses to receive it, by tendering it to him
accompanied by proof of service. (6a)

121
2. Substituted Service (Sec. 7) Said rule requires that summons be served at
a. By leaving copies of the summons at the defendants defendants residence in the event that personal
residence with some person of suitable age and service is not possible within reasonable time for
discretion residing therein; or justifiable reasons
b. By leaving the copies at defendants office or regular
place of business with some competent person in
charge thereof SECTION 7 - Substituted service. If, for justifiable causes, the
defendant cannot be served within a reasonable time as
For substituted service of summons to be valid, it is provided in the preceding section, service may be effected (a) by
necessary to establish the following: leaving copies of the summons at the defendants residence with
1. The impossibility of the personal service of some person of suitable age and discretion then residing therein,
summons within a reasonable time or (b) by leaving the copies at defendants office or regular place
2. The efforts exerted to locate the person to be of business with some competent person in charge thereof. (8a)
served; and
3. Service upon a person of sufficient age and Breakdown of Provision
discretion residing in the same place as A. If, for justifiable causes, defendant cannot be served within a
defendant or some competent person in charge reasonable time as provide in the preceding section, service
of his office or regular place of business may be effected:
1. By leaving copies of the summons at defendants
3. Service by Publication (Sec. 14, 15, and 16) residence with some person of suitable age and
Requisites: discretion residing therein; or
a. Defendants identity or whereabouts are unknown 2. By leaving copies at defendants office or regular place
and cannot be ascertained by diligent inquiry; and of business with some competent person in charge
b. There must be leave of court thereof

4. Any other manner as court may deem sufficient (Sec. 15) GENERAL RULE: Summons must be served to defendant in person.
EXCEPTION: It is only when the defendant cannot be served
Note that summons cannot be served by mail personally within a reasonable time and for justifiable reasons that a
- Where service is made by publication, a copy of the substituted service may be made
summons and order of the court shall be sent by
registered mail to last known address of defendant (Sec. Requisites for Valid Substituted Service
15) 1. The efforts exerted by the sheriff to effect personal service
Resort to registered mail is only complementary to within a reasonable period of time
the service of summons by publication a. Impossibility of service should be shown by stating
But it does not mean that service by registered mail the efforts made to find defendant
alone would suffice 2. That such personal service cannot be effected for
justifiable reasons
3. The service of summons was made at:
SECTION 6 - Service in person on defendant. a. Defendants residence or
Whenever practicable, the summons shall be served by handing a b. Defendants office or regular place of business at the
copy thereof to the defendant in person, or, if he refuses to time of the service
receive and sign for it, by tendering it to him. (7a) 4. Address of defendant to whom summons was supposed to
have been served must be indicated in the return
Breakdown of Provision
A. Whenever practicable, summons shall be served by: There must be STRICT compliance with requirements of substituted
1. Handling a copy thereof to defendant in person; or service
2. By tendering it to him, if he refuses to receive and sign - The statutory requirements of substitute service must be
for it followed strictly, faithfully, and fully,
Any substituted service other than the statute is
Distinguish Service in Person on Defendant from Personal Service considered ineffective
of Pleadings - Substituted service is in derogation of the usual method of
- Under Personal Service of Pleadings and Other Papers service
under Sec. 6, Rule 13, personal service includes: It is an extraordinary method in character
1. Service on the party or his counsel; or May be used only as prescribed in the circumstances
2. By leaving a copy with the clerk or person having authorized by statute
charge of his office; or - The return must show impossibility of service and the
3. Leaving it with a person of sufficient age and efforts of the sheriff to effect personal service
discretion at the partys or counsels residence - If the return is defective:
- Under Service in Person on Defendant under this Rule, No presumption of regularity of the service
1. Service is only made on the defendant himself - Judgment may be annulled based on lack of jurisdiction for
improper substitute service for failure to show in return
Service is to be done personally impossibility of personal service within a reasonable time
- This does not mean that service is possible only at
defendants actual residence Principles as Laid down by Jurisprudence
- It is enough that defendant is handed a copy of the 1. In ejectment cases, being in personam, personal service of
summons in person by anyone authorize by law summons on defendant is essential to acquire jurisdiction
- This is distinct from Substituted Service under Sec. 7, Rule over his person, hence summons by publication is null and
14 void (Ilaya Textile Market, Inc. v. Ocampo)

122
2. Where the action is in personam and defendant is in the AS TO PROOFS
Philippines, service must be made in accordance with Sec.
6; Substituted service should be availed only where Proof of Prior Efforts of Personal Delivery
defendant cannot be promptly served in person (Litonjua - The absence in sheriffs return of a statement about the
v. CA) impossibility of personal service does not conclusively
3. Impossibility of personal service should be explained in prove that the service is invalid
the proof of service showing that efforts were exerted - Proof of prior attempts at personal service may be
therefor, hence resort to substituted service (Keister v. submitted by plaintiff during the hearing of any incident
Navarro) assailing the validity of substitute service (Mapa v. CA)
Such facts must be reported in the proof of service - While the sheriffs return carries with it the disputable
otherwise the substituted service is invalid (Busuego presumption of regularity
v. CA) This is in the sense that the entries therein are
But where substituted service under such deemed correct
circumstances was not objected to by defendant at It does not necessarily show that an act done in
the trial where he voluntarily appeared by counsel, relation to the official duty for which the return is
the substituted service was declared valid; whatever made was not done simply because it is not disclosed
defect there was in such mode of service was deemed therein
waived (Boticano v. Chu) - The impossibility of service may be established by
evidence
Some Cases on Substituted Service
1. Ownership of the house is not synonymous with dwelling Irregularity may be Cured by Proof of Actual Receipt
(Arevalo v. Quilatan) - The constitutional requirement of due process exacts that
2. Substituted service to wife is valid (Daran v. Angco), but service be such as may be reasonably expected to give the
not when they are not residents of the same place notice desired (Montalban v. Maximo)
(Valmonte v. CA) Once service provided by the rules reasonably
3. Service with one copy of complaint on 2 defendants is accomplishes that end, justice is answered and due
irregular (Bello v. Ubo) process is served
4. Service of summons on co-owner is not binding on others - Irregularities of this kind, however, may be cured by proof
(Eduardo Fernanez, et al. v. CA) that the copies have actually been delivered to defendant,
which is equivalent to personal service

DEFINITION OF TERMS But there is NO Need for Proof of Actual Receipt


- In substituted service, it is immaterial that the defendant
Meaning of RESIDENCE does not in fact receive actual notice
- For a substituted service to be valid, summons served at This will not affect validity of the service
the defendants residence must be served at his residence - The defendant may be charged by a judgment in personam
AT THE TIME OF SERVICE; not his former place of as a result of legal proceedings upon a method of service
residence which is not personal, which in fact may not become actual
- dwelling house or residence refers to the dwelling notice to him, and which may be accomplished in his
house at the time of service lawful absence from the country
- They refer to the place where the person named in the The rules do not require that papers be served on
summons is living at the time of when the service is made, defendants personally or a showing that papers were
even though he may be temporarily out of the country at delivered to defendant by person with whom they
that time (Venturanza v. CA) were left (Smith v. Kincaid)
- Under the rules, plaintiff, in the initial stages, is merely
required to know defendants dwelling house or residence In substituted service, the validity of service does not depend upon
or his office or regular place of business actual receipt
Nothing more - But irregularity in service may be cured by proof of actual
He is not asked to investigate where a resident receipt
defendant actually is, at the precise moment of filing - Thus, where summons was in fact received by the
He is not even duty bound to see to it that the person defendant, his argument that the sheriff should have tried
upon whom the service was actually made delivers first to serve summons on him personally before resorting
the summons to defendant or informs him about it to substituted service is not meritorious (Boticano v. Chu,
Meaning of Defendants Office or Regular Place of Business Jr.)
- office or regular place of business refers to the office or - Mere knowledge, however, is not sufficient, in the absence
place of business of defendant at the time of service of a valid service
- The rule specifically designates the persons to whom - In the absence however, of a categorical admission similar
copies of the process should be left to that made in Boticano, no such inference to the
- to be in charge means to have care an custody of, under contrary could be drawn
control of, or entrusted to the management or direction of
(Sandoval II v. HoR)
Maintenance man cannot be said to be entrusted with SECTION 8 - Service upon entity without juridical personality.
the management of office records When persons associated in an entity without juridical
Not any employee or anyone who pretends to be an personality are sued under the name by which they are generally
employee could validly receive summons or commonly known, service may be effected upon all the
defendants by serving upon any one of them, or upon the person
in charge of the office or place of business maintained in such
name. But such service shall not bind individually any person

123
whose connection with the entity has, upon due notice, been Breakdown of Provision
severed before the action was brought. (9a) A. When defendant is a:
1. Minor,
Breakdown of Provision 2. Insane, or
A. When persons associated in an entity without juridical 3. Otherwise an incompetent
personality are sued under the name by which they are B. Service shall be made:
commonly known 1. Upon him personally,
B. Service may be effected: 2. AND:
1. Upon all defendants by serving upon any one of them a. On his legal guardian if he has one
2. Or Upon person in charge of the office or place of b. Upon his guardian ad litem if he has no
business maintained in such name guardian; appointment applied for by plaintiff
C. Such service shall not bind individually any person whose 3. In case of defendant minor, service may also be made
connection with the entity has been severed before the on his father or mother
action was brought (upon due notice)
Note: With respect to insane or otherwise incompetent persons, it is
A Review of Relevant Provisions under Rule 3 not necessary that they be judicially declared as such
- Sec. 1, Rule 3 provides that only natural or juridical
persons may be parties in a civil action
But it also provides that entities authorized by law SECTION 11 - Service upon domestic private juridical entity.
may likewise be parties to a suit When the defendant is a corporation, partnership or association
- Sec. 15, Rule 3 provides that an entity without juridical organized under the laws of the Philippines with a juridical
personality may be sued under the circumstances personality, service may be made on the president, managing
prescribed therein in connection with a transaction it may partner, general manager, corporate secretary, treasurer, or in-
have entered into house counsel. (13a)

Note: Breakdown of Provision


- Such entity without juridical personality can be sued, but A. When defendant is a corporation, partnership, or
cannot sue by initiating an original civil action association,
As a matter of fairness and logical procedure, once it 1. Organized under the laws of the Philippines
is impleaded as defendant, it may also file 2. With a juridical personality
counterclaims and cross-claims or other initiatory B. Service may be made on the president, managing partner,
pleadings for claims it may properly avail itself since general manager, corporate secretary, treasurer, or in-
it is already a party to the suit house counsel
- Note also that this section does not limit itself to
associations engaged in business Purpose of the Rule
Associations not engaged in business or commercial Service must be made on a representative so integrated
activity can also commit actionable wrongs with the corporation sued as to make it a priori supposable that he
Civic associations and organizations are also included will realize his responsibilities and know what he should do with
legal paper served on him (G&G Trading Corp. v. CA)

SECTION 9 - Service upon prisoners.When the defendant is a As held in Artemio Baltazar v. CA


prisoner confined in a jail or institution, service shall be effected - The regular mode of serving summons upon a private
upon him by the officer having the management of such jail or Philippine corporation is by personal service upon one of
institution who is deemed deputized as a special sheriff for said the officers of such corporation
purpose. (12a) - But there is no requirement that it be done at the principal
office of the corporation
Breakdown of Provision - So it can be said that personal service upon the
When defendant is a prisoner confined in a jail or institution corporation may be effected through service upon the
1. Service shall be effected by the officer having the office or residential address of the corporation president,
management of such jail or institution for example
2. Such officer is deemed deputized as special sheriff for said
purpose Strict Application of the Rules
- The rule must be strictly observed; service must be made
Note: Since the said officer is deputized as special sheriff, he is to one named in statute (Delta Motors v. Mangosing)
charged with the duty of complying with the provisions of Sec. 4 an 5 - Resort to substituted service by publication on a private
of this Rule relative to the return on summons on prisoner. domestic corporation was held invalid where the sheriff
did not ascertain from the records of the SEC the address
of its corporate headquarters and address of its corporate
SECTION 10 - Service upon minors and incompetents When the headquarters and addresses of its directors and other
defendant is a minor, insane or otherwise an incompetent, service officers (Baltazar v. CA)
shall be made upon him personally and on his legal guardian if he - Under the present rule, service on an agent of the
has one, or if none, upon his guardian ad litem whose corporation is no longer permitted
appointment shall be applied for by the plaintiff. In the case of a The designation of persons or officers who are
minor, service may also be made on his father or mother. (10a, authorized to accept summons for a domestic
11a) corporation is now limited and more clearly specified
- The doctrine of substantial compliance followed under the
1964 Rules is no longer applicable in view of the
amendments introduced by the 1997 Rules

124
The new rule is restricted, limited, and exclusive (EB 2. Term implies a continuity of commercial dealings and
Villarosa & Partner Co., Ltd. v. Benito) arrangements, and contemplates, to that extent, the
performance of acts or works or the exercise of some
Note: The doctrine of piercing the veil of corporate fiction does not of the functions normally incident to, and in
apply to service of summons. It refers to determination of liability progressive prosecution of, the purpose and object of
and not to determination of jurisdiction its organization

Note: A foreign corporation not engaged in business in the


SECTION 12 - Service upon foreign private juridical entity.When Philippines may file an action in Philippine Courts for an ISOLATED
the defendant is a foreign private juridical entity which has Transaction
transacted business in the Philippines, service may be made on its
resident agent designated in accordance with law for that Some Jurisprudence:
purpose, or, if there be no such agent, on the government official 1. In Georg Grotjahn GMBH and Co. v. Isagani, it was held
designated by law to that effect, or on any of its officers or agents that the uninterrupted performance by a foreign
within the Philippines. (14a) corporation of acts pursuant to its primary purposes and
functions as a regional headquarters for its home office,
Breakdown of Provision qualifies such corporation as one doing business in the
A. Defendant is a foreign juridical entity which has transacted country
business in the Philippines 2. Distinguish however from a single or isolated transaction
B. Service may be made on: or occasional, incidental, or casual transaction
1. Its resident agent designated in accordance with law a. In such cases, the foreign corporation is not deemed
for that purpose; or to be doing business in the Philippines (Pacific
2. If no agent: Micronesian Line Inc. v. Del Rosario)
a. On the government official designated by law to b. But where the single act or transaction is not merely
that effect; or incidental or casual but indicates the foreign
b. Any of its officers or agents within the Philippines corporations intention to do other business in the
Philippines, said single act or transaction constitutes
General Rule on Foreign Corporations doing or engaging in or transacting business in the
- Foreign corporations doing business in the Philippines Philippines (Far East Intl Import and Export Corp.
without license cannot sue but may sued v. Nankai Kogyo Co.)
- If it is not doing business, it can sue 3. As a general rule, a foreign corporation will not be
- If it is not engaged in business in the Philippines regarded as doing business in the State simply because it
Not barred from seeking redress in the Philippines a enters into contracts with residents of the State, where
fortiori, that same corporation cannot claim such contracts are consummated outside the State
exemption from being sued in Philippine courts for a. A foreign corporation is not doing business in the
acts done against a person or persons in the State merely because sales of its product are made
Philippines there or other business furthering its interests is
transacted there
Summons may be issued under this rule when it is doing business in
the Philippines or which has transacted business in the Philippines The Fact of Doing Business in the Philippines Must be Established by
Appropriate Allegations in the Complaint
Note also Sec. 123 of the Corporation Code which provides that - When the allegation in the complaint have a bearing on the
when a foreign private corporation applies for a license to do plaintiffs capacity to sue and merely state that plaintiff is a
business in the Philippines, it shall be granted subject to the foreign corporation existing under US laws, such averment
condition, inter alia, that if it has no resident agent, summons and conjures 2 alternative possibilities:
processes intended for it shall be served on the SEC 1. That the corporation is engaged in the Philippines
a. In this case, a corporation must have been duly
Reglementary Periods licensed in order to maintain the suit
- Where service of summons is made on the government 2. That it is not so engaged
official designated by law, defendant corporation has 30 a. In this case, that the transaction sued upon is
days from its receipt of summons within which to file its singular and isolated, hence no license is needed
answer (Sec. 2, Rule 11) - The qualifying circumstances being an essential part of
- If served on its resident agent, offices or other agents in plaintiffs capacity to sue must be affirmatively pleaded
the Philippines, the 15-day reglementary period applies
(Facilities Management Corp. v. De la Osa) It is now settled that, for purposes of having summons served on a
foreign corporation in accordance with Rules 14 and 12, it is
Meaning of Doing Business sufficient that it be alleged in the complaint that the foreign
- Mentholatum Co., Inc. v. Mangaliman no general rule or corporation is doing business in the Philippines.
governing principle can be laid down as to what
constitutes doing or engaging or trading in business; each Determination of Jurisdiction is NOT a Final Matter
case must be judged in light of its peculiar environmental - It cannot be said that the petitioners right to question the
circumstances jurisdiction of the court over its person is now a foreclosed
- Griffin v. Implement Dealers Mut. Fire Ins. Co.: matter
1. The test seems to be whether the foreign corporation - A determination that the foreign corporation is doing
is continuing the body or substance of the business or business is only tentative
enterprise for which it was organized or whether it It is made only for the purposes of enabling the local
has substantially retired from it and turned over it court to acquire jurisdiction over the foreign
over to another

125
corporation through service of summons pursuant to SECTION 14 - Service upon defendant whose identity
Rules 14 and 12 or whereabouts are unknown.In any action where the defendant
- Such determination does not foreclose a contrary finding is designated as an unknown owner, or the like, or whenever his
should evidence later show that it is not transacting whereabouts are unknown and cannot be ascertained by diligent
business in the country inquiry, service may, by leave of court, be effected upon him by
publication in a newspaper of general circulation and in such
How Service of Summons Effected Upon Private Foreign places and for such time as the court may order. (16a)
Corporations
1. Three instances as provided for in Sec. 14, Rule 7 Breakdown of Provision
a. By serving upon the agent designated in accordance A. Whenever a defendant is:
with law to accept service of summons 1. Designated as an unknown owner, or the like, or
b. If there is no resident agent, by service on the 2. Where his whereabouts are unknown and cannot be
government official designated by law to that office ascertained by diligent inquiry
c. By serving on any officer or agent of said corporation B. Service may be effected:
within the Philippines 1. With leave of court
2. Under the Corp Code, if the corporation is without resident 2. By publication
agent, service of summons may be made upon the SEC a. In a newspaper of general circulation
SEC must transmit it within 10 days by mail copy of b. And in such places and for such time as the court
summons or other legal process to the corporation at may order
its home or principal office
In Baltazar v. CA, Justice Feliciano notes that service of summons by
SECTION 13 - Service upon public corporations.When the publication may be allowed under Rule 14 in 3 different situations:
defendant is the Republic of the Philippines, service may be 1. First is the situation of an Unknown Defendant governed
effected on the Solicitor General; in case of a province, city or by Sec. 14
municipality, or like public corporations, service may be effected 2. Second is the situation were Extraterritorial service is
on its executive head, or on such other officer or officers as the proper governed by Sec. 15
law or the court may direct. (15) 3. Third, is that of a resident who is temporarily out of the
Philippines governed by Sec. 16
Breakdown of Provision
A. If defendant is the Republic, service may be effected: Under the present rule, summons by publication is allowed in any
1. On the Solicitor General action.
B. If defendant is a province, city, or municipality, or like public Determine the Nature of Action
corporations, service may be effected - In ascertaining the validity of the service of summons it is
1. On its executive head; or helpful to determine first whether the action is in
2. On such other officer or officers as the law or court may personam, in rem, or quasi in rem
direct - The rule on service of summons under Rule 14 apply
accordingly to the nature of action
REVIEW: Service of Summons on Different Entities - Review:
DEFENDANT SERVICE OF SUMMONS 1. Action in personam action against a person on the
Entity without basis of personal liability
Upon any or all the defendants being sued 2. Action in rem an action against the thing itself
juridical
under common name; or person in charge of instead of against the person
personality (Sec.
the office 3. Action quasi in rem one wherein an individual is
8)
In case of minors: by serving upon the minor, named as defendant and the purpose of the
regardless of age, and upon his legal proceeding is to subject his interest therein to the
guardian, or also upon either of his parents obligation or lien burdening the property
In case of incompetents: by serving on him
Minors and personally and upon his legal guardian, but In determining the propriety of summons by publication, distinction
incompetents not upon his parents, unless they are his should be made on whether or not defendant is a resident or not
(Sec. 10) legal guardians - Rule on residents is governed by Sec. 14 and 16
In any event: if the minor or incompetent has - Rule on non-residents who cannot be found in the
no legal guardian, the plaintiff must obtain Philippines is governed by Sec. 15
the appointment of a guardian ad litem for
him Note: In an action quasi in rem or in rem against a non-resident
Domestic private To the president, managing partner, general defendant, jurisdiction over his person is non-essential
juridical entity manager, corporate secretary, treasurer, or If the law requires in such case that the summons
(Sec. 11) in house counsel (enumeration is exclusive) upon defendant be served by publication, it is merely
Serve on the resident agent; or if none; on to satisfy the constitutional requirement of due
Foreign private process
the government official designated by law; or
juridical entity
on any officer or agent of the corporation
(Sec. 12) Summons by way of publication may with leave of court be availed
within the Philippines
In case defendant is the Republic, by serving of where a defendant involved in any action is designated as an
upon the SolGen unknown owner or whenever his whereabouts are unknown and
Public cannot be ascertained. The summons shall be effected through
In case of a province, city or municipality, or
corporations publication in a newspaper of general circulation and in such places
like public corporations, by serving on its
(Sec. 13) and for such time as the court sets
executive head or on such other officer or
officers as the law or the court may direct

126
THE RULE ON UNKNOWN DEFENDANTS SERVICE OF SUMMONS BY PUBLICATION

As held in United Coconut Planters Bank v. Ongpin If a defendant Limitation - Service of summons by publication is limited to:
is a resident and plaintiff cannot determine the correct address of 1. Actions in rem and quasi in rem
respondent, petitioner only needs to show that: 2. Where defendant is a non-resident who cannot be found in
1. Respondents address is unknown and the Philippines
2. Cannot be ascertained by diligent inquiry
Upon compliance with this requirement, it can validly serve In these type of actions, jurisdiction over the person of the defendant
summons by publication in a newspaper of general circulation is not essential for giving the court jurisdiction so long as the court
acquires jurisdiction over the res.
Note:
- Summons by publication in actions in personam is It is a Requirement of Fair Play
permissible in certain situations - While it may be true that service of summons by
- Its limitation to actions in rem and quasi in rem refers to publication does not involve any absolute assurance that
non-resident defendants who cannot be found in the said nonresident defendant shall thereby receive actual
Philippines notice
- Under the present section, summons by publication is Such service is required not for purposes of
allowed IN ANY ACTION physically acquiring jurisdiction over his person
But simply in pursuance of the requirements of fair
SECTION 15 - Extraterritorial service.When the defendant does play
not reside and is not found in the Philippines, and the action - However, it is necessary that copies of summons and
affects the personal status of the plaintiff or relates to, or the complaint be duly served at defendants last known
subject of which is, property within the Philippines, in which the address by registered mail as complement to the
defendant has or claims a lien or interest, actual or contingent; or publication
in which the relief demanded consists, wholly or in part, in
excluding the defendant from any interest therein, or the Illustrative Cases
property of the defendant has been attached within the 1. Where defendant is a non-resident, but his wife is a
Philippines, service may, by leave of court, be effected out of the resident and is his attorney-in-fact, who commenced an
Philippines by personal service as under section 6; or by action in his behalf, in a complaint against said non-
publication in a newspaper of general circulation in such places resident defendant, summons may validly be served on his
and for such time as the court may order, in which case a copy of wife and the court has jurisdiction over said non-resident
the summons and order of the court shall be sent by registered (Gemperle v. Schenker)
mail to the last known address of the defendant, or in any other 2. If it is a personal action in personam, it is personal or
manner the court may deem sufficient. Any order granting such substituted service, not extraterritorial service, which is
leave shall specify a reasonable time, which shall not be less than required (The Dial Corp. et al. v. Soriano et al.)
sixty (60) days after notice, within which the defendant must In a personal action for injunction, extraterritorial
answer. (17a) service of summons and complaint on the non-
resident defendants cannot confer on the court
Breakdown of Provision jurisdiction (Kawasaki Port Service Corp., et al. v.
A. If the defendant: Amores, etc., et al.)
1. Does not reside in the Philippines 3. Since the defendant is a non-resident and the suit involves
2. And is not found in the Philippines real property in the Philippines wherein defendant has an
B. And the action: interest, service of summons by publication in a local
1. Affects the personal status of the plaintiff, or newspaper is authorized (Sahagun v. CA)
2. Relates to or the subject of which is property within the
Philippines
a. In which defendant has or claims a lien or THE NON-RESIDENT DEFENDANT
interest, actual or contingent; or
b. In which the relief demanded consists, wholly or in The remedy against a non-resident defendant who cannot
part, in excluding the defendant from any interest be served with summons in the Philippines is to locate real or
therein, or personal property and attach the property
c. Property of defendant has been attached within Here, the action becomes in rem or quasi in rem
the Philippines In which case, service by publication is permissible
C. Service may be effected out of the Philippines However, if attachment is invalid, service by
1. By leave of court publication is void
2. By:
a. Personal service as under Sec. 6 If the defendant is ONLY temporarily out of the
b. Publication in a newspaper of general circulation Philippines, substituted service is permissible
(1) In such places and for such time as court may But in this case, he is a resident defendant
order
(2) A copy of the summons and order of the
court shall be sent by registered mail to the ACTIONS RELATING TO PROPERTY IN THE PHILIPPINES
last known address of defendant DOES NOT INCLUDE PERSONAL ACTIONS
c. In any other manner the court may deem
sufficient Note: Contractual rights are not property located in the Philippines
D. Any order granting such leave shall specify a reasonable within the meaning of the rule to justify extraterritorial service of
time within which defendant must answer summons
1. Time shall not be less than 60 days after notice

127
Judgment Limited to STATUS or PROPERTY Where Action Affects the Personal Status of Plaintiff
- Judgment must be confined strictly to the personal status Status means a legal personal relationship, not temporary
of plaintiff or to the disposition of property in nature nor terminable at the mere will of the parties, with which
- Court cannot grant relief which would be a personal third persons and the state are concerned (Holzer v. Deutsche
liability upon the non-resident defendant Reichsbahn Gesellschaft)
- In proceedings in rem or quasi-in-rem against a non- Note however that actions affecting personal status are
resident who is not served personally within the State, and different from actions in personam
who does not appear, relief must be confined to the res Monetary obligations do not, in any way, refer to
- Example: In an action to foreclose mortgage, no personal status, rights and obligations
judgment for deficiency can be entered Obligations are more or less temporary, but status is
relatively permanent
In these cases, the property itself is the sole thing which is
impleaded and is the responsible object which is the subject of the Now, if the complaint does not involve the personal status of
judicial power (Banco Espanol Filipino v. Palanca) plaintiff, nor any property in the Philippines, the action being a
Accordingly, the relief must be confined to the res, and the personal action and in personam:
court cannot lawfully render a personal judgment against him. - Personal or substituted service is necessary to confer
jurisdiction
Judgment In Personam is INVALID - Not extraterritorial service
- Example: In seeking to recover damages from non-
resident defendant for allege commission of injury to his How Extraterritorial Service Made: By Leave of Court
person or property caused by the formers nuisance To be effective, service may, with leave of court, be by:
The action became in personam 1. Personal service;
As such, personal or, if not possible, substituted 2. Publication (copy of summons and order of Court must be
service and not extrajudicial service is necessary sent by registered mail at last known address)
Since there was no valid service, trial court had no 3. Any other manner the court may deem sufficient
jurisdiction to award damages
Service Must be Made Outside of the Philippines By Leave of Court
Rule Applies only to Non-Resident Defendants As held in Valmonte v. CA, where service upon a non-residents
- The service of summons in an action in personam against a counsel was held invalid and which does not fall under the third
resident defendant outside of the courts territorial mode
jurisdiction is valid - The third mode of service, like the first 2, must be made
- Principles limiting summons beyond the courts territorial outside the Philippines
jurisdiction to actions in rem and quasi in rem should be Such as through the Philippine Embassy in the foreign
made to apply only to non-residents who cannot be found country where defendant resides
in the Philippines
Note: Publication in Foreign Newspaper is discretionary

EXTRATERRITORIAL SERVICE
SECTION 16 - Residents temporarily out of the Philippines.When
RULE: Service of summons on non-resident defendants who cannot any action is commenced against a defendant who ordinarily
be found in the Philippines is limited to actions in rem and quasi in resides within the Philippines, but who is temporarily out of it,
rem service may, by leave of court, be also effected out of
the Philippines, as under the preceding section. (18a)
Extraterritorial service of summons is proper only in four instances:
1. When the action affects the personal status of the plaintiff Breakdown of Provision
2. When the action relates to, or the subject of which is A. Service to a defendant who ordinarily resides in the
property within the Philippines in which the defendant has Philippines, but who is temporarily out of it
or claims a lien or interest, actual or contingent 1. Service may also be effected out of the Philippines
3. When the relief demanded in such action consists, wholly a. By leave of court
or in part, in excluding the defendant from any interest in b. As under the preceding section
property located in the Philippines; and
4. When the defendant nonresidents property has been Substituted Service is Allowed
attached in the Philippines - Where the defendant is residing in the Philippines,
jurisdiction over his person may be acquired by
General Notes: substituted service of summons under Sec. 8
- When the defendant is not residing and is not found in the - Extra-territorial service is also allowed (also by leave of
Philippines, the Philippine courts cannot try any case court) according to Sec. 16
against him
Because of the impossibility of acquiring jurisdiction In other words, a resident defendant in an action personam, who
over his person cannot be personally served with summons, may be summoned
Unless he voluntarily appears in court either by:
- But when the action falls under any of the 4 instances 1. Substituted service in accordance with Sec. 7, Rule 14
mentioned above, Philippine courts may then try the case 2. Or by service by publication under Sec. 16, Rule 14
In these cases, they have jurisdiction over the res
Venue in such cases may be laid in the province
where the property of defendant or a part thereof
involved in the litigation is located

128
SERVICE OF - While Sec. 15 provides for modes of service which may
DEFENDANT ACTION
SUMMONS also be availed of in the case a resident defendant is
Resident but With leave by court, temporarily absent, the normal mode of service of such is
identity or by publication in a by substituted service under Sec. 7
Any action
whereabouts newspaper of Personal service outside the country and service by
unknown (Sec. 14) general circulation publication are not ordinary means of summons
In rem or quasi in Extraterritorial (Montalban, et al. v. Maxima)
rem; it either: Service:
(1) Affects the (a) With leave of Where the defendant is a resident and the action is in personam,
personal status of court serve outside summons by publication is invalid as being violative of due process
plaintiff the Phil by personal - Plaintiffs recourse, where personal service fails, is to
(2) Relates to or the service; or attach properties of defendant under Sec. 1(f), Rule 57
subject of which is (b) with leave of This converts the suit to one in rem or quasi in rem
property within the court serve by and summons by publication will now become valid
Phil in which publication in a - If plaintiff fails to do such,
defendant has a lien newspaper of Court should not dismiss the case but order the case
Not a resident and
or interest general circulation, to be held pending in the archives
is not found in the
(3) Demands a relief in which case the So that the action will not prescribe
Philippines
which consists copy of the Until such time as plaintiff succeeds in ascertaining
(Sec. 15)
wholly or in part in summons and the defendants whereabouts or his properties
excluding the order of court must - Pantaleon v. Asuncion
defendant from any also be sent by
interest in any registered mail to
property within the the last known SECTION 18 - Proof of service.The proof of service of a
Phil; or address of summons shall be made in writing by the server and shall set
(4) Property of defendant; or forth the manner, place, and date of service; shall specify any
defendant has been (c) Any other papers which have been served with the process and the name of
attached in the manner the court the person who received the same; and shall be sworn to when
Philippines deem sufficient made by a person other than a sheriff or his deputy. (20)
Substituted Service
or with leave of Breakdown of Provision
Resident
court, personal Proof of Service of Summons:
temporarily out of
Any action service out of the 1. Shall be made in writing and shall:
the Philippines
Phil as under a. Set forth the manner, place, date of service
(Sec. 16)
extraterritorial b. Specify any papers which may have been served with
service the process and the name of the person who received
the same
c. Shall be sworn to when made by a person, other than
SECTION 17 - Leave of court.Any application to the court under the sheriff or his deputy
this Rule for leave to effect service in any manner for which leave
of court is necessary shall be made by motion in writing, Effect of Defect of Proof of Service
supported by affidavit of the plaintiff or some person on his - Where sheriffs return is defective, presumption of
behalf setting forth the grounds for the application. (19) regularity in the performance of official functions will not
lie
Breakdown of Provision - Defective return is insufficient and incompetent to prove
A. Any application to the court for leave to effect service in any that summons was indeed served
manner for which leave of court is necessary - Party alleging valid summons will now prove that
1. Shall be made by motion in writing summons was indeed served
2. Supported by affidavit of the plaintiff or some other - If there is no valid summons, court did not acquire
person on his behalf jurisdiction which renders null and void all subsequent
3. Setting forth the grounds for the application proceedings and issuances

Service of Summons by Publication is Authorized, with Prior Leave


of Court: SECTION 19 - Proof of service by publication.If the service has
1. Where the identity of the defendant is unknown; been made by publication, service may be proved by the affidavit
2. Where the whereabouts of the defendant is unknown; of the printer, his foreman or principal clerk, or of the editor,
3. Where the defendant does not reside and is not found in business or advertising manager, to which affidavit a copy of the
the Philippines but the suit can properly be maintained publication shall be attached, and by an affidavit showing the
against him here, being in rem or quasi in rem; and deposit of a copy of the summons and order for publication in the
4. Where the defendant is a resident of the Philippines but is post office, postage prepaid, directed to the defendant by
temporarily out of the country registered mail to his last known address. (21)

Summons in a suit in personam against a resident temporarily Breakdown of Provision


absent from the Philippines If service has been made by publication, service may be proved by:
- Summons may validly be effected by substitute service 1. Affidavit:
under Sec. 7 a. The printer, his foreman, or principal clerk; or
It is immaterial that defendant does not in fact b. Of the editor, business or advertising manager
receive actual notice A copy of the publication shall be attached

129
2. And an Affidavit:
a. Showing the deposit of a copy of the summons; and
b. Order of publication in the post office, postage prepaid,
directed to defendant by registered mail to his last
known address

SECTION 20 - Voluntary appearance.The defendants voluntary


appearance in the action shall be equivalent to service of
summons. The inclusion 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. (23a)

Any form of appearance in court, by the defendant, by his agent


authorized to do so, or by attorney, is equivalent to service except
where such appearance is precisely to object the jurisdiction of the
court over the person of the defendant (Carballo v. Encarnacion)

Voluntary Appearance Equivalent to Service


- 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
- Any appearance other than for sole purpose of challenging
the jurisdiction over the defendants person is sufficient
But the inclusion in a motion to dismiss of other
grounds aside from lack of jurisdiction over the
person shall not be deemed voluntary appearance
(Vide Naval v. CA)

Illustrative Cases
1. Appearance of counsel on behalf of defendant is equivalent
service (Tuason v. CA)
2. The filing of answer with cross-claim is equivalent to
voluntary appearance and cures the defect, if any, of the
summons (Paramount Insurance v. Judge Luna)
3. The filing of a motion for reconsideration of the judgment
by default and a motion to admit answer on the ground of
excusable negligence is submission to the courts
jurisdiction (Europa v. IAC)

END OF RULE 14

130
NOTES ON RULE 14

131
NOTES ON RULE 14

132
RULE 15 Breakdown of Provision
MOTIONS A. Every written motion shall be set for hearing by applicant
1. EXCEPT for motions which the court may act upon
without prejudicing the rights of adverse party
B. Every written motion required to be heard and the notice of
SECTION 1 - Motion defined.A motion is an application for relief
the hearing thereof
other than by a pleading. (1a)
1. Shall be served in such a manner as to ensure its
receipts by other party at least 3 days before such
Kinds of Motion
hearing
1. Motion Ex Parte made without the presence or a
2. UNLESS court for good cause sets the hearing on
notification to the other party because the question
shorter notice
generally presented is not debatable (e.g. Motion for
extension of time to file pleadings)
Requisites of a Motion: (not made in open court or in the course of
2. Motion Of Course where movant is entitled to the relief
hearing or trial)
or remedy sought as a matter of discretion on the part of
1. It must be in writing
the court
2. Hearing of motion set by applicant
3. Litigated Motion one made with notice to the adverse
3. Notice of hearing shall be addressed to parties concerned;
party to give an opportunity to oppose (e.g. Motion to
date of hearing must not be later than 10 days from the
dismiss)
filing of the motion (Sec. 5)
4. Special Motion motion addressed to the discretion of the
4. Motion and notice of hearing must be served at least 3
court
days before the date of hearing (three day notice rule)
Exceptions to the 3-day notice rule:
GENERAL RULE: A motion cannot pray for judgment
a. Ex-parte motions
EXCEPTIONS:
b. Urgent motions
1. Motion for judgment on the pleadings
c. Motions agreed upon by the parties to be heard on
2. Motion for summary judgment; and
shorter notice or jointly submitted by parties; and
3. Motion for judgment on demurrer to evidence
d. Motions for summary judgment which must be
served at least 10 days before hearing
SECTION 2 - Motions must be in writing.All motions shall be in 5. Proof of service (Sec. 6)
writing except those made in open court or in the course of a
hearing or trial. (2a)
Applicability of the Rule
- The rule does not apply to applications for a writ of
GENERAL RULE: Motions shall be in writing preliminary attachment, appointment of a receiver,
EXCEPTIONS: delivery of personal property, and a motion for a writ of
1. Motions for continuance made in the presence of the possession
adverse party or those made in the course of the hearing
All of which may be granted ex parte
or trial - Rule does not apply to manifestations which, unless
2. Those made in open court even in the absence of the otherwise indicated, are usually made merely for the
adverse party or those made in the course of a hearing or
information of the court
trial
Effects of Want of Notice
- A motion that does not contain a notice of hearing is but a
SECTION 3 - Contents.A motion shall state the relief sought to mere scrap of paper
be obtained and the grounds upon which it is based, and if
It is not even a motion for it does not comply with the
required by these Rules or necessary to prove facts alleged rules
therein, shall be accompanied by supporting affidavits and other
Clerk has no right to receive it
papers. (3a)
- A court has no jurisdiction to issue an order in
consideration of a motion for correction of judgment
Breakdown of Provision: which does not have a proper notice of hearing (Fajardo v.
A. A motion shall: CA)
1. State the relief sought to be obtained
- Copy of a motion containing a notice of time and place of
2. State the grounds upon which it is based hearing of said motion is a mandatory requirement
3. Be accompanied by supporting affidavits and other
Failure to do follow Sec. 4, 5 and 6 is a fatal flaw
papers if:
The motion is pro forma, hence, it did not suspend the
a. Required by the Rules or
running of prescriptive period
b. Necessary to prove facts alleged therein
Purpose of the Rule Notice of hearing is intended to prevent
surprise and to afford the adverse party a chance to be heard before
SECTION 4 - Hearing of motion.Except for motions which the
the motion is resolved by the trial court.
court may act upon without prejudicing the rights of the adverse
Motions without notice is pro forma.
party, every written motion shall be set for hearing by the
applicant.
GENERAL RULE: All written motions shall be set for hearing, even if
Every written motion required to be heard and the notice of
that hearing may be conducted on less than 3 days advance notice
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
EXCEPTION: Excepted from the hearing requirement are the non-
date of hearing, unless the court for good cause sets the hearing
litigable or non-litigated motions
on shorter notice. (4a)

133
Those motions that may be acted upon by the court without furnishing the other party with a copy thereof is
without prejudicing the rights of the adverse party defective (BPI v. Far East Molasses)
E.g. motion for extension - Defect is fatal

The Exceptions to the 3-Day Notice Rule However, there are exceptions to the strict application of this rule:
1. Ex parte motions 1. Where rigid application will result in manifest failure or
2. Urgent motions miscarriage of justice (Goldloop Properties Inc. v. CA)
3. Motions agreed upon by the parties to be heard on shorter 2. Where the interest of substantial justice will be served
notice or jointly submitted by the parties (Tamargo v. CA)
4. Motions for summary judgment which must be served at 3. Where the resolution of the motion is addressed solely to
least 10 days before its hearing (See Sec. 3, Rule 35) the sound and judicious discretion of the court (Galvez v.
CA)
As to Ex-Parte Motions 4. Where the injustice to the adverse party is not
- While a motion may be allowed to be filed ex parte, it does commensurate to the degree of his thoughtlessness in not
not necessarily mean that the hearing thereof shall be complying with the procedure prescribed (Galang v. CA)
dispensed with
- Court may still hear the same ex parte since the court can Purposes of Setting Date of Hearing Purpose of setting the date of
very well see to it that the absent partys interests will be the hearing within a reasonable time after filing of motion is to avoid
duly protected delay.
- An ex parte proceeding merely means that it is taken or However, in the event service of motion with notice of
granted at the instance and for the benefit of one party, hearing is done by registered mail on all parties concerned, the date
and without notice to or contestation by any party of hearing should be at least 3 days after receipt thereof by other
adversely affected parties.

Test as to Necessity of Notice


The true test as to the necessity of the notice of motion in a SECTION 6 - Proof of service necessary.No written motion set
case not specifically provided for whether the court may act on the for hearing shall be acted upon by the court without proof of
motion without prejudicing the rights of the adverse party. If so, it service thereof. (6a)
need not be set for hearing.
Rule on Strict Application
- Sec. 4, 5, and 6 requires notice to be:
SECTION 5 - Notice of hearing.The notice of hearing shall be 1. Sent at least 3 days before the hearing
addressed to all parties concerned, and shall specify the time and 2. Directed to parties concerned
date of the hearing which must not be later than ten (10) days 3. Stating the time and place of hearing of the motion
after the filing of the motion. (5a) 4. With proper notice thereof
- Failing to comply with these requirements makes the
Breakdown of Provision motion a mere scrap of paper and the judge will not take
A. The notice of hearing shall: cognizance thereof
1. Be addressed to all parties concerned
2. Specify the time and dating of the hearing The same is also true where the date for the hearing of the motion is
The date must not be later than 10 days after unintelligible, hence fatally defective and without legal effect.
filing of the motion (Republic Planters Bank, et al. v. IAC, et al.)

Effect of Defective Notice Note: An alias writ of execution need no hearing since it may be
A motion that fails to religiously comply with the construed as an order directing the sheriff to implement the original