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BAR OPERATIONS COMMISSIONS

KARIZ ELIZABETH TEH
Chairman

Honey Joy Belen Vice-Chair for Academics, Kathleen Trine De Lara Vice-Chair for Administration,
Jhoanna Paula Bitor Operations Officer, Michael Angelo Tamayo Secretary, Rhian Lee Tiangco
Treasurer, Shianne Camille Dionisio Auditor, Gillian Albay Public Relations Officers, Mikyla Cordero
Volunteer Core Head, Ayla Monica Cristobal Creative Director

Charles Bautista Secretary, John Paul Nanit Treasurer

Edmond Gastanes
JOHANNES PAOLO MEDINA
Commissioner Tadz Majal Ayesha Jaafar
Chona Layugan
Lawrence Felix Garcia Regina Rae Luzadas
Deputy Commisioner May Angelique Magboo

Jester Concepcion Alexis Marie Monton

John Lester Tamayo Kathlene Noveno
Joshua Dale Ablaza Marjorie Penolbo
Hazel Mascariñas Shiela Marie Pilar
Johannes Paolo Medina Eunesse Mari Retutal
Remedial Law Subject Heads Jean Pauline Rivera
Mark Genesis Rojas
Kristina Savellano
Mary Gail Abenio
Justin Andre Siguan
Eleonor Antiquiera
Lyra Aurea Silverio
Reil Jenily Arena
Michelle Faye Sulit
Mary Anne Micah Baltazar
Abdul Fahad Sultan
Jane Hanika Basilio
Darlene Tiburcio
April Bayabao
Lady Kris Torres
Kathleen Bulan
Rafael Luis Miguel Veloso
Annette Charmaine Castillon
Members
Blessie Doque
Erlaine Faye Francisco
Edmond Gastanes ACKNOWLEDGMENT
Edmond Gastanes Justice Antonio E.B. Nachura, Retired
Tadz Majal Ayesha Jaafar Dean Domingo M. Navarro
Chona Layugan
Asst. Dean Erik C. Lazo
Regina Rae Luzadas
Atty. Gabriel P. Dela Peña
Atty. Prime Ramos
Atty. Calai Fabie
Atty. Cris Tenorio

O
Atty. Victor Carlo Antonio V. Cayco

center Atty. Roderick M. Villostas

for Director
legal Atty. Antony J. Parreño, Atty. Lester Ople
education Research Fellows

and Brando de Torres, Maricar Asuncion, Jayson Galapon

Research Staff
research

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 Arellano University School of
Law
1. GENERAL PRINCIPLES
Generally prospective in Retroactive in application
1.A. DISTINGUISH: SUBSTANTIVE LAW application. in the sense that it may
AND REMEDIAL LAW be made to apply to
actions pending and
undetermined at the time
Substantive Law creates, defines and regulates of its passage (Dacudao
rights and duties regarding life, liberty or vs. Gonzales, G.R. No.
property which, when violated, gives rise to a 188056, January 8,
cause of action. 2013).

Remedial Law prescribes the methods of It originates from the Supreme Court is
enforcing those rights and obligations created by legislature. expressly empowered to
substantive law by providing a procedural system promulgate procedural
for obtaining redress for the invasion of rights rules [Art. VIII, Sec. 5
and violations of duties, and by prescribing rules (5), 1987 Constitution].
as to how suits are filed, tried and decided by the
courts.

Remedial Law is that branch of law which

Note: Rules of procedure are remedial in nature
prescribes the method of enforcing rights or
and not substantive. They cover only rules on
obtaining redress for their invasion.
pleading and practice.
Remedial Law refers to legislation providing
 Q. May Procedural laws be given retroactive
means or methods whereby causes of action may
effect?
be effectuated, wrongs redressed, and relief
obtained. These statutes pertain to or affect a
A. Procedural laws may be given retroactive
remedy as distinguished from those which affect
effect to actions pending and to those which
or modify a substantive right or duty (Herrera,
Remedial Law Vol. I, p.1, 2007 ed.)
are NOT yet determined at the time of their
passage because there are NO vested rights
As applied to criminal law, substantive law is that in the rules of procedure (Go vs. Sunbanon,
which declares what acts are crimes and G.R No. 168240, February 9, 2011).
prescribes the punishment for committing them,
as distinguished from remedial law which Exceptions to Retroactivity of Procedural
provides or regulates the steps by which one who Rules
commits a crime is to be punished (Bustos vs.
Lucero, G.R. No. L-2068, October 20, 1948). 1. Where the statute itself, or by necessary
implication, provides that pending actions are
excepted from its operation;
2. If applying the rule to pending proceedings
SUBSTANTIVE LAW REMEDIAL LAW
would impair vested right;
Creates, defines, and Provides for the manner 3. When to do so would not be feasible or
regulates the rights, or by which said right may would work injustice; or,
which regulates the rights be enforced, protected or 4. If doing so would involve intricate problems
and duties which give rise redressed (People vs. of due process or impair the independence of
to a cause of action(People Moner, G.R. No. 202206, the courts (Tan vs. CA, G.R. No. 149453, April 1,
vs. Moner, G.R. No. March 5, 2018). 2003).
202206, March 5, 2018).
1.B. RULE-MAKING POWER OF THE
Grants vested rights. No vested right may SUPREME COURT
attach to, nor arise
therefrom (Billones vs.
Section 5 (5), Art. VIII of the Constitution
CIR, G.R. No. L-17566,
July 30, 1965). provides that the Supreme Court shall have the
power to promulgate rules concerning the:

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CENTER FOR LEGAL EDUCATION AND RESEARCH <<<<<<

a) protection and enforcement of constitutional
rights;
b) pleading, practice, and procedure in all
courts;
c) admission to the practice of law;
d) integrated bar; and,
e) legal assistance to the underprivileged
 Q. What is the exclusive powerof the
Supreme Court?
A. While the power to define, prescribe and
apportion the jurisdiction of the various
courts is, by constitutional design, vested
unto Congress, the power to promulgate
rules concerning the protection and
enforcement of constitutional rights,
pleading, practice and procedure in all courts
belongs exclusively to the Supreme Court
(Estipona, Jr. vs. Lobrigo, G.R. No. 226679,
August 15, 2017).
1.B.1 Limitations on the Rule-Making
Power of the Supreme Court
1) The rules shall provide a simplified and
inexpensive procedure for the speedy
disposition of cases;
2) They shall be uniform for all courts of the
same grade;
3) They shall not diminish, increase, or modify
substantive rights;
4) Rules of procedure of special courts and
quasi-judicial bodies shall remain effective
unless disapproved by the Supreme Court[Sec.
5(5), Art. VIII, Constitution]; and
5) The power to admit attorneys to the Bar is not
an arbitrary and despotic one but is the duty
of the court to exercise and regulate by a
sound and judicial discretion (Andres vs.
Cabrera, 127 SCRA 208, February 29, 1984).
1.B.2. Power of the Supreme Court to
amend and suspend procedural rules
Power of the SC to Amend Procedural Rules
 Q. Does the SC has the power to amend
procedural rules?
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A(1). Yes. The Supreme Court has the power
to amend, repeal or even establish new rules
for a more simplified and inexpensive
process, and the speedy disposition of cases
(Neypes vs. CA, G.R. No. 141524, September 14,
2005).
(2) The constitutional power of the Supreme
Court to promulgate rules of practice and
procedure necessarily carries with it the
power to overturn judicial precedents on
points of remedial law through the
amendment of the Rules of Court (Pinga vs.
Heirs of Santiago, G.R. No. 170354, June 30,
2006).
Power of the SC to Suspend Procedural
Rules
The courts have the power to relax or suspend
technical or procedural rules or to except a case
from their operation when compelling reasons so
warrant or when the purpose of justice requires
it.
 Q. Is the power to suspend procedural rules
mandatory or dicretionary?
A. What constitutes good and sufficient cause
that would merit suspension of the rules is
discretionary upon the courts(CIR vs. Mirant
Pagbilao Corp., Gr. No 159593, October 12, 2006).
Reasons that Would Warrant the
Suspension:
a. the existence of special or compelling
circumstances;
b. the merits of the case;
c. a cause not entirely attributable to the fault or
negligence of the party favored by the
suspension of rules;
d. a lack of any showing that the review sought
is merely frivolous and dilatory; and,
e. the other party will not be unjustly prejudiced
thereby (Sarmiento vs. Zaratan, G.R. No. 167471,
February 5, 2007);
f. Where substantial and important issues await
resolution(Silverio Jr. vs. Filipino Business
Consultants Inc., G.R. No. 143312, August 12,
2005);
g. When transcendental matters of life, liberty or COURT JUDGE
state security are involved(De Guzman vs. resignation, or cessation
Sandiganbayan, G.R. No. 103276, April 11, 1996). from the service of the
judge presiding over it.
In other words, the judge
may resign, become
incapacitated, or be
1.C. NATURE OF THE PHILIPPINE COURTS disqualified to hold office,
but the court remains.
1.C.1. Meaning of a Court - A court is an (ABC Davao Auto Supply
organ of government belonging to the judicial vs. Court of Appeals,GR
department the function of which is the No. 113296, January 16,
application of the laws to controversies brought 1998).
before it as well as the public administration of COURT JUDGE
justice (Black’s, 5th Edition, 356). A court is a tribunal a judge is simply an
officially assembled officer of such tribunal
under authority of law (Wagenhorst vs.
1.C.2. Distinguish: Court and Judge
(Riano bk. 2, Civpro vol. Philadelphia Life
1 Bar Leture Series, Insurance Co., 358 Pa.
COURT JUDGE p.39); 55,55A2d 762, cited by
A court is a tribunal a judge is simply an Black’s 5th Ed.);
officially assembled officer of such tribunal
under authority of law (Wagenhorst vs. A court is an organ of the
(Riano bk. 2, Civpro vol. Philadelphia Life government (Black’s, 5th
1 Bar Leture Series, Insurance Co., 358 Pa. Ed., 318) with a
p.39); 55,55A2d 762, cited by personality separate and
Black’s 5th Ed.); distinct from the person
or judge who sits on it
A court is an organ of the (People vs. Carlos, G.R.
government (Black’s, 5th No. L-239, June 30,
Ed., 318) with a 1947);
personality separate and
distinct from the person A court is a being in A physical person
or judge who sits on it imagination comparable (People ex rel. Herndon
(People vs. Carlos, G.R. to a corporation (People vs. Opekl, 188 III 194,
No. L-239, June 30, ex rel. Herndon vs. 58 NE 996, cited by
1947); Opekl, 188 III 194, 58 Black’s, 5th Ed.);
NE 996, cited by Black’s,
A court is a being in a physical person (People 5th Ed.);
imagination comparable ex rel. Herndon vs.
to a corporation (People Opekl, 188 III 194, 58 A court is an office A judge is a public
ex rel. Herndon vs. NE 996, cited by Black’s, (Riano, Civpro vol. 1 Bar officer (Todd vs. United
Opekl, 188 III 194, 58 5th Ed.); Leture Series, 2016 ed., States, 158 US 278, 39
NE 996, cited by Black’s, p. 40); L Ed 982, 15 S ct. 889,
5th Ed.); cited by Black’s, 5th
Ed.);
A court is an office A judge is a public officer
(Riano, Civpro vol. 1 Bar (Todd vs. United States, Jurisdiction does not Jurisdiction does not
Leture Series, 2016 ed., 158 US 278, 39 L Ed attach to the judge but attach to the judge.
p. 40); 982, 15 S ct. 889, cited to the court. The
by Black’s, 5th Ed.); continuity of a court and
the efficacy of its
Jurisdiction does not Jurisdiction does not proceedings are not
attach to the judge but attach to the judge affected by the death,
to the court. The resignation, or cessation
continuity of a court and from the service of the
the efficacy of its judge presiding over it.
proceedings are not In other words, the judge
affected by the death,

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 COURT JUDGE for a writ of amparo (Sec. 3, The Rule on the Writ of
may resign, become Amparo) or a petition for a writ of habeas data
incapacitated, or be (Sec. 3, The Rule on the Writ of Habeas Data) . These
disqualified to hold office, petitions may be filed originally not only with the
but the court remains.
Regional Trial Court, the Sandiganbayan or the
(ABC Davao Auto Supply
vs. Court of Appeals,GR Supreme Court but also with the Court or
No. 113296, January 16, Appeals(Riano, Civpro vol. 1, 2016 ed., Bar Leture
1998). Series, p. 48).

4. The Supreme Court is also fundamentally a

1.C.3. Classification of Philippine Courts court of appellate jurisdiction but it may also be a
court of original jurisdiction over cases affecting
a. Courts of original and appellate jurisdiction; ambassadors, public ministers and consuls, and
b. Courts of general and special jurisdiction in cases involving petitions for certiorari,
c. Constitutional and statutory Courts prohibition and mandamus(Sec. 5[1], Art. VIII,
d. Superior and inferior Courts Constitution of the Philippines). It may also be a
e. Civil and criminal Courts court of original jurisdiction in a petition for a writ
of amparo (Sec. 3, The Rule on the Writ of Amparo)
1.C.4. Courts of original and appellate or a petition for a writ of habeas data (Sec. 3, The
jurisdiction Rule on the Writ of Habeas Data). Note: The
Supreme Court en banc is not an appellate court
1. A court is one with original jurisdiction when to which decisions or resolutions of a division of
actions or proceedings are originally filed with it. the Supreme Court may be appealed (Bar 1990)
A court is one with appellate jurisdiction when it (Riano bk. , Civpro vol. 1, 2016 ed., Bar Leture Series,
p. 48).
has the power of review over the decisions or
orders of a lower court (21 C.J.S., Courts, § 3).
1.C.5. Courts of general and special
jurisdiction
2. Metropolitan Trial Courts, Municipal Circuit
Trial Courts, and Municipal Trial Courts are courts
Courts of general jurisdiction - are thosewith
of original jurisdiction. The Regional Trial Court is
competence to decide on their own jurisdiction
likewise a court of original jurisdiction with
and to take cognizance of all cases, civil and
respect to cases originally filed with it but is also
criminal, of a particular nature (Riano bk. 2, Civpro
a court of appellate jurisdiction with respect to
vol. 1 Bar Leture Series 2016 ed., p. 47) . A court may
cases decided by the Municipal Trial Courts within
also be considered ‘general’ if it has the
its territorial jurisdiction (Sec. 22, BP 129). The
competence to exercise jurisdiction over cases
Regional Trial Court is also a court of original
not falling within the jurisdiction of any court,
jurisdiction with respect to a petition for a writ of
tribunal, person, or body exercising judicial or
amparo (Sec. 3, The Rule on the Writ of Amparo) or
quasi-judicial functions (Sec. 19[6J, Sec. 20, BP 129,
a petition for a writ of habeas data (Sec. 3, The
Judiciary Reorganization Act of1980). It is in this
Rule on the Writ of Habeas Data).
context that the Regional Trial Court is
considered a court of general jurisdiction (Riano,
3. The Court of Appeals is primarily a court of CivproVol. 1 Bar Leture Series 2016 ed., p. 47).
appellate jurisdiction with competence to review
judgments of the Regional Trial Courts and
Court of special jurisdiction- Courts of special
specified quasi-judicial agencies (Sec. 9[3], BP
(limited) jurisdiction are those which have a
129). It is also a court of original jurisdiction with
special jurisdiction only for a particular purpose
respect to cases filed before it involving issuance
or are clothed with special powers for the
of writs of certiorari, mandamus, quo warranto,
performance of specified duties beyond which
habeas corpus, and prohibition. It is also a court
they have no authority of any kind (21 C.J.S.,
of original jurisdiction (and exclusive) over
Courts, § 3).
actions for annulment of judgments of Regional
Trial Courts (Sec. 9[1][2], BP 129). It is also a court
of original jurisdiction with respect to a petition

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1.C.6. Constitutional and statutory courts
Constitutional court - is one created byadirect
Constitutional provision. Example of this court is
the Supreme Court of the Philippines. It owes
its ’creation from the Constitution itself (Sec. 1,
Art. VIII, Constitution of the Philippines). In the
Philippines, only the Supreme Court is a
constitutional court (Riano, Civpro vol. 1 Bar Leture
Series 2016 ed., p. 45-46).
Statutory court - is one created by a law other
than the Constitution. All courts in the
Philippines, except the Supreme Court, are
statutory courts (Riano, Civpro vol. 1 Bar Leture
Series 2016 ed., p. 46).
Note: The Sandiganbayan is not a constitutionally
created court. It was not directly created by the
Constitution but was created by law pursuant to
a constitutional mandate. The 1973 Constitution
required the then Batasang Pambansa to create a
special court to be known as the San- CHAPTER I
GENERAL PRINCIPLES 35 diganbayan (Sec. 5,
Art. XIII, 1973 Constitution) and its existence
continues to be recognized by the 1987
Constitution (Riano, Civpro vol. 1 Bar Leture Series,
p. 34-35).
1.C.7. Courts of law and equity- Philippine
courts are both courts of law and equity. Hence,
both legal and equitable jurisdiction is dispensed
with in the same tribunal (U.S. vs. Tamparong, G.R.
No. 9527, August 23, 1915).
Court of law- is atribunal which administers
justice according to the laws of the land.
Court of equity - is atribunal whichadministers
justice according to the basic tenets of fairness.
Equity is available only in the absence of law
andnot as replacement. It cannot
supplant,although it may, as it often happens,
supplementthe law (Tankiko vs. Cezar, G.R. No.
131277. February 2, 1999).
1.C.8. Principle of judicial hierarchy
This is an ordained sequence of recourse to
courts vested with concurrent jurisdiction,
beginning from the lowest, on to the next highest
and ultimately to the highest. This hierarchy is
determinative of the venue of appeals, and is
likewise determinative of the proper forum for
petitions for extraordinary writs. This is an
established policy necessary to avoid inordinate
demands upon the Court’s time and attention
which are better devoted to those matters within
its exclusive jurisdiction, and to preclude the
further clogging of the Court’s docket (Sec. 9[1],
BP129; Sec. 5[1], Art. VIII, Constitution of the
Philippines).
As a matter of policy, direct recourse to the
Supreme Court should not be allowed. The
Supreme Court is a court of last resort, and must
so remain if it is to satisfactorily perform the
functions assigned to it. It cannot and should not
be burdened with the task of dealing with causes
in the first instance. Its original jurisdiction to
issue the so-called extraordinary writs should be
exercised only where absolutely necessary or
where serious and important reasons exist
therefor(Gios-Samar, Inc. vs. DoTC, G.R. No. 217158,
March 12, 2019).
Rationale:The rationale for this rule is three-
fold: (1) to prevent inordinate demands upon the
Court's time and attention which are better
devoted to those matters within its exclusive
jurisdiction; (2) to prevent further overcrowding
of the Court's docket; and (3) to prevent the
inevitable and resultant delay, intended or
otherwise, in the adjudication of cases, which in
some instances had to be remanded or referred
to the lower court as the proper forum under the
rules of procedure, or as better equipped to
resolve the issues because this Court is not a trier
of facts(Gios-Samar, Inc. vs. DoTC, G.R. No. 217158,
March 12, 2019).
1. Q. May a petitioner seek relief of Writ of
Prohibition directly with the SC?
A. No.While it is true that the issuance of a
Writ of Prohibition under Rule 65 of the Rules
of Court is within the jurisdiction of the
Supreme Court, a petitioner cannot seek
relief from the Supreme Court where the
issuance of such writ is also within the
competence of the Regional Trial Court or the
Court of Appeals. The Supreme Court is a
court of last resort. It cannot and should not
be burdened with the task of deciding cases
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 in the first instance. Its jurisdiction to issue
extraordinary writs should be exercised only
where absolutely necessary or where serious
and important reasons exist (Purok Bagong
Silangan vs. Yuipco, G.R. No. 135092, May 4,
2006).
1. Q. Does the concurrence of jurisdiction give
the parties unrestrained freedom of choice of
the court?
A. This concurrence of jurisdiction among
theSupreme Court, Court of Appeals
andRegional Trial Courts in certain cases
should not be construed as giving toparties
unrestrained freedom of choice of the court
to which application therefore will be
directed. There is a principle of hierarchy of
courts to be followed (Quesada vs. Department
of Justice, G.R. No. 150325, August 31, 2006).
 Q. Why unwarranted demands upon the SC’s
attention must be prevented?
A.Unwarranted demands upon the Supreme
Court’s attention must be prevented to
allowtime and devotion for pressing matters
within itsexclusive jurisdiction (Cruz vs.
Gingoyon, G.R. No. 140954, April 12, 2005).
When the Doctrine of Hierarchy of Courts
May Be Disregarded:
a) If warranted by the nature and importance of
the issues raised in the interest of speedy
justice and to avoid future litigations;
b) In cases of national interest and of serious
implications. Under the Principle of Liberal
Interpretation, for example, SC may take
cognizance of a petition for certiorari directly
filed before it;
c) When there are special and important
reasons clearly stated in the petition;
d) When dictated by public welfare and the
advancement of public policy;
e) When demanded by the broader interest of
justice;
f) When the challenged orders were patent
nullities; or,
g) When analogous exceptional and compelling
circumstances called for and justified the
immediate and direct handling by the
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Supreme Court (Republic vs. Caguioa, G.R. No.
174385, February 20, 2013).
The presence of one or more of the so-called
"special and important reasons" is not the
decisive factor considered by the Supreme Court
in deciding whether to permit the invocation, at
the first instance, of its original jurisdiction over
the issuance of extraordinary writs. Rather, it is
the nature of the question raised by the parties in
those "exceptions" that enables the Court to
allow the direct action before it (Gios-Samar, Inc.
vs. DoTC, G.R. No. 217158, March 12, 2019).
1.C.9. Doctrine of Non-Interference or
Doctrine of Judicial Stability
General Rule: Doctrine of Non-Interference or
Doctrine of Judicial Stability must be observed.
Exemption:
This principle does not apply where a third-party
claimant is involved, who may vindicate his claim
(Manliguez vs. CA, G.R. No. 92598, May 20, 1994).
2. Q. What is doctrine of non-interference?
A.This principle holds that courts of equal
and coordinate jurisdiction cannot interfere
with each other’s orders (Lapu-Lapu
Development and Housing Corporation vs. Group
Management Corporation, G.R. No. 141407,
September 9, 2002). This principle also bars a
court from reviewing or interfering with the
judgment of a co-equal court over which it
has no appellate jurisdiction or power of
review (Villamor vs. Salas, G.R. No. 101041,
November 13, 1991).
3. Q.May the RTC nullify or enjoin the
enforcement of a writ of possession issued by
another RTC?
A. A Regional Trial Court has no poweror
authority to nullify or enjoin the enforcement
of a writ of possession issued by another
Regional Trial Court (Suico Industrial
Corporation vs. CA, G.R. No. 123050, January 20,
1999).
4. Q. Does the doctrine of non-interference
applyies with equal force to administrative
bodies?
 A. Yes. When the law provides for an appeal
from the decision of an administrative body
to the Supreme Court or Court of Appeals, it
means that such body is co- equal with the
Regional Trial Court in terms of rank and
statute, and logically beyond the control of
the latter (Philippines Sinter Corporation vs.
Cagayan Electric Power and Light Co., Inc., G.R.
No. 127371, April 25, 2002).
2. JURISDICTION
Jurisdiction is the power or authority of a court
to hear, try and decide a case, and to carry its
judgment into effect.
1. Q. How is jurisdiction determined?
A. Jurisdiction is determined by the
allegations of the parties in the complaint,
not in the answer (Padlan vs Dinglasan, G.R.
No. 180321, March 20, 2013.
Jurisdiction as Authority to Execute
Jurisdiction is also considered as an authority to
execute the decisions rendered by the court.
 Q. What is the importance of the authority
to execute decisions?
A. The power to control the execution of its
decision is an essential aspect of jurisdiction.
The most important part of a litigation,
whether civil or criminal, is the process
ofexecution of decisions where supervening
events may change the circumstance of the
parties and compel courts to
intervene and adjust the rights of litigants to
prevent unfairness (Echegaray vs. Secretary of
Justice, G.R. No. 132601, January 19, 1999).
Judicial Power is the duty of the courts of
justice to:
a) settle actual controversies involving rights
which are legally demandable and
enforceable; and
b) determine whether or not there has been
grave abuse of discretion amounting to lack
or excess of jurisdiction on the part of any
branch or instrumentality of the government
(Art. VIII, Sec. 1 1987 Constitution).
Test of Jurisdiction: Whether the court has the
power to enter into inquiry and not whether the
decision is right or wrong (Herrera vs. Barreto, G.R.
No. 8692, September 10, 1913).
Effect of Lack of Jurisdiction: Any decision,
judgment, resolution or final order rendered by
court without jurisdiction shall be NULL and
VOID(Bilag vs. Ay-ay, G.R. No. 189950, April 24,
2017).
Aspects of Jurisdiction
1. Jurisdiction over the subject matter
2. Jurisdiction over the parties
3. Jurisdiction over the issues of the case
4. Jurisdiction over the res or property in
litigation(Riano, Civpro vol. 1 Bar Lecture Series,
2016 ed., p.54)
2.A. CLASSIFICATION OF JURISDICTION
2.A.1. Distinguish: Original and Appellate
1. Original Jurisdiction – Power of the court
to take judicial cognizance of a case
instituted for judicial action for the first time
under conditions provided by law(Riano,
Civpro vol. 1 Bar Lecture Series, 2016 ed., p.47).
2. Appellate Jurisdiction – Authority of a
court higher in rank to re-examine the final
order or judgment of a lower court which
tried the case now elevated for judicial
review(Riano, Civpro vol. 1 Bar Lecture Series,
2016 ed., p.47).
It includes the authority to review the final
order or judgment of a lower court with the
power to modify, reverse, sustain, affirm or
remand the same.
Note: Metropolitan Trial Courts, Municipal Circuit
Trial Courts and Municipal Trial Courts are courts
of original jurisdiction. These courts have no
appellate jurisdiction.
The Regional Trial Court is a court of original
jurisdiction with respect to cases originally filed
with it. But it is also a court of appellate
jurisdiction with respect to cases decided by the
7
Municipal Trial Courts within its territorial
jurisdiction (B.P. 129, Sec. 22).
Sandiganbayan has both original and appellate
jurisdiction (Duncano vs. Sandiganbayan, G.R. No.
191894, July 15, 2015).
CA is primarily a court of appellate jurisdiction
with competence to review judgments of the
RTCs and specified quasi-judicial agencies [Sec.
9(3), B.P. 129]. It is also a court of original
jurisdiction with respect to cases filed before it
involving issuance of writs of certiorari,
mandamus, quo warranto, habeas corpus, and
prohibition. Further, CA is a court of original and
exclusive jurisdiction over actions for annulment
of judgments of RTCs (Sec. 9 (1),(2), B.P. 129).
The Supreme Court is also fundamentally a court
of appellate jurisdiction but it may also be a court
of original jurisdiction over cases affecting
ambassadors, public ministers and consuls, and
in cases involving petitions for certiorari,
prohibition and mandamus(Sec.5 (1), Art.VIII,
Constitution of the Philippines).
However, the Supreme Court en banc is not an
appellate court to which decisions or resolutions
of a division of the Supreme Court may be
appealed (Riano, Civil Procedure Vol. I, 2016 ed.,, p.
48).
2.A.2. Distinguish: General and Special
1. General Jurisdiction – Power to adjudicate
all controversies except those expressly
withheld from the plenary powers of the
court.
2. Special Jurisdiction – The jurisdiction of the
MTC to take cognizance of petitions for (i) Bail
and (ii) Habeas Corpus cases in the absence
of RTC judges.
Note: Not in the absence of Regional Trial
Courts, but only of the judges therein.
Special Jurisdiction restricts the court’s
jurisdiction only to particular cases and subject to
such limitations as may be provided by the
governing law (Regalado, Remedial Law
Compendium, Vol. 1, 10th Ed.).
8
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 (Sec.19 (6), Sec. 20, B.P.
129). It is in this context that the Regional Trial
Court is considered a court of general jurisdiction.
(Riano, Civil Procedure, 2009 ed., p. 41)
2.A.3. Distinguish : Exclusive and
Concurrent
1. Exclusive Jurisdiction – Power to
adjudicate a case or proceeding to the
exclusion of all other courts at that stage.
2. Concurrent Jurisdiction – Power conferred
upon two (2) or more courts of different
levels, to exercise original jurisdiction over a
particular case or subject matter; also called
“coordinate jurisdiction”.
Note: Concurrent jurisdiction applies only to
original and not appellate jurisdiction. In
appeals, there is only one court that has
jurisdiction, thus, jurisdiction in appeals is always
exclusive.
Other Classification of Jurisdiction
 Territorial Jurisdiction – Exercised within
the geographical limits of the place where the
court is located.
 Extra-Territorial Jurisdiction – Exercised
beyond the confines of the territory where the
court is located.
 Limited Jurisdiction – Power of the court is
limited to particular cases, as may be provided
by the governing law.
 Delegated Jurisdiction – The grant of
authority upon a lower court (MTC) to hear or
determine a case not originally under its
jurisdiction. Particularly, the Supreme Court
may assign an MTC to hear and determine
cadastral or land registration cases covering
lots where there is no controversy or
opposition, or in case of contested lots, the
value of which does not exceed Php.
100,000(B.P. 129, As amended, Section 24).
Note: On this special case, appeal is to the Court
of Appeals and not to the RTC.
 Primary Jurisdiction – Authority of the
administrative bodies to take cognizance of
certain cases before they can be filed with
the regular courts.
 Q. Who has the primary jurisdiction to
investigate all the cases cognizable with
the Sandiganbayan?
A. All cases cognizable by the
Sandiganbayan in the exercise of its
original jurisdiction must be
investigated by the Office of the
Ombudsman in the exercise of its
primary jurisdiction (De Lima vs.
Guerrero, G.R. No. 229781, October 10,
2017).
 Residual Jurisdiction – Jurisdiction of a
trial court that remains even after it has lost
jurisdiction over the case because of appeal.
Note: To have residual jurisdiction, there
must be trial.
 Equity Jurisdiction - aims to provide
complete justice in cases where a court of
law is unable to adapt its judgments to the
special circumstances of a case because of a
resulting legal inflexibility when the law is
applied to a given situation. The purpose of
the exercise of equity jurisdiction, among
others, is to prevent unjust enrichment and
to ensure restitution (Regulus Dev’t., Inc. vs.
Dela Cruz, G.R. No. 198172, January 25, 2016).
 Split Jurisdiction – Jurisdiction that is
anathema to procedure (City of Manila vs.
Judge Cuerdo, G.R. No. 175723, February 4,
2014).
Note: There should be no two courts
exercising appellate jurisdiction over a
particular case in the sense that the party
can choose where to appeal.
 Expanded Jurisdiction - A grant of
appellate jurisdiction implies that there is
included in it the power necessary to
exercise it effectively, to make all orders that
will preserve the subject of the action, and
to give effect to the final determination of
the appeal. It carries with it the power to
protect that jurisdiction and to make the
decisions of the court thereunder effective.
The court, in aid of its appellate jurisdiction,
has authority to control all auxiliary and
incidental matters necessary to the efficient
and proper exercise of that jurisdiction (City
of Manila vs. Judge Cuerdo, G.R. No. 175723,
February 4, 2014).

2.B. DOCTRINES OF HIERARCHY OF
COURTS AND CONTINUITY OF
JURISDICTION
Doctrine of hierarchy of courts
Where the courts have concurrent jurisdiction
over a subject matter, such concurrent
jurisdiction does not grant the party seeking relief
the absolute freedom to file a petition in any
court of his choice. Pursuant to this doctrine, a
case must be filed first before the lowest court
possible having the appropriate jurisdiction,
except if one can advance a special reason for
which would allow a party a direct resort to a
higher court (RianoBk. 2, Civil ProcedureVol. 1 Bar
Lecture Series 2016 ed., p.43).
 Q. What is Doctrine of continuity of
jurisdiction?
A. In view of the principle that once a court
has acquired jurisdiction, that jurisdiction
continues until the court has done all that it
can do in the exercise of that jurisdiction.
This principle also means that once
jurisdiction has attached, it cannot be ousted
by subsequent happenings or events,
although of a character which would have
prevented jurisdiction from attaching in the
first instance. The court, once jurisdiction has
been acquired, retains that jurisdiction
until it finally disposes of the case (Abad
vs. RTC Manila, G.R. No. L-65505 October 10,
1987).
 Q. Does the finality of judgment deprive the
court of jurisdiction over the case?
9
 A. Even the finality of the judgment does
nottotally deprive the court of jurisdiction
over thecase. What the court loses is the
power to amend, modify or alter the
judgment. Even after the judgment has
become final, the court retains jurisdiction to
enforce and execute it (Echegaray vs. Secretary
of Justice, G.R. No. 132601, January 19, 11999) ,
except in the case of the existence of a law
that divests the court of jurisdiction.
Instances when doctrine is not applicable
1. Where a subsequent statute expressly
prohibits the continued exercise of
jurisdiction;
2. Where the law penalizing an act which is
punishable is repealed by a subsequent law;
3. When accused is deprived of his constitutional
right, such as where the court fails to provide
counsel for the accused who is unable to
obtain one and does not intelligently waive his
constitutional right;
4. Where the statute expressly provides, or is
construed to the effect that it is intended to
operate as to actions pending before its
enactment;
5. When the proceedings in the court acquiring
jurisdiction is terminated, abandoned or
declared void;
6. Once appeal has been perfected; and,
7. Curative statutes (Herrera, Vol. I, p. 106, 2007
ed.).
Exceptions to the doctrine of hierarchy of
courts
1. When there are genuine issues of
constitutionality that must be addressed at the
most immediate time;
2. When the issues involved are of
transcendental importance;
3. Cases of first impression;
4. The constitutional issues raised are better
decided by the Court;
5. Exigency in certain situations;
6. The filed petition reviews the act of a
constitutional organ;
7. When petitioners rightly claim that they had
no other plain, speedy, and adequate remedy
in the ordinary course of law that could free
them from the injurious effects of
10
respondents' acts in violation of their right to
freedom of expression; and
8. The petition includes questions that are
"dictated by public welfare and the
advancement of public policy, or demanded by
the broader interest of justice, or the orders
complained of were found to be patent
nullities, or the appeal was considered as
clearly an inappropriate remedy." (Gios-Samar
vs. DoTC, G.R. No. 217158, March 12, 2019)
9.
2.C. JURISDICTION OF VARIOUS
PHILIPPINE COURTS
2.C.1. Supreme Court
Exclusive Original
Petitions for the issuance of writs of certiorari,
prohibition and mandamus, Quo warranto, and
Habeas Corpus (CPMQH) against the following:
a) Court of Appeals;
b) Commission on Elections;
c) Commission on Audit;
d) Sandiganbayan;
e) Court of Tax Appeals en banc
Appellate
Appeal by Notice of Appeal
From the RTC or the Sandiganbayan, in all
criminal cases in which the penalty imposed is
reclusion perpetua or higher, and those involving
other offenses which, although not so punished,
arose out of the same occurrence or which may
have been committed by the accused on the
same occasion, as that giving rise to the more
serious offense, regardless of whether the
accused are charged as principals, accomplices or
accessories, or whether they have been tried
jointly or separately. The SC generally reviews
only questions of law which are decided by the
court a quo.
General Rule: When supported by
substantial evidence, the findings of fact of
the CA are conclusive and binding on the
parties and are not reviewable by the SC.
 Exceptions: Questions of fact are decided by
the SC only on the following instances:
1. The conclusion is grounded on
speculations, surmises or conjectures.
2. The inference is manifestly mistaken,
absurd or impossible.
3. There is grave abuse of discretion.
4. The judgment is based on a of law are involved (i.e., questions or
misapprehension of facts.
5. The findings of fact are conflicting.
6. There is no citation of specific evidence on
which the factual findings are based.
7. The findings of absence of facts are
contradicted by the presence of evidence
on record.
8. The findings of the Court of Appeals are
contrary to those of the trial court.
9. The Court of Appeals manifestly
overlooked certain relevant and undisputed
facts that, if properly considered, would
justify a different conclusion.
10.The findings of the Court of Appeals are
beyond the issues of the case.
11.The findings of the Court of Appeals are
contrary to the admissions of both parties.
(Bicol Agro-Industrial Producers Cooperative,
Inc. (BAPCI) vs. Obias, G.R. No. 172077,
October 9, 2009).
Appeal by Petition for Review on Certiorari
1. Appeals from the CA under Rule 45.
2. Appeals from the Sandiganbayan on pure
questions of law. In cases where the penalty
imposed is reclusion perpetua, life
imprisonment or death, questions of fact may
likewise be entertained.
3. Appeals from the RTC exercising original
jurisdiction in certain cases.
4. If there is no question of fact and the case
involves:
a) Constitutionality or validity of any treaty,
international or executive agreement, law,
presidential decree, proclamation, order,
instruction, ordinance, or regulation is in
question.
b) Legality of any tax, impost, assessment, or
toll, or any penalty imposed in relation
thereto.
c) Jurisdiction of lower courts.
Note: If, in addition to abovementioned
cases, questions of fact and law are involved,
the aggrieved party shall appeal to the CA
whose final judgment may be reviewed,
reversed, modified or affirmed by the SC on
writ of certiorari.
d) All cases in which only errors or questions
errors of law only as decided or committed
by the lower courts)
Note: Even questions of facts can be raised
on appeal in Writ of Amparo, Writ of
Habeas Data, and Writ of Kalikasan (Riano,
Civpro vol. 1 Bar Lecture Series, 2016 ed., Pp.
92-95).
Concurrent Jurisdiction
 SC with the Court of Appeals (CA)
Petitions for certiorari, prohibition and
mandamus against the following:
1) RTC
2) National Labor Relations Commission (NLRC);
3) Civil Service Commission; and,
4) Other Quasi-Judicial Agencies.
Relevant principles under the power of
concurrent jurisdiction
1) The Supreme Court is not a trier of facts;
2) One may file a case directly with the
Supreme Court based on the doctrine of
transcendental importance, which provides
that the transcendental importance of some
cases to the publicdemand that they be
settled promptly and definitely, brushing
aside, if we must, technicalities of
procedure.
3) Doctrine of hierarchy of courts. Such
hierarchy is determinative of the venue of
appeals, and should also serve as a general
determinant of the appropriate forum for
petitions for the extraordinary writs. A
becoming regard for that judicial hierarchy
most certainly indicates that petitions for the
issuance of extraordinary writs against first
level ("inferior") courts should be filed with
the Regional Trial Court, and those against
11
 the latter, with the Court of Appeals (Gio-
Samar, Inc. vs. Department of Transportation and
Communications, G.R. No. 217158, March 12,
2019).
 SC with the Sandiganbayan (SB)
Petitions for mandamus, prohibition, certiorari,
habeas corpus, injunction, and other ancillary
writs and processes in aid of its appellate
jurisdiction and over petitions of similar nature,
including quo warranto, arising or that may arise
in cases filed or which may be filed under E.O.
Nos. 1, 2, 14 and 14-A, issued in 1986
(Sequestration of Ill-gotten Wealth by Pres. Marcos, his
Family and Friends).
 SC with the SB, CA and RTC
Petition for writ of amparo and petition for writ of
habeas data.
 SC with the CA and RTC
1) Petitions for habeas corpus and quo
warranto;
2) Petitions for writs of certiorari, prohibition
and mandamus against lower courts or
bodies;
3) Petition for Writ of Amparo;
4) Petition for Writ of Habeas Data
5) Petition for Writ of Kalikasan
 SC with the RTC
Actions affecting ambassador, other public
ministers and consuls.
2.C.2. Court of Appeals
Exclusive original
Actions for annulment of judgments of the RTC
on the grounds of extrinsic fraud and lack of
jurisdiction (Rule 47).
Appellate
Appeal by Notice of Appeal or Record on
Appeal (Ordinary Appeal)
1) Appeals from the judgments of the RTC in
the exercise of its original jurisdiction, except
in all cases where only questions of law are
involved, which are appealable to the SC by
petition for review on certiorari under Rule
45.
2) Appeals from the RTC on constitutional, tax
and jurisdictional questions which involve
questions of fact.
3) Appeal from decisions and final orders of the
Family Courts (R.A. No. 8369).
Appeal by Petition for Review
An appeal may be taken to the CA whether it
involves questions of fact, mixed questions of fact
and law, or questions of law, in the following
cases:
Regular (Rule 42)
Appeals in cases decided by the RTC in the
exercise of its appellate jurisdiction.
Special (Rule 43)
Appeals from the CSC, awards, judgments, final
orders or resolutions of or, authorized by, quasi-
judicial agencies in the exercise of their quasi-
judicial functions.
2.C.3. Court of Tax Appeals (CTA)
Exclusive appellate jurisdiction to review by
appeal:
1. Decisions of CIR in disputed assessments,
refunds, or other matters arising under the
NIRC or other laws administered by the BIR;
2. Inaction by the CIR involving matters above,
where the NIRC provides a specific period of
action, in which case the inaction shall be
deemed a denial.
Note: Sec. 3, Rule 4, of the CTA Rules (A.M.
No. 05-11-07-CTA)added that an appeal in
case of inaction shall be deemed a denial “for
purposes of allowing the taxpayer to appeal
his case to the CTA and does not necessarily
constitute a formal decision of the
Commissioner of Internal Revenue on the tax
case”.
3. Decisions of RTC in local tax cases originally
decided or resolved by them.
4. Decisions of the Commissioner of Customs in
cases involving liability for customs duties.

12
5. Decisions of the Central Board of Assessment
Appeals in the exercise of its appellate
jurisdiction over cases involving the
assessment and taxation of real property
originally decided by the provincial or city
board of assessment appeals.
6. Decisions of the Secretary of Finance on
customs cases elevated to him automatically
for review from Commissioner of Customs
which are adverse to the Government.
7. Decisions of the Secretary of Trade and
Industry, in the case of non-agricultural
product, commodity or article, and the
Secretary of Agriculture in the case of
agricultural product, commodity or article,
involving dumping and countervailing duties
under the Tariff and Customs Code (Riano,
Civpro vol. 1 Bar Lecture Series, 2016 ed., p.99).
Jurisdiction of the CTA over Criminal
Offenses
Exclusive Original Jurisdiction over cases
involving criminal offenses arising from violations
of the NIRC or Tariff and Customs Code and
other laws administered by the BIR or the Bureau
of Customs, where the principal amount of taxes
and fees, exclusive of charges and penalties,
claimed is at least one million pesos
(Php.1,000,000.00), or where there is a specified
amount claimed(Riano, Civpro vol. 1 Bar Lecture
Series, 2016 ed., p.100).
Exclusive Appellate Jurisdiction
a) Over appeals from the judgments RTC in tax
cases originally decided by them; and,
b) Over petitions for review of the judgments of
RTC in the exercise of their appellate
jurisdiction over tax cases originally decided
by the MTC(Riano, Civpro vol. 1 Bar Lecture
Series, 2016 ed., p.100).
Jurisdiction of the CTA over Tax Collection
Cases
Exclusive Original Jurisdiction in tax
collection cases involving finahscjscdsvl and
executory assessments for taxes, fees, charges
and penalties when the amount is at least one
million pesos (Php.1,000,000.00).
Exclusive Appellate Jurisdiction
a) Over appeals from the judgments of RTC in
tax cases originally decided by them and;
b) Over petitions for review of the judgments of
RTC in the exercise of their appellate
jurisdiction over tax cases originally decided
by the MTC (Sec. 7, R.A. No. 9282)
Note: In criminal offenses involving an amount
less than one million pesos, the RTC or MTC shall
have jurisdiction. Whether the case falls under
the jurisdiction of the RTC or MTC depends on
B.P. 129 as amended, i.e. length of
imprisonment, and NOT the amount involved.
In other words, the MTC has jurisdiction where
the criminal offense is punishable with
imprisonment not exceeding six (6) years. This is
irrespective of the amount of fine, and regardless
of other imposable accessory or other penalties,
including the civil liability arising from such
offenses or predicated thereon, irrespective of
kind, nature, value, or amount thereof (Sec. 32(2),
B.P. 129, as amended).
Otherwise, the RTC has jurisdiction (Sec. 20, B.P.
129 as amended).
Splitting of Jurisdiction
CTA has jurisdiction over a special civil action for
certiorari assailing an interlocutory order issued
by the RTC in a local tax case.
 Q. What is the extent of th jurisdiction of the
CTA over a special civil action?
A.The power of the CTA includes that of
determining whether or not there has been
grave abuse of discretion amounting to lack
or excess of jurisdiction on the part of the
RTC in issuing an interlocutory order in cases
falling within the exclusive appellate
jurisdictionof the tax court.Indeed, in order
for any appellate court to effectively
exercise its appellate jurisdiction, it
must have the authority to issue, among
others, a writ of certiorari. To rule otherwise
would lead to an absurd situation where one
court decides an appeal in the main case
while another court rules on an incident in
the very same case. It would be
somewhat incongruent with the
13
 pronounced judicial abhorrence to split
jurisdiction to conclude that the
intention of the law is to divide the
authority over a local tax case filed with the
RTC by giving to the CA or this Court
jurisdiction to issue a writ of certiorari against
interlocutory orders of the RTC, but giving to
the CTA the jurisdiction over the appeal from
the decision of the trial court in the same
case. It is more in consonance with logic
and legal soundness to conclude that
the grant of appellate jurisdiction to the
CTA over tax cases filed in and decided
by the RTC carries with it the power to
issue a writ of certiorari when
necessary in aid of such appellate
jurisdiction(Cityof Manila vs. Judge
Cuerdo, G.R. No. 175723, February 4, 2014).
2.C.4. Sandiganbayan
(Sec. 4, R.A. No. 8249, promulgated February 5,
1997)
Sandiganbayan is not a constitutional court, it
is a constitutionally-mandated court created by
law, as required by the Constitution.
Exclusive Original
The uniqueness in the jurisdiction of the
Sandiganbayan is that it is determined by three
(3) factors, embodied in the following questions:
a) What was the offense committed?
b) Who committed the offense?
c) How was the offense committed?
A. What are the crimes committed?
1. Violations of R.A. 3019, Anti-Graft and
Corrupt Practices Act;
2. Violations of R.A. 1379 (on Ill-gotten
Wealth);
3. Violations of Executive Orders issued
regarding the Marcoses’ Wealth or the
PCGG cases, both civil and criminal (E.O.
Nos. 1, 2, 14 and 14-A);
4. Bribery (Chapter II, Section II, Title VII, of
Book II of the Revised Penal Code);
5. Other offenses or felonies, whether simple
or complexed with other crimes, committed
in relation to office:
14
 Estafa(Serana vs. Sandiganbayan,
 G.R. No. 162059, January 22, 2008)
 Falsification (Garcia vs. Sandiganbayan,
G.R. No. 165835, June 22, 2005)
 Plunder (R.A. No. 7080)
B. Who committed the offense?
Where one or more of the accused are
officials occupying the following positions in
the government, whether in a permanent,
acting or interim capacity, at the time of the
commission of the offense.
Officials of the executive branch occupying
the positions of Regional Director and higher,
otherwise classified as grade “27” and higher,
of the Compensation and Classification Act of
1989 (R.A. No. 6758), specifically including:
1. Provincial Governors, Vice-Governors,
Members of the Sangguniang
Panlalawigan, and Provincial
Treasurers, Assessors, Engineers, and
other Provincial Department Heads.
2. City Mayors, Vice-Mayors, Members of
the Sangguniang Panlungsod, city
treasurers, assessors, engineers and
other city department heads.
3. Officials of the diplomatic service
occupying the position of consul or
higher
4. Philippine army and air force colonels,
naval captains, and all officers of
higher ranks.
5. Officers of the Phi. Nat’l. Police while
occupying the position of provincial
director and those holding the rank of
senior superintendent or higher.
6. City and Provincial prosecutors and
their assistants, and officials and
prosecutors in the Office of the
Ombudsman and special prosecutor.
7. Presidents, directors or trustees, or
managers of government-owned or
controlled corporations, state
universities or educational institutions
or foundations.
Note: The salary grade “27”
requirement does NOT apply if the
officer involved is any of those
enumerated in (7) above or those not
 intended to be salary-graded (Serana vs.
Sandiganbayan, G.R. no. 162059, January
22, 2008).
8. Members of Congress and officials
thereof classified as Grade “27” and up
under the Compensation and Position
Classification Act of 1989.
9. Members of the Judiciary without
prejudice to the provisions of the
Constitution.
10.Chairmen and members of
Constitutional Commissions, without
prejudice to the provisions of the
Constitution.
11.All other national and local officials
classified as Grade “27” and higher
under the Compensation and Position
Classification Act of 1989.
C. How was the crime committed?
In criminal cases, Sandiganbayan shall have
original jurisdiction where there are specific
allegations of facts showing that the offense
was committed in relation to their office.
Otherwise, regular courts shall take
cognizance in accordance to their vested
jurisdictions(R.A. No.8249, Section 4).
“In relation to the public office” means
that the public office must be an essential
ingredient to the commission of the offense
or that the office facilitated the commission
of the offense.
 There is no direct relation between the
commission of the crime of rape with
homicide and the petitioner's office as
municipal mayor because public office is
not an essential element of the crime
charged. The offense can stand
independently of the office (Sanchez vs.
Demetriou, G.R. No. 111771-77, November 9,
1993).
 Even if the position is not an essential
ingredient of the offense charged, if the
information avers the intimate connection
between the office and the offense, this
would bring the offense “committed in
relation to the public office” (Riano,
Criminal Procedure, 2016 ed., p. 55).
 While it is true that public office is not an
element of the crime of acts of
lasciviousness, nonetheless, the accused
could not have committed the crimes
charged were it not for his being the
judge of the court where the victim was
working. Taken together with the fact
that the accused had the authority to
recommend the appointment of the
victim as an employee, the crimes
committed were, therefore, intimately
connected with his office (Esteban vs.
Sandiganbayan, G.R. No. 146646-49, March
11, 2005).
 Mere allegation in the amended
information that the offense charged was
committed in relation to his office is not
sufficient. The phrase is merely a
conclusion of law, not a factual averment
that would show the close intimacy
between the offense charged and the
discharge of the accused’s official duties
(Lacson vs. Executive Secretary, G.R. No.
128096, January 20, 1999).
Appellate Jurisdiction
From the Regional Trial Courts in cases under
P.D. No. 1606, as amended by P.D. No. 1861,
R.A. No. 7975 and R.A. No. 8294, whether or not
the cases were decided by them in the exercise
of their original or appellate jurisdictions
(Regalado, Remedial Law Compendium, Vol. II, p.
277).
Appeal from final judgments, resolutions or
orders of regular courts where all the accused are
occupying positions lower than Salary Grade 27
or are not otherwise covered by Sec.1(A)
subsection 1 above.
 Q. Which Court has exclusive original
jurisdiction in all cases involving violations of
R.A. No. 3019 committed by public officers?
A. More importantly, the Sandiganbayan is
a special criminal court which has exclusive
original jurisdiction in all cases involving
violations of R.A. No. 3019 committedby
certain public officers, as enumerated in P.D.
1606 as amended by R.A. No. 8249. This
includes private individuals who are charged
15
 as co-principals, accomplices or accessories
with the said public officers. In the instant
case, respondent is being charged for
violation of Section 3(g) of R.A. 3019, in
conspiracy with then Secretary Enrile.
Ideally,under the law, both respondent
and Secretary Enrile should have been
charged before and tried jointly by the
Sandiganbayan. However, by reason of the
death of the latter, this can no longer be
done. Nonetheless, it does not follow that the
SB is already divested of its jurisdiction over
the person of and the case involving herein
respondent. To rule otherwise would mean
that the power of a court to decide a case
would no longer be based on the law defining
its jurisdiction but on other factors, such as
the death of one of the alleged offenders
(People vs. Go, G.R. No. 168539, March 25, 2014)
2.C.5. Regional Trial Courts
Exclusive Original
Civil Cases
1. Actions in which the subject of the litigation
is incapable of pecuniary estimation.
2. Actions which involve the title to, or
possession of real property, or any interest
therein, where the assessed value of the
property involved exceeds Php. 20,000 or
exceeds Php. 50,000 in Metro Manila, except
actions for forcible entry into and unlawful
detainer.
3. Admiralty and maritime jurisdiction where the
demand or claim exceeds Php. 300,000 or
exceeds Php. 400,000 in Metro Manila.
4. Matters of probate, both testate and
intestate, where the gross value of the estate
exceeds Php. 300,000 or exceeds Php.
400,000 in Metro Manila.
5. General Jurisdiction: Cases not within the
exclusive jurisdiction of any court, tribunal,
person or body exercising judicial or quasi-
judicial functions.
6. All other cases where demand (exclusive of
interest, damages of whatever kind,
attorney’s fees, litigation expenses, and
costs), or the value of the property in
controversy, exceeds Php. 300,000 or
exceeds Php. 400,000 in Metro Manila.
16
Note: If the claim for damages is the main
cause of action, amount thereof shall be
considered in determining the jurisdiction of
the court.
7. Actions and special proceedings falling within
the exclusive original jurisdiction of Juvenile
and Domestic Relations Court and Court of
Agrarian Relations.
Incapable of Pecuniary Estimation - the
claim or the issue cannot be reduced in an
amount.
Examples:
a. Annulment or rescission of contract;
b. Specific performance;
c. Cancellation of title – the ultimate relief is the
cancellation of the title, the subject is only
the title itself; this is different from actions
involving title to, or possession of, real
property, the jurisdiction of which may be
determined by the assessed value;
d. Cancellation of mortgage.
To determine the nature of an action, whether or
not its subject matter is capable or incapable of
pecuniary estimation, the nature of the principal
action or relief sought must be ascertained. If the
principal relief is for the recovery of a sum of
money or real property, then the action is
capable of pecuniary estimation. However, if the
principal relief sought is not for the recovery of
sum of money or real property, even if a claim
over a sum of money or real property results as a
consequence of the principal relief, the action is
incapable of pecuniary estimation (First Sarmiento
Property Holdings, Inc. vs. PNB,G.R. No. 202836, June
19, 2018).
If the action is primarily for the recovery of a sum
of money, the claim is considered capable of
pecuniary estimation, and whether jurisdiction is
in the municipal courts or in the courts of first
instance would depend on the amount of the
claim.However, where the basic issue is
something other than the right to recover a sum
of money, where the money claim is purely
incidental to, or a consequence of, the principal
relief sought, this Court has considered such
actions as cases where the subject of the
litigation may not be estimated in terms of
money, and are cognizable exclusively by the
RTC (Roldan vs. Barrios, G.R. No. 214803, April 23,
2018).
Illustration:
If the prayer is “that judgment be rendered in
favor of the plaintiff ordering the defendant to
finish the construction of the house AND pay the
plaintiff Php. 150,000” = Incapable of pecuniary
estimation
If the prayer is “for the defendant to finish the
construction of my house OR pay me Php.
150,000” = Capable of pecuniary estimation
 While it is true that petitioner does not
directly seek the recovery of title or
possession of the property in question, his
action for annulment of sale and his claim for
damages are closely intertwined with the
issue of ownership of the building which,
under the law, is considered immovable
property. It is the recovery of such property
which is the petitioner’s primary objective.
The prevalent doctrine is that an action for
the annulment or rescission of a sale of real
property does not operate to efface the
fundamental and prime objective and nature
of the case which is to recover said real
property. It is a REAL ACTION. A careful
examination of the complaint reveals that it is
a real action involving not only the recovery
of real properties, but likewise the
cancellation of the titles thereto. Thus, the
filing fees must be based on the assessed
value of the property involved (Ruby Shelter
Builders vs. Formaran, G.R. No. 175914, February
10, 2009).
Criminal Cases
Cases not within the exclusive jurisdiction of any
court, tribunal or body (B.P. 129, Sec. 20), such as
those:
1. Where the penalty provided by law exceeds 6
years imprisonment irrespective of the fine.
2. Not falling under the original jurisdiction of the
Sandiganbayan
3. Where the only penalty provided by law is a
fine exceeding Php. 4,000 (Adm. Cir. 09-94)
4. Libel (Art. 360, Revised Penal Code)
 Q. Does the Trial court lose its
jurisdiction over the criminal aspect of
offenses commited by justices of
appellate courts and judges of lower
courts?
A. The acts or omissions of a judge may
well constitute both a criminal act and an
administrative offense at the same time.
Trial courts retain jurisdiction over the
criminal aspect of offenses committed by
justices of appellate courts and judges of
lower courts (OCA vs. Sardido, A.M. No.
MTJ-01-1370, April 25, 2003)
Appellate
Cases decided by the MTC, MeTC, and MCTC in
their respective territorial jurisdictions except
decisions of lower courts in the exercise of
delegated jurisdiction(Riano, Civpro vol. 1 Bar
Lecture Series, 2016 ed., p.126).
2.C.6. Family Courts(R.A. No. 8369, Sec. 5)
The Family Courts shall have exclusive original
jurisdiction to hear and decide the following
cases:
1) Criminal cases where one or more of the
accused is below eighteen (18) years of age
but not less than nine (9) years of age or
where one or more of the victims is a minor
at the time of the commission of the offense;
Note: If the minor is found guilty, the court
shall promulgate sentence and ascertain any
civil liability which the accused may have
incurred. The sentence, however, shall be
suspended without need of application
pursuant to P.D. No. 603, otherwise known
as the "Child and Youth Welfare Code".
2) Petitions for guardianship, custody of
children, habeas corpus in relation cusody of
minor;
3) Petitions for adoption of children and the
revocation thereof;
4) Complaints for annulment of marriage,
17
 declaration of nullity of marriage and those
relating to marital status and property
relations of husband and wife or those living
together under different status and
agreements, and petitions for dissolution of
conjugal partnership of gains;
5) Petitions for support and/or
acknowledgment;
6) Summary judicial proceedings brought under
the provisions of E.O. No. 209, otherwise
known as the "Family Code of the
Philippines";
7) Petitions for declaration of status of children
as abandoned, dependent or neglected
children, petitions for voluntary or involuntary
commitment of children; the suspension,
termination, or restoration of parental
authority and other cases cognizable under
P.D. No. 603, E.O. No. 56, Series of 1986,
and other related laws;
8) Cases against minors cognizable under the
Dangerous Drugs Act, as amended;
9) Violations of Republic Act No. 7610,
otherwise known as the "Special Protection of
Children Against Child Abuse, Exploitation
and Discrimination Act," as amended by
Republic Act No. 7658; and,
10) Domestic violence cases against women and
children.
Cases of Domestic Violence Against:
1. Women: acts of gender-based violence that
results, or are likely to result in physical,
sexual or psychological harm or suffering to
women; and, other forms of physical abuse
such as battering or threats and coercion
which violate a woman's personhood,
integrity and freedom movement.
2. Children: include the commission of all forms
of abuse, neglect, cruelty, exploitation,
violence, and discrimination and all other
conditions prejudicial to their
development(R.A. 7610).
Special Provisional Remedies
Restraining order may be issued against the
accused or defendant upon verified application in
cases of violence among the family members
living in the same domicile/household.
Court may order the temporary custody of
18
children in all civil actions for their custody,
support pendete lite, including deduction from
the salary, and use of conjugal home and other
properties in civil actions for support (R.A. 8369,
Section 7).
Note: The Family Courts are creations of law, as
distinguished from Special Commercial Courts
and Intellectual Property Courts which are
created by Supreme Court issuances.
2.C.7. Metropolitan Trial Courts, Municipal
Trial Courts, Municipal Trial Courts in
Cities, and Municipal Circuit Trial Courts
Exclusive Original
1. Actions involving personal property whose
value does not exceed Php. 300,000 or does
not exceed Php. 400,000 in Metro Manila;
2. Probate proceedings, both testate and
intestate, where the gross value of the estate
does not exceed Php. 300,000 or does not
exceed Php. 400,000 in Metro Manila;
3. Actions involving title to or possession of real
property, or any interest therein where the
assessed value or interest therein does not
exceed Php. 20,000 or does not exceed Php.
50,000 in Metro Manila;
4. Admiralty and maritime cases where the
demand or claim does not exceed Php.
300,000 or does not exceed Php. 400,000 in
Metro Manila;
5. Inclusion and exclusion of voters (B.P. 881,
Sec. 138);
6. Provisional remedies in principal actions
within their jurisdiction;
7. All demand for money not exceeding Php.
400,000 in Metro Manila;
8. Small Claims Cases (A.M. No. 08-8-7-SC) where
the value of the demand does not exceed
Php. 300,000 (OCA Circular No. 165-2018,
effective August 1, 2018).
Important Note:Effective 1 April 2019, the
SC increased the amount covered by Small
Claims cases to Php. 400,000 within Metro
Manila and to Php. 300,000 outside Metro
Manila (OCA Circular No. 45-2019, effective April
1, 2019)
Demand for money excludes interest,
damages of whatever kind, attorney’s fees,
 litigation expenses, and costs, which amount
must be specifically alleged. The said
exclusions are included in determining filing
fees.
In cases where the claim for damages is the
main cause of action, or one of the causes of
action, the amount of such claim shall be
considered in determining jurisdiction.
Criminal Jurisdiction of MTC
1) Violations of the city or municipal ordinances
committed within their respective territorial
jurisdiction (Sec. 32[1], B.P. 129, as amended).
2) Offenses punishable with imprisonment not
exceeding 6 years irrespective of the amount
of fine, and regardless of other imposable
accessory or other penalties, including the
civil liability arising from such offenses or
predicated thereon, irrespective of kind,
nature, value or amount thereof (Sec. 32[2],
B.P. 129, as amended).
3) Offenses under (2) above including those not
falling within the exclusive original jurisdiction
of the Sandiganbayan where none of the
accused are occupying positions
corresponding to salary grade “27” and
higher.
4) Offenses involving damage to property
through criminal negligence (Sec. 32[2], B.P.
129, as amended).
5) In cases where the only penalty provided by
law is a fine of not more than Php. 4,000.
(Adm. Cir. 09-94).
6) Cases covered by the Rule on Small Claims.
7) Cases covered by the Rules on Summary
Procedure where the total claim does not
exceed Php. 100,000 or does not exceed
Php. 200,000 in Metro Manila, EXCEPT
probate proceedings (A.M. No. 02-11-09 SC
effective Nov. 25, 2002).
Exception: Cases falling within the exclusive
original jurisdiction of the RTC and of the
Sandiganbayan. This means that the MTC does
not, at all times, have jurisdiction over offenses
punishable with imprisonment not exceeding six
(6) years. This happens if jurisdiction is vested by
law either in the RTC or Sandiganbayan (Riano,
Criminal Procedure, 2016 ed., p. 38).
Summary Procedure In Civil Cases
Forcible Entry and Unlawful Detainer
a) Irrespective of the amount of damages or
unpaid rentals sought to be recovered.
b) Jurisdiction to resolve issue of ownership to
determine only the issue of possession(Riano,
Civpro vol. 1 Bar Lecture Series, 2016 ed., p.653).
Summary Procedure In Criminal Cases
A. Violations of traffic laws, rules and regula-
tions;
B. Violations of the Rental Law;
C. Violations of city or municipal ordinances;
D. Violations of B.P.22 (Bouncing Checks Law);
(A.M. No.00-11-01-SC, effective April 15, 2003);
E. All other criminal cases where the penalty is
imprisonment not exceeding 6 months and/or
Php. 1,000 fine irrespective of other penalties
or civil liabilities arising there from;
F. Offenses involving damage to property
through criminal negligence where the im-
posable fine is not exceeding Php.10,000.
Note: Cases filed by the parties after failure to
reach an amicable settlement in barangay
conciliation proceedings are tried by the MTC in
the exercise of its original jurisdiction.
2.C.8. Shari’aCourts
In general, the Shari'a courts shall have
jurisdiction over cases involving (i) personal
relations; (ii) family and property relations; and,
(iii) commercial transactions, in addition to their
jurisdiction over (iv) criminal cases involving
Muslims (Sec. 5, 9 and 10, Art. VIII, R.A. No. 9054).
Shari’a Appellate Court
1. Exercise original jurisdiction over petitions for
certiorari, prohibition, mandamus, habeas
corpus, and other auxiliary writs and
processes only in aid of its appellate
jurisdiction; and,
2. Exercise exclusive appellate jurisdiction over
all cases tried in the Shari’a district courts as
established by law (Sec. 9, Art. VIII, R.A. No.
9054).
Note: The decisions of the Shari’a Appellate
Court shall be final and executory. Nothing herein
19
contained shall, however, affect the original and
appellate jurisdiction of the Supreme Court, as Concurrent Jurisdiction of the
provided in the Constitution (Sec. 10, Art. VIII, R.A. Shari'aDistrict Court with the Circuit Court:
No. 9054)
1. Petitions by Muslims for the constitution of
Shari'a District Court the family home, change of name and
commitment of insane person to any asylum;
1. All cases involving custody, guardianship, 2. All other personal and real actions wherein
legitimacy, paternity and filiation arising the parties involved are Muslims except those
under P.D. No. 1083, “Code of Muslim for forcible entry and unlawful detainer which
Personal Laws of the Philippines”; shall fall under the exclusive original
2. All cases involving disposition, distribution jurisdiction of the Municipal Circuit Courts;
and settlement of the estate of a deceased and,
Muslim, probate of wills, issuance of letters of 3. All special civil actions for interpleader or
administration or appointment of declaratory relief where the parties are
administrators or executors regardless of the Muslims or the property involved belongs
nature or the aggregate value of the exclusively to a Muslim.
property;
3. Petitions for declaration of absence and
death and for cancellation and correction of
entries in the Muslim Registries mentioned in
Title VI, Book Two of P.D. No. 1083;
4. All actions arising from customary contracts
in which the parties are Muslims, if they have
not specified which law shall govern their
relations;
5. All petitions for mandamus, prohibition,
injunction, certiorari, habeas corpus, and all
auxiliary writs and processes in aid of its
appellate jurisdiction;

Shari'a Circuit Court

1. All cases involving offenses defined and

punished under P.D. No. 1083;
2. All civil actions and proceedings between
parties who are Muslims or have been
married in accordance with Article 13 of P.D.
No. 1083 involving disputes relating to:
a. Marriage;
b. Divorce recognized under Presidential
Decree No. 1083;
c. Betrothal or breach of contract to
marry;
d. Customary dowry;
e. Disposition and distribution of property
upon divorce;
f. Maintenance and support, and
consolatory gifts; and,
g. Restitution of marital rights.

All cases involving disputes relative to communal

properties.

20
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22

2.D. ASPECTS OF JURISDICTION
2.D.1. Jurisdiction Over the Persons of
the Parties
2.D.1a. How Jurisdiction Over the Plaintiff
is Acquired
Jurisdiction over the plaintiff is acquired by his
filing of the complaint or petition. By doing so, he
submits himself to the jurisdiction of the court.
(Riano, Civil Procedure Vol. I, 2016 ed.,p. 77)
Important: This presupposes timely payment of
the correct amount of docket fees.
 Q.Is the payment of docket fees required?
Purple Notes
Criminal
Remedial
2.D.2. Jurisdiction Over the Subject Matter
2.D.2a. Meaning of Jurisdiction over the
Subject Matter
 Q. What is jurisdiction over the subject
matter?
A. Jurisdiction over the subject matter is the
power to hear and determine the general
class to which the proceedings in question
belong; it is conferred by law and not by the
consent or acquiescence of any or all of the
parties or by erroneous belief of the court
that it exists (Mitsubishi Motors vs. Bureau of
Customs,G.R. No.209830,June 17,2015).

A.Payment in full of docket fees within
theprescribed period is not only mandatory,
but also jurisdictional. It is an essential
requirement, without which, the decision
appealed from would become final and
executory as if no appeal has been filed (St.
Louis University vs. Cobarrubias, G.R. No. 187104,
August 03, 2010).
However, while the court acquires jurisdiction over
any case only upon the payment of the prescribed
docket fees, its non-payment at the time of the
filing of the complaint does not automatically
cause the dismissal of the complaint provided that
the fees are paid within a reasonable
period(Unicapital, Inc. vs. Consing, Jr., G.R. Nos.
175277 & 175285, September 11, 2013),
The term, “subject matter” refers to the
item with respect to which the controversy
has arisen, or concerning which,the wrong
has been done, and it is ordinarily the right,
the thing, or the contract under dispute (De la
Rama vs. Mendiola, G.R. No. 135394, April 29,
2003).
Examples: The terms ‘unlawful detainer’,
‘forcible entry’, or actions ‘incapable of pecuniary
estimation’ are subject matters. So are the terms
accionpubliciana, accionreinvindicatoria, partition
of property, foreclosure of mortgage,
expropriation, habeas corpus and action for
damages, among others (Riano, Civil Procedure,
Vol. 1, 2014 ed., p. 71)

2.D.1b. How Jurisdiction Over the 2.D.2b. Distinguish: jurisdiction and

Defendant is Acquired; Civil Cases exercise of jurisdiction

1. By valid service of summons; or, JURISDICTION vs. EXERCISE OF

2. By voluntary appearance in the action which JURISDICTION
is equivalent to service of summons.
Exercise of
Jurisdiction
Jurisdiction
How Jurisdiction Over the Person of the
The power or The exercise of the
Accused is Acquired; Criminal Cases
authority of a court court’s power or
to hear, try and authority.
a) By lawful arrest; or, decide a case, and to
b) By voluntary surrender carry its judgment
into effect.
Jurisdiction Over the Person of the Errors in assuming Errors in the exercise
Intervenor jurisdiction results to of jurisdiction results
error of jurisdiction. only to errors of
Acquired upon the approval of the Motion for judgment.
Note: A judgment
Leave to Intervene (Rule 19).

Bar Operations 23
Commissions 23
 Purple Notes
Criminal
Remedial
tainted with an error Note: A judgment with jurisdiction, acts ed, p. 72.). Errors of
of jurisdiction is a based on errors of in excess of its judgment include
nullity (Riano, Civil judgment cannot be jurisdiction or with errors of procedure or
Procedure, Vol. I, considered a nullity.
grave abuse of mistakes in the court’s
2014 ed., p. 73) It is binding on the
parties unless it is
discretiona amounting findigs (Banco Filipino
reversed or annulled to lack of jurisdiction Savings Zand Mortgage
in a direct proceeding (GSIS vs.Oliza, G.R. No. Bank vs. CA, G.R. No.
(Herrera vs. Barretto, 126874, March 10, 132703, June 23, 2000).
G.R. No. 8692, 1999).
September 10, 1913). As to the validity of the judgment
A judgment tainted An erroneous
2. Q. What is exercise of jurisdiction? with an error of judgment is not a void
jurisdiction either judgment, and cannot
A.Where there is jurisdiction over the because of a toted therefore, be
person and the subject matter, the absence of jurisdiction collaterally
decision on all other questions arising to take cognizance of impeached. Such a
in the case is but an exercise of an action or because judgment is binding
jurisdiction. The errors which the courts of a grave abuse of on the parties unless
may commit in the exerciseof discretion, is a nullity. it is reversed or
jurisdiction are merely errors of annulled in a direct
judgment which are the proper subjects proceeding (Herrera
of an appeal (Tolentino vs. Leviste, G.R. vs. Barretto, G.R. No.
No. 156118, November 19, 2004). 8692, September 10,
1913).
3. Q. What would be the test of As to the manner by which the errors
jurisdiction? may be corrected
Errors of jurisdiction Errors of judgment
A. The test of jurisdiction is whether the are correctible only by are correctible by
court has the power to enter into the the extraordinary writ appeal (Cabrera vs.
inquiry and not whether the decision is of certiorari(GSIS vs. Lapid, G.R. No. 129098,
right or wrong(Perkins vs. Roxas, G.R. No. Oliza, G.R. No. 126874, December 6, 2006).
47517, June 27, 1941). March 10, 1999).

ERROR OF ERROR OF 2.D.2c. How jurisdiction is conferred and

JURISDICTION JUDGMENT
As to definition
Error of Jurisdiction is Error of Judgment
one where the act presupposes that the
complained of was court is vested with
issued by the court jurisdiction over the
without or in excess subject matter of the
of jurisdiction (Cabrera action but, in the
vs. Lapid, G.R. No. process of exercising
129098, December 6, that jurisdiction, it
2006).It occurs when committed mistakes
the court exercises a in the appreciation of
jurisdiction not the facts and the
conferred upon it by evidence leading to
law. It may also occur an erroneous
when the court or judgment (Riano, Civil
tribunal, although Procedure, Vol. I, 2014
determined:
How Jurisdiction over the Subject Matter is
Conferred
General Rule: Jurisdiction over the subject
matter is conferred by law. Nothing else can
confer jurisdiction except the law. Since
jurisdiction over the subject matter is conferred
upon the courts exclusively by law and the lack
thereof affects the very authority of the court to
take cognizance of the case, objections thereto
may be raised at any stage of the proceeding,
even on appeal (Riano, Civpro vol. 1 Bar Lecture
Series, 2016 ed., p.60).
Exceptions:

24

24 Center for Legal Education and

Research

a. Jurisdiction by Estoppel – after voluntarily
submitting a cause and encountering an
adverse decision on the merits, it is too late
for the losing party to question the
jurisdiction or power of the court(Riano, Civpro
vol. 1 Bar Lecture Series, 2016 ed., p.75).
Note: In Tijam vs. Sibonghanoy (G.R. No. L-
21450, April 15, 1968),the party was barred by
laches from invoking the plea for the first
time on appeal, for the purpose of annulling
everything done in the case, due to the
active participation of said party invoking the
plea.
b. Estoppel in Pais – where a party actively
participated in all stages of the proceedings
before the trial court and invoked its
authority by asking for an affirmative relief,
he is estopped from challenging the trial
court’s jurisdiction, especially when an
adverse judgment has been rendered (Soliven
vs. Fastforms Philippines, Inc., G.R. No. 139031,
October 18, 2004).
 Q. What is the concept of laches?
A.Laches, in a general sense, is failure
or neglect, for an unreasonable and
unexplained length of time, to do that
which, by exercising due diligence, could
or should have been done earlier; it
is negligence or omission to assert a right
within a reasonable time, warranting a
presumption that the party entitled to
assert it either has abandoned it or
declined to assert it. The doctrine of
laches or of "stale demands" is based
upon grounds of public policy which
requires, for the peace of society, the
discouragement of stale claims and,
unlike the statute of limitations, is not a
mere question of time but is principally a
question of the inequity or unfairness of
permitting a right or claim to be enforced
or asserted (Figueroa vs. People, G.R. No.
147406, July 14, 2008).
Note: Jurisdiction “conferred by law”
pertains only to Jurisdiction over the Subject
Matter.
Purple Notes
Criminal

Remedial
Q. How is defense of lack of jurisdiction
over the person of a party invoked?
A.Since the defense of lack of jurisdiction
over the person of a party to a case is
NOT one of those defenses which are not
deemed waived under Section 1 of Rule
9, such defense must be invoked in the
Answer as an affirmative defense in order
to prevent a waiver of the defense. If the
objection is not raised in the Answer, the
objection to the jurisdiction over the
person of the plaintiff or the defendant is
deemed a waiver thereof.
The inclusion in amotion to dismiss of
othergrounds aside from lack
ofjurisdiction over the person ofthe
defendant shall be deemed avoluntary
appearance(Rule 14,Sec. 23).
How Jurisdiction over the Subject Matter is
Determined
4. Q.How is jurisdiction over the subject matter
determined?
A. It is a settled rule that jurisdiction over
the subject matter is determined by the
allegations of the complaint regardless of
whether or not the plaintiff is entitled to
claims asserted therein (Laresma vs. Abellana,
G.R. No. 140973, November 11, 2004).
Note: If by the averments of the complaint, the
court has jurisdiction, it does not lose that
jurisdiction just because the defendant makes a
contrary allegation in his motion or answer or
because the court believes that the plaintiff’s
claims are ridiculous and therefore, untrue. If by
the averments of the complaint, it has
jurisdiction, then it has jurisdiction (Tomas Claudio
Memorial College, Inc., G.R. No. 124262, October 12,
1999).
Objections to Jurisdiction over the Subject
Matter, How Made
1. By act of the parties:
a) By filing a motion to dismiss; or,
b) By raising it as an affirmative defense in
the answer; or
Bar Operations 25
Commissions 25
 Purple Notes
Criminal
2. By the courtRemedial
motu proprio
When it appears from the pleadings or evidence
on record that the court has no jurisdiction over
the subject matter, the court shall dismiss the
same (Rule 9, Sec. 1).
The earliest opportunity of a party to raise the
issue of jurisdiction is in a motion to dismiss filed
before the filing or service of an answer. Lack of
jurisdiction over the subject matter of the claim is
a ground for a motion to dismiss [Rule 15, Sec.
12(a)(1)].
Under the Omnibus Motion Rule, a motion
attacking a pleading like a motion to dismiss,
shall include all objections then available, and all
objections not so included shall be deemed
waived.(Rule 15,Sec. 9).
The defense of lack of jurisdiction over the
subject matter is, however, a defense not barred
by the failure to invoke the same in a motion to
dismiss already filed. Even if a motion to dismiss
was filed and the issue of jurisdiction was not
raised therein, a party may, when he files an
answer, raise the lack of jurisdiction as an
affirmative defense because this defense is not
barred under the omnibus motion rule.
When the court dismisses the complaint for lack
of jurisdiction over the subject matter, it is
common reason that the court cannot remand
the case to another court with the proper
jurisdiction. Its only power is to dismiss and not
to make any other order (Riano, Civil Procedure, ,
2007 ed.).
When to Object
General rule: Lack of jurisdiction over the
subject matter may be raised at any stage of the
proceedings, even for the first time on appeal.
Reason: Jurisdiction is conferred by law, and
lack of it affects the very authority of the court to
take cognizance of, and to render judgment on,
the action.
Exception: Barred by Estoppel
26
26 Center for Legal Education
Research
 Q. What are the instances where lack of
jurisdiction over the subject matter may not
be raised?
A(1). It was petitioners themselves who
invoked the jurisdiction of the court a quo by
instituting an action for reformation of
contract against private respondents. It must
be noted that in the proceedings before the
trial court, petitioners vigorously asserted
their cause from start to finish. Not even
once did petitioners ever raise the issue of
the court’s jurisdiction during the entire
proceedings which lasted for two years. It
was only after the trial court rendered its
decision and issued a writ of execution
against them in 1998 did petitioners first
raise the issue of jurisdiction ─ and it was
only because said decision was unfavorable
to them. Petitioners thus effectively waived
their right to question the court’s jurisdiction
over the case they themselves filed (Sps.
Gonzaga vs. CA, , G.R. No. 144025, December 27,
2002).
A(2).While it is true that jurisdiction over the
subject matter may be raised at any stage of
the proceedings since it is conferred by law,
it is nevertheless settled that a party may be
barred from raising it on the ground of
estoppel (La’o vs. Republic, G.R. No. 160719,
January 23, 2006).
A(3).The Supreme Court frowns upon the
undesirable practice of submitting one’s case
for decision, and then accepting the
judgment only if favorable, but attacking it
for lack of jurisdiction if it is not (Bank of the
Philippine Islands vs. ALS Management &
Development Corporation, G.R. No. 151821, April
14, 2004).
2.D.2d. Distinguish: Doctrine of Primary
Administrative Jurisdiction and Doctrine of
Exhaustion of Administrative Remedies
Doctrine of Primary Administrative
Jurisdiction
Under the doctrine of primary jurisdiction, courts
cannot and will not resolve a controversy
involving a question within the jurisdiction of an
and

administrative tribunal, especially when the
question demands the sound exercise of
administrative discretion requiring special
knowledge, experience and services of the
administrative tribunal to determine technical and
intricate matters of fact. The court cannot
arrogate unto itself the authority to resolve a
controversy, the jurisdiction of which is initially
lodged with the administrative body of special
competence (BF Homes, Inc. vs. Manila Electric
Company, G.R. No. 171624, December 6, 2010).
If a case is such that its determination requires
the expertise, specialized training, and knowledge
of an administrative body, relief must first be
obtained in an administrative proceeding before
resort to the court is had even if the matter may
well be within the latter’s proper jurisdiction
(Nestle Philippines, Inc. vs. Uniwide Sales, Inc., G.R.
No. 174674, October 20, 2010).
Objective:To guide the court in determining
whether it should refrain from exercising its
jurisdiction until after an administrative agency
has determined some question or some aspect of
some question arising in the proceeding before
the court (Nestle Philippines, Inc. vs. Uniwide Sales,
Inc., G.R. No. 174674, October 20, 2010).
Doctrine of Exhaustion of Administrative
remedies
General Rule: If a remedy within the
administrative machinery can still be resorted to
by giving the administrative officer every
opportunity to decide on a matter that comes
within his jurisdiction, then such remedy must
first be exhausted before the court’s power of
judicial review can be sought. The party with an
administrative remedy must not only initiate the
prescribed administrative procedure to obtain
relief but also pursue it to its appropriate
conclusion before seeking judicial intervention in
order to give the administrative agency an
opportunity to decide the matter itself correctly
and prevent unnecessary and premature resort to
the court(Asia International Auctioneers, Inc. vs.
Parayno, Jr., G.R. No. 163445, December 18, 2007).
Exceptions:
1) when there is a violation of due process;
Purple Notes
Criminal
2) when the
Remedial
issue involved is purely a legal
question;
3) when the administrative action is patently
illegal amounting to lack or excess of
jurisdiction;
4) when there is estoppel on the part of the
administrative agency concerned;
5) when there is irreparable injury;
6) when the respondent is a department
secretary whose acts, as an alter ego of the
President, bears the implied and assumed
approval of the latter;
7) when to require exhaustion of administrative
remedies would be unreasonable;
8) when it would amount to a nullification of a
claim;
9) when the subject matter is a private land in
land case proceedings;
10) when the rule does not provide a plain,
speedy and adequate remedy;
11) when there are circumstances indicating the
urgency of judicial intervention, and
unreasonable delay would greatly prejudice
the complainant;
12) when no administrative review is provided by
law;
13) where the rule of qualified political agency
applies; and
14) when the issue of non-exhaustion of
administrative remedies has been rendered
moot (GSIS vs. Velasco, G.R. No. 196564, August
07, 2017).
2.D.2e. Doctrine of Adherence of
Jurisdiction
The doctrine means that once jurisdiction has
attached, it cannot be ousted by subsequent
happenings or events, although of a character
which would have prevented jurisdiction from
attaching in the first instance (Baritua vs. Mercader,
G.R. No. 136048, January 23, 2001).
Exception: When the change in jurisdiction is
curative in character (Lucia BarramedaVda. De
Ballesteros vs. Rural Bank of Canaman, Inc.,G.R. No.
176260 November 24, 2010).
2.D.2f. Objections to jurisdiction over the
subject matter
The court may on its own initiative object to an
erroneous jurisdiction and may ex mero motu
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 Purple Notes
Criminal
take Remedial
cognizance of lack of jurisdiction at any
point in the case and has a clearly recognized
right to determine its own jurisdiction in any
proceeding (Fabian vs. Desierto, G.R. No. 129742,
September 16, 1998). Under the Rules, when it
appears from the pleadings or evidence on record
that the court has no jurisdiction over the subject
matter, . . . the court shall dismiss the same”
(Rule 9, Sec. 1)Lack of jurisdiction over the subject
matter is a ground for a motion to dismiss.
2.D.2g. Effect of estoppel on objections to
jurisdiction
1. While it is true that jurisdiction over the
subject matter may be raised at any stage of the
proceedings since it is conferred by law, it is
nevertheless settled that a party may be barred
from raising it on the ground of estoppel (La’o vs.
Republic, G.R. No, 160719, January 23, 2006). The
fact pattern common among those cases wherein
the Court invoked estoppel to prevent a party
from questioning jurisdiction is a party’s active
participation in all stages of a case, including
invoking the authority of the court in seeking
affirmative relief and questioning the court’s
jurisdiction only after receiving a ruling or
decision adverse to his case for the purpose of
annulling everything done in the trial in which he
has actively participated. As clearly pointed out in
La’o: “A party who has invoked the jurisdiction of
the court over a particular matter to secure
affirmative relief cannot be permitted to
afterwards deny that same jurisdiction to escape
liability.”
2. The doctrine of estoppel by laches in relation
to objections to jurisdiction first appeared in the
landmark case of Tijam vs. Sibonghanoy. Here,
the Supreme Court barred a belated objection to
jurisdiction that was raised only after an adverse
decision was rendered by the court against the
party raising the issue of jurisdiction and after
seeking affirmative relief from the court and after
participating in all stages of the proceedings. The
doctrine
3. The Supreme Court frowns upon the
undesirable practice of submitting one’s case for
decision, and then accepting the judgment only if
favorable, but attacking it for lack of jurisdiction if
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it is not (Bank of the Philippine Islands vs. ALS
Management & Development Corporation, G.R. No.
151821, April 14, 2004). The rule also applies to
administrative proceedings. The active
participation of an individual before the
administrative proceedings and the belated
challenge to the jurisdiction of the said body bars
him from assailing such acts under the principle
of estoppel (Office of the Ombudsman vs. Delijero,
Jr., G.R. No. 172635, October 20, 2010).
4. The rule is that the active participation of the
party against whom the action was brought,
coupled with his failure to object to the
jurisdiction of the court or administrative body
where the action is pending, is tantamount to an
invocation of that jurisdiction and a willingness to
abide by the resolution of the case and will bar
said party from later on impugning the court or
body’s jurisdiction (Megan Sugar Corporation vs. RTC
of Iloilo, Branch 68, G.R. No. 170352, June 1, 2011)
2.D.3. Jurisdiction Over the Issues
This is the power of the court to try and decide
issues raised in the pleadings of the parties
(Reyes vs. Diaz, G.R. No. 48754, November 26, 1941).
An issue is a disputed point or question to which
parties to an action have narrowed down their
several allegations and upon which they are
desirous of obtaining a decision (Black’s Law
Dictionary, 5th ed.)
Where there is no disputed point, there is no
issue (Riano, Civil Procedure, Vol. I, p. 100, 2014 ed.).
Whether or not a court has jurisdiction over
aspecific issue is a question that requires nothing
but an examination of the pleadings (Reyes vs.
Diaz, G.R. No. 48754, November 26, 1941).
How Jurisdiction Over the Issue is
Conferred and Determined
1. Generally, jurisdiction over the issues is
conferred and determined by the allegations
in the pleadings of the parties (Riano, Civil
Procedure, Vol. I, p. 100, 2014 ed.).
2. It may also be determined and conferred by
stipulation of the parties (Rule 18, Sec. 2).
and

3. It may also be conferred by waiver or failure
to object to the presentation of evidence on a
matter not raised in the pleadings (De Joya vs.
Marquez, G.R. No. 162416, 31 January 2006).
Here, the parties try, with their express or
implied consent, issues not raised in the
pleadings. This issues tried shall then be
treated in all respects as if they had been
raised in the pleadings (Rule 10, Sec. 5).
2.D.4. Jurisdiction Over the Res or the
Property in Litigation
Res in Civil Law is a “thing”, an “object”. It
means everything that may form an object of
rights, in opposition to “persona” which is the
subject of rights. It includes an object, subject
matter or status (Riano, Civil Procedure, Vol. I, pp.
103-104, 2014 ed.).
Jurisdiction over the res refers to the court’s
jurisdiction over the thing or the property which
is the subject of the action. This type of
jurisdiction is necessary when the action is one in
rem or quasi in rem.
When an action is one in personam, jurisdiction
over the res is not sufficient and jurisdiction over
the person of the defendant is required (Riano,
Civil Procedure, Vol. I, p. 104, 2014 ed.).
Action in personam – directed against specific
persons and seek personal judgments.
Action in rem or quasi in rem– directed
against the thing or property or status of a
person and seek judgments with respect thereto
as against the whole world.
How Jurisdiction Over the Res is Acquired
(Riano, Civil Procedure, Vol. I, pp. 104-105, 2014 ed.)
1. By placing the property or thing under the
court’s custody (custodia legis) or by
constructive seizure.
Example: Attachment of property
2. Through statutory authority conferring upon
the court the power to deal with the property
or thing within the court’s territorial
jurisdiction.
Purple Notes
Criminal
Example:
Remedial
Suits involving the
status of the
parties or the property in the Philippines of
non-resident defendants.
The court acquires jurisdiction over the
res even if it has not acquired jurisdiction
over the person of a non-resident defendant
when the action:
a) Involves personal status of the plaintiff;
b) Relates to a property within the
Philippines where the defendant has a
claim or interest;
c) Involves a property within the Philippines
and the defendant is sought to be
excluded;
d) Property of the defendant is the subject
of attachment;
e) Land registration cases; or
f) Suits against foreign corporations not
doing business in the Philippines.
 Q. Can a jurisdiction over the res be acquired
in a land registration case?
A. A land registration case is a proceeding in
rem, and jurisdiction over the res cannot be
acquired in this case UNLESS there is a
constructive seizure of the land through
publication and service of notice (Republic vs.
Herbieto, G.R. No. 156117, May 26, 2005).
 Q. How can the court acquire jurisdiction
over the res in a suit for annulment against a
non-resident defendant?
A. A suit for annulment against a non-
resident defendant may prosper when the
Court acquires jurisdiction over the res
through summons by publication or anyof
the modes of extraterritorial service under
Sec. [17] of Rule 14 (Romualdez-Licaros vs.
Licaros, G.R. No. 150656, April 29, 2003).
Decision is limited to the value of the
property if jurisdiction is not acquired over
the person of the defendant
 Q.What is the limitation of the court when it
acquired jurisdiction over the res?
A. While the trial court aqcquired jurisdiction
over the res, its jurisdiction is limited to a
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 Purple Notes
Criminal
Remedial
rendition of judgment on the res. It cannot action or because of the parties unless it is
extend its jurisdiction beyond the res and a grave abuse of reversed or annulled in
issue a judgment enforcing discretion, is a a direct proceeding
petitioner’spersonal liability. In doing so nullity. (Herrera vs. Barretto,
G.R. No. 8692, September
without first having acquired jurisdiction
10, 1913).
over the person of petitioner, as it did, As to the manner by which the error may be
the trial court violated her constitutional right corrected
to due process, warranting the annulment of Errors of jurisdiction Errors of judgment are
the judgment rendered in thecase (Biaco vs. are correctible only correctible by appeal
Philippine Countryside Rural Bank, G.R. by the extraordinary (Cabrera vs. Lapid, G.R.
No.161417, February 8, 2007). writ of No. 129098, December 6,
certiorarcertiorari i(GSIS 2006).
vs. Oliza, G.R. No.
2.D.5. Jurisdiction over the remedies 126874, March 10,
1999).
2.E. Distinguish error of jurisdiction and
error of judgment

ERROR OF ERROR OF JUDGMENT

JURISDICTION
As to definition
Error of Jurisdiction Error of Judgment
is one where the act presupposes that the 2.F. DISTINGUISH: JURISDICTION AND
complained of was court is vested with VENUE
issued by the court jurisdiction over the
without or in excess subject matter of the
JURISDICTION vs. VENUE
of jurisdiction action but, in the
(Cabrera vs. Lapid, G.R. process of exercising
No. 129098, December that jurisdiction, it Jurisdiction Venue
6, 2006).It occurs committed mistakes in Authority to hear and Place where the case is
when the court the appreciation of the determine a case. to be heard or tried.
exercises a facts and the evidence Matter of substantive Matter of procedural
jurisdiction not leading to an law. law.
conferred upon it by erroneous judgment Establishes a relation Establishes relation
law. It may also (Riano, Civil Procedure, between the court and between plaintiff and
occur when the court Vol. I, p. 72, 2014 ed.). the subject matter. defendant, or petitioner
or tribunal, although Errors of judgment and respondent.
with jurisdiction, acts include errors of Fixed by law and cannot May be conferred by
in excess of its procedure or mistakes be conferred by the the act or agreement of
jurisdiction or with in the court’s findings parties. the parties.
grave abuse of (Banco Filipino Savings Lack of jurisdiction over Improper venue is not
discretiona and Mortgage Bank vs. the subject matter is a a ground for a motu
amounting to lack of CA, G.R. No. 132703, ground for a motu proprio dismissal except
jurisdiction (GSIS June 23, 2000). proprio dismissal. in cases subject to
vs.Oliza, G.R. No. Summary Procedure.
126874, March 10, Jurisdiction over the The objection to an
1999). subject matter may be improper venue must
As to the validity of the judgment raised at any stage of be raised either in a
A judgment tainted An erroneous the proceedings since it motion to dismiss or in
with an error of judgment is not a void is conferred by law (La’o the answer. Otherwise,
jurisdiction either judgment, and cannot vs. Republic, 479 SCRA it is deemed waived.
because of a toted therefore, be 439, 446).
absence of collaterally Source: Riano, Civil Procedure, Vol. I, pp. 195-196,
jurisdiction to take impeached. Such a 2014 ed.
cognizance of an judgment is binding on
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 Purple Notes
Criminal
 Q. What is the relation of venue to the Venue of
Remedial
Barangay Conciliation
jurisdiction? Proceedings (R.A. No. 7160, Sec. 409)

A. Venue is intended to accord convenience Disputes Venue

to the parties as it relates to the place of Between persons Barangay where the
trial. It does not equate to the jurisdiction of actually residing in persons reside.
thecourt. Venue is an essential the same barangay.
elementofjurisdiction only in criminal Involving actual Barangay where the
residents of respondent or any of
actions (Dolot vs. Paje, G.R. No. 199199, August
different barangays the respondents
27, 2013).
within the same actually resides, at the
city or municipality. election of the
 Q. Is the venue procedural or substantive?
complainant.
Involving real Barangay where the
A. Venue is procedural and not substantive.In property or any real property or the
civil cases, venue is not a matter of interest therein. larger portion thereof
jurisdiction (Heirs of Lopez vs. De Castro, G.R. is situated.
No. 112905, February 3, 2000). Arising at the Barangay where such
workplace where workplace or
the contending institution is located.
parties are
employed or at the
institution where
such parties are
2.2.GG. JURISDICTION OVER SMALL enrolled for study.
CLAIMS, CASES COVERED BY THE RULES
ON SUMMARY PROCEDURE AND
BARANGAY CONCILIATION Parties to Barangay Conciliation
Proceedings
JURISDICTION OVER BARANGAY
CONCILIATION PROCEEDINGS Only individuals shall be parties, either as
complainants or respondents. No complaint by or
KatarungangPambarangay Law against corporations, partnerships or other
(Presidential Decree No. 1508) juridical entities shall be filed, received or acted
upon (A.M. Circular No. 14-93, effective July 15,
It established a system of amicably settling 1993).
disputes at the barangay level. It was expressly
repealed by R.A. No. 7160 (Local Government Code Cases NOT covered (Substantive
of 1991). Most of its provisions, however, were Exceptions)
incorporated (with some modifications) under
Book III, Title I, Chapter VII of R.A. No. 7160. 1. One party is the government or any
subdivision or instrumentality;
 Q. What is the rationale of creating the 2. One party is a public officer or employee, and
KatarungangPambarangay law? the dispute relates to the performance of his
official functions;
A.TA. The primordial aim of the 3. Offenses punishable by imprisonment
KatarungangPambarangay Law is to reduce exceeding 1 year or fine exceeding Php.
the number of court litigations and prevent 5,000;
the deterioration of the quality of justice 4. Offenses with no private offended party;
which has been brought about by the 5. Dispute involves real properties located in
indiscriminate filing of cases in the courts different cities or municipalities UNLESS the
(Zamora vs. Heirs of Izquierdo, G.R. No. parties agree to submit dispute to amicable
146195, November 18, 2004). settlement by an appropriate lupon;
6. Disputes involving parties who reside in
barangays of different cities or municipalities

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 Purple Notes
Criminal
EXCEPT Remedial
when such barangay units adjoin
each other and parties thereto agree to
submit their differences to amicable
settlement by an appropriate lupon;
7. Classes of dispute which the President may
determine in the interest of justice; or,
8. One of the parties is a juridical entity.
Note: The prescriptive period for offenses and
cause of action shall be interrupted upon filing of
complaint with the punong barangay, but this
must not exceed 60 days(Uy vs. Contreras, G.R. No.
111416, September 26, 1994).
Other Cases (Procedural Exceptions)
1. Accused is under police custody;
2. Person has been deprived of personal liberty
thus calling for a habeas corpus proceeding;
3. Actions coupled with provisional remedies;
4. Action barred by prescription;
5. Labor disputes;
6. As determined by the President in the
interest of justice;
7. CARL disputes;
8. Those involving the traditions of indigenous
cultural community(Riano, Civpro vol. 1 Bar
Lecture Series, 2016 ed., p.664).
 Q. Can there be a compulsary conciliation in
cases wherein other the petitioner and
defendants reside in barangays of different
cities and municipilaties?
A.The fact that the petitioner and private
respondent reside in the same municipality
does not justify compulsory conciliation
where the other co-defendants reside in
barangays of different cities and
municipalities (Candido vs. Macapagal, G.R. No.
101328, April 07, 1993).
JURISDICTION OVER SMALL CLAIMS:
Jurisdictional Amount
Effective 1 April 2019, the SC increased the
amount covered by Small Claims cases to:
 Php. 400,000 within Metro Manila; and,
 Php. 300,000 outside Metro Manila (OCA
Circular No. 45-2019, effective April 1, 2019).
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Actions Covered
a) purely civil in nature where the claim or relief
prayed for by the plaintiff is solely for payment or
reimbursement of sum of money; and,
b) the civil aspect of criminal actions, either filed
before the institution of the criminal action, or
reserved upon the filing of the criminal action in
court, pursuant to Rule 111 (Sec. 4, A.M. No. 08-8-
7-SC).
These claims may be:
 For money owed under the contracts of lease,
loan, services, sale, or mortgage;
 For damages arising from fault or negligence,
quasi-contract, or contract; or,
 The enforcement of a barangay amicable
settlement or an arbitration award involving a
money claim pursuant to Sec. 417 of the Local
Government Code (Sec. 4, A.M. No. 08-8-7-SC).
JURISDICTON OVER CASES COVERED BY
SUMMARY PROCEDURE
Scope (Rule on Summary Procedure, Sec. 1)
The Rule on Summary Procedure shall govern the
procedure in the Metropolitan Trial Courts
(MeTC), the Municipal Trial Courts in Cities
(MTCC), the Municipal Trial Courts (MTC) and the
Municipal Circuit Trial Courts (MCTC).
SUMMARY PROCEDURE IN CIVIL CASES
1. All cases of forcible entry and unlawful
detainer, irrespective of the amount of
damages or unpaidrentals sought to be
recovered;
2. All other cases where the total amount of the
plaintiff’s claim, exclusive of interests and
costs:
 DOES NOT EXCEED Php. 300,000 outside
Metro Manila; or,
Education and

 DOES NOT EXCEED Php. 400,000 (in
Metro Manila
Exception: Probate Proceedings (Revised
Rules on Summary Procedure, as amended by
A.M. No. 02-11-09-SC, effective November 25,
2002).
The Rules on Summary Procedure does NOT
apply to a civil case where the plaintiff’s cause of
action is pleaded in the same complaint with
another cause of action subject to the ordinary
procedure; nor to a criminal case where the
offense charged is necessarily related to another
criminal case subject to the ordinary procedure
(Revised Rules on Summary Procedure, Sec. 1).
SUMMARY PROCEDURE IN CRIMINAL
CASES
1. Violations of traffic law, rules and regulations;
2. Violation of the Rental Law;
3. All other criminal cases where the penalty
prescribed is imprisonment not exceeding six
(6) months, or fine not exceeding Php. 1,000,
or both, irrespective of other imposable
penalties, accessory or otherwise, or of the
civil liability arising therefrom;
Note: In offenses involving damage to
property through criminal negligence, Rules
on Summary Procedure shall govern where
the imposable fine does NOT exceed P10,000.
Totality Rule
Under this rule, where there are several claims or
causes of actions between the same or different
parties, embodied in the same complaint, the
amount of the demand shall be the totality of
clams in all the causes of action, irrespective of
whether the causes of action arouse out of the
same or different transactions (Sec. 33[1], BP Blg.
129 as amended by RA No. 7691; Pantranco North
Express, Inc. vs. Standard Insurance Company, Inc.
G.R. No. 140746, March 16, 2005).
2.H. HOW JURISDICTION IS DETERMINED
General rule: Jurisdiction of the court is
determined by the statute in force at the time of
the commencement of the action (Narra Nickel
Mining & Corp., G.R. No. 195580, April 21, 2014).
Purple Notes
Criminal
Exception:
Remedial
When the statute provides for its
retroactive application and its curative
nature(Atlas Fertilizer Corp. vs. Navarro, G.R. No.
72074, April 30, 1987).
3. CIVIL PROCEDURE
3.A. GENERAL PROVISIONS
The rules embodied in the Rules of Court are not
laws in the strict sense of the word since they did
not emanate from the legislature. However, since
they were promulgated under authority of the
law, such rules have the force and effect of laws.
General Rule: The Rules shall apply in all
courts.
Exception: When otherwise provided by the
Supreme Court (Rule 1, Sec.2).
3.B. ACTIONS
An action is the legal and formal demand of one’s
right from another person made and insisted
upon in a court of justice (Bouvier’s Law Dictionary,
Vol. I, 128, 8th Ed.; Words and Phrases, Vol. 2, 25).
In this jurisdiction, it is settled that the terms
“action” and “suit” are synonymous but the
operative act which converts a claim into an
“action” or “suit” is the filing of the same with a
“court of justice.” Filed elsewhere, as with some
other body or office not a court of justice, the
claim may not properly be categorized under
either term (Lopez vs. Compania de Seguros, G.R.
No. L-19613, April 30, 1966).
CASES GOVERNED:
3.B.1. Meaning of Ordinary Civil Actions
Ordinary Civil Action is one by which a party
sues another for the enforcement or protection of
a right, or the prevention or redress of a wrong
(Rule 1, Sec. 3[a]).It is governed by ordinary rules.
3.B.2. Meaning of Special Civil Action
Special Civil Action is one by which a party
sues another for the enforcement or protection of
a right, or the prevention or redress of a
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Commissions 33
 Purple Notes
Criminal
wrongwherein Remedial
it has special features not found in  by Petition.  by Motion;
ordinary civil acions. It is governed by ordinary  by Petition.
rules but subject to specific rules prescribed
under Rules 62 to 71 (Riano, Civil Procedure, 2016 3.B.5. Personal Actions and Real Actions
ed., p. 191).
Actions Based on Subject Matter:
3.B.3. Meaning of Criminal Action Personal and Real Actions(Riano, Civil Procedure
Vol. 1, 2016 ed., p. 194)
Criminal Action is one by which the state
prosecutes a person for an act or omission REAL PERSONAL
punishable by law (Rule 1, Sec. 3[b]). AS TO SCOPE
 Actions  One which is not
3.B.4. Distinguish: Civil Actions and Special affecting title to founded upon the
Proceedings or possession of privity of real rights
real property, or or real property.
Special Proceedings is a remedy by which a an interest
party seeks to establish a status, a right, or a therein (Rule 4,
particular fact(Rule 1, Sec. 3[c]) Sec. 1).
AS TO VENUE
Special Proceedings under the Rules of  Where the  Where the plaintiff
Court: property is or any of the
located, or the principal plaintiffs
a) Settlement of estate of deceased persons; portion thereof resides;
b) Escheat; is situated, it is  Where the defendant
c) Guardianship and custody of children; “local.” or any of the
d) Trustees; principal defendants
e) Adoption; resides;
f) Rescission and revocation of adoption;  In the case of non-
g) Hospitalization of insane persons; resident defendant,
h) Habeas corpus; where he may be
i) Change of name; found, at the
j) Voluntary dissolution of corporations; election of the
k) Judicial approval of voluntary recognition of plaintiff, it is
minor natural children; “transitory.”
l) Constitution of family home; AS TO BASIS
m) Declaration of absence and death; and  When it is  When it is founded
n) Cancellation or correction of entries in the civil founded upon on privity of contract
registry (Rule 72,Sec. 1). the privity of a such as action for
real estate, damages to real
Civil Action vs. Special Proceedings meaning, the property.
realty, or an
SPECIAL interest therein,
CIVIL ACTION
PROCEEDINGS is the subject
AS TO PURPOSE matter of the
 To protect a  To establish a action.
right; status;
 To prevent or  To establish a right;
3.B.6. Local and Transitory Actions
redress a  To establish a
wrong. particular fact.
AS TO COMMENCEMENT Actions Based on Permissible Venue:
 by Complaint;  by Application; Local and Transitory Actions

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 Purple Notes
Criminal
Remedial
LOCAL TRANSITORY the whole between & the whole
Action is brought Action is brought, world. among the world
in a particular generally, where parties to the
place. In the the party resides, case.
absence of an regardless of AS TO REQUIRED JURISDICTION
agreement to the where the cause Jurisdiction Jurisdiction Jurisdiction
contrary, where of action over the over the over the
the subject arose(The Manila person of the person of the person of the
property is Railroad Co. vs. defendant is defendant is defendant is
located(The Attorney- not required, required. not required
Manila Railroad General, G.R. No. the court, as long as
Co. vs. Attorney- 6287, December however, jurisdiction
General, G.R. No. 1, 1911). must have over the res is
6287, December jurisdiction acquired
1, 1911). over the res.
AS TO PURPOSE
3.B.7. Actions in rem, in personam and Concerns the Seeks to Seeks to
quasi in rem status of a enforce subject the
person personal property of a
Actions Based on the Binding Effect of the rights and person to the
Relief Sought (Object of the Action): obligations discharge of
Actions in Rem, in Personam and Quasi in and to the claim
Rem(Riano, Civpro vol. 1 Bar Lecture Series, 2016 impose, assailed
ed., p. 201-205) through the
judgment of
IN QUASI IN a court, some
IN REM
PERSONAM REM responsibility
AS TO NATURE or liability
directly upon
Action Action One that
the person of
directed to a directed names a
the
res, seeking against a specific
defendant.
to bind any specific defendant and
person who defendant the purpose of
Note: The above distinction is significant in
may have a seeking to the action is
determining whether or not jurisdiction over
claim or make him to subject his
the person of the defendant is required.
interest in the personally interest in a
res and/or liable to pay property to a
personal certain sum corresponding
status. of money, or lien or  Q. How to determine if the proceeding is in
to deliver a obligation rem, in personam or quasi in rem?
thing or to burdening the
perform or res. A. Whether a proceeding is in rem, in
not to personam, or quasi in rem is determined by
perform a its nature and purpose, and by these only
(Domagas vs. Jensen, G.R. No. 158407, January
specific act.
17, 2005).
AS TO SCOPE
Directed Directed Directed  Q. What is a proceeding in personam?
against the against a against
thing itself. particular particular A. A proceeding in personam is a proceeding
persons. persons. to enforce personal rights and obligations
AS TO EFFECT OF JUDGMENT brought against the person and is based on
Binding upon Binding only Binding upon the jurisdiction of the person, although it
Bar Operations 35
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 Purple Notes
Criminal
Remedial
may involve his right to, or the exercise of
ownership of, specific property, or seek to
compel him to control or dispose of it in
accordance with the mandate of the
court(Domagas vs. Jensen, supra).
Examples of Actions Quasi in Rem
a) attachment;
b) foreclosure of mortgage;
c) action for partition; and
d) action for accounting
 Q. Differentiatethe binding effect of quasiin
rem and in rem actions as to third person.
A.Actions in remare actions against the thing
itself. They are binding upon the whole
world.Quasi in remactions are actions
involving the status of a property over which
a party has interest.Quasi in rem actions are
not binding upon the whole world. They
affect only the interests of the particular
parties (De Pedro vs. Romasan Development
Corporation, G.R. No. 194751, November 26,
2014).
 Q. What kind of action is an action for
unlawful detainer or forcible entry?
A. By its very nature and purpose, an action
for unlawful detainer or forcible entry is a
real action and in personambecause the
plaintiff seeks to enforce a personal
obligation or liability on the defendant under
Article 539 of the New Civil Code, for the
latter to vacate the property subject of the
action, restore physical possession thereof to
the plaintiff, and pay actual damages by way
of reasonable compensation for his use or
occupation of the property (Domagas vs.
Jensen, supra).
 Q. What is the importance in determining if
the action is in rem, in personam and quasi
in rem?
A. To determine if jurisdiction over the
person of the defendant is required and the
type of summons to be employed (Gomez vs.
CA, 425 SCRA 98, 103, March 10, 2004).
36
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Research
Commencement of Action (Rule 1, Sec. 5)
A civil action is commenced by:
1. Filing of the original complaint in court;
and,
2. Timely payment of the correct docket fees.
 Q. Is the payment of docket fee necessary?
A. Payment of the full amount of the docket
fee is mandatory and jurisdictional (Ayala
Land, Inc. vs Carpo, G.R. No. 166577, February 3,
2010).
General Rule: The court cannot acquire
jurisdiction over the subject matter of a case,
unless the docket fees are paid (Mercado vs. CA,
G.R. No. 150241. November 04, 2004).
Exception: Liberal application of the rule on
docket fees.
1. The court may allow payment of the fee
within a reasonable period of time but in no
case beyond the applicable prescriptive or
reglementary period; and,
2. The party does not deliberately intend to
defraud the court in payment of docket fees,
and manifests its willingness to abide by the
rules by paying additional docket fees when
required by the court(Reyes vs. People, G.R.
No. 193034, July 20, 2015).
3.
 Q. In what instance does the court may allow
a party to pay the required docket fee if such
party failed to do so at the time of the filing
of the initiatory pleading?
A. Where the initiatory pleading is NOT
accompanied by the payment of the docket
fee, the court may allow payment of the fee
within a reasonable period of time but in no
case beyond the applicable prescriptive or
reglementary period. This ruling is made on
the premise that the plaintiff had
demonstrated his willingness to abide the
rules by paying the additional docket fees
required. Thus, in a more recent case of
United Overseas Bank vs. Ros, the Court
explained that where the party does not
and

deliberately intend to defraud the court in
payment of docket fees, and manifests its
willingness to abide by the rules by paying
additional docket fees when required by the
court, the liberal doctrine and not the strict
regulations will apply (Reyes vs. People, G.R.
No. 193034, July 20, 2015).
Instances when the docket fees need not
be paid at the commencement of the suit
but may be considered as a lien on the
judgment award:
1. A new rule has been added, governing the
awards of claims not specified in the pleading
– i.e., damages arising after the filing of the
complaint or similar pleading – as to which the
additional filing fee therefore shall constitute a
lien on the judgment(Philippine First Insurance
Company, Inc. vs. Pyramid Logistics and Trucking
Corporation, G.R. No. 165147, July 9, 2008);
2. In the case of an indigent litigant;
3. If the plaintiff fails to pay the correct docket
fees within reasonable time before the
expiration of the applicable prescriptive or
reglementary period, the defendant should
timely raise the issue of jurisdiction or else he
would be considered in estoppel(Metropolitan
Bank and Trust Company vs. Perez, G.R. No.
181842, February 5, 2010).
4. When the offended party seeks to enforce civil
liability against the accused by way of moral,
nominal, temperate, or exemplary damages
without specifying the amount thereof in the
complaint or information, the filing fees
thereof shall constitute a first lien on the
judgment awarding such damages (Rule 111,
Sec. 1).
 Q. When does the court acquire jurisdiction
over the case if the filing fees were not
simultaneously paid at the time of its filing?
A. If the fees are not paid at the time of the
filing, the court acquires jurisdiction only
upon full payment of the fees within a
reasonable time as the court may grant,
barring prescription (Ballatan vs. CA, G.R. No.
125683, March 2, 1999).
General Rule: The basis of assessment of the
docket fee should be the amount of damages
sought in the original complaint and not in the
Purple Notes
Criminal
amended
Remedial
complaint (Manchester Development
Corporation vs. Court of Appeals, G.R. No. 75919, May
7, 1987).
In what cases not applicable:
General Rule: These rules shall not apply to:
(NICOLE)
1. Naturalization;
2. Insolvency proceedings;
3. Cadastral;
4. Other cases not provided for in the Rules;
5. Land registration; and
6. Election cases.
Exception: The Rules of Court apply to these
cases only by analogy or in a suppletory
character and whenever practicable and
convenient(Rule 1, Sec. 4).
3.C. CAUSE OF ACTION (Rule 2, Sec. 2)
3.C.1. Meaning of Cause of Action
A cause of action is the act or omission by
which a party violates the rights of another.
 Q. What is the importance of a cause of
action?
A. Having a cause of action would be vital if
one where to seek the aid of the courts.
Without a cause of action, one cannot, as a
rule, seek judicial relief for a violation of
one’s rights. This is because of Section 1,
Rule 2 of the Rules of Court requires that
every ordinary civil action must be based on
a cause of action (Turner vs. Lorenzo Shippine
Corporation, G.R. No. 157479, November 24,
2010; Anchor Savings Bank vs. Furigay, G.R. No.
191178, March 13, 2013).
 Q. What are the elements of a cause of
action?
A. As applied to ordinary civil actions, the
following are the elements of a cause of
action:(ROA)
1. A legal Right in favor of the plaintiff;

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 Purple Notes
Criminal
2. A Remedial
correlative legal Obligation of the CAUSE OF ACTION RIGHT OF ACTION
defendant to respect such right; and statement of alleged given because of the
3. An Act or omission by such defendant in facts. occurrence of the
violation of the right of the plaintiff with alleged facts.
a resulting injury or damage to the Determined by facts Determined by
plaintiff for which the latter may maintain alleged in the substantive law(De
complaint. Guzman vs. CA, G.R.
an action for the recovery of relief from
Nos. 92029-30,
the defendant (Metropolitan Bank and Trust December 20, 1990).
Company vs. Ley Construction and Matter of procedure. Matter of right.
Development Corporation, G.R. No. 185590,
Not affected by Affected by
December 3, 2014). affirmative defense. affirmative defense.

3.C.2. Distinguish: Right of Action and 3.C.3. Distinguish: Failure to State a Cause
Cause of Action of Action and Lack of Cause of
Action
Right of Action
Failure to State a Cause of Action
It is the remedial right or right to relief granted
by law to a party to institute an action against a It is a defect or an insufficiency in the statement
person who has committed a delict or wrong of the cause of action or the allegations in the
against him(Multi-Realty Dev’t Corp vs. The Makati pleading, i.e., not all the elements of a particular
Tuscany Condominium Corp., G.R. No. 146726, June
cause of action are alleged(Zuñiga-Santos vs.
16, 2006).
Santos-Gran, G.R. No. 197380, October 8, 2014).
Elements of Right of Action:
Failure to State a Cause of Action vs. Lack
of Cause of Action [Regalado, Remedial Law
1. Existence of a cause of action or compliance Compendium, Volume I, 9th Revised Ed. (2005)]
with all conditions precedent to the bringing
of the action; and, FAILURE TO STATE A LACK OF CAUSE OF
2. Right to bring and maintain the action must CAUSE OF ACTION ACTION
be in the person instituting it (Turner vs. Refers to the Refers to a situation
Lorenzo Shipping, G.RO. No. 157479, November insufficiency of the where the evidence
24, 2010). pleading. does not prove the
cause of action alleged
in the pleading.
Provided in Sec. 12 of Provided in Sec. 5 of
Rule 8. Rule 10.
Remedy is to allege in Remedy is to file a
Cause of Action vs. Right of Action
the Answer as an demurrer to the
affirmative defense evidence.
CAUSE OF ACTION RIGHT OF ACTION Failure to raise May be raised at any
Delict or wrongful Right to relief theaffirmative defenses time after the questions
act or omission granted by law to a at theearliest of fact have been
committed by the party to institute an opportunity resolved on the basis of
defendant in action against a shallconstitute a waiver the stipulations,
violation of the person who has thereof admissions, or evidence
primary rights of the committed a delict or presented.
plaintiff. wrong against him.
The reason for the The remedy afforded
3.C.4. Test of the sufficiency of a Cause of
action. to the aggrieved
party.
Action

 Q. What is the test to determine if the

The formal Right to litigate is complaint states sufficient cause of action?
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38 Center for Legal Education and

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A.1. In determining whether an initiatory
pleading states a cause of action, “the test is
as follows: Admitting the truth of the facts
alleged, can the court render a valid
judgment in accordance with the prayer?” To
be taken into account are only the material
allegations in the complaint; extraneous facts
and circumstances or other matters aliunde
are not considered (Zepada vs. China Banking
Corporation, G.R. No. 172175, October 09, 2006).
A.2. In determining whether or not a cause
of action is sufficiently stated in the
complaint, the statements in the complaint
are to be considered. It is error for the court
to take cognizance of external facts or to
hold preliminary hearings to determine the
existence (Diaz vs. Diaz, G.R. No. 135885, April
28, 2000).
A.3. The sufficiency of the statement of the
cause of action must appear on the face of
the complaint and its existence may be
determined only by the allegations in the
complaint, consideration of other facts being
proscribed and any attempt to prove
extraneous circumstances not being allowed
(Viewmaster Construction Corporation vs. Roxas,
G.R. No. 133576, July 13, 2000).
3.C.5. Splitting a single cause of action and
its effects
Splitting a Single Cause of Action
Is the act of instituting two or more suits on the
basis of the same cause of action (Rule 2, Sec. 4).
 Q. How splitting a cause of action is made?
A. In splitting a cause of action, the pleader
divides a single cause of action, claim or
demand into two or more parts and brings a
suit for each part. This cannot be done
because splitting a single cause of action is
expressly prohibited by the Rules of Court
which specially mandates that, “A party may
not institute more than one suit for a single
cause of action” (Rule 2, Sec. 3; Riviera Golf
Club, Inc. vs. CCA Holdings, B.V., G.R. No.
173783, June 17, 2015).
Purple Notes
Criminal

Remedial
Q. Why splitting a cause of action prohibited?
A. Splitting of a single cause of action
violates the policy against multicity of suits,
whose primary objective is to avoid
burdening the dockets of the court (Dynamic
Builders & Construction Co., Inc. vs. Presbitero,
Jr., G.R. No. 174202, April 7, 2015).
Effect of Splitting a Single Cause of Action
The filing of one suit or a judgment upon the
merits on any one suit is a ground for the
dismissal of the others(Rule 2, Sec. 4).
Remedies Available Against Splitting a
Single Cause of Action:
1. File a motion to dismiss
a) If the first complaint is still pending, said
motion shall be on the ground of LITIS
PENDENTIA [Rule 15, Sec. 12 (a)(2)]; or
b) If any of the complaints is terminated by
final judgment, the motion to dismiss shall
be on the ground of RES JUDICATA [Rule
15, Sec. 12(a)(3)].
2. File an answer, alleging either of the above-
cited grounds as affirmative defense.
One Suit for a Single Cause of Action (Rule 2,
Sec. 3)
This rule applies even when several rights,
belonging to one person, are violated.
All such rights violated, belonging to the same
person, should be alleged in a single complaint.
Otherwise, they are barred forever.
Tests to ascertain whether two suits relate
to a single or common cause of action:
1. Whether the same evidence would support
and sustain both the first and second causes
of action (also known as the “same evidence”
test);
2. Whether the defenses in one case may be
used to substantiate the complaint in the
other; and
3. Whether the cause of action in the second
case existed at the time of the filing of the
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 Purple Notes
Criminal
first Remedial
complaint (Umale vs. Canoga Park
Development Corporation, G.R. No. 167246, July 3. Where the causes of action are between the
20, 2011). same parties but pertain to different venues
or jurisdiction, the joinder may be allowed in
Rules in Case of Divisible Contracts the RTC provided one of the causes of action
fall within the jurisdiction of said court and the
General Rule: A judgment for any single breach venue lies therein; and
of a continuing contract is NOT a bar to a suit for
a subsequent breach. 4. Totality Rule - Where the claims in the
causes of action are principally for the
The filing of a complaint under divisible contract recovery of money, the aggregate amount
covers all the previous ones in one cause of claimed shall be the test of jurisdiction (Rule 2,
action. Sec. 5). This is irrespective of which causes of
action arose out of the same or different
Exception: transaction.

Doctrine of Anticipatory Breach– even if the When Totality Rule Applies

contract is divisible in its performance and the
future periodic deliveries are not yet due, if the 1. In actions where the jurisdiction of the court
obligor has already manifested his refusal to is dependent on the amount involved.
comply with his future periodic obligations, "the
contract is entire and the breach total." Hence, Note: The test of jurisdiction shall be the
there can only be one action for damages. aggregate sum of all the money demands,
(DANFOSS, Inc. vs. Continental Cement Corporation, exclusive of interest and costs, irrespective of
G.R. No. 143788, September 9, 2005).
whether or not the separate claims are owned by
or due to different parties. If any demand is for
3.C.6. Joinder and Misjoinder of Causes of damages in a civil action, the amount thereof
Action must be alleged.
Joinder of Causes of Action 2. In cases where there are two or more
(Rule 2, Sec. 5)
plaintiffs having separate causes of action
against two or more defendants joined in a
A party may, in one pleading assert, in the
complaint.
alternative or otherwise, as many causes of
action as he may have against an opposing party
3. In cases where a plaintiff has separate
causes of action against two or more
Conditions for Joinder of Causes of Action:
defendants joined in a complaint.
1. The party joining the causes of action must
Note: For the Totality Rule to apply in cases
comply with the rules on Joinder of Parties,
provided for under (2) and (3), it is necessary
such that:
that:
a. The right of relief arises out of the same
transaction or series of transactions;
1. The causes of action arose out of the same
b. There is a question of law or fact common
transactions or series of transactions; and,
to all such plaintiffs or defendants;
2. There is a common question of law or fact.
c. Such joinder is not otherwise proscribed by
the provisions of the Rules on jurisdiction
 Q. In what instance wherein Joinder of
and venue (Regalado, F.D., Remedial Law
Compendium, Volume 1, p. 91);
Ordinary Civil Action and Special Action is
Allowed?
2. The joinder shall NOT include special civil
actions or actions governed by special rules;
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40 Center for Legal Education and

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A. To begin with, petitioner could have joined
together all his allegations of error in one
petition for review under Rule 45 of the 1997
Rules of Civil Procedure since only questions
of law are raised in the instant case. At any
rate, there is nothing irregular in joining both
petitions for review (Rule 45) and
certiorari(Rule 65) in one pleading for
purposes of resolving the issues raised by
petitioner G & S. This procedural step may
even avoid inconsistency of rulings which
might result in case the writ of preliminary
injunction is validated but the civil case from
which the writ emanated is ordered
dismissed. Although a petition for review
under Rule 45 is an appeal process while a
petition for certiorari under Rule 65 is an
original action and the rule is that joinder of
causes of action shall not include special civil
actions governed by special rules, the
conceptual and procedural differences
between them are overshadowed by the
more significant probability of divergent
rulings in case the two (2) petitions are not
joined which in the end would only cause
difficulties in determining which of the
conflicting decisions should be enforced (G &
S Transport Corporation vs. Court of Appeals, G.R.
No. 120287, May 28, 2002).
SPLITTING OF CAUSE JOINDER OF
OF ACTION CAUSE OF ACTION
There is a single cause of Contemplates
action. several causes of
action.
PROHIBITED, as it ENCOURAGED, as it
causes multiplicity of minimizes
suits and double vexation multiplicity of suits
on the part of the and inconvenience
defendant. to the parties.
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(Rule 2, Sec. 6).
Remedy
The court may drop the causes of action not
within its jurisdiction and retain the ones it can
handle, either motu proprio or upon motion of
the parties.
Purple Notes
Criminal
There is no
Remedial
sanction against non-joinder
of
separate causes of action since a plaintiff only
needs a single cause of action to maintain an
action(Rule 2, Sec. 3).
3.D. PARTIES TO CIVIL ACTIONS
There are two main categories of parties to a civil
action namely, the plaintiff and the defendant
(Rule 3, Sec. 1).
3.D.1. Real Parties in Interest;
Indispensable Parties; Representatives as
Parties; Necessary Parties; Alternative
Defendants
Requirements for a person to be a party to
a civil action:
1. He must be a:
a. Natural person;
b. Juridical person; or
c. Entity authorized by law;
2. He must have legal capacity to sue; and
3. He must be a real party-in-interest (Herrera,
Vol. I, p. 504, 2007 ed.).
Real Party-in-Interest is one who stands to be
benefited or injured by the judgment in the suit,
or the party entitled to the avails of the suit.
General Rule: Every action must be
prosecuted or defended in the name of the
real party-in-interest.
Exception: When otherwise authorized by
law or the rules(Philippine Numismatic vs. Aquino
et al., G.R. No. 206617, January 30, 2017; Rule 3,
Sec. 2).
Remedy if the suit is not in the name of or
against the real party-in-interest:
Allege in the Answer as an affirmative defense
that the complaint states no cause of action.
Remedy if one party in the suit is not a real
party in interest:
1. Upon motion of a party, the court may drop
or add a party by order; or,
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Commissions 41
 Purple Notes
Criminal
2. 2. Upon Remedial
its own initiative,
the court may
drop the name of a misjoined party.
Note: This may be done at any stage of the
proceeding(Riano, Civpro vol. 1 Bar Lecture
Series, 2016 ed., p 230).
 Q. Who is a real party in interest?
A. “Interest” within the meaning of the
Rules of Court means material interest or an
interest in issue to be affected by the decree
or judgment of the case, as distinguished
from mere curiosity about the question
involved. A real party in interest is the party
who, by the substantive law, has the right
sought to be enforced (Ang vs. Sps Ang, G.R.
No. 186993, August 22, 2012).
Classification of Parties-in-Interest
1) Indispensable Parties
An indispensable party is a party in interest
without whom no final determination can be had
of an action, and who shall be joined either as
plaintiffs or defendants.
 Q. What is the effect of failure to implead an
indispensable party in a suit?
A.1. The joinder of indispensable parties is
mandatory. Thus, without the presence of
indispensable parties to a suit or proceeding,
judgment of a court cannot attain real
finality. The absence of an indispensable
party renders all subsequent actions of the
court null and void for want of authority to
act, not only as to the absent parties but
even as to those present (Lotte Phil. Co., Inc.
vs. Dela Cruz etl.al., G.R. No. 166302. July 28,
2005).
A.2. The joinder of indispensable parties is
not a mere technicality. We have ruled that
the joinder of indispensable parties is
mandatory and the responsibility of
impleading all the indispensable parties rests
on the plaintiff. In Domingo vs. Scheer, we
ruled that without the presence of
indispensable parties to the suit, the
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42 Center for Legal Education
Research
judgment of the court cannot attain real
finality. Otherwise stated, the absence of an
indispensable party renders all subsequent
actions of the court null and void for want of
authority to act not only as to the absent
party but even as to those present (Tumagan
vs. Kairuz, G.R. No. 198124, September 12, 2018).
 Q. Is failure to implead indispensable party in
a suit an incurable error?
A. The Court clarified that the failure to
implead indispensable parties is a curable
error (Pacaña-Contreras vs. Rovila Water Supply,
G.R. No. 168979, December 2, 2013).
 Q. What will be the recourse of the court in
case there is a failure to include an
indispensable party in a suit?
A. The court, either motu proprio or upon the
motion of a party, may order the inclusion of
the indispensable party or give the plaintiff
opportunity to amend his complaint in order
to include indispensable parties. If the
plaintiff to whom the order to include the
indispensable party is directed refuses to
comply with the order of the court, the
complaint may be dismissed upon motion of
the defendant or upon the court's own
motion (Navarro vs. Escobido, G.R. No. 153788,
November 27, 2009).
 Q. How to determine if a party is not an
indispensable party?
A. A party is not indispensable to the suit if
his interest in the controversy or subject
matter is distinct and divisible from the
interest of the other parties and will not
necessarily be prejudiced by a judgment
which does complete justice to the parties in
court (China Bank vs. Oliver, G.R. No. 135796,
October 3, 2002).
Co-Owners as Indispensable Parties
General Rule: Co-owners are indispensable
parties (Divinagracia vs. Parilla et al., G.R. No.
196750, March 11, 2015, citing Sec. 1 of Rule 69).
and
 Purple Notes
Criminal
Qualification: Co-owners are only indispensable
Remedial
INDISPENSABLE NECESSARY
parties-defendants; they are NOT indispensable PARTIES(Rule 3, Sec. PARTIES(Rule 3, Sec. 8
parties-plaintiffs(Marmo vs. Dacanay, GR No. 182585 7) and 9)
November 27, 2009). The action cannot The action can proceed
proceed unless they even in the absence of
are joined. Their some necessary parties.
Under this qualification, a co-owner may bring an presence is sine qua
action without joining all the other co-owners as non for the exercise of
co-plaintiffs (Catedrilla vs. Lauron, G.R. No. 179011, judicial power.
April 15, 2013). However, if an action is filed No valid judgment if Case may be determined
against the co-owners, ALL of them must be indispensable party is in court even if a
joined as defendants. not joined. necessary party is not
joined but the judgment
Exception: When there is a contract which therein will not resolve
makes the co-owners solidarily liable. In this the entire controversy.
They are those with They are those whose
case, ONLY ONE of the co-owners is an
such an interest in the interests are so far
indispensable party-defendant. controversy that a final separable that a final
decree would decree can be made in
 Q. In a contract of loan with a stipulation necessarily affect their their absence without
that the debtors will be solidary liable to the rights. affecting them.
creditor, may the creditor initiate a suit
against any of the debtor? 3) Representative Party
 A. Article 1216 of the Civil Code states that
Representative party is someone acting in a
the creditor may proceed against anyone of
fiduciary capacity for, or in behalf of, the principal
the solidary debtors or some or all of them
or beneficiary(Rule 3, Sec. 3).
simultaneously (De Castro vs. CA, G.R. No.
115838. July 18, 2002).
Who May Be Made a Representative?
2) Necessary Parties
 Trustee of an express trust;
Necessary Parties are those who are not  Guardian;
indispensable but ought to be parties if complete  Executor or Administrator; or
relief is to be accorded to those already parties,  Any party authorized by law or by the Rules
or for a complete determination or settlement of of Court.
the claim subject of the action (Rule 3, Sec. 8).
Minor or incompetent persons may sue or be
 Q. Why are indispensable and necessary sued BUT with the assistance of his father,
parties considered as real parties in interest mother, guardian, or if none, a guardian ad
in a suit? litem(Rule 3,Sec. 5).

A. Both indispensable and necessary parties
are considered as real parties in interest,
since both classes of parties stand to be
benefited or injured by the judgment of the
suit (Pacaña-Contreras vs. Rovila Water Supply,
G.R. No. 168979, December 2, 2013).
A person need not be judicially declared
incompetent in order that the court may appoint
a guardian ad litem. It is enough that he be
alleged to be incompetent.
In case of supervening incapacity or
incompetency of a party, the action shall
continue to be prosecuted by or against that
party personally and NOT through his
representative, since he continues to be the real
party in interest although assisted by his
guardian.

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 Purple Notes
Criminal
General Rule:Remedial
An agent may sue or be sued 6. Actions involving the property of a
without joining the principal if he acted: spouse under the regime of separation
of property (Article 145, Family Code).
a) In his own name, and,
b) For the benefit of an undisclosed Remedy if there is failure to implead one of
principal. the spouses: Amendment of the complaint.

Exception: When the contract involves 5) Quasi-Parties are those in whose behalf a
things belonging to the principal (Rule class or representative suit is brought (Rule 3, Sec.
3,Sec. 3). 12,).

4) Pro forma Party 6) Indigent Party

One that is required to be joined as a co-party in Party who has no money or property sufficient
a suit by or against another party, as may be and available for food, shelter and basic
provided by the applicable substantive law or necessities for himself and his family (Rule 3, Sec.
procedural rule (Rule 3,Sec. 4). 21).

A nominal or pro forma party is one who is
joined as a plaintiff or defendant, not
because such party has any real interest in
the subject matter or because any relief is
demanded, but because the technical rules
of pleadings require the presence of such
party on the record.
To litigate as an indigent party, authority may be
granted upon an ex parte application and
hearing. However, it may be contested at any
time before judgment is rendered.
Authority to litigate as an indigent shall include
an exemption:

General Rule: Spouses should sue and be 1. From the payment of docket fees; and,
sued together as they are both 2. From the payment of transcript of
administrators of their community property stenographic notes.
or conjugal partnership property(Villarama
vs. Guno, GR No. 197514, August 6, 2018) . Important: Cross-refer to Sec. 18, Rule
141(2016 Bar).
Exception: Those provided by law:
Indigent-Litigants under Rule 141:
1. Petition for receivership;
2. Petition for judicial separation of a) Those whose gross income and that of their
property; immediate family do not exceed an amount
3. Petition for authority to be the sole double the monthly minimum wage of an
administrator of the absolute employee; and,
community; b) Those who do not own real property with a
4. When a spouse, without just cause, fair market value as stated in the current tax
abandons the other or fails to comply declaration of more than Php. 300,000.
with his or her obligations to the family
with respect to marital, parental or The legal fees shall be a lien on any judgment
property relations (Article 101 and 128, rendered in the case favorably to the indigent
Family Code); litigant, unless the court otherwise provides.
5. Actions involving the mortgage,
encumbrance, alienation or other To be entitled to the exemption, the litigant shall
disposal of a spouse’s exclusive property execute an affidavit that he and his immediate
(Article 111, Family Code); family do not earn a gross income

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abovementioned, nor they own any real property
with the assessed value aforementioned.
An affidavit of a disinterested person must attest
to the truth of the litigant's affidavit.
Any falsity in the affidavit of a litigant or
disinterested person shall be sufficient cause to
strike out the pleading of that party, without
prejudice to whatever criminal liability may have
been incurred(Rule 141, Sec. 19). 
Alternative Defendant – The party sued, as a
substitute of another, when the plaintiff is
uncertain of whom to sue, although a right to
relief against him may be inconsistent with
another (Rule 3,Sec. 13).
In case where there are defendants with
unknown identity, the complaint shall be
amended to indicate the correct name of the
defendants after knowing the same (Rule 3,Sec.
14).
Plaintiff - One who has an interest in the
subject matter of the action or in obtaining the
relief demanded.
Note: An unwilling co-plaintiff shall be made a
defendant and the reason therefore shall be
stated in the complaint (Rule 3,Sec. 10).
Defendant - One who claims an interest in the
controversy or the subject thereof adverse to the
plaintiff, or who ordinarily should be joined as a
plaintiff but who does not consent thereto, the
reason therefore being stated in the complaint.
 Q. How may a party implead an unwilling
plaintiff?
A.1. Before a party may be considered as
unwilling plaintiff, it must be shown that said
party is made aware of the filing of the
complaint.
A.2. It is true that an unwilling party plaintiff
may be joined as a defendant but this must
be set out at the inception of the complaint.
Even if, for the sake of argument, that this
joinder may be made via an amendment, the
allegations of the complaint do not clearly
indicate that the case involves a party who
Purple Notes
Criminal
Remedial
refuses to give her consent to be joined as a
plaintiff. As revealed in open court during the
hearing on the incidents, the plaintiff
Encarnacion CleaofasVda. de Biglang Awa
has not been made aware at all of the filing
of the complaint and of the reasons
therefore. It may not therefore be correctly
said that she was an unwilling co-plaintiff
(RTC decision in Biglang-awa vs. Philippine Trust
Company, G.R. No. 158998, March 28, 2008).
3.D.2.Compulsory and Permissive Joinder
of Parties
General Rule: Permissive(Rule 3, Sec. 6)
Exception: Compulsory only when parties
involved are indispensable parties(Rule 3, Sec. 7).
Exceptions to the Exception:
1. Class suits, where it would be impractical to
include all the names of the members of the
class in the action; or,
2. When the inclusion of an indispensable party
is merely a formality.
Examples
 Co-owners are not indispensable parties in
case one of them appoints an agent, as their
obligation is solidary.
 Art. 1915, NCC. If two or more persons
have appointed an agent for a common
transaction or undertaking, they shall be
solidarily liable to the agent for all the
consequences of the agency.
The rule in this article applies even when the
appointments were made by the principals in
separate acts, provided that they are for the
same transaction. The solidarity arises from
the common interest of the principals, and
not from the act of constituting the agency.
By virtue of this solidarity, the agent can
recover from any principal the whole
compensation and indemnity owing to him
by the others. The parties, however, may,
by express agreement, negate this solidary
responsibility. The solidarity does not
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 Purple Notes
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disappear Remedial
by the mere partition effected by
the principals after the accomplishment of
the agency. X xx When the law expressly
provides for solidarity of the obligation, as in
the liability of co-principals in a contract of
agency, each obligor may be compelled to
pay the entire obligation. The agent may
recover the whole compensation from any
one of the co-principals (De Castro vs. CA,
G.R. No. 115838. July 18, 2002, supra).
 Co-owners are neither indispensable nor
necessary parties in case one of them brings
an action for recovery of co-owned property.
 Q. Are all co-owners, in a suit for recovery of
a co-owned property, indispensable parties?
A.1. In suits to recover properties, all co-
owners are real parties in interest. However,
pursuant to Article 487 of the Civil Code and
relevant jurisprudence, any one of them may
bring an action, any kind of action, for the
recovery of co-owned properties. Therefore,
only one of the co-owners, namely the co-
owner who filed the suit for the recovery of
the co-owned property, is an indispensable
party thereto. The other co-owners are not
indispensable parties. They are not even
necessary parties, for a complete relief can be
accorded in the suit even without their
participation, since the suit is presumed to
have been filed for the benefit of all co-
owners(Navarro vs. Escobido, G.R. No. 153788,
November 27, 2009).
A.2. A co-owner may bring such an action,
without the necessity of joining all the other
co-owners as co-plaintiffs, because the suit is
deemed to be instituted for the benefit of all.
If the action is for the benefit of the plaintiff
alone, such that he claims possession for
himself and not for the co-ownership, the
action will not prosper(Catedrilla vs. Lauron, G.R.
No. 179011, April 15, 2013).
Permissive Joinder of Parties
The rule on permissive joinder of parties
enunciates that parties can either be joined in
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one single complaint or may themselves maintain
or be sued in separate suits.
Requisites:
1. The right to relief arose out of the same
transaction or series of transactions;
2. There is a question of law or fact common to
all the plaintiffs or defendants; and,
3. Such joinder is not otherwise proscribed by
the provisions of the Rules of Court on
jurisdiction and venue (Regalado, F.D., Remedial
Law Compendium, Volume 1, p. 91).
4.
Series of Transactions – separate dealings
with the parties but all of which dealings are
directly connected with the same type of subject
matter of the suit. Parties can either be joined in
one single complaint or may themselves maintain
or be sued in separate suits(Regalado).
The rule also applies to counterclaims.
3.D.3. Misjoinder and Non-Joinder of
Parties
Misjoinder and/or non-joinder of Parties is not a
ground for dismissal of the action (Rule 3, Sec.
11).
A party is misjoined when he is made a party to
the action although he should not be impleaded.
A party is not joined when he is supposed to be
joined but is not impleaded in an action (Riano,
Civil Procedure Vol. I, 2016 ed., p. 230).
Remedy when there is misjoinder: Motion to
Strike the names of the parties impleaded
(objection to be raised at the earliest opportunity,
i.e. the moment defect becomes apparent; it
cannot be raised for the first time on appeal).
A separate action should be brought against the
party misjoined.
Parties may be dropped or added by order of the
court on motion of any party or on its own
initiative at any stage of the action and on such
terms as are just. (Rule 3, Sec. 11).The failure to
obey the order of the court to drop or add a
party is a ground for the dismissal of the
Education and

complaint under Rule 17, Sec. 3 of the Rules of
Court (Riano Civil Procedure Vol. I, 2016, Page 230-
231).
Effect of Non-joinder of indispensable
parties: It renders all subsequent actions of the
court null and void for want of authority to act,
not only as to the parties absent BUT even as to
those present.
Effect of Non-joinder of necessary parties:
Non-joinder of necessary parties does not
prevent the court from proceeding in the action,
and the judgment rendered therein shall be
without prejudice to the rights of such necessary
party.
What should the pleader do if a necessary
party is NOT joined?
He shall set forth the name of such necessary
party, if known, and the reason for the latter’s
omission (Rule 3, Sec. 9).
Should the court find the reason for the omission
unmeritorious, it may order the inclusion of the
omitted necessary party, if jurisdiction over his
person may be obtained.
Failure to comply with such order, without
justifiable cause, shall be deemed a waiver of the
claim against such party(Rule 3, Sec. 9).
3.D.4. Class Suit
A suit brought by a number of persons
sufficiently numerous and representative so as to
fully protect the interests of all concerned, who
are so numerous that it is impracticable to join all
as parties, and the subject matter of the
controversy is one of common or general interest
to them.
 Q.Can minors and generations yet unborn
be represented in a class suit?
A. The court finds no difficulty in ruling that
they can, for themselves, for others of their
generation and for the succeeding
generations, file a class suit. Their
personality to sue in behalf of the
succeeding generations can only be based
on the concept of inter-generational
responsibility insofar as the right to a
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Remedial
balanced and healthful ecology is concerned.
Such a rightconsiders the “rhythm and
harmony of nature.” Needless to say, every
generation has a responsibility to the next to
preserve that rhythm and harmony for the
full enjoyment of a balanced and healthful
ecology. Put a little differently, the minors’
assertion of their right to a sound
environment constitutes, at the same time,
the performance of their obligation to ensure
the protection of that right for the
generations to come (Oposa vs. Factoran, G.R.
No. 101083, July 30, 1993).
Requisites of a Class Suit:(CNRA)
1. The subject matter of the controversy must
be of Common or general interest to many
persons;
2. The persons are so Numerous that it is
impracticable to join all of them as parties;
3. The parties actually before the court are
sufficiently numerous and Representative as
to fully protect the interests of all
concerned; and
4. The representatives sue or defend for the
benefit of All (Rule 3, Sec. 12; Banda vs.
Ermita, G.R. No. 166620, April 20, 2010).
 Q. Is there a class suit in an ejectment case
if there are numerous occupants in the
subject parcel of land?
A.A class suit will not lie when the numerous
occupants of a parcel of land are sued for
ejectment from the land because their
interest is not common to all. The interest of
each defendant is only with respect to the
portion he claims and occupies (Sulo ng Bayan,
Inc. vs Araneta, G.R. No. L-31061, August 17,
1976).
 Q. May a class suit be instituted on behalf of
all commmuters and motorists who will be
prejudiced by the closure and excavation of
road?
A.In this case, the suit is clearly one that
benefits all commuters and motorists who
use La Paz Road. As succinctly stated by the
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 Purple Notes
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CA: The Remedial
subject matter of the instant case, 7, the death occurs after judgment has become
i.e., the closure and excavation of the La Paz final and executory.
Road, is initially shown to be of common or
general interest to many persons. The  Q. Will the attorney-client relationship still
records reveal that numerous individuals subsist in case the client dies?
have filed manifestations with the lower
court, conveying their intention to join A. The death of the client extinguishes the
private respondents in the suit and claiming attorney-client relationship and divests the
that they are similarly situated with private counsel of his authority to represent the
respondents for they were also prejudiced by client. Accordingly, a dead client has no
the acts of petitioners in closing and personality and cannot be represented by an
excavating the La Paz Road. Moreover, the attorney (Laviña vs. CA, G.R. No. 78295 & 79917,
individuals sought to be represented by April 10, 1989).
private respondents in the suit are so
numerous that it is impracticable to join them  Q. Does the counsel of the deceased become
all as parties and be named individually as the counsel of his heirs upon his death?
plaintiffs in the complaint. These individuals
claim to be residents of various barangays in A. No, the counsel will not become the
Biñan, Laguna and other barangays in San counsel of the heirs of the deceased unless
Pedro, Laguna (Juana Complex I Homeowners’ his services are engaged by said heirs (Lawas
Assoc., Inc. et al., vs. Fil-Estate Land, Inc., et al., vs. CA, G.R. No. L-45809,December 12, 1986).
G.R. No. 152272, March 5, 2012).
Substitution by Heirs of the Deceased
3.D.5. Suits Against Entities Without
Juridical Personality The heirs of the deceased may be allowed to be
substituted for the deceased, WITHOUT requiring
Persons associated in an entity without juridical the appointment of an executor or administrator
personality may be sued under the name by and the court may appoint a guardian ad litem
which they are generally or commonly known, for the minor heirs.
but they cannot sue under such name (Rule 3, Sec.
15). The court shall forthwith order said legal
representative or representatives to appear and
Note: Summons to one of them is valid service be substituted within a period of thirty (30) days
of summons to all of them (see discussion on from notice.
Summons).
ACTION THAT ACTION THAT DOES
3.D.6. Effect of Death of a Party Litigant; SURVIVES NOT SURVIVE
Duty of Counsel (Rule 3, Sec. 16) The wrong complained It is one where
of affects primarily property or property
property and property rights are merely
Whenever a party to a pending action dies, and
rights. The injuries to incidental (e.g.,
the claims not thereby extinguished, it shall be the person are merely Annulment of Marriage,
the duty of the counsel to inform the court within incidental. Declaration of Nullity of
thirty (30) days after such death of the fact Marriage). The injury
thereof, and to give the name and address of his complained of is to the
legal representative or representatives. person.
Upon the death of a Upon the death of a
Failure of counsel to comply with this duty shall party, he is succeeded party, the case is
be a ground for disciplinary action. by the estate. Thus, in dismissed.
procedure, a person
never dies; he continues
Note: In Rule 3, Sec. 16, the death of a party is in his estate.
pendente lite. On the other hand, in Rule 39, Sec.

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Note: Estate is the
totality of ALL the assets
AND liabilities of the
decedent.
(Cruz vs. Cruz, GR No. 173292, September 1, 2010.)
When There is No Legal Representative
The court may order the opposing party to
appoint an executor or administrator when:
a) The counsel for the deceased does not name
a legal representative; or,
b) There is a representative named but he failed
to appear within the specified period (Rule 3,
Sec. 16)
Note: The executor or administrator shall
immediately appear for and on behalf of the
deceased.
The court charges in procuring such
appointment, if defrayed by the opposing party,
may be recovered as costs.
Substitute Defendant Need NOT
Summoned
Order of substitution shall be served upon the
parties to acquire jurisdiction over the substitute.
If the action does not survive (like the purely
personal action of support, annulment of
marriage and legal separation), the court shall
simply dismiss the case.
When the action is for the recovery of money
arising from contract and the defendant dies
before entry of final judgment, the court shall not
dismiss the suit. It shall continue and his legal
representative or legal heir shall substitute the
deceased. If the plaintiff obtains a favorable
judgment, said judgment shall be enforced as a
money claim against the estate of the deceased
(Rule 3,Sec. 20).
Effect of Transfer of Interest
General Rule: The action may be continued by
or against the original party.
Exception: When the court, upon motion,
directs the person to whom the interest is
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Criminal
transferred to
Remedial
be substituted in the action or
joined with the original party (Rule 3, Sec. 19)
 The substitution of parties in this case is not
mandatory but only permissive.
 A transferee pendente lite is a proper party
and not an indispensable party.
 If the transfer was effected before the
commencement of the suit, the transferee
must necessarily be a party to the case.
 But said party may file a third-party
complaint and implead the transferor in the
action whenever the same is necessary for
the complete determination of all the rights
of the parties.
Death or Separation of a Public Officer
1. The public officer is a party in an action in his
official capacity;
2. During the pendency of the action, the public
officer dies, resigns or otherwise ceases to
hold office;
3. Within 30 days after the successor takes
office or such time as may be granted by the
Be
court, it is satisfactorily shown by any party
that there is a substantial need for continuing
or maintaining the action and that the
successor adopts or continues or threatens to
adopt or continue the action of his
predecessor;
4. Before substitution, proper notice must be
given to the officer to be affected and he
must be accorded an opportunity to be
heard(Rule 3, Sec. 17).
Consequence: The action may be continued
and maintained by or against the successor.
Action on Contractual Money Claims (Rule 3,
Sec. 20)
1. The action is for recovery of money arising
from contract, express or implied; and
2. The defendant dies BEFORE entry of final
judgment in the court in which the action
was pending at the time of such death.
Consequences:
 The case shall NOT be dismissed. Instead, it
will continue until entry of final judgment.

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 A favorableRemedial
judgment obtained by the plaintiff JURISDICTION VENUE
shall be enforced in a manner especially A matter of A matter of procedural
provided for prosecuting claims against the substantive law. or adjective law.
estate of a deceased person (See: Rule 86). Conferred by law or May be conferred by the
the Constitution and act or agreement of the

cannot be otherwise parties.
 In case the property of the deceased has
agreed upon by the
been attached, the writ of attachment will parties.
NOT be dissolved but will entitle the Cannot be waived; May be waived.
judgment-creditor to preference over other except jurisdiction over
creditors against the estate. the person.
 Establishes a relation Establishes a relation
 When a party to a pending action dies and the between the court and between the plaintiff
claim is not extinguished, the Rules of Court the subject matter. and the defendant.
require a substitution of the deceased. The Limitation on the Limitation on the court.
plaintiff.
procedure is specifically governed by Sec.16
Deals with substance. Matter of convenience.
of Rule 3.
Courts may motu Courts may not motu

proprio dismiss a case proprio dismiss a case
 The Court has nullified not only trial for lack of jurisdiction. on ground of improper
proceedings conducted without the venue.
appearance of the legal representatives of the
deceased, but also the resulting judgments. In Note: The parties may stipulate on the venue as
those instances, the courts acquired no long as the agreement is:
jurisdiction over the persons of the legal
representatives or the heirs upon whom no a) in writing;
judgment was binding. b) made before the filing of the action, and
c) exclusive as to the venue.
3.E. VENUE
3.E.1. Venue of Real Actions (Rule 4, Sec. 1)
It is the place, or the geographical area, in which
a court with jurisdiction may hear and determine The venue of real actions is the place where the
a case, or the place where a case is to be tried. property involved, or a portion of it is situated.

 Q. What is the purpose of venue?
A. The rules on venue, like other procedural
rules, are designed to insure a just and
orderly administration of justice or the
impartial and evenhanded determination of
every action and proceeding. Obviously, this
objective will not be attained if the plaintiff is
given unrestricted freedom to choose where
to file the complaint or petition (Mangila vs.
Court of Appeals, G.R. No. 125027, August 12,
2002).
Jurisdiction vs. Venue
(Riano, Civil Procedure, Vol. I, 2016 ed., p. 147)
JURISDICTION VENUE
The authority to hear The place where the
and determine a case. case is to be instituted;
deals with locality.
50
The rule on venue of real actions covers actions
pertaining to title or possession of real property
or interest therein.
 Venue if it involves property located at
the boundary of 2 places: File a case in
either place at the option of the plaintiff.
 Venue if case involves 2 properties
located in 2 different places:
 If the properties are the object of the
same transaction: file it in any of the 2
places.
 If the properties are the subject of 2
distinct transactions: separate actions
should be filed in each place unless
properly joined.

50 Center for Legal Education and

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 Purple Notes
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defendant is
Remedial
the one who resides in the
 In case of forcible entry and unlawful Philippines?
detainer, the action shall be commenced and
tried in the MTC of the municipality or city A.The plaintiff in this action has no residence
wherein the real property or a portion thereof in the Philippine Islands. Only one of the
is situated(Rule 4, Sec. 1). parties to the action resides here. There can
be, therefore, no election by plaintiff as to
3.E.2. Venue of Personal Actions (Rule 4,Sec. the place of trial. It must be in the province
2) where the defendant resides (Ang vs. Sps.
Ang, G.R. No. 201675, June 19, 2013).
The venue of personal actions is the place where
the plaintiff or any of the principal plaintiffs or 3.E.4. When the Rules on Venue Do Not
where the defendant or any of the principal Apply (Rule 4,Sec. 4)
defendants reside, at the election of the plaintiff.
The Rules do not apply:
 Q. Is an action to recover deficiency of
balance after the extrajudicial foreclosure of a. In those cases where a specific rule or law
the real property a real or personal action? provides otherwise, e.g. civil case for
damages in case of libel (Art. 360, RPC);or,
A.An action to recover the deficiency after
the extrajudicial foreclosure of the real b. Where the parties have validly agreed in
property mortgage is a personal action, for it writing before the filing of the action on the
does not affect title to or possession of real exclusive venue thereof (Pacific Consultants vs.
property or any interest therein. Accordingly, Schonfeld, G.R. No. 166920, February 19, 2007).
the proper venue in this case is the RTC in
Makati because Makati is the place where the
main office of BPI was located (BPI Family
Savings Bank, Inc. vs. Sps. Yujuico, G.R. No. 3.E.5. Effects of Stipulations on Venue
175796, July 22, 2015).
Venue Stipulations
3.E.3. Venue of Actions Against Non-
Residents (Rule 4,Sec. 3)  Q. When is the stipulations on venue
permissive or restrictive?
Non-Resident Defendant
Venue of Not Found in A.Stipulations on venue, however, may either
Found in the
the Action the be permissive or restrictive. Written
Philippines
Philippines stipulations as to venue may be restrictive in
Residence of Personal Actions the sense that the suit may be filed only in
the Plaintiff. Actions. involving
the place agreed upon, or merely permissive
personal status
in that the parties may file their suit not only
of the plaintiff.
Where the Real Actions. Actions in the place agreed upon but also in the
property is involving any places fixed by law. As in any other
Located. property of the agreement, what is essential is the
said defendant ascertainment of the intention of the parties
located in the respecting the matter (Legaspi vs. Republc,
Philippines. G.R. No. 160653, July 23, 2008).

Residence - the place where the party actually
resides at the time of action. It does not mean
permanent home or domicile.
 Q. What is the rule on venue if the plaintiff is
not a resident of the Philippines and the
 Q. How to determine if the venue stipulation
is exclusive/restrictive?
A.1. If the intention of the parties were to
restrict venue, there must be accompanying
language clearly and categorically expressing

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 Purple Notes
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their Remedial
purpose and design that actions
between them be litigated only at the place
named by them. (Pacific Consultants vs.
Schonfeld, G.R. No. 166920, February 19, 2007).
A.2.In view of the predilection to view a
stipulation on venue as merely permissive,
the parties must, therefore, employ words in
the contract that would clearly evince a
contrary intention. In Spouses Lantin vs.
Judge Lantion, the Court emphasized that the
mere stipulation on the venue of an action is
not enough to preclude parties from bringing
a case in other venues. The parties must be
able to show that such stipulation
is exclusive. In the absence of qualifying or
restrictive words, the stipulation should be
deemed as merely an agreement on an
additional forum, not as limiting venue to the
specified place (Planters Dev’t. Bank vs. Ramos,
G.R. No. 228617, September 20, 2017).
Qualifying or Restrictive words
a) "only”;
b) "solely";
c) "exclusively in this court";
d) "in no other court save";
e) "particularly";
f) "nowhere else but/except —"; and,
g) words of equal import (Pacific Consultants
vs. Schonfeld, G.R. No. 166920, February 19,
2007).
 The court may declare an agreement on
venue as contrary to public policy if the
stipulation unjustly denies a party a fair
opportunity to file suit in the place
designated by the rules. (Sweet Lines Inc. vs.
Teves, G.R. No. L-37750, May 19, 1978).
 A third party complaint is ancillary to the
main action. Hence, it must yield to the
jurisdiction and venue of the main action
even if said third party complaint is based on
a separate agreement specifying a different
venue.
Improper Venue
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General Rule: Although the venue is technically
improper, the venue will be deemed proper if the
defendant does not object.
Since venue is not a matter of substantive law
but is primarily for the convenience of the
parties, it would be up for the defendant to
question the venue. If he does not raise the issue
of venue, the Court has no authority to motu
proprio dismiss a case for improper venue.
Exception: In cases covered by Summary
Procedure, the court may dismiss a case outright
on any of the grounds apparent in the complaint.
This of course includes improper venue. The
dismissal here need not be preceded by a motion
to dismiss because it may be done by the court
motu proprio(Sec. 4, 1991 Rules of Summary
Procedure).
 Q.What is the effect of restricting the filing of
any suit or action with regards to venue?
A.In the present case, Spouses Ramos had
validly waived their right to choose the venue
for any suit or action arising from the
mortgages or promissory notes when they
agreed to the limit the same to Makati City
only and nowhere else. True enough, the
stipulation on the venue was couched in a
language showing the intention of the parties
to restrict the filing of any suit or action to
the designated place only (i.e., “exclusively”,
“waiving for this purpose any other venue”).
It is crystal clear that the intention was not
just to make the said place an additional
forum or venue but the only jurisdiction
where any suit or action pertaining to the
mortgage contracts may be filed. There being
no showing that such waiver was invalid or
that the stipulation on venue was against
public policy, the agreement of the parties
should be upheld (Planters Dev’t. Bank vs.
Ramos, G.R. No. 228617, September 20, 2017).
3.F. PLEADINGS
Pleadings are the written statements of the
respective claims and defenses of the parties
and
 Purple Notes
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submitted to the court for appropriate judgment PARTY
Remedial
PLEADING TO BE FILED
(Rule 6, Sec. 1). Plaintiff Complaint;
Reply
Purpose of pleadings Defendant Answer;
Rejoinder;
Counterclaim;
1. To define the issues and foundation of proof
Cross-claim
to be submitted during the trial (Lianga Lumber
3rd, 4th, etc. - Answer;
vs. Lianga Timber, G.R. No. L-38685, March 31,
Party Counterclaim;
1977); and Defendant Cross-claim
2. To apprise the court of the rival claims of the Counter- Answer;
parties (Albano, Remedial Law). claimant or Counterclaim;
Cross-claimant Cross-claim
Nature of the Pleading Intervenor Complaint-in-intervention;
Answer-in-intervention
Elementary is the rule of procedure that the
nature of a pleading is to be determined by the  Q. Are there any changes to procedure when
averments in it and NOT by its title (Bank of a dismissed case is re-filed?
Commerce vs. Perlas-Bernabe, G.R. No.
172393,October 20, 2010). A. No.The procedure for dismissed
caseswhen re-filed is the same as though it
Pleading vs. Motion was initially lodged, i.e., the filing of answer,
reply, answer to counter-claim, including
PLEADING MOTION
other foot-dragging maneuvers, except for
the rigmarole of raffling cases which is
A statement of the An application for dispensed with since the re-filed complaint is
claims and defenses, relief other than by a
automatically assigned to the branch to
focusing on matters pleading(Rule 15, Sec.
to be included in the 1).
which the original case pertained. A
judgment(Rule 6, Sec. complaint that is re-filed leads to the re-
1). enactment of past proceedings with the
General relief is Particular relief is concomitant full attention of the same trial
prayed for. sought. court exercising an immaculate slew of
Pleadings are not Motion is a kind of jurisdiction and control over the case that
motions. pleading. was previously dismissed, which in the
May be initiatory. context of the instant case is a waste of
Always filed before judicial time, capital and energy (RCBC vs.
judgment. Magwin Marketing, G.R. No. 152878, May 5,
2003).
3.F.1. Kinds of Pleadings and when they
should be filed 3.F.1a. Complaint

INTERPOSING A INTERPOSING A Complaint is a pleading alleging the plaintiff’s or

CLAIM DEFENSE claiming party’s cause/s of action.The names and
Includes: Includes: residences of the plaintiff anddefendant must be
1. Complaint 1. Answer stated in thecomplaint(Rule 6, Sec. 3).
2. Counterclaim 2. Reply
3. Cross-claim 3. Rejoinder Under the 2019 Amendments, eEvery pleading
4. 3rd, 4th, 5th, etc. -
party complaint
stating a party's claims or defenses shall, in
5. Complaint-in- addition to those mandated by Rule 7, Sec. 6,
intervention state the following:
(Rule 19)
a) Names of witnesses who will be presented to
Pleadings to be Filed by Different Parties prove a party's claim or defense;

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 Purple Notes
Criminal
b) Summary Remedial
of the witnesses' intended
testimonies, provided that the judicial
affidavits of said witnesses shall be attached
to the pleading and form an integral part
thereof.
Only witnesses whose judicial affidavits are
attached to the pleading shall be presented by
the parties during trial. Except if a party
presents meritorious reasons as basis for the
admission of additional witnesses, no other
witness or affidavit shall be heard or admitted
by the court; and
c) Documentary and object evidence in support
of the allegations contained in the pleading
(Rule 7, Sec. 6).(n)
 Q.What is the purpose of a complaint?
A.The purpose of a complaint is to inform the
defendant clearly and definitely of the claims
made against him so that he may be
prepared to meet the issues at the trial
(Tantuico, Jr. vs. Republic, G. R. No. 89114,
December 2, 1991).
Ultimate Facts - The essential facts constituting
the plaintiff’s cause of action.
 Q.When is a fact essential?
A.A fact is essential if it canot be stricken out
without leaving the statement of the cause of
action insufficient (Tantuico, Jr. vs. Republic, G.
R. No. 89114, December 2, 1991).
Evidentiary Facts - Those facts which are
necessary for determination of the ultimate facts
(Salita vs. Magtolis, G. R. No. 106429, June 13, 1994).
Test of Sufficiency of the Facts (alleged in
the complaint): If upon admission or proof of the
facts being alleged, a judgment may properly be
given.
3.F.1b. Answer (Rule 6, Sec. 4 and 5)
An answer is a pleading in which a defending
party sets forth his or her defenses. Defenses
may be negative or affirmative
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Kinds of Defenses that may be contained in
the answer:
1. Negative Defenses
a. Negative Pregnant
2. Affirmative Defenses
Negative Defense involves the specific denial
of the material facts alleged in the pleading of
the claimant essential to his or her cause/s of
action (Rule 6, Sec. 5[a]).
Note: General denial will be deemed an
admission of the averments in the complaint.
Negative Pregnant is a form of negative
expression which carries with it an affirmation or
at least an implication of some kind favorable to
the adverse party (Nelson Valdez vs. Atty. Antolin
Dabon, Jr., A.C. No. 7353,November 16, 2015).
 Q. When is a defense considered negative
pregnant?
A. It is considered a negative pregnant
when it contains a denial pregnant with an
admission of the substantial facts alleged in
the pleading. Where a fact is alleged with
qualifying or modifying language and the
words of the allegation as so qualified or
modified are literally denied, it has been
held that the qualifying circumstances alone
are denied while the fact itself is admitted
(Republic of the Philippines vs. Sandiganbayan,
G.R. No. 152154, July 15, 2003).
 Q. How is a an allegation considered a
negative pregnant?
A.Where a fact is alleged with qualifying or
modifying language and the words of the
allegation as so qualified or modified are
literally denied, it has been held that the
qualifying circumstance alone is denied while
the fact itself is admitted. It is clear from
Atty. Gabon’s Comment that his denial only
pertained as to the existence of a forced
illicit relationship. Without a categorical
denial thereof, he is deemed to have
admitted his consensual affair. (Nelson Valdez
vs. Atty. Antolin Dabon, Jr., A.C. No. 7353,
November 16, 2015)
and
 Purple Notes
Criminal
Effect of Negative Pregnant: The averments
Remedial
to which it was directed are admitted. Compulsory Counterclaim

Affirmative defense is an allegation of a new Requisites of compulsory counterclaim:

matter, which, while hypothetically admitting the
material allegations in the pleading would a) it arises out of or is necessarily
nevertheless prevent or bar recovery by him or connected with the transaction or
her. occurrence which is the subject matter
of the opposing party’s claim
The affirmative defenses include: b) It does not require for its adjudication
(SPIDERS-OFF) the presence of third parties over whom
the court cannot acquire jurisdiction;
a. Statute of limitations; and,
b. Payment; c) The court has jurisdiction to entertain
c. Illegality; the claim both as to its amount and
d. Discharge in bankruptcy; nature, except in an original action
e. Estoppel; before the RTC, the counterclaim may
f. Release; be considered compulsory regardless of
g. Statute of frauds; the amount (Rule 6,Sec. 7; Metropolitan
h. Any Other matter by way of confession and Bank and Trust vs. CPR Promotions and
avoidance; Marketing, Inc., G.R. No. 200567, June 22,
i. Former recovery; and 2015).
j. Fraud.
“Compelling Test of Compulsoriness”
Affirmative defenses may also include requires a logical relationship between the
grounds for the dismissal of a complaint, claim and the counterclaim, that is, where
specifically: conducting separate trials of the respective
claims of the parties would entail a
a) that the court has no jurisdiction over the substantial duplication of effort and time of
subject matter; the parties and of the court(Quintanilla vs.
b) that there is another action pending between C.A., G.R. No. 101747, September 24, 1997).
the same parties for the same cause; or
c) that the action is barred by a prior  Q. What is the effect if the counterclaim
judgment(Rule 6, Sec. 5[b]). is in excess of jurisdiction of the court?
d)
(This will be discussed in detail under Allegations A. If the counterclaim, in excess of the
in a Pleading) jurisdiction of the court, is interposed in
the same action and the court finds
3.F.1c. Counterclaims both plaintiff's complaint and
defendant's counterclaim (for an
A counterclaim alleges any claim, which a amount exceeding said court's
defending party may have against an jurisdiction) meritorious, it will simply
opposing party(Rule 6, Sec. 6). dismiss the complaint on the ground
that defendant has a bigger credit.
A counterclaim is in the nature of a cross- Since defendant still has to institute a
complaint. Although it may be alleged in separate action for the remaining
the answer, it is NOT part of the answer. It balance of his counterclaim, the
is a distinct and independent cause of previous litigation did not really settle
action. Upon its filing, the same all related controversies (Calo vs. Ajax
proceedings are had as in the original International, Inc., G.R. No. L-22485, March
complaint. For this reason, it must be 13, 1968).
answered within 20 calendar days from
service.

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 Purple Notes
Criminal
Remedialcannot be the subject
A compulsory counterclaim
of a separate action but it should instead be
asserted in the same suit involving the same
transaction or occurrence, which gave rise to it.
It is elementary that a defending party’s
compulsory counterclaim should be interposed at
the time he files his Answer, and that failure to
do so shall effectively bar such claim (Metropolitan
Bank and Trust Company vs. CPR Promotions and
Marketing, Inc., G.R. No. 200567, June 22, 2015).
Test to determine whether a counterclaim
is compulsory or not:
1) Are the issues of fact or law raised by the
claim and the counterclaim largely the
same?;
2) Would res judicata bar a subsequent suit on
defendant’s claim absent the compulsory
counterclaim rule?;
3) Will substantially the same evidence support
or refute plaintiff’s claim as well as the
defendant’s counterclaim?; and,
4) Is there any logical relation between the
claim and the counterclaim? (Arturo C. Alba, Jr.
vs. RaymundMalapajao, G.R. No. 198752, January
13. 2016)
Note: Affirmative answers to the above queries
indicate the existence of a compulsory
counterclaim (Financial Building vs. Forbes Park,
G.R. No. 133119, August 17, 2000).
 Q. When is counterclaim considered
permissive?
A.The Court ruled that Alday’s counterclaim
for commissions, bonuses and accumulated
premium reserves is merely permissive. The
evidence required to provedAlday’s claims
differs from that needed to establish FGU’s
demands for recovery of cash accountabilities
from Alday, such as cash advances and costs
of premiums. The recovery of FGU’s claims is
not contingent or dependent upon
establishing Alday’s counterclaim, such that
conducting separate trials will not result in
the substantial duplication of the time and
effort of the court and the parties (Alday vs.
FGU Insurance Corp., G.R. No. 138822, January
23, 2001).
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 Q. When is counterclaim considered
compulsory?
A.When Mercado sought to annul the
continuing hold-out agreement and deed of
assignment (which he executed as security
for his credit purchases), he in effect sought
to be freed from them. While he admitted
having outstanding obligations, he
nevertheless asserted that those were not
covered by the assailed accessory contracts.
For its part, aside from invoking the validity
of the said agreements, SMC therefore
sought to collect the payment for the value
of the goods Mercado purchased on credit.
Thus, Mercado’s complaint and SMC’s
counterclaim both touched the issues of
whether the continuing hold-out agreement
and deed of assignment were valid and
whether Mercado had outstanding liabilities
to SMC. The same evidence would essentially
support or refute Mercado’s claim and SMC’s
counterclaim. Based on the foregoing, had
these issues been tried separately, the efforts
of the RTC and the parties would have had to
be duplicated. Clearly, SMC’s counterclaim,
being logically related to Mercado’s claim,
was compulsory in nature (Mercado vs. CA,
G.R. No. 169576, October 17, 2008).
Doctrine of Ancillary Jurisdiction
Under this doctrine, the federal district court
acquires jurisdiction of case or controversy as an
entirety and may, as incident to disposition of
matter properly before it, possess jurisdiction to
decide other matters raised by case, though
district court could not have taken cognizance of
them if they had been independently
presented(Black's Law Dictionary 79 [5th ed., 1979]).
Applying to counterclaim, the counterclaim may
be considered compulsory regardless of the
amount, in an original action in the Regional Trial
Court. (Rule 6, Sec. 7)
Motion to Dismiss and Compulsory
Counterclaim
and
 Purple Notes
Criminal
Filing of a motion to dismiss and setting up a
Remedial
COMPULSORY PERMISSIVE
compulsory counterclaim are incompatible COUNTERCLAIM COUNTERCLAIM
remedies. If both are availed and in the event forum-shopping or,
the motion to dismiss is meritorious, the party whenever required
by law, certificate to
loses his counterclaim. Thus, if he opts to set up
file action issued by
his counterclaim, he may still plead his ground for the
dismissal as an affirmative defense in his answer. LupongTagapamaya
pa.
 Q. Can a plaintiff who did not file an answer Need not be Must be answered,
to a compulsory counterclaim be declared in answered; no otherwise there can
default? default. (Gojo vs. be an order of default
Goyaa, G.R. . (Sarmiento vs. Juan,
A. No. A plaintiff who fails or chooses not to No. L-26768, G.R. No. L-56605,
October 30, 1970) January 28, 1983)
answer a compulsory counterclaim may not
be declared in default, principally because Payment of docket This is an initiatory
the issues raised in the counterclaim are fees for compulsory pleading and
deemed automatically joined by the counterclaim therefore, there is a
allegations of the complaint (Gojo vs. Goyala, remains to be need to pay the
G.R. No. L-26768, October 30, 1970). suspended. The docket fee.
ruling in Korea
Technologies Co., vs.
Permissive Counterclaim Lerma(G.R. No.
143581, January 7,
A counterclaim is permissive if it does not arise 2008) with respect
out of or is not necessarily connected with the to the requirement
subject matter of the opposing party's claim. It of payment of
is essentially an independent claim that may be docket fees for
filed separately in another case (Alba vs. Malapajo, compulsory
G.R. no. 198572, January 13, 2016). counterclaims has
been deleted in a
revised issuance:
Permissive Counterclaim vs. Compulsory
OCA Circular 96-
Counterclaim 2009, August 13,
2009).
COMPULSORY PERMISSIVE
COUNTERCLAIM COUNTERCLAIM Barred if not set up Not barred even if not
Arises out of or is Does not arise out of in the action except set up in the action.
necessarily or is necessarily after-acquired The defendant can
connected with the connected with the counterclaim. (Rule institute another
transaction that is subject matter of the 9, Sec.2). action for recovery.
the subject matter opposing party’s
of the opposing claim. This is also referred This is also referred to
party’s claim. (Rule to as “set-off”. as “recoupment”.
6, Sec.7).
Does not require for It may require for its
its adjudication the adjudication the Effect on the counterclaim when the
presence of third presence of third complaint is dismissed
parties of whom the parties over whom the
court cannot acquire court cannot acquire  Where the defendant files an answer
jurisdiction(Rule 6, jurisdiction raising as affirmative defenses in Rule
Sec.4). 8, Sec. 12 (a) which includes a
Since it is not Should be counterclaim. The court then shall, motu
considered an accompanied by the
proprio, resolve such affirmative defenses. If
initiatory pleading, it certificates mentioned
does not require to since it is considered
during the hearing on the affirmative
be accompanied by a an initiatory pleading. defenses, the court decides to dismiss the
certification against complaint, such dismissal shall be limited to

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 Purple Notes
Criminal
the Remedial
complaint, and does not include
dismissal of the counterclaim, compulsory or
permissive.

 When the plaintiff files a motion to
dismiss on his complaint under Rule
17, Sec. 2 after the defedendant has
pleaded his answer with a recover from the cross-claimant.
counterclaim. If a counterclaim has
already been pleaded by the defendant prior
to the service upon him of the plaintiff’s
motion to dismiss, and the court grants the
said motion to dismiss, the dismissal shall be
limited to the complaint. The dismissal shall
be without prejudice to the right of the
defendant to prosecute his or her
counterclaim in a separate action unless
within fifteen (15) calendar days from notice
of the motion he or she manifests his or her
preference to have his or her counterclaim
resolved in the same action (Rule 17, Sec. 2).
 When the Dismissal is due to plaintiff’s
fault under Rule 17, Sec. 3 and at a
time when a counterclaim has already
been set up. The dismissal shall be without
prejudice to the right of the defendant to
prosecute his or her counterclaim in the
same or in a separate action. (Rule 17, Sec.
3).
 Q. Does the dismissal of a complaint follow
dismissal of counterclaim?
A.No.A dismissal of an action is different
from a mere dismissal of the complaint. For
this reason, since only the complaint and not
the action is dismissed, the defendant in
spite of said dismissal may still prosecute his
counterclaim in the same action In Pinga,
the Court clearly stated that the dismissal of
the complaint does not necessarily result to
the dismissal of the counterclaim (Lim Teck
Chuan vs. LeopoldaCecilio, G.R. No. 155701,
March 11, 2015).
3.F.1d. Cross-Claims
Cross-claim is any claim by one party against a
co-party arising out of the transaction or
occurrence that is the subject matter either of
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the original action or of a counterclaim therein. It
may cover all or part of the original claim. (Rule 6,
Sec. 8)
It is asserted by a defending party against a co-
defending party so that the latter may be held
liable for the claim which the claimant seeks to
A cross-claim must be set up by a defending
party at the time he files his answer.
General Rule: Cross-claim is barred if not set up
in the action. (Rule 9, Sec. 2)
Exceptions:
1. When it is outside the jurisdiction of the court;
2. When the court cannot acquire jurisdiction
over third parties whose presence is necessary
for the adjudication of the cross-
claim(Regalado. Vol. 1. 8th ed. p. 147);
3. When the cross-claim either matures or is
acquired by a party after servinghis or her
pleading, it may still be setup, with leave of
court, by supplemental pleadings before
judgment (Rule 11, Sec. 9); or
4. If through oversight, inadvertence, or
excusable neglect, it is not asserted, it may
still be set up, with leave of court, by
amendment of the pleadingsbefore judgment
(Rule 11, Sec. 10).
Note: The cross-claim that shall be barred if not
asserted is the cross-claim already existing at the
time the answer is filed, not the cross-claim that
may mature or may be acquired after service of
the answer. As to the latter, Rule 10, Sec.
6declares that it may, by leave of court, be set
up by way of a supplemental pleading.
The dismissal of a complaint carries with it the
dismissal of a cross-claim which is purely
defensive but not a cross-claim seeking an
affirmative relief.
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 justice requires, he or
and

she may, by leave of court, set up the
counterclaim or cross-claim by amendment
before judgment (Rule 11, Sec. 10).
3.F.1e. Third (Fourth, etc.)-party
complaints
Third, etc.,-party complaint is a claim that a
defending party may, with leave of court, file
against a person not a party to the action who is
called the third-party defendant, for Contribution,
Indemnity, Subrogation, or any Other
relief(CISO), in respect of his opponent’s claim.
(Rule 6, Sec. 11).
Purpose
The purpose of Section 11, Rule 6 of the Rules of
Court is to permit a defendant to assert an
independent claim against a third-party which he,
otherwise, would assert in another action, thus
preventing multiplicity of suits. All the rights of
the parties concerned would then be adjudicated
in one proceeding. This is a rule of procedure and
does not create a substantial right. Neither does
it abridge, enlarge, or nullify the substantial
rights of any litigant (Asian Construction and
Development Corporation vs. CA, G.R. No, 160242,
May 17, 2005).
Requisites for a third-party action:
1) the party to be impleaded must not yet be a
party to the action;
2) the claim against the third-party defendant
must belong to the original defendant;
3) the claim of the original defendant against the
third-party defendant must be based upon the
plaintiffs claim against the original defendant;
and
4) the defendant is attempting to transfer to the
third-party defendant the liability asserted
against him by the original plaintiff. (Philtranco
vs. Paras, G.R. No. 161909, April 25, 2012).
Test to determine if third-party claim is in
respect of plaintiff’s claim:
1) Whether it arises out of the same transaction
on which the plaintiff’s claim is based, or
although arising out of another or different
transaction, is connected with the plaintiff’s
claim;
Purple Notes
Criminal
2) Whether the
Remedial
third-party defendant would be
liable to the plaintiff or to the defendant for all
or part of the claim against original defendant,
although the third-party defendant’s liability
arises out of another transaction; and,
3) Whether the third-party defendant may assert
any defenses which third party plaintiff has or
may have to the plaintiff’s claim. (Asian
Construction and Development Corporation vs. CA,
G.R. No. 160242, May 17, 2005).
Note: Judgment on a third-party complaint may
become final and executory without waiting for
the determination of the main case.
When third (fourth, etc.)- party be denied
admission, and the court shall require
defendant to institute a separate action
a) the third (fourth, etc.)- party defendant
cannot be located within thirty (30) calendar
days from the grant of such leave;
b) matters extraneous to the issue in the
principal case are raised; or
c) the effect would be to introduce a new and
separate controversy into the action (Rule 6,
Sec 11). (n)
Disallowance of third-party complaint
appealable
The admission of a third-party complaint lies
within the sound discretion of the trial court. If
leave to file a third-party complaint is denied,
then the proper remedy is to file a separate case,
not to insist on the admission of the third-party
complaint all the way up to this Court. (DBP vs.
Clarges Realty Corporation, G.R. No. 170060, August
17, 2016 – Case penned by J.Leonen)
Right to file third-party complaint
discretionary upon the trial court
The right to file a third-party complaint against a
third-party rests in the discretion of the trial
court. The third-party complaint is actually
independent of, separate and distinct from the
plaintiff’s complaint, such that were it not for the
rule, it would have to be filed separately from the
original complaint.
A prerequisite to the exercise of such right is that
some substantive basis for a third-party claim be
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 Purple Notes
Criminal
found to Remedial
exist, whether thebasis be one of  Motion to file third-party complaint
indemnity, subrogation, contribution or other dismissed. We note that in its third-party
substantive right(Asian Construction and complaint, the petitioner alleged that Becthel
Development Corporation vs. CA, G.R. No. 160242, should be ordered to pay the balance of its
May 17, 2005). account, so that petitioner could pay the
same to the respondent. However, contrary
to its earlier plea for the admission of its
Propriety of impleading third-party third-party complaint against Becthel, the
defendant petitioner also sought the dismissal of the
respondent’s complaint. The amount that
The bringing of a third-party defendant is proper petitioner seeks to collect from Becthel
if he would be liable to the plaintiff or to the would NOT be remitted to the respondent
defendant, or both, for all or part of the plaintiff’s after all (Asian Construction and Development
claim against the original defendant, although the Corporation vs. CA, G.R. No. 160242, May 17,
third-party defendant’s liability arises out of 2005).
another transaction.
 It goes without saying that the denial of the
The defendant may implead another as third- petitioner’s motion with leave to file a third-
party defendant party complaint against Becthel is without
prejudice to its right to file a separate
a) on an allegation of liability of the third-party complaint against the latter (Asian
Construction and Development Corporation vs.
defendant to the defendant for contribution,
CA, G.R. No. 160242, May 17, 2005).
indemnity, subrogation or any other relief;
b) on the ground of direct liability of the third-
Distinction between Third-Party Complaint
party defendant to the plaintiff or to both the
and Cross-Claim
plaintiff and the defendant; and,
c) there is a causal connection between the THIRD-PARTY
claim of the plaintiff in his complaint and a CROSS-CLAIM
COMPLAINT
claim for contribution, indemnity or other Against a person Against a co-party. (Rule
relief of the defendant against the third-party not a party to the 6, Sec. 8)
defendant. (Asian Construction and Development actioaction. n(Rule 6,
Corporation vs. CA, G.R. No. 160242, May 17, Sec. 11)
2005). Third party is not Cross defendant is a co-
yet impleaded. party, thus, already
 Q. What is the requirement for a third-party impleaded.
complaint relative to recovery? Must be pertaining Must arise out of the
to the opponent’s transaction that is the
A. The third-party complaint does not have (plaintiff’s) claim. subject matter of the
to show with certainty that there will be original action or of the
recovery against the third-party defendant, counterclaim therein.
and it is sufficient that pleadings show (Rule 6, Section 8).
possibility of recovery. In determining the
sufficiency of the third-party complaint, the Distinction between Third-Party Complaint
allegations in the original complaint and the and Complaints-in-Intervention
third-party complaint must be examined. A
THIRD-PARTY COMPLAINT-IN-
third-party complaint must allege facts which
COMPLAINT INTERVENTION
prima facie show that the defendant is
Brings into the Same
entitled to contribution, indemnity, action a third
subrogation or other relief from the third- person not
party defendant (Asian Construction and originally a
Development Corporation vs. CA, G.R. No. party(Rule 6, Sec. 11
160242, May 17, 2005). Initiative is with Initiative is with a non-
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Research

the person already party who seeks to join
a party to the the action.
action.
3.F.1f. Complaint-in-Intervention and
Answer-in-Intervention (Rule 19, Sec. 3)
Intervention is a remedy by which a third party,
not originally impleaded in the proceedings,
becomes a litigant thereinto enable him to
protect or preserve a right or interest that may
be affected by those proceedings (Ongco vs.
Dalisay, G.R. No. 190810, July 18, 2012).
Complaint-in-intervention is filed by an
intervenor who asserts a claim against either or
all of the original parties(Rule 19, Sec. 3).
Answer-in-intervention is filed by an
intervenor if he unites with the defending party in
resisting a claim against the latter(Rule 19, Sec. 4).
Who may intervene in an action
Any person who:
1. Has a legal interest in the matter in Litigation;
2. Has a legal interest in the success of Either of
the parties;
3. Has a legal interest against Both of them, or
4. Is so Situated as to be adversely affected by a
distribution or other disposition of property in
the custody of the court or of an officer
thereof(Rule 19, Sec. 1)
Time to intervene
The motion to intervene may be filed at any time
before rendition of judgment by the trial court.
(Rule 19, Sec. 2)
3.F.1g. Reply
Reply is the pleading-response of the plaintiff to
the defendant’s answer, the office or function of
which is to deny, or allege facts in denial or
avoidance of new matters alleged in, or relating
to, said actionable documents.
A reply may be allowed only if the defending
party attaches an actionable document to his or
her answer.
Purple Notes
Criminal
Remedial
All new matters alleged in the answer shall be
deemed controverted. if the plaintiff wishes to
interpose any claims arising out of said matters
suchshall be set forth on the amended or
supplemental complaint(Rule 6, Sec. 10).(n)
Note: A party cannot, in his reply, amend his
cause of action nor introduce new causes of
action. Such shall be set forth in an amended or
supplemental complaint.
The defendant, on the otherhand, may file a
rejoinder in the event that an actionable
document is attached to the reply and same is
based solely on an actionable document (Rule 6,
Sec. 10).(n)
3.F.1h. Extension of time to file an Answer
A defendant may, for meritorious reasons, be
granted an additional period of not more than
thirty (30) calendar daysto file an Answer. A
defendant is only allowed to file one (1) motion
for extension of time to file an answer.
A motion for extension to file any pleading, other
than an answer, is prohibited and considered
mere scrap of paper. The court, however, may
allow any other pleading to be filed after the time
fiexed by these Rules (Rule 11, Sec. 11). (n)
3.F.2. PLEADINGS ALLOWED IN SMALL
CLAIM CASES AND CASES COVERED BY THE
RULES ON SUMMARY PROCEDURE
Pleadings allowed under the Rules on
Summary Procedure
The only pleadings allowed to be filed are the
Complaints, Compulsory Counterclaims and Cross
Claims pleaded in the answer, and the answer
thereto. Also, all pleadings shall be
verified(Revised Rules on Summary Procedure, Sec.
3).
Pleadings allowed under the Rules of
Procedure for Small Claims Cases:
1. Verified Statement of Claims (Form 1-SCC)
(Sec.6, A.M. No. 08-8-7-SC);
2. Verified Response(Sec.13, A.M. No. 08-8-7-SC);
3. Permissive Counterclaim(Sec.15, A.M. No. 08-8-
7-SC).
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 Purple Notes
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Remedial 2. that to the best of his or her knowledge,
3.F.3. PARTS AND CONTENTS OF A information, and belief, formed after an
PLEADING inquiry reasonable under the circumstances:
a) It is not being presented for any improper
1. Caption purpose, such as to harass, cause
2. The Body unnecessary delay, or needlessly increase
a) Paragraphs the cost of litigation;
b) Headings b) The claims, defenses, and other legal
c) Relief contentions are warranted by existing law
d) Date or jurisprudence, or by a non-frivolous
3. Signature and address argument for extending, modifying, or
4. Verification reversing existing jurisprudence;
5. Certification against forum shopping c) The factual contentions have evidentiary
support or, if specifically so identified, will
likely have evidentiary support after
3.F.3a. Caption (Rule 7, Sec. 1) availment of the modes of discovery under
these rules; and
The caption sets forth the following: d) The denials of factual contentions are
warranted on the evidence or, if
1) Name of the court; specifically so identified, are reasonably
2) Title of the action; and, based on belief or a lack of
3) The docket number, if assigned. information[Rule 7, Sec. 3 (b)] (n)

Body (Rule 7, Sec. 2) Effect when the court determines violation

The body of the pleading sets forth the following:
1) Designation of the pleading;
2) Allegations of the party’s claims or defenses;
3) Relief prayed for; and,
4) Date of the pleading.
Note: It is not the caption of the pleading but
the allegations therein which determine the
nature of the action. The court shall grant relief
warranted by the allegations and proof, even if
no such relief is prayed for (Solid Homes, Inc. vs.
Court of Appeals, G.R. No. 108451,April 11, 1997).
3.F.3b. Signature and address
of rule on signature
The court may on motion or motu proprio and
after notice and hearing, impose an appropriate
sanction or refer such violation to the proper
office for disciplinary action, on any attorney, law
firm, or party that violated the rule, or is
responsible for the violation[Rule 7, Sec.3 (c)].(n)
Nature of liability of the law firm for any
violation committed by its Partner,
Associate or Employee
General Rule:It shall be jointly and severally
liable and cannot pass on the monetary penalty
to the client.

Every pleading and other written submissions to
the court must be signed by the party or by the
counsel representing him or her. [Rule 7, Sec. 3
(a)]
Signature of Counsel constitutes a ceftificate
by him or her that she has:
1. Read the pleading and document; and
Exception: When exceptional circumstances are
present.
The sanction may include, but shall not be
limited to: (NPR)
a) Non-monetary directive or sanction;
b) an order to pay a Penalty in court; or
c) if imposed on motion and warranted for
effective deterrence, an order directing

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payment to the movant of part or all of the
Reasonable attorney’s fees and other
expenses directly resulting from the violation.
The lawyer or lawfirm CANNOT pass on
themonetary penalty to the client [Rule 7, Sec.3
(c)].(n)
Consequence of an unsigned pleading:An
unsigned pleading produces no legal effect. Such
a pleading may be stricken out as sham and
false, and the action may proceed as though the
pleading has not been served.
Additional information to be placed after
the counsel’s name
1. Professional Tax Receipt (PTR) Number;
2. IBP Official Receipt Number and date of issue
(Bar Matter No. 287, September 26, 2000);
3. Attorney’s Roll Number (Bar Matter No. 1132,
April 2, 2003); and,
4. Number and date of MCLE Certificate of
Compliance/Exemption (Bar Matter No. 1922,
June 3, 2008).
 Q. Is an Information a pleading thereby
requiring the lawyer to indicate his MCLE
Certificate of Compliance or Exemption?
A. Yes. Bar Matter No. 1922 requires
practicing members of the Bar to indicate in
all PLEADINGS filed before the courts or
quasi-judicial bodies the number and date of
issue of their MCLE Certificate of Compliance
or Exemption. Information is defined as an
accusation in writing charging a person with
an offense subscribed by the prosecutor and
filed with the court. From the foregoing
definition, is clear that an information is a
pleading. It is, for all intents and purposes,
considered an initiatory pleading because it is
a written statement which contains the cause
of action of a party (i.e., the State) against
the accused. Like a pleading, the Information
is also filed in court for appropriate
judgment. Undoubtedly, an information falls
squarely within the ambit of Bar Matter No.
1922 (People vs. Arrojado, G.R. No. 207041,
November 09, 2015).
Purple Notes
Criminal
Remedial
Effect of failure to disclose the number and
date of issue of MCLE Certificate of
Compliance/Exemption
It subjects the counsel to appropriate penalty
and disciplinary action(OCA CIRCULAR NO. 79-
2014).
3.F.3c. Verification
Pleadings need not be under verified by an
affidavit except when otherwise specifically
required by law or a rule (Riano).
How pleadings are verified
By an affidavit of an affiant duly authorized to
sign said verification. The signature of the affiant
shall further serve as a certification of the
truthfulness of the allegations in the pleading.
In case of a representative, the authorization of
the affiant to act on behalf of a party, whether in
the form of a secretary’s certificate or a special
power of attorney, should be attached to the
pleading.
What should be alleged: (HEPA)
a. The pleading is not filed to Harass, cause
unnecessary delay, or needlessly increase the
cost of litigation;
b. The factual allegations therein have
Evidentiary support or, if specifically so
identified, will likewise have evidentiary
support after a reasonable opportunity for
discovery; and
c. The allegations in the pleading are true and
correct based on his or her Personal
knowledge, or based on Authentic documents.
The signature of the affiant shall further serve as
a certification of the truthfulness of the
allegations in the pleading (Rule 7, Sec. 6).(n)
 Q. What are the two modes of verification?
A.The veracity of the allegations in a
pleading may be affirmed based on either
one’s own personal knowledge or on
authentic records, or both, as warranted.
The use of the preposition "or" connotes
that either source qualifies as a sufficient
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 Purple Notes
Criminal
Remedial
basis for verification and, needless to state,
the concurrence of both sources is more
than sufficient. Bearing both a disjunctive
and conjunctive sense, this parallel legal
signification avoids a construction that will
exclude the combination of the alternatives
or bar the efficacy of any one of the
alternatives standing alone (Hun Hyung Park
vs. Eung Won Choi, G.R. No. 165496, February
12, 2007).
General Rule: Pleadings need not be under
oath, verified or accompanied by an affidavit.
Exception: When otherwise specifically required
by law or rule (Rule 7, Sec. 6).
Verification is required for the following:
(not exclusive)
1) Petition for review from the Regional Trial
Court to the Supreme Court raising only
questions of law [Rule 41, Sec. 2(c)];
2) Petition for Review From the Regional Trial
Courts to the Court of Appeals (Rule 42, Sec.
1);
3) Petition for Review Appeals From the Court
of Tax Appeals and Quasi-Judicial Agencies
to the Court of Appeals (Rule 43, Sec. 5);
4) Appeal by Certiorari to the Supreme
Court(Rule 45, Sec. 1);
5) Petition for Annulment of Judgments of Final
Orders and Resolutions(Rule 47, Sec. 4);
6) Application for Preliminary Injunction or
Temporary Restraining Order (Rule 58, Sec.
4);
7) Application for Appointment of a Receiver
(Rule 59, Sec. 1);
8) Application for Support Pendente Lite (Rule
61, Sec. 1);
9) Petition for CertiorariAgainst the Judgments
and Final Orders or Resolutions of the
Commission on Elections and the
Commission on Audit(Rule 64, Sec. 2);
10) Petition for Certiorari(Rule 65, Sec. 1);
11) Petition for Prohibition(Rule 65, Sec. 2);
12) Petition for Mandamus(Rule 65, Sec. 3);
13) Petition for Quo Warranto (Rule 66, Sec. 1);
14) Complaint for Expropriation (Rule 67, Sec. 1);
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15) Pleadings Allowed in Forcible Entry and
Unlawful Detainer Proceedings (Rule 70, Sec.
4);
16) Petition for Indirect Contempt (Rule 71, Sec.
4);
17) Answer contesting the genuineness of an
actionable document;
18) Pleadings filed in civil cases under the 1991
Revised Rules on Summary Procedure (Sec.
3); and
19) Statement of Claim (Form 1-SCC) under The
Revised Rules of Procedure for Small Claims
Cases(Sec. 6);
Effect of absence of Verification
1. A pleading without the required verification
has no legal effect, BUT amending the
pleading with the required verification may
cure the same.
2. The absence of verification or the non-
compliance with the verification requirement
does not necessarily render the pleading
defective. It is only a formal and not a
jurisdictional requirement. The requirement is
a condition affecting only the form of the
pleading(Benguet Corporation vs. Cordillera
Caraballo Mission, Inc., G.R. No. 155343,
September 2, 2005)and non-compliance
therewith does not necessarily render it
fatally defective(Sarmiento vs. Zaratan, GR No.
167471, February 5, 2007).
3. It is settled that the verification of a pleading
is only a formal, not a jurisdictional
requirement intended to secure the
assurance that the matters alleged in a
pleading are true and correct. Therefore, the
courts may simply order the correction of the
pleadings oract on them and waive strict
compliance with the rules (Fernandez vs.
Villegas, G.R. No. 200191, August 20, 2014).
Signature on Verification and certification
against forum shopping
Any person who personally knew the facts may
sign the verification; BUT only the plaintiff or the
principal parties, not the counsel, may execute
the certification of non-forum shopping.
and

 Q. Who can sign the verification in cases
wherein the petitioner is a government
entity?
A. The petitioner in this case is the
Commission on Appointments, a government
entity created by the Constitution, and
headed by its Chairman. There was no need
for the Chairman himself to sign the
verification. Its representative, lawyer or any
person who personally knew the truth of the
facts alleged in the petition could sign the
verification. With regard, however, to the
certification of non-forum shopping, the
established rule is that it must be executed
by the plaintiff or any of the principal parties
and not by counsel. (Commission on
Appointments vs. Paler, G.R. No. 172623, March
3, 2010).
 Q. Is the verification of a pleading a formal
requirement?
A. Yes. Verification of a pleading is a formal,
not jurisdictional, requirement intended to
secure the assurance that the matters
alleged in a pleading are true and correct.
Thus, the court may simply order the
correction of unverified pleadings or act on
them and waive strict compliance with the
rules. (Medado vs. Heirs of Late Antonio
Consing, G.R. No. 186720, February 8, 2012)
Signature rule for verification and
certification against forum shopping
General Rule: Verification and certification
against forum shopping must be signed by ALL
of the petitioners.
Exception: When there is substantial
compliance with the certification requirement, as
in the following:
a) Where the petitioners are immediate
relatives who share a common interest in
the property subject of the action; the fact
that only one of the petitioners executed the
verification or certification of forum shopping
will not deter the court from proceeding with
the action (Medado vs. Heirs of the Late Antonio
Consing, G.R. No. 186720, February 8, 2012).
Purple Notes
Criminal
b) When one
Remedial
who has ample knowledge to
swear to the truth of the allegations in the
complaint or petition signs the verification;
c) When matters alleged in the petition have
been made in good faith or are true and
correct; and,
d) Under reasonable or justificable
circumstances, as when all the petitioners
share a common interest and invoke a
common cause of action or defense (Basan
vs. Coca-cola Bottlers, G.R. No. 174365-66,
February 04, 2015).
e)
 Q. When is there substantial compliance
with the verification/certification against
forum shopping requirement and when is it
allowed?
A. While the general rule is that the
verification and certification against forum
shopping must be signed by ALL the
petitioners in a case, the signature of ONLY
ONE of them, petitioner Basan in this case,
may be deemed substantial compliance with
the procedural requirement. Jurisprudence is
replete with rulings that the rule on
verification is deemed substantially complied
with when one who has ample knowledge to
swear to the truth of the allegations in the
complaint or petition signs the verification,
and when matters alleged in the petition
have been made in good faith or are true
and correct. Similarly, this Court has
consistently held that when under
reasonable or justifiable circumstances, as
when all the petitioners share a common
interest and invoke a common cause of
action or defense, the signature of only one
of them in the certification against forum
shopping substantially complies with the
certification requirement (Basan vs. Coca-cola
Bottlers, G.R. No. 174365-66, February 04,
2015).
3.F.3d. Certification against forum
shopping
Forum Shopping
Forum shopping is the act of a party litigant
against whom an adverse judgment has been
rendered in one forum seeking and possibly
getting a favorable opinion in another forum,
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 Purple Notes
Criminal
Remedial
other than by appeal or the special civil action of
certiorari, or the institution of two or more
actions or proceedings grounded on the same
cause or supposition that one or the other court
would make a favorable disposition. Forum
shopping happens when, in the two or more
pending cases, there is identity of parties,
identity of rights or causes of action, and identity
of reliefs sought (Alma Jose vs. Javellana, G.R. No.
158239, January 25, 2012).
Test in determining the existence of forum
shopping
Where the elements of litis pendentia are
present, and where a final judgment in one case
will amount to res judicata in the other, there is
forum shopping.
Elements of Litis Pendentia
a) Identity of the parties or at least such as to
represent the same interests in both actions;
b) Identity of rights asserted and relief prayed
for, the relief being founded on the same
acts; and,
c) Identity of the first two elements, such that
any judgment rendered in one action will,
regardless of which party is successful,
amount to res judicata in the other(Grace Park
Int’l Corp. vs. Eastwest Banking Corp., G.R. No.
210606,July 27, 2016).
5. Q. Is there forum shopping where there are
distinct cause of action?
A. No. For forum shopping to exist, both
actions must involve the same transaction,
same essential facts and circumstances and
must raise identical causes of action, subject
matter and issues. Clearly, it does not exist
where different orders were questioned, two
distinct causes of action and issues were
raised, and two objectives were sought.
(Alma Jose vs. Javellana, G.R. No. 158239,
January 25, 2012)
Three ways to commit forum shopping:
 through litis pendentia — filing multiple
cases based on the same cause of action and
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with the same prayer, the previous case not
having been resolved yet
 through res judicata — filing multiple cases
based on the same cause of action and the
same prayer, the previous case having been
finally resolved
 splitting of causes of action — filing
multiple cases based on the same cause of
action but with different prayers (Sps. Plaza
vs. Lustiva, G.R. No. 172909, March 5, 2014).
Litis pendentia is a situation wherein another
action is pending between same parties for the
same cause of action and the second action
becomes unnecessary and vexatious (Acap vs.
Court of Appeals, G.R. No. 118114, December 7,
1995).
Lis pendens, which literally means “pending
suit”, refers to the jurisdiction, power or control
which a court acquires over property involved in
a suit, pending the continuance of the action, and
until final judgment.
Founded upon public policy and necessity, lis
pendens is intended to keep the properties in
litigation within the power of the court until the
litigation is terminated, and to prevent the defeat
of the judgment or decree by subsequent
alienation. Its notice is an announcement to the
whole world that a particular property is in
litigation and serves as a warning that one who
acquires an interest over said property does so at
his own risk or that he gambles on the result of
the litigation over said property.
The filing of a notice of lis pendens has a two-
fold effect:
1. it keeps the subject matter of the litigation
within the power of the court until the entry
of the final judgment to prevent the defeat of
the final judgment by successive alienations;
and,
2. it binds a purchaser, bona fide or not, of the
land subject of the litigation to the judgment
or decree that the court will promulgate
subsequently (Biglang-awa vs. Philippine Trust
Company, G.R. No. 158998, March 28, 2008).
and

Grounds for cancelling notice of
pendens:
1. The annotation was for the purpose of
molesting the title of the adverse party; or,
2. The annotation is NOT necessary to protect
the title of the party who caused it to be
recorded.
Note: The notice of lis pendens may be
cancelled only upon order of the court, after
proper showing of the ground therefor (Rule 13,
Sec. 19).
Res judicatameans that a final judgment or
decree on the merits by a court of competent
jurisdiction is conclusive of the rights of the
parties or their privies, in all later suits and on all
points and matters determined in the previous
suit.
6. Q. What does “res judicata” mean?
A. The term literally means a “matter
adjudged, judicially acted upon, or settled by
judgment.” The principle bars a subsequent
suit involving the same parties, subject
matter, and cause of action. Public policy
requires that controversies must be settled
with finality at a given point in time (Sps.
Dela Cruz vs. Joaquin, G.R. No. 162788, July 28,
2005).
Elements of Res Judicata: (FMJI-PSC)
1. the former judgment or order must be Final;
2. it must have been rendered on the Merits of
the controversy;
3. the court that rendered it must have had
Jurisdiction over the subject matter and the
parties; and,
4. There must be, between the first and the
second actions, Identity of:
a. Parties;
b. Subject matter; and
c. Cause of action (Sps. Dela Cruz vs. Joaquin,
G.R. No. 162788, July 28, 2005).
Two concepts of res judicata(Rule 39, Sec. 47)
1. Bar by prior or former judgment; and
2. Conclusiveness of judgment or preclusion of
issues or collateral estoppels
Purple Notes
Criminal
lis
Remedial
Basis of Res Judicata
1. Parties should not be permitted to litigate
the same issue more than once.
2. When a right or fact has been judicially tried
and determined by a court of competent
jurisdiction, the judgment of the court, so
long as it remains unreversed, should be
conclusive upon the parties and those in
privity with them in law or estates.
Certification against Forum Shopping
It is a certification under oath in the complaint or
other initiatory pleading, or in a sworn
certification annexed thereto and simultaneously
filed therewith:
1. that the plaintiff or principal party has not
theretofore commenced any action or filed
any claim involving the same issues in any
court, tribunal or quasi-judicial agency and,
to the best of his knowledge, no such other
action or claim is pending therein;
2. that if there is such other pending action or
claim, a complete statement of the present
status thereof; and,
3. that if he should thereafter learn that the
same or similar action or claim has been filed
or is pending, he shall report that fact within
five (5) calendar days therefrom to the court
wherein his aforesaid complaint or initiatory
pleading has been filed (Rule 7, Sec. 5)
The authorization of the affiant to act on behalf
of a party, whether in the form of a secretary’s
certificate or a special power of attorney, should
be attached to the pleading. (n)
The following are considered initiatory
pleadings:
a) Original civil complaint;
b) Counterclaim;
c) Cross-claim;
d) Third (fourth, etc.) party complaint;
e) Complaint-in-intervention;and
f) Any other petition, or application wherein a
party asserts his claim for relief (A.M. No. 04-94,
February 8, 1994).
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 Purple Notes
Criminal
Remedial
Non-compliance with the requirements for Tomas University Hospital vs. Surla, G.R. No.
Certification against Forum Shopping (Rule 129718, August 17, 1998);
7, Sec.5) 5. All plaintiffs must sign the certification of non
forum shopping (Loquias vs. Office of the
Ground Effect Ombudsman, G.R. No. 139396, August 15, 2000).
Failure to comply with Not curable by mere
the requirements amendment. Note: Every petition filed with the Supreme
under Rule 7, Sec. 5. Court or the CA must be accompanied by a
Gen. Rule: Cause for certificate of non-forum shopping.
the dismissal of the
case without
prejudice
 Administrative Circular No. 28-91, dated
February 8, 1994, issued by the Supreme
Exception: When Court, requires that every petition filed with
otherwise provided, the Supreme Court or the CA must be
upon motion and accompanied by a certificate of non-forum
after hearing. shopping. Later, Administrative Circular No.
Submission of false Indirect contempt of 04-94 was issued and made effective on
certification or non court, without April 1, 1994. It expanded the certification
compliance with any prejudice to the
requirement to include cases filed in court
of the undertakings corresponding
under Rule 7, Sec. 5. administrative and
and in quasi-judicial agencies. The Court
criminal actions. adopted paragraphs (1) and (2) of
Acts of the party or  Summary Administrative Circular No. 04-94 to become
his counsel clearly dismissal with Section 5, Rule 7 of the 1997 Rules of Civil
constitute willful and prejudice Procedure. Significantly, to curb the
deliberate forum  Direct contempt malpractice of forum shopping, the rule
shopping.  Administrative ordains that a violation thereof would
sanctions. constitute contempt of court and be a cause
for the summary dismissal of the petition,
Note: The rule does not apply to cases that without prejudice to the taking of
arise from an initiatory or original action which appropriate action against the counsel of the
has been elevated by way of appeal or certiorari party concerned (Mandaue Galleon Trade, Inc.
to higher or appellate courts or authorities. This vs. Isidto, G.R. No. 181051, July 5, 2010).
is so not only because the issues in the appellate
courts necessarily differ from those in the lower  Q. Does the rule on certificate against forum
court, but also because the appealed cases are a shopping also apply in criminal cases?
continuation of the original case and treated as
only one case(Eulogio vs. Bell Sr., G.R. No. 186322, A. No. Certificate of non-forum shopping is
July 8, 2015). not required or necessary in criminal cases
and distinct causes of action. The absence of
Guidelines: a provision on non-forum shopping in the
Revised Rules of Criminal Procedure, unlike in
1. The certificate is to be executed by petitioner the Rules on Civil Procedure, suggests as
and not by counsel; much(Gilbert Guy vs. Asia United Bank, G.R. No.
2. The certificate is required only for complaints 174874, 4 Oct. 2007).
and initiatory pleadings(Korea Technologies Co.
Ltd. vs. Lerma, G.R. No. 143581, January 7, 2008);  Q. Does the rule on certificate against forum
3. The certification is mandatory under Sec. 5 of shopping apply to labor cases?
Rule 7 but not jurisdictional (Robert Dev’t Corp.
vs. Quitain, G.R. No. 135042, September 23, A.No.Under the omnibus rules implementing
1999); the Labor Code as amended by D.O. No. 9,
4. Certificate of non-forum shopping is not labor cases are supposed to be filed in the
required in a compulsory counterclaim (Santo Regional Office which has jurisdiction over
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the principal office of the employer or where
the bargaining unit is principally situated. The
rules further provide that where two or more
petitions involving the same bargaining unit
are filed in one Regional Office, the same
shall be automatically consolidated. Hence,
the filing of multiple suits and the possibility
of conflicting decisions will rarely happen in
this proceeding and, if it does, will be easy to
discover.
Notably, under the Labor Code and the rules
pertaining to the form of the petition for
certification election, there is no requirement
for a certificate of non-forum shopping either
in D.O. No. 9, series of 1997 or in D.O. No.
40-03, series of 2003 which replaced the
former.
Considering the nature of a petition for
certification election and the rules governing
it, we therefore hold that the requirement for
a certificate of non-forum shopping is
inapplicable to such a petition (Samma-Likha
vs. Samma Corp. G.R. No. 16714113 March 2009).
& Q. When is a signature of counsel sufficient in
certification against forum shopping?
A. Certification against forum shopping is a
peculiar and personal responsibility of the party,
an assurance given to the court or other
tribunal that there are no other pending cases
involving basically the same parties, issues and
causes of action. It must be executed by the
party-pleader, not by his counsel. If, however,
for reasonable or justifiable reasons, the party-
pleader is unable to sign, he must execute a
Special Power of Attorney (SPA) designating his
counsel of record to sign on his behalf (Uy vs. CA,
G.R. No. 173186, September 16, 2015).
Verification and Certification of non-forum
shopping by a Corporation
 Q. Who are the signatory/ies to the
verification and Certification against forum
shopping?
A.The requirement that petitioner should sign
the certificate of non-forum shopping applies
even to corporations, the Rules of Court
Purple Notes
Criminal
making no
Remedial
distinction between natural and
juridical persons. The signatory in the case
of the corporation should be “a duly
authorized director or officer of the
corporation” who has knowledge of the
matter being certified. If, as in this case, the
petitioner is a corporation, a board resolution
authorizing a corporate officer to execute the
certification against forum-shopping is
necessary. A certification not signed by a
duly authorized person renders the petition
subject to dismissal. (Gonzales vs. Climax
Mining Ltd., G.R. No. 161957. February 28, 2005)
General Rule: Only individuals vested with
authority by a valid board resolution may sign the
certificate of non-forum shopping in behalf of a
corporation. Proof of said authority must be
attached; otherwise, the petition is subject to
dismissal (Asean Pacific Planners vs. City of Urdaneta,
G.R. No. 162525, September 23, 2008).
Exception: The following officers of a
corporation do NOT require a Board Resolution;
they can always sign the verification and CAFS
without said resolution:
1. Chairman of the Board of Directors
2. President of the corporation
3. General Manager
4. Acting Manager
5. Personnel Officer
6. Employment Specialist in a labor case
(Powerhouse Staff Builders vs. Rey, G.R. No.
190203, November 7, 2016).
Rationale: Corporate officers or representatives
of the corporation are in a position to verify the
truthfulness and correctness of the allegations in
the petition.
GUIDELINES for (i) non-compliance with
the requirements on; or, (ii) submission of
defective Verification and Certification
against Forum Shopping:
1) A distinction must be made between non-
compliance with the requirement on or
submission of defective verification, and non-
compliance with the requirement on or
submission of defective certification against
forum shopping.
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Remedial
2) As to verification, non-compliance therewith or Definition This is an This is an
a defect therein does not necessarily render the allegation allegation that a
pleading fatally defective. The Court may order that the party has not
its submission or correction or act on the affiant has filed a similar
read the case before any
pleading if the attending circumstances are such
pleading and other court,
that strict compliance with the Rule may be that the tribunal, body
dispensed with in order that the ends of justice allegations or agency.
may be served thereby. therein are
true and
3) Verification is deemed substantially complied correct of his
with when one who has ample knowledge to personal
swear to the truth of the allegations in the knowledge
or based on
complaint or petition signs the verification, and
authentic
when matters alleged in the petition have been records.
made in good faith or are true and correct. Objectives To secure To give
the assurance to
4) As to certification against forum shopping, assurance the court or
non-compliance therewith or a defect therein, that the other tribunal
unlike in verification, is generally not curable by matters that there are
its subsequent submission or correction thereof, alleged in a no other
unless there is a need to relax the Rule on the pleading are pending cases
true and involving
ground of "substantial compliance" or presence
correct. basically the
of "special circumstances or compelling reasons." same parties,
issues and
5) The certification against forum shopping must causes of
be signed by all the plaintiffs or petitioners in a action.
case; otherwise, those who did not sign will be Who The party The party
dropped as parties to the case. Under reasonable should sign himself. himself.
or justifiable circumstances, however, as when all Reason: The Reason: The
the plaintiffs or petitioners share a common counsel has counsel has no
no personal personal
interest and invoke a common cause of action or
knowledge knowledge of
defense, the signature of only one of them in the
of the the substantive
certification against forum shopping substantially substantive allegations.
complies with the Rule. allegations.
What is the Not Not
6) Finally, the certification against forum effect of its jurisdictional jurisdictional;
shopping must be executed by the party-pleader, absence ; the lack of the lack of it
not by his counsel. If, however, for reasonable or it will not will not divest
justifiable reasons, the party-pleader is unable to divest the the court of
sign, he must execute a Special Power of court of jurisdiction.
jurisdiction. It cannot be
Attorney designating his counsel of record to sign
However, it corrected by
on his behalf (Vda. De Formoso vs. Philippine can be amendments.
National Bank, G.R. No. 154704, June 1, 2011). corrected by CAFS is more
amendments important than
. Verification.
Verification vs. Certification against Forum
Shopping 3.F.3e. Contents of a pleading

Verification Certification The pleadings shall now contain: (CBE-

against forum NSE)
shopping
(CAFS)
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1. Claims and defenses of the party;
2. Body (Sec. 2 Rule 7)
3. Evidence to be offered, specifically:
a. Names of witnesses who will be presented
to prove a party’s claim or defense
b. Summary of the witnesses’ intended
testimonies
c. Documentary and object Evidence in
support of the allegations contained in the
pleading(Rule7, Sec. 6).(n)
Attach Judicial Affidavits of witnesses
The Judicial Affidavits of witnesses shall be
attached to the pleading and form an integral
part thereof. Only witnesses whose judicial
affidavits are attached to the pleading shall be
presented by the parties during trial (Rule 7, Sec. 6
(b)).
Effect of failure to attach Judicial Affidavit
of witness
General Rule:The witness whose Judicial
Affidavit is not attached on the pleading shall not
be heard or admitted by court.
Exception: if a party presents meritorious
reasons as basis for the admission of additional
witnesses (Rule 7, Sec. 6).(n)
3.F.4. Allegations in a Pleading
3.F.4a. Manner of MakingAllegations
Every pleading shall contain in a methodical and
logical form, a plain, concise and direct statement
of the ultimate facts, including the evidence
on which the party pleading relies for his claim or
defense, omitting the statement of mere
evidentiary facts (Rule 8,Sec. 1).
Ultimate Facts are the important and
substantial facts which either directly form the
basis of the plaintiff’s primary right and duty or
directly make up the wrongful acts or omissions
of the defendant(Uy vs. CA, G.R. No. 173186,
September 16, 2015).
Evidentiary Facts are those which are
necessary to prove the ultimate fact, or which
Purple Notes
Criminal
Remedial
furnish evidence of the existence of some other
facts. They are not proper as allegations in the
pleadings, as they may only result in confusing
the statement of the cause of action or the
defense.
When is a fact essential
When it cannot be stricken out without leaving
the statement of the cause of action or defense
insufficient(Zuniga-Santos vs. Santos-Gran, GR No.
197380, October 8, 2014).
What are NOT ultimate facts
 Evidentiary facts;
 Legal conclusions, conclusions or inferences of
facts from facts not stated, or incorrect
inferences or conclusions from facts stated;
 The details of probative matter or particulars
of evidence, statements of law, inferences and
arguments.
Condition Precedent refers to matters which
must be complied with before a cause of action
arises.
In any pleading, a general averment of the
performance or occurrence of all conditions
precedent shall be sufficient(Rule 8, Sec. 3).
Example of conditions precedent:
1. Exhaustion of Administrative Remedies;
2. Earnest efforts were undertaken to for the
reconciliation of the members of the same
family; and
3. Barangay Conciliation Proceeding
The phrase “members of the same family”
refers to:
a) Vertical line – no limitation
b) Collateral line – up to brothers and sisters only
(Art. 152, NCC)
General Rule: Every case must undergo
Barangay Conciliation Proceeding before it is filed
with the court.
Exceptions: Barangay Conciliation is NOT
necessary:
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 Purple Notes
Criminal
1. GovernmentRemedial
is a party;
2. A corporation is a party;
3. In cases of warrantless arrest;
4. In the availment of provisional remedies; and,
5. If the parties are not residents of the same
city or municipality UNLESS the barangays
where they live are adjacent to each
other(Abagatnan vs. Sps. Clarito, GR No. 211966,
August 7, 2017).
Fraud, mistake, or condition of the mind
In all averments of fraud or mistake, the
circumstances constituting fraud or mistake must
be stated with particularity.
Malice, intent, knowledge, or other condition of
the mind of a person may be averred
generally(Rule 8, Sec. 5).
Facts that may be averred generally:
1. Conditions precedent(Rule 8, Sec. 3);
2.
Note: There must still be an allegation that
the specific condition precedent has been
complied with; otherwise, the case will be
dismissed for lack of cause of action.
3. Malice, Intent, Knowledge, or other
Condition of the mind(MICK)(Rule 8, Sec. 5);
Reason: It is difficult to state the particulars
constituting these matters.
4. Judgments of domestic or foreign courts,
tribunals, boards, or officers;
Note:No need to show jurisdiction (Rule 8,
Sec. 6). An authenticated copy of the
judgment or decision shall be attached to
the pleading. (n)
5. Official document or act(Rule 8, Sec. 9).
Note: It is sufficient to aver that the
document was issued or the act was done in
compliance with law.
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Facts that must be averred with
particularity: (CALF)
1. Capacity to sue or be sued;
2. Authority to sue or be sued in a
representative capacity;
Note: A party desiring to raise an issue as to
the legal existence or capacity of any party to
sue or be sued in a representative capacity
shall do so by specific denial which shall
include supporting particulars within the
pleader’s knowledge.
3. Legal existence of an organized association of
person that is made a party;
Note:If the plaintiff is a foreign corporation,
the following must be averred:
a) The specific circumstance that it is duly
licensed to do business in the Philippines;
or
b) That the transaction is an isolated one, if it
is not licensed to do business in the
Philippines(Olympia Business Machines Co. vs.
E. Razon, Inc., G.R. No. 75631, October 28,
1987).
4. In all averments of Fraud or mistake the
circumstances constituting fraud or mistake
must be stated with particularity;
Rule on Alternative Defenses
1. Two or more statements are made in the
alternative.
2. One of them, if made independently, would
be sufficient.
3. In such a case, the pleading is NOT made
insufficient by the insufficiency of one or
more of the alternative statements (Rule 8,
Sec. 2).
In the same manner that the plaintiff may assert
two or more causes of action in a court suit, a
defendant is likewise expressly allowed, under
Section 2, Rule 8, of the Rules of Court, to put up
his own defenses alternatively or even
and

hypothetically. Indeed, under Section 2, Rule 9,
of the Rules of Court, defenses and objections
not pleaded either in a motion to dismiss or in an
answer, except for the failure to state a cause of
action, are deemed waived. We take this to mean
that a defendant may, in fact, feel enjoined to set
up, along with his objection to the court's
jurisdiction over his person, all other possible
defenses(La Naval Drug Corporation vs. CA, G.R. No.
103200, August 31, 1994).
3.F.4b. Pleading an Actionable Document
Actionable document is a document or
instrument which is the basis of a cause of action
or defense, and not merely evidentiary thereon
(Araneta, Inc. vs. Lyric Film Exchange, Inc.,G.R. No.
37730, November 14, 1933).
Manner of pleading an actionable
document
Actionable documents are pleaded by alleging the
substance of such written instrument in the
pleading and attaching a copy thereof to the
pleading as an exhibit (Rule 8, Sec. 7).
How to contest an actionable document:
1) By specific denial under oath; AND
2) By setting forth what is claimed to be the
facts (Rule 8, Sec. 8).
General Rule: When an actionable document is
properly alleged, failure to specifically deny the
same under oath (verification) shall result to the
implied admission of the genuineness and due
execution of the document.
Exceptions:
a) When the adverse party is not a party to the
instrument; or
b) When the order for the inspection of the
document is refused (Rule 8, Sec. 8).
Note: In the above exceptions, SPECIFIC
DENIAL is STILL REQUIRED but it need NOT be
under oath. Otherwise, the general rule applies
that matters which were not specifically denied
are deemed admitted.
Purple Notes
Criminal
Remedial
A variance in the substance of the document set
forth in the pleading and the document annexed
thereto does not warrant the dismissal of an
action. The content of the documents annexed
shall prevail.
“Due execution and genuineness” of a
document simply means:
1. that “the party whose signature it bears
admits that he signed it or that it was signed
by another for him with his authority;
2. that at the time it was signed, it was in words
and figures exactly as set out in the pleading
of the party relying upon it;
3. that the document was delivered; and,
4. that any formal requisites required by law,
such as a seal, an acknowledgment, or
revenue stamp, which it lacks, are waived by
him(Citibank, N.A. vs. Sabeniano, G.R. No. 156132,
February 6, 2007).
 Q. What does genuiness and due execution
mean?
A. When the law makes use of the phrase
‘genuineness and due execution of the
instrument’ it means nothing more than that
the instrument is not spurious, counterfeit, or
of different import on its face from the one
executed. It is equally true, however, that
execution can only refer to the actual making
and delivery, but it cannot involve other
matters without enlarging its meaning
beyond reason. The only object of the rule
was to enable a plaintiff to make out a prima
facie, not a conclusive case, and it cannot
preclude a defendant from introducing any
defense on the merits which does not
contradict the execution of the instrument
introduced in evidence (Benguet Exploration vs.
CA, G.R. No. 117434, February 9, 2001).
 Q. What does “admission of the due
execution and genuineness of a document
mean?
A. It simply means that “the party whose
signature it bears admits that he signed it or
that it was signed by another for him with his
authority, that at the time it was signed it
was in words and figures exactly as set out in
the pleading of the party relying on it, that
the document was delivered, and that any
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Commissions 73
 Purple Notes
Criminal
Remedial
formal requisites required by law, such as a A.Failure to specifically deny under oath the
seal, an acknowledgment, or revenue stamp, genuineness and due execution of an
which it lacks, are waived by him (Benguet actionable document generally implies an
Exploration Inc. vs. CA, G.R. No. 117434, February admission of the same by the other party.
9, 2001). However, such implied admission is deemed
waived if the party asserting the same has
Note: Failure to deny the genuineness and due
allowed the adverse party to present
execution of the document does not amount to a
evidence contrary to the contents of such
waiver. It does not stop a party from
document without objection (Central Surety
controverting such by evidence of:
vs. Hodges, G.R. No. L-28633, March 30, 1971).
a) Fraud
3.F.4c. Specific Denials
b) Mistake
c) Duress
How made:
d) Want/illegality of consideration
e) Compromise
1. Specify each material allegation of fact the
f) Payment
truth of which a party does not admit, and
g) Statute of limitations
whenever practicable, set forth the substance
h) Estoppel
of the matters upon which he relies to support
i) Minority or imbecility
his denial (Specific Absolute Denial);
 Q. When is the requirement of an oath on
2. Specify so much of the averment as is true
specific denial of actionable document not
and material, and deny the remainder
necessary?
(Partial Specific Denial); or,
A. The requirement of oath does not apply
3. State defendant’s lack of knowledge or
when (1) the adverse party does not appear
information sufficient to form a belief as to
to be a party to the instrument or (2) when
the truth of a material averment made in the
compliance with an order for an inspection of
complaint (Specific Denial by Disavowal
the proginal instrument is refused (Rule 8, Sec.
of Knowledge)(Rule 8, Sec. 10).
8; Fernando Medical Enterprises, Inc. vs. Wesleyan
University,781 SCRA 508, January 20, 2016).
Note: This does not apply where the fact as to
Defenses waived by admission which want of knowledge is asserted is, to the
knowledge of the court, so plain and necessarily
1) Forgery of signature; within the defendant’s knowledge that his
2) The party charged signed the instrument in averment of ignorance must be palpably untrue.
some other capacity;
3) Want of authority of an agent;  Q. What are considered sham denials?
4) Corporation was not authorized under the
charter to sign the instrument; A. It is settled that denials based on lack of
5) Want of delivery; or, knowledge or information or matters clearly
6) The document as signed was not in words known to the pleader, or ought to be known
and figures exactly set out in the to it, or could have easily been known by it
pleading(Go vs. BPI Savings Bank, GR No. are insufficient and constitute ineffective or
187487, June 29, 2015). sham denials (Fernando Medical Enterprises,
Inc. vs. Wesleyan University, G.R. No. 207970,
January 20, 2016).
 Q. What is the effect of failure to specifically
deny under oath the genuineness and due
 Q. Does the use of word “specifically” make
execution of an actionable document? How
the denial a specific one?
may it be waived?

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A. No. A general denial does not become
specific by the use of the word “specifically”.
Neither does it become so by simple
expedient of coupling the same with a broad
conclusion of law that the allegations
contested are “self-serving” or are intended
“to suit plaintiff’s purposes” (Go Tong
Electrical Supply vs. BPI, G.R. No. 187487, June
29, 2015).
 Q. What is the purpose of requiring specific
denials?
A. The purpose of requiring respondents to
make a specific denial is to make them
disclose facts which will disprove allegations
of petitioner at the trial, together with the
matters they rely upon in support of such
denial. This is to prevent unnecessary
expenses and waste of time by compelling
both parties to lawy their cards oin the table,
thus reducing the controversy to its true
terms (Republic vs, Sandiganbayan, G.R. No.
152154, July 15, 2003).
 Q. When is a denial considered not denial at
all?
A. When matters regarding which
respondents claim to have no knowledge or
information sufficient to form a belief are
plainly and necessarily within their
knowledge, their alleged ignorance or lack of
information will not be considered a specific
denial—a profession of ignorance about a
fact which is patently and necessarily within
the pleader’s knowledge or means of
knowing is as ineffective as no denial at all;
The form of denial based on ignorance or
lack of information must be availed of with
sincerity and in good faith, and certainly not
for the purpose of confusing the adverse
party as to what allegations of the petition
are really being challenged, nor should it be
made for the purpose of delay(Republic of the
Philippines vs. Sandiganbayan, G.R. No. 152154,
July 15, 2003)
. has not been complied with(Rule 8,Sec. 12).(n)
General Rule: Material averments asserting a
claim shall be deemed admitted when not
specifically denied(Rule 8, Sec. 11).
Purple Notes
Criminal
Note: Where
Remedial
the allegation is not
specifically
denied, it shall be considered as having been
admitted by the party against whom such
allegations are directed against.
Exception: Matters NOT deemed admitted even
if NOT specifically denied.
a) Unliquidated damages; (Rule 8, Sec. 11)
b) Allegations immaterial to the cause of action;
c) Allegations where no answer has been filed;
and,
d) Conclusions of law.
3.F.4d. Affirmative Defenses
A defendant shall raise his or her affirmative
defenses in his or her answer, which shall be
limited to the reasons below:
1. Those set forth under Rule 6, Sec. 5(b):
(SPIDERS-OFF)
a. Statute of limitations;
b. Payment;
c. Illegality;
d. Discharge in bankruptcy;
e. Estoppel;
f. Release;
g. Statute of frauds;
h. Any Other matter by way of confession
and avoidance;
i. Former recovery; and
j. Fraud.
2. Lack of jurisdiction over the subject matter;
3. Litis pendentia;
4. Res judicata;
5. That the court has no jurisdiction over the
person of the defending party;
6. That venue is improperly laid;
7. That the plaintiff has no legal capacity to sue
8. That the pleading asserting the claim states
no cause of action; and
9. That a condition precedent for filing the claim
Effects of failure to raise affirmative
defense at the earliest opportunity

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Commissions 75
 Purple Notes
Criminal
General Remedial
Rule: It shall constitute a waiver h. Any Other matter by way of confession and
thereof. avoidance;
i. Former recovery; and
Exception: The following may be raised at any j. Fraud.
part of the proceeding, subject only to the rules
on estoppel and laches:  Q. When is such summary judgment proper?
1. Lack of Jurisdiction over the subject matter;
2. Litis pendentia; A. This is after the court summarily hears
3. Res judicata; and both parties with their respective proofs and
4. Statute of limitations (Rule 9, Sec. 1). finds that there is no genuine issue between
them. Summary judgment is proper when
there is clearly no genuine issue as to any
Remedies available against denial of material fact in the action. The theory of
affirmative defenses summary judgment is that, although an
answer may on its face appear to tender
If affirmative defenses are denied they shall issues requiring trial, if it is demonstrated by
notbe subject for a motion for reconsideration or affidavits, depositions or admissions that
petition for certiorari, prohibition or mandamus, those issues are not genuine but sham or
but may beamong the matters to be raised on fictitious.
appeal after a judgment on the merits (Rule 8,
Section 12).(n) A genuine issue is an issue of fact which
calls for the presentation of evidence as
Resolution of Affirmative Defenses distinguished from an issue which is fictitious
and contrived, set up in bad faith or patently
General Rule: The court shallmotu lacking in substance so as not to constitute a
proprioresolve the affirmative defenses within genuine issue for trial (Republic vs.
Sandiganbayan, G.R. No. 152154, July 15, 2003).
thirty (30) calendar days from the filing of the
answer [Rule 8, Sec. 12(c)].(n)
3.F.5. Effect of Failure to Plead
Exception: For affirmative defenses in Section 5
Default may occur when the defending party fails
(b) of Rule 6, the court may conduct a summary
to file his answer within the reglementary period.
hearing within fifteen (15) calendar days from
It does not occur from the mere failure of the
the filing of the answer. Such affirmative
defendant to attend the trial. The court cannot
defenses shall be resolved by the court within
motu proprio declare the defendant in default.
thirty (30) days from termination of summary
There must be a requisite motion so that the
hearing[Rule 8,Sec. 12 (d)].(n)
defending party can be declared in default.
Affirmative defenses which may call for a
A declaration of default is not an admission of the
summary hearing
truth or validity of the plaintiff’s claim (Vlason
Enterprises Corp. vs. CA, G.R. No. 121662-64, July 06,
Those set forth under Rule 6, Sec. 5(b): 1999).
(SPIDERS-OFF)
3.F.5a. Failure to Plead Defenses and
a. Statute of limitations; Objections
b. Payment;
c. Illegality; General Rule: Defenses and objections not
d. Discharge in bankruptcy; pleaded either in a motion to dismiss or in the
e. Estoppel; answer are deemed waived.(Omnibus Motion
f. Release; Rule)
g. Statute of frauds;

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 Purple Notes
Criminal
Exceptions:
Remedial
appear at the hearing, is the SOLE GROUND
for an order of default (Sps. Salvador vs. Sps.
1. Lack of jurisdiction; Rabaja and Gonzales, G.R. No. 199990, February
2. Litis pendentia; 4, 2015).
3. Res judicata; and
4. Prescription of the action (Rule 9, Sec. 1) Residual Jurisdiction vs. Residual
Prerogatives
 Q. What is the effect of the above
exceptions? Residual Jurisdiction Residual
Prerogatives
Governed by Rule 41, Sec. Governed by Rule
A. The court shall dismiss the claim if any of
9. 9, Sec. 1 and Rule
these grounds appears from the pleadings or 17, Sec. 3.
the evidence on record. These defenses may Available at a stage in Does not require
be raised at any stage of the proceedings, which the court is normally the perfection of
even for the first time on appeal EXCEPT that deemed to have lost an appeal.
lack of jurisdiction over the subject matter jurisdiction over the case
may be barred by laches (Tijam vs. or the subject matter
Sibonghanoy, G.R. No. L- 21450, April 15, 1968). involved in the appeal.

A compulsory counterclaim or a cross-claim not This stage is reached upon

the perfection of the
set up shall be barred (Rule 9, Sec.2).
appeals by the parties or
upon the approval of the
Note: The presence of the said grounds records on appeal, but
authorizes the court to motu proprio dismiss the prior to the transmittal of
claims. These grounds must, however, appear the original records or the
from the pleadings or the evidence on record. records on appeal.
Moreover, they may be raised at any stage of the Refers to the authority of Refers to the
proceedings even for the first time on appeal, the trial court to to: (O- authority of the
EXCEPT estoppel by laches. PAPA) trial court to
motu proprio
1. Order execution dismiss a claim
Effect of failure of the defendant to file an pending appeal; on the following
answer 2. issue Protective orders; grounds:
3. Approve compromises;
General Rule: If the defending party fails to 4. Permit appeals of 1. Lack of
answer within the time allowed therefor, the indigent litigants; and jurisdiction
court, upon motion, shall declare him in default. 5. Allow the withdrawal over the
of the appeal subject
Exceptions: In the following cases, no default matter;
2. Res judicata;
may be declared:
3. Litis
pendentia;
a) Annulment of marriage; 4. Prescription
b) Declaration of nullity of marriage; (Rule 9, Sec.
c) Legal separation; 1);
d) Special civil actions of certiorari, prohibition, 5. Failure on the
and mandamus (instead, comment is filed); part of the
or, plaintiff,
e) Summary procedure without any
justifiable
cause:
 Q. What is the sole ground for declaring a a. to appear
party in default? on the date
of the
A. Failure to file a responsive pleading within presentatio
the reglementary period, and not failure to n of his

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Commissions 77
 Purple Notes
Criminal
Remedial evidence in 2. The defending party failed to answer within
chief on the time allowed therefor;
the
complaint; 3. There must be a motion to declare the
b. to
defending party in default filed by the claiming
prosecute
his action party;
for an
unreasonab 4. The defending party must be notified of the
le length of motion to declare him in default;
time; or
c. to comply Note:All litigious motions shall be servedby
with these personal service, accreditedprivate courier or
Rules or
registeredmail, or electronic means so asto
any order
of the court
ensure their receipt by theother party [Rule 15,
(Rule 17, Sec. 5(b)].(n)
Sec. 3).
(Katon vs. Palanca, Jr., G.R. No. 151149, September 7, 5. There must be proof of the failure to file the
2004.) answer (Sablas vs. Sablas, G. R. No. 144568, July
3, 2007); and,
3.F.5b. Failure to Plead a Compulsory
Counterclaim and Cross-claim Note: Pursuant to the 2019 amendments,
hearing on a motion to declare defendant in
General Rule: A compulsory counterclaim or a default is just discretionary. The court may,
cross-claim not set up shall be barred (Rule 9, Sec. in the exercise of its discretion, and if deemed
2). necessary for its resolution, call a hearing on
the motion(Rule 15, Sec. 6).(n)
Exception: The pleader may, by leave of court,
set up the counterclaim or cross-claim by
amendement before judgment when the failure  Q. Can the court motu proprio declare a
to set up such claim is through party in default?
a) Oversight;
b) Inadvertence; A. No.The trial court cannot motu proprio
c) Excusable neglect; or declare a defendant in default as the rules
d) When justice requires (Rule 11, Sec. 10). leave it up to the claiming party to protect
his or its interests. The trial court should
3.F.6 Declaration of Default not, under any circumstances, act as counsel
of the claiming party (Sablas vs. Sablas, G. R.
It is a procedural concept that occurs when the No. 144568, July 3, 2007).
defending partyfails to file his answer within the
reglementary period. It does not occur from the Note: If an amended complaint is filed
failure of the defendant to attend either the pre- resulting in the withdrawal of the original
trial or the trial(Rule 9, Sec.3). complaint, and defendant was declared in
default for failing to answer the original
3.F.6a. When a declaration of default is complaint, the defendant is entitled to
proper answer the amended complaint as to which
he was not in default.
1. The court has validly acquired jurisdiction over
the person of the defending party either by Order of default
service of summons or voluntary appearance;
 Issued by the court on plaintiff’s motion and
at the start of the proceedings, for failure of

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the defendant to file his responsive pleading
seasonably.
 notices of subsequent proceedings [Rule 9, Sec.
 The order of default renders the defending
party in default. The court shall either: a)
proceed to render judgment granting the
claimant such relief as his pleading may
warrant; or, b) in its discretion, shall require
the claimant to submit evidence. The
reception of evidence may be delegated to
the clerk of court (Rule 9, Sec. 3).
3.F.6b. Effect of an order of default
 Q. What is the effect of the order to a party
declared in default?
A. A party delared in default loses his
standing in court; he is only entitled to
receive notice of subsequent proceedings.
He cannot:
a) participate in the proceedings;
b) present his defense;
c) adduce evidence on his behalf;
d) cross-examine the witness of the
plaintiff; and,
e) object or refute evidence or motions filed
against him (Otero vs. Tan, G. R. No.
200134, 15 August 15, 2012).
 Q. What may a party in default do?
 Q. Is relief automatic once the opposing party
A. The party in default may still be called on
as a witness, in behalf of the non-defaulting
defendant.(Cavili vs. Florendo, G.R. No. L-
73039, October 09, 1987).
 Q. Is a party in default prohibited from filing
an appeal?
A. No.It is important to note that a party
declared in default is NOT barred from
appealing from the judgment on the main
case, whether or not he had previously filed
a Motion to Set Aside Order of Default, and
regardless of the result of the latter and the
appeals therefrom. However, the appeal
should be based on the Decision’s being
contrary to law or the evidence already
presented, and not on the alleged invalidity
of the default order (BDO vs. Transipek, G.R.
No. 181235, July 22, 2009).
Purple Notes
Criminal
Note: While the
Remedial
defendant can no longer take
part in the trial, he is nevertheless entitled to
3(a)].
Judgment by default
Judgment rendered by the court on the basis of
the complaint or after receiving plaintiff’s
evidence when the defendant was declared in
default(Rule 9, Sec. 3).
General Rule: There is no judgment by default
without an order of default.
Exception: When a party refuses to comply with
modes of discovery.
A judgment by default may be rendered in the
following cases despite an answer having been
filed:
1. If a disobedient party refuses to obey an
order requiring him to comply with the various
modes of discovery(Rule 29, Sec. 3).
2. If a party or officer or managing agent of a
party willfully fails to appear before the officer
who is to take his deposition or a party fails to
serve answers to interrogatories (Rule 29, Sec.
5).
is declared in default?
A. Complainants are not automatically entitled
to the relief prayed for once the defendants
are declared in default. Favorable relief can
only be granted after the court has
ascertained that the relief is warranted by the
evidence offered and the facts proven by the
presenting party (Gajudo vs. Traders Royal Bank,
G. R. No. 151098, 21 March 2006).
3.F.6c. Relief from an order of default
The party in default may, after notice of the
order of default and before judgment, file a
Motion to Lift the Order of Default (BDO vs.
Transipek, G.R. No. 181235, July 22, 2009)and show:
 That the failure to answer was due to Fraud,
Accident, Mistake or Excusable
negligence(FAME); and
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 Purple Notes
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 That the Remedial
party declared in default has a
meritorious defense.
Remedies of a party against an order of
default
a) A party declared in default may at any time
after notice thereof and before judgment, file
a motion under oath to set aside the order of
default upon proper showing that his or her
failure to answer was due to fraud, accident,
mistake or excusable negligence and that he
or she has a meritorious defense [Rule 9, Sec.
3(b)];
b)
c) A motion for reconsideration of the order
denying the motion to set aside order of
default;
d)
e) A petition for certiorari to declare the nullity of
a judgment by default is also available if the
trial court improperly declared a party in
default, or even if the trial court properly
declared a party in default, if grave abuse of
discretion attended such declaration(Crisologo
vs. Globe Telecom Inc., G.R. No. 167631,
December 16, 2005).
Note: If motion for reconsideration is denied,
there is no remedy left because such order is
interlocutory, UNLESS there is grave abuse of
discretion in which case the remedy is a Petition
for Certiorari(Rule 65).
Remedies of a party against a judgment by
default
a) Motion for Reconsideration;
b)
c) Motion for New Trial;
d)
e) If the motion is denied, appeal the judgment;
Note: The more appropriate and adequate
remedy is not ordinary appeal but the special
civil action of certiorari when the petitioners
were not given the opportunity to present
their evidence, and, therefore, nothing can be
reviewed on appeal except the self-serving
evidence adduced by the private respondent
during the ex partepresentation of the
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evidence (Continental Leaf Tobacco (Phil.) Inc. vs.
CA, G.R. No. L-69243, November 22, 1985).
f) Petition for Relief from Judgment or Petition
for Relief from Denial of Appeal (Rule 38, Sec. 1
and 2);
g)
h) If petition for relief is denied, file a Petition for
Annulment of Judgment (Rule 47).
Notes:
 Meritorious defense is a statement of the
evidence which defendant intends to present
if the motion is granted and which will
warrant a reasonable belief that the result
would probably be different if new trial is
granted(Velayo-Fong vs. Sps. Velayo, G.R. No.
155488, December 6, 2006).
 Where the defendant was improperly
declared in default and the order is not lifted,
he can elevate the matter by certiorari
without waiting for the judgment by default.
 If a default judgment was already rendered,
he can also resort immediately to certiorari
because his challenge is on the nullity of both
the order and the judgment by default.
 An order of default and an order denying a
motion for reconsideration of the default
order are NOT appealable as they are merely
interlocutory orders.
 An order denying a petition for relief, seeking
to set aside an order of default is final and
therefore, appealable.
 Q. Is the plaintiff still required to prove his
allegations despite order of default againt
defending party?
A. Yes.The plaintiff is not automatically
entitled to the relief prayed for. The law gives
the defendant some measure of protection as
the plaintiff must still prove the allegations in
the complaint (Saguid vs. Court of Appeals, G.R.
No. 150611, June 10, 2003).
Appeal from Judgment by default
and

The rule is that right to appeal from the
judgment by default is not lost and can be
done and can be done on grounds that:
1. the amount of the judgment is excessive;
2. is different in kind from that prayed for; or
3. that the plaintiff failed to prove the material
allegations of his complaint, or that the
decision is contrary to law.
Despite being burdened by the circumstances of
default, the petitioners may still use all other
remedies available to question not only the
judgment of default but also the judgment on
appeal before this Court. Those remedies
necessarily include an appeal by  certiorari under
Rule 45 of the Rules of Court.(Farida Bitte vs. Sps.
Fred and Rosa Jonas, G.R. No. 212256, December 9,
2015)
Order of Default vs. Judgment by Default
Order of Default Judgment by Default
Issued by the court, Rendered by the
on plaintiff’s court following a or,
motion, for failure default order or after
of the defendant to it received, ex parte,
file his responsive plaintiff’s evidence.
pleading
seasonably.
Interlocutory, not Final, appealable.
appealable.
Partial Default
There is partial default when there is a claim or
suit upon a common cause of action against
several defending parties and where at least one
of them files an answer[Rule 9, Sec. 3(c)].
3.F.6d. Effect of Partial Default
General Rule: The court shall try the case
against all upon the answers thus filed and
render judgment upon the evidence
presented[Rule 9, Sec. 3(c)].
Exception: Where the defense is personal to the
one who answered, in which case, it will not
benefit those who did not answer.
Purple Notes
Criminal
Remedial
Note: If the co-defendant who filed his answer
died and the case was dismissed as to him, the
answer he filed does not inure to the benefit of
the defaulting defendants(Regalado).
3.F.6e. Extent of relief that may be granted
to claimant
Where the defendant is declared in default and
subsequently judgment is rendered against him,
such judgment shall not exceed the amount or be
different in kind from that prayed for nor award
unliquidated damages.
3.F.6f. Actions where default are not
allowed
In the following cases, no default may be
declared:(LANS3)
a) Legal separation;
b) Annulment of marriage;
c) Declaration of Nullity of marriage;
d) Special civil actions of certiorari, prohibition,
and mandamus (instead, comment is filed);
e) Cases governed by Summary procedure;
f) Small claims cases;
3.F.7 Filing and Service of Pleadings
Filing is the act of submitting the pleading or
other paper to the court.
Service is the act of providing a party with a
copy of the pleading or any other court
submission(Rule 13, Sec. 2).
Service where several counsels appear for
one party
Where several counsels appear for one party,
such party shall be entitled to only one copy of
any pleading or paper served upon the lead
counsel if one is designated, or upon any one of
them ifthere is no designation of a lead
counsel(Rule 13, Sec. 2).
3.F.7a. Payment of Docket Fees
 Q. What is the purpose of a docket fee?
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 Purple Notes
Criminal
A. It is notRemedial
simply the filing of the complaint payment of appellate docket fees may be
or appropriate initiatory pleading but the mitigated under exceptional circumstances to
payment of the prescribed docket fee that better serve the interest of justice. It is
vests a trial court with jurisdiction over the always within the power of this Court to
subject matter of the action (Proton Pilipinas suspend its own rules, or to except a
Corporation vs. Banque Nationale De Paris, G.R. particular case from their operation,
No. 151242, June 15, 2005). whenever the purposes of justice require it
(Villamor vs. CA, G. R. No. 136858, January 21,
This is also true in case of appeals, the court 2004; Bautista vs. Unangst, G.R. No. 173002, July
held “as early as 1932, in Lazaro vs. 4, 2008)
Endencia, we have held that the payment of
the full amount of the docket fees is an
indispensable step for the perfection of an 3.F.7b. Distinguish: Filing and Service of
appeal. The Court acquires jurisdiction over Pleadings
any case only upon the payment of the
prescribed docket fees.” (Panay Railways Ins. Filing Service
vs. Development Corporation, G. R. No. 154061, The act of the act of
January 25, 2012) submitting the providing a
pleading or party with a
Definition other paper to copy of the
 Q. What is the effect of non-payment of
the court (Rule pleading or any
docket fee and if insufficient? 13, Sec. 2). other court
submission
A. Nonpayment at the time of filing does not (Rule 13, Sec.
automatically cause the dismissal of the case, 2).
as long as the fee is paid within the 1. Personal; 1. Personal
prescriptive or reglementary period (PAGCOR 2. Registered service;
vs. Lopez, 474 SCRA 76, October 25, 2005) . If Manner of mail; 2. Service by
the amount of docket fees is insufficient Filing/Modes 3. Accredited mail;
of Service courier; 3. Substituted
considering the amount of the claim, the
4. Electronic service;
party filing the case will be required to pay means as 4. Electroning
the deficiency, but jurisdiction is not may be means and
automatically lost (Rivera vs. Del Rosario, G.R. authorized facsimile;
No. 144934, January 15, 2004). by the Court 5. Presumptive
in places service.
 Q. What is the rule on docket fees on where the
appeal? court is
electronically
A. The right to appeal is a purely statutory equipped.
right. Nonpayment of the appellate fee is a Every judgment, resolution, order,
valid ground for the dismissal of an appeal Papers pleading subsequent to the
because the appellate court does not acquire required to complaint, writted motion, notice,
jurisdiction over the subject matter of the be filed and appearance, demand, offer of
served judgment or similar papers shall
action without such payment. However, delay
be filed with the court, and served
in the payment of the docket fees confers upon the parties affected thereby
upon the court a discretionary power to (Rule 13, Sec. 4).
dismiss an appeal. For this reason, payment
of the full amount of the appellate court
3.F.7c. Periods of Filing Pleadings
docket and other lawful fees within the
reglementary period is mandatory and
PLEADING PERIOD WITHIN
jurisdictional. Nevertheless, as this Court
WHICH TO FILE
ruled, the strict application of the
Answer to the Within thirty (30)
jurisdictional nature of the above rule on
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 Purple Notes
Criminal
complaint calendar days after
Remedial
trustee
service of summons,
unless a different If it has no resident
period is fixed by the agent, officer, agent,
court (Rule 11, Sec. 1). director or trustee in
the Philippines, within
A defendant may, for sixty (60) calendar
meritorious reasons, days after receipt of
be granted an summons by such
additional period of entity (Rule 11, Sec. 2).
not more than thirty
(30) calendar days to Answer to a third The time to answer
file an answer. A (fourth, etc.) -party shall be governed by
defendant is only complaint the same rule as the
allowed to file one (1) answer to the
motion for extension complaint (Rule 11, Sec.
of time to file an 5). Hence, answer
answer (Rule 11, Sec. must be filed within
11).(n) thirty (30) calendar
days after service of
Answer to an If the filing is a matter summons, unless a
amended complaint of right, within thirty different period is
(30) calendar days fixed by the court.
after being served Answer to a Within fifteen (15)
with a copy of the complaint-in- calendar days from
amended complaint. intervention notice of the order
admitting the
If the filing is not a complaint-in-
matter of right, within intervention, unless a
fifteen (15) calendar different period is
days from notice of fixed by the court(Rule
the order of admitting 19, Sec. 4).
the same. Answer to a Within twenty (20)
supplemental calendar days from
Note: An answer complaint notice of the order
earlier filed may serve admitting the same,
as the answer to the unless a different
amended complaint if period is fixed by the
no new answer is filed court.
(Rule 11, Sec. 2).
Answer to a Within twenty (20) Note: The answer to
counterclaim or calendar days from the complaint shall
cross-claim service (Rule 11, Sec. 4). serve as the answer to
Answer of a If it has a resident the supplemental
defendant foreign agent, Within thirty complaint if no new or
private juridical (30) calendar days supplemental answer
entity after service of is filed (Rule 11, Sec. 7).
summons to such Reply within fifteen (15)
resident agent; calendar days from
service of the pleading
If it has no resident responded to (Rule 11,
agent but it has an, Sec. 6).
agent, director, or Answer to the Within ten (10) days
trustee in the complaint under the from service of
Philippines, Within Rules on Summary summons (Sec. 5).
thirty (30) calendar Procedure
days after service of
summons to such
agent, director, or

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 Purple Notes
Criminal
Remedial
A motion for extension to fileany pleading, other
than ananswer, is prohibited and considered a
mere scrap of paper. The court, however,
mayallow any other pleading to befiled after the
time fixed bythese Rules(Rule 11, Sec. 11).(n)
Note: In cases where service of summons is
made through service upon defendant whose
identity or whereabouts are unkwown under Rule
14, Sec. 16 or through extraterritorial services
under Rule 14, Sec. 17, the defendant must file
his or her answer within a reasonable time, which
shall not be less than sixty (60) calendar days
after notice.
Note: Personal filing and service is the preferred
mode under Section 6, Rule 13 of the Rules of
Court.
Priorities in Modes of Service and Filing
Personal service is the preferred mode of service
EXCEPT with respect to papers emanating from
the court. A resort to other modes must be
accompanied by a written explanation why the
service or filing was not done personally.
Service by ordinary mail may be done only if no
registry service is available in the locality of either
the sender or the addressee.
3.F.7d. Manner of Filing
General Rule: (ERAP)
1. Submitting Personally the original thereof,
plainly indicated as such, to the court;
2. Sending them by Registered mail
3. Sending them by Accredited courier (n); or
4. Transmitting them by electronic mail or other
electronic means or other Electronic means as
may be authorized by the Court in places
where the court is electronically equipped
(Rule 13, Sec. 3). (n)
Exception:
The following MUSTmust be served orfiled
personally or by registeredmail when allowed,
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and shall NOT be served or filedelectronically:
(ISDAS)
1. Initiatory pleadings andinitial responsive
pleadings;
2. Subpoenae, protectionorders, and writs;
3. Documentsthat are not readily amenable
toelectronic scanning;
4. Appendices and exhibits tomotions; and
5. Sealed and confidentialdocuments or records.
Exception to the exception:
The foregoing may be be served or filed
electronically if express permission is granted by
the court(Rule 13, Sec. 14). (n)
Coverage of Rule 13
a) Pleadings;
b) Motions;
c) Other court submissions;
What is not covered by Rule 13?
Those for which a different mode of service is
prescribed (Rule 13, Sec. 1).
3.F.7e. Modes of Service
Personal Service
a) by personal delivery of a copy to the party or
to the party’s counsel, of authorized
representative named in the appropriate
pleading or motion;
b) by leaving it in his or her office withhis or her
clerk, or with a person having charge thereof;
or
c) If no person is found in his orher office, or his
or her office isnot known, or he orshe has no
office, then by leavingthe copy, between the
hours ofeight in the morning and six inthe
evening, at the party's orcounsel's residence,
if known,with a person of sufficient ageand
discretion residing therein(Rule 13, Sec. 6).
Service by Registered Mail
It shall be done by:
Education and

1. depositing the copy in the post office;
2. in a sealed envelope;
3. plainly addressed to the party or his counsel
at his office, if known, or otherwise at his
residence, if known;
4. with postage fully paid; and
5. with the instruction to the postmaster to
return the mail to the sender after 10 calendar
days if not delivered (Rule 13, Sec. 7).
Note: Service by Ordinary Mail may be done only
if no registry service is available in the locality of
either the sender or the addressee (Rule 13, Sec.
7).
Service by electronic mail, facsimile
transmission, or other electronic means
Service by electronic means and facsimile shall
bemade if the party concerned consents to such
modes of service.
Purple Notes
Criminal
Remedial
Requisites for a valid substituted service:
1. Service of pleadings and other papers cannot
be made by personal service or service by
mail;
2. The office and place of residence of the party
or his or her counsel being unknown; and
3. Failure of both personal service and service by
mail must be proved(Rule 13, Sec. 8).
Presumptive service
There shall be presumptive notice to a party of a
court setting if such notice appears on the
records to have been mailed atleast twenty (20)
calendar daysprior schedules date of hearing, if
addressee within same judicial region, or thirty
calendar days (30) if addressee outside judicial
region(Rule 13, Sec. 10).(n)

Service by Service by facsimile

electronic means SUMMARY OF RULE 13: MANNER, PROOF
By sending an e- by facsimile shall be AND COMPLETENESS OF FILING AND
mail to the party’s made by sending a SERVICE
or counsel’s facsimile copy to the
electronic mail party’s or counsel’s
FILING
address, or through given facsimile
other electronic number.
FILING – the act of submitting the pleading
means of
or other paper to the court.
transmission.
Personal Filing – Proof of filing:
Requires prior agreement of the parties or
submitting  Existence of the
express permission granted by the court (Rule
personally the pleading or paper
13, Sec. 9).(n) original thereof, in the record of the
plainly indicated as case; or
Service consistent with international such to the court  Written or stamped
conventions made through methods which are acknowledgment
consistent with established international of its filing by the
conventions to which the Philippines is a clerk of court on a
party(Rule 13, Sec. 5).(n) copy of the
pleading or paper,
if not in the record
Subsituted Service
but claimed to
have been filed
If service of pleadings, motions, notices, personally [Rule 13,
resolutions, orders and other papers cannot be Sec. 16(a)].
made by personal service or service by mail, the
office and place of residence of the party or his Date of filing: the
or her counsel being unknown, service may be clerk of court shall
endorse on the
made by delivering the copy to the clerk of court,
pleading the date and
with proof of failure of both personal service and hour of filing (Rule
service by mail. The service is complete at the 13, Sec. 3).
time of such delivery(Rule 13, Sec. 8). By Registered Mail Proof of filing:

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 Purple Notes
Criminal
Remedial
 Registry receipt; of its filing by the
and clerk of court.
 Affidavit of service
of the person who Exception:
did the If the paper copy sent
mailing[Rule 13, by electronic mail was
Sec. 16(b)]. also filed by
registered mail, the
Date of filing: The same shall be proven
date of mailing as by:
shown by the post
office stamp on the  Registry receipt;
envelope or the and
registry receipt shall  Affidavit of service
be considered as the of the person who
date of filing, did the mailing
payment, or deposit [Rule 13, Sec. 16(d)].
in court (Rule 13, Sec. (n)
3).
By an accredited Proof of filing: Date of filing: The
courier  affidavit of service date of the electronic
of the person who transmission shall
brought the beconsidered as the
pleading or other date of filing (Rule
document to the 13, Sec. 3).
service provider;
and Through other Proof of filing:
 the courier’s authorized electronic  Affidavit of
official receipt and means electronic filing of
document tracking the filing party;
number [Rule 13, and
Sec. 16(c)].(n)  A copy of the
electronic
Date of filing: The acknowledgement
date of mailing as of its filing by the
shown by the official court [Rule 13, Sec.
receipt and the 16(e)].(n)
tracking number shall
Date of filing: The
be considered as the
date of the electronic
date of filing,
transmission shall
payment, or deposit
beconsidered as the
in court (Rule 13, Sec.
date of filing (Rule
3).(n)
13, Sec. 3).
By electronic mail Proof of filing

General Rule: Affidavit of Service – affidavit of the person

 Affidavit of who did the mailing with full statement of the
electronic filing of date and place of depositing the mail in the post
the filing party; office in a sealed envelope, addressed to the
and court, with postage fully pre-paid, and with
 A paper copy of instructions to the postmaster to return the mail
the pleading or
to the sender after 10 days if not delivered.
other document
transmitted or a
written or SERVICE
stamped
acknowledgement SERVICE – the act of providing a party with a

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 Purple Notes
Criminal
copy of the pleading or paper concerned (Rule
Remedial
postmaster to the
13, Sec. 2). addressee.
Personal Service – Proof of service: By ordinary mail – Proof of service:
a. By delivering  Written admission may be done only if Affidavit of the person
personally a of the party served; no registry service is mailing stating the
copy to the party  Official return of the available in the facts showing
or his counsel; server; or locality of either the compliance with Sec. 7
b. By leaving it in  Affidavit of the sender or the of Rule 13 [Rule 13, Sec.
his office with party serving with addressee (Rule 13, 17(a)].
his clerk or with full statement of Sec. 7).
a person having the date, place and Completeness:
charge thereof; manner of service Upon the expiration of
or (Rule 13, Sec. 17). 10 days after mailing,
c. By leaving the UNLESS the court
copy between Completeness: otherwise provides
8am and 6pm at Upon actual delivery (Rule 13, Sec. 15).
the party’s or (Rule 13, Sec. 15). Substituted service Proof of service:
counsel’s – by delivering a Written or stamped
residence, if copy to the clerk of acknowledgment by
known, with a court with proof of the clerk of court
person of failure of both
sufficient age personal service and Completeness:
and discretion service by mail At the time of delivery
then residing (Rule 13, Sec. 8).
therein (Rule 13, By accredited Proof of service:
Sec. 6). courier  Affidavit of service
By registered mail Proof of service: executed by the
– done by:  Affidavit of the person who brought
a) depositing the party serving with the pleading or
copy in the post full statement of paper to the service
office; the date, place and provider; and
b) in a sealed manner of service;  The courier’s official
envelope; and receipt or document
c) plainly  Registry receipt tracking number
addressed to the issued by the [Rule 13, Sec. 17(c)].
party or his mailing office [Rule (n)
counsel at his 13, Sec. 17(b)].
office, if known, Completeness:
or otherwise at Completeness: a. Actual receipt by
his residence, if a. actual receipt by addressee;
known; the addressee; or b. After two (2) two
d) with postage b. after (5) five days attempts to deliver
fully paid; and from the date he by the courier; or
e) with the received the first c. Upon expiration of
instruction to notice of the five (5) days after
the postmaster postmaster, the first attemot to
to return the whichever is earlier deliver, whichever
mail to the (Rule 13, Sec. 15). is earlier (Rule 13,
sender after 10 Sec. 15).(n)
calendar days if Note: The registry By electronic mail, Proof of service:
not delivered return card shall be facsimile, or other  Affidavit of service
(Rule 13, Sec. 7). filed immediately upon authorized executed by the
its receipt by the electronic means person who sent
sender, or in lieu the e-mail,
thereof, the unclaimed facsimile, or other
letter together with electronic
the certified or sworn transmission; and
copy of the notice  Printed proof of
given by the transmittal [Rule

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 Purple Notes
Criminal
Remedial13, Sec. 17(d)].(n)
Completeness:
3.F.7g. Conventional service or filing of
A. Electronic Service
orders, pleadings and other documents
General Rule: When
the electronic Notwithstanding the foregoing, the following
transmission of the orders, pleadings, and other documents must be
document, or when served or filed personally or by registered mail
available, at the time when allowed, and shall not be served or filed
that the electronic
electronically, unless express permission is
notification of service
of document is sent.
granted by the Court:

Exception:Not 1. a.Initiatory pleadings and initial

effective or complete responsive pleadings, such as an
if the party serving answer;
document learns that
2. b.Subpoena, protection orders, and
it did not reach the
writes;
addressee or person
served. 3. c.Appendices and exhibits to motions, or other
documents that are not readily amenable to
B. Facsimile electronic scanning may, at the option of the
Upon receipt by the party filing such, be filed and served
other party , as conventionally; and
indicated in the 4. d.Sealed and confidential documents or
facsimile transmission records(Rule 13, Sec. 14). (n)
printout (Rule 13, Sec.
15).(n)
3.F.7h. When service deemed complete
Note: A party who changes his or her email
address or facsimile number while action is 1. Personal service- upon actual delivery;
pending must promptly file, within five (5)
calendar days from such change, a notice of such 2. Service by ordinary mail- complete upon
change. Service shall be presumed valid unless expiration of 10 calenday days after mailing
such party notifies the court of any change, as unless court provides otherwise provides;
aforementioned(Rule 13, Sec. 11).(n)
3. Service by registered mail- upon actual
3.F.7f. Service of judgments, final orders, or receipt by the addressee, or after five (5)
resolutions calendar days from date he or she received
the first notice by of the postmaster,
Judgments, final orders or resolutions shall be whichever is earlier;
served either personally or by registered mail.
4. Service by accredited courier- upon actual
Upon ex parte motion of any party in the case, a receipt by addressee, or after at least two (2)
copy of the judgment, final order, or resolution attempts to deliver by the courier service, or
may be delivered by accredited courier at the upon expiration of five (5) calendar days after
expense of such party. (n) the first attempt to deliver, whichever is
earlier;
When a party summoned by publication has failed
to appear in the action, judgments, final orders or 5. Electronic Service- at time of electronic
resolutions against him shall be served upon him transmission of the document, or when
also by publication at the expense of the prevailing available, at time electronic notification of
party (Rule 13, Sec. 13). service pf the document is sent.

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Note: Electronic service not complate if party
serving document learns that it did not reach
addressee or person to be served.
6. Service by facsimile- upon receipt by the
other party, as indicated in the facsiomile
transmission printout(Rule 13,Sec. 15).
3.F.7i. Proof or Filing and Service
1. Personal Filing/Service
a. Filing- proven by written or stamped
acknowledgement of its filing by the clerk
of court on a copy of the pleading or court
submission;
b. Service- written admission of the party
served, or the official return of the server,
or affidavit of party serving, containing a
statement of the date, place, and manner
of service.
2. Registered mail
a. Filing- proven by registry receipt and by
the affidavit of the person who mailed it.
b. Service-
i. Registered mail- affidavit of the
person mailing stating the facts
showing compliance with Setion 7 of
this rule and registry receipt issued by
the mailing office.
ii. Ordinary mail- affidavit of the
person mailing stating compliance
with Section 7 of this Rule.
3. Accredited Courier Service
e A.Amendments of pleadings are allowed in
a. Filing- Affidavit of service of the
person who brought the pleading or
other document to the service
provider, together with the courier’s
official receipt and document tracking
number.
b. Service- Affidavit of service executed by
the person who brought the pleading or
paper to the service provider, together
with the courier’s official receipt or
document tracking number.
4. Electronic Mail/Facsimile
Purple Notes
Criminal
a.
Remedial
Filing- Affidavit of electronicfiling of the
filing party accompanied by a paper copy
of paper transmitted or written
acknowledgement of its filing by the clerk
of court. If facmsilie or other electronic
means, affidavit of electronic filing of filing
party with copy of electronic
acknowledgement of its filing by the court.
b. Service- an affidavit of service executed
by the person who sent the e-mail,
facsimile, or other electronic transmission,
together with a printed proof of
transmittal(Rule 13, Sec. 16 & 17).
3.F.8. Amendment (Rule 10)
Amendment is the correction of an error
committed in any process, pleading, or
proceeding at law, or in equity, and which
is done either as of course, or by the
consent of the parties, or upon motion to
the court in which the proceeding is
pending.
Amended pleadings may be made by:
1. Adding or striking out an allegation or the
name of any party; or,
2. Correcting a mistake in the name of a party or
a mistaken or inadequate allegation or
description in any other respect (Rule 10, Sec.
1).
Purpose of Amendments of Pleadings
 Q. Is amendment of pleadings allowed?
order that actual merits of the case may be
determined in the most expeditious and
inexpensive manner without regard to
technicalities, and that all other matters
included in the case may be determined in a
single proceeding, thereby avoiding multiplicity
of suits (Swagman Hotels and Travels, Inc. vs. CA,
G. R. No. 161135, April 8, 2005).
Two Kinds of Amendments both in Civil and
Criminal Cases
1. Amendment as a matter of right; and,
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 Purple Notes
Criminal
2. Remedial
Amendment as a matter of discretion or by
leave of court
Other Set of Classification
1. Substantial Amendment - amendment
prejudicial to aparty.
2. Formal Amendment - not prejudicial to a
party because it is only amendment as
to theform.
3.
3.F.8a. Amendment as a matter of right
(Rule 10, Sec. 5)
a) At any time before a responsive pleading
is served; or
b) In case of a Reply, at any time within 10
calendar days after it is served.
Amendment as a matter of right, by the
terms of Rule 10,Sec. 2, may be made only
ONCE.
The remedy of a party is mandamus when
the court refuses to admit an amended
pleading when its exercise is a matter of
right.
 Q. Which court is mandated to admit
amendment as a matter of right? The trial
court.
A. Rule 10, Sec. 2refers to an amendment
before the trial court, not to amendments
before the Court of Appeals. The Court of
Appeals is vested with jurisdiction to admit or
deny amended petitions filed before it (Navarro
vda. deTaroma vs. Taroma, G.R. NO. 160214,
December 16, 2005).
3.F.8b. Amendments by leave of court
When amendment is substantial, it may
only be done with leave of court. Such
leave shallbe refused if it appears to the
court that the motion was made with:
a) intent to delay confer jurisdiction on the
court; or
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b) the pleading stated no cause of action
from the beginning which could be
amended(Rule 10, Sec. 3).(n)
 Q. Can an order allowing amendment be
subject of certiorari?
A. NO. As a matter of judicial policy, courts
are impelled to treat motions for leave to file
amended pleadings with liberality. Hence, as
long as it does not appear that the motion for
leave was made with bad faith or with intent
to delay the proceedings, courts are justified
to grant leave and allow the filing of an
amended pleading. Once a court grants a
leave to file an amended pleading, the same
becomes binding and will not be disturbed on
appeal UNLESS it appears that the court had
abused its discretion (Yujuico vs. United
Resources Asset Management, G.R. No. 211113,
June 29, 2015).
Requisites for amendments by leave of
court
a) Motion filed in court;
b) Notice to the adverse party; and,
c) Opportunity to be heard afforded to the
adverse party.
Note: Even if the amendment is substantial, no
leave of court is required if made as a matter of
right.
Amendment for the second or subsequent time
must always be with leave of court. This is true
even if an answer is yet to be filed or even if the
case is yet to be set for trial.
Amendment for the complaint is now allowed
even if an order for its dismissal has been issued
provided that the amended complaint is filed
before the dismissal order became final and
executory(Rodriguez Jr., vs. Augilar Sr., G.R. No.
159482, August 30, 2005).
Leave of court is required after a responsive
pleading is filed because the amendment of the
complaint is not only unfair to the defendant but
will cause unnecessary delay in the proceedings.
On the other hand, where no responsive pleading
Education and

has yet been served, no defenses would be
altered. The amendment of the pleading will not
then require leave of court.
Note: If the original complaint is for the
nullification and declaration as null and void of
the promissory note and the real estate and
chattel mortgage, and the amended pleading
prays for the reformation of the real and chattel
mortgage, it was held that “Nullification” and
“Reformation” are inconsistent with each other,
hence, improper (Guzman-Castillo vs. Court of
Appeals, G.R. No. L-52008, March 25, 1988).
 Q. Why should the courts be liberal in
allowing amendments?
A. The courts should be liberal in allowing
amendments to pleadings to avoid a
multiplicity of suits and in order that the real
controversies between the parties are
presented, their rights determined, and the
case decided on the merits without
unnecessary delay. This liberality is greatest
in the early stages of a lawsuit, especially in
this case where the amendment was made
before the trial of the case, thereby giving
the petitioners all the time allowed by law to
answer and to prepare for trial (Tiu vs.
Philippines Bank of Communications, G.R. No.
151932, August 19, 2009).
 Q. When is leave of court necessary for an
amendment?
A. Prior to the filing of an answer, the
plaintiff has the absolute right to amend the
complaint whether a new cause of action or
change in theory is introduced. The reason
for this rule is implied in the subsequent
Section 3 of Rule 10. Under this provision,
substantial amendment of the complaint is
not allowed without leave of court after an
answer has been served, because any
material change in the allegations contained
in the complaint could prejudice the rights of
the defendant who has already set up his
defense in the answer (Remington Industrial
vs. CA, G.R. No. 133657, May 29, 2002).
 Q. Is a motion for leave to file an amended
answer filed after a substantial lapse of time
automatically considered dilatory?
Purple Notes
Criminal
A. No. The
Remedial
mere fact that URAMI filed
its motion for leave years after the original
answer is also not reason enough in itself to
discredit the amended answer as a sheer
dilatory measure. Readily observable from
the established facts is that the perceived
delay between the filing of the motion for
leave and the filing of the original answer is
not purely attributable to URAMI.  must be
remembered that some time after the
original answer was filed, we issued a
temporary restraining order. On this score,
we note that it only took URAMI a little over
three months after the lifting of the
temporary restraining order to replace its
previous counsel of record in Civil Case No.
70027 and to file its amended
answer(Yuijuico vs. United Assets Management,
Inc., G.R. No. 211113, June 29, 2015).
Note: Amendments are generally favored (LISAM
Enterprises, Inc. and Soriano vs. BDO, G.R. No.
143264, April 23, 2012).
3.F.8C. Formal Amendment
This can be made at any stage of the action in
order for the court to summarily correct any
defect in the designation of parties and other
clearly clerical or typographical errors, provided,
no prejudice is caused thereby to the adverse
party(Rule 10, Sec. 4).
No Amendments to conform to or authorize
presentation of evidence
When issues not raised by the pleadings are tried
with the express or implied consent of the
parties, they shall be treated in all respects as if
they had been raised in the pleadings.
No amendment such pleadings deemed amended
is necessary to conform to or authorize
presentation of evidence (Rule 10, Sec. 5).(n)
Amendment that changes the cause of
action
General Rule: An amendment that changes the
cause or causes of action is now allowed (LISAM
Enterprises, Inc. and Soriano vs. BDO, G.R. No.
143264, April 23, 2012, citing Valenzuela vs. CA).
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Exception: A Remedial
complaint can never be amended notice of order admitting the supplemental
if it will alter the jurisdiction of the court. (Rule 10, pleading(Rule 10, Sec. 6).
Sec. 3)
Note: Motion to amend after aresponsive
Exception to the Exception: If the jurisdiction pleading has beenfiled is a litigious motion [Rule
of the courts is concurrent. 15, Sec. 5(6)]. Hence, the court may, in the
exercise of itsdiscretion, and if deemednecessary
Filing of amended pleading for its resolution, calla hearing on said
motion(Rule 15, Sec. 6).
When any pleading is amended, a new copy of
the entire pleading, incorporating the 3.G. SUMMONS (Rule 14)
amendments, which shall be indicated by
appropriate marks, shall be filed(Rule 10, Sec. 7). 3.G.1. Nature and Purpose of Summons

3.F.8d. Effect of amended pleading Nature of Summons

An amended pleading: (SOW) Summons is a writ by which the defendant is

1. Supersedes the pleading that it amends. notified of the action brought against him.
2. Admissions in superseded pleadings may be Service of such writ is the means by which the
Offered in evidence against the pleader, and court acquires jurisdiction over his
3. claims and defenses therein not incorporated person(Republic vs. Domingo, G.R. No. 175299,
in the amended pleading shall be deemed September 14, 2011).
Waived(Rule 10, Sec. 8).
Purpose of Summons
 Q. What is the effect of the amendment on
admissions made in the original pleading? Pursuant to a right to due process, summons is
to give notice to the defendant that an action has
A.The admissions made in the superseded been commenced against him.
pleadings ceases to be a judicial admission.
Nonetheless, they may be used as  Q. What is the purpose of summons?
extrajudicial admission and in order to have
such effect, be formally offered as A. The purpose of summons is to notify the
evidence(Ching vs. Court of Appeals, G.R. No. defendent of the action against him and to
110844, April 27, 2000). acquire jurisdiction over his person (Umandap
vs. Sabio, G.R. No. 140244, August 29, 2000).
3.F.8e. Supplemental pleadings
When Issued
A supplementary pleading is the one that sets
forth transactions, occurrences or events which
General rule: Upon filing of the complaint and
have happened since the date of the pleading
the payment of the requisite legal fees.
sought to be supplemented (Rule 10, Sec. 6).
Exception: If the complaint is, on its face,
How supplemental pleadings made
dismissible under Rule 9, Sec. 1, to wit:
1. Motion of a party;
1) Lack of jurisdiction;
2. Reasonable notice to other party;
2) Litis pendentia;
3. Supplemental pleadings shall set forth
3) Res judicata; and
transactions, occurences or events which have
4) Prescription of the action (Rule 14, Sec. 1).
happened since the date of the pleading
sought to be supplemented;
Where the defendant was declared in default on
4. Adverse party may plead to the supplemental
the original complaint and the plaintiff
pleading within ten (10) calendar days from
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subsequently filed an amended complaint, the
amended complaint and summons should be
served upon the defendant with the same
formalities as the original complaint and
summons (Atkins vs. Domingo, G.R. No. L-19565,
March 24, 1923).
3.G.1a. In Relation to Actions in Personam,
In Rem, and Quasi In Rem
Jurisdiction over the person of the defendant is
necessary for the court to validly try and decide a
case where the action is in personam but NOT
where the action is in rem or quasi in rem(Biaco
vs. Philippine Countryside Rural Bank,, G.R. No.
161417, February 08, 2007).
A. Actions InPersonam
In an action in personam, jurisdiction over the
person of the defendant is necessary for the
court to validly try and decide a case (Riano, Civil
Procedure Vol. I, 2016 Ed., p. 77).
 Q. What is the purpose of summons in
Actions In Personam?
A. In Actions In Personam: The purpose
of summons is to notify the defendent of the
action against him and to acquire jurisdiction
over his person (Umandap vs. Sabio, G.R. No.
140244, August 29, 2000).
 Q. How is summons served to the defendant
in an action in personam ?
 him or in which he has an interest may be
A. In an action in personam, personal service
of summons or — if this is not possible and
he cannot be personally served —substituted
service (as provided in Rule 14, sections 7
and 8) is essential for the acquisition by the
court of jurisdiction over the person of a
defendant who does not voluntarily submit
himself to the authority of the court. If
defendant cannot be served with summons
because he is temporarily abroad, but
otherwise a Philippine resident, service of
summons may, by leave of court, be made
by publication. Otherwise stated, a resident
defendant in an action in personam, who
cannot be personally served with summons,
may be summoned either by means of
substituted service in accordance with Rule
Purple Notes
Criminal
Remedial
14, section 8 or by publication as provided in
sections 17 and 18 of the same Rule
(Valmonte vs. CA, G.R. No. 108538, January 22,
1996).
 Q. What do the terms “dwelling house” and
“residence” refer to?
A. Dwelling house or residence refers to the
place where the person named in the
summons is living at the time when the
service is made, even though he may be
temporarily out of the country at the time
(Domagas vs. Jensen, G.R. No. 158407, January
17, 2005).
B. Actions In Rem or Quasi In Rem:
In a proceeding in rem or quasi in rem,
jurisdiction over the person of the defendant is
not a prerequisite to confer jurisdiction, provided
that the court acquires jurisdiction over the
res(Riano, Civil Procedure Vol.I, 2016 ed., p. 80).
 What is the purpose of extraterritorial service
of summons?
A. Service of summons in the manner
provided in section 17 (extraterritorial service
of summons) is not for the purpose of
vesting jurisdiction but for complying with the
requirements of fair play or due process, so
that a party will be informed of the pendency
of the action against him and the possibility
that property in the Philippines belonging to
subjected to a judgment in favor of the
plaintiff and he can thereby take steps to
protect his interest if he is so minded (PCI
Bank vs. Alejandro, G.R. No. 175587, September
21, 2007).
 Q. In an action in rem or quasi in rem, is it
necessary to acquire jurisdiction over the
person of the defendant?
A. If the action is in rem or quasi in rem,
jurisdiction over the person of the defendant
is not essential for giving the court
jurisdiction so long as the court acquires
jurisdiction over the res. If the defendant is a
non-resident and he is not found in the
country, summons may be served
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 Purple Notes
Criminal
Remedial
extraterritorially in accordance with Rule 14,
section [17](Valmonte vs. CA, G.R. No. 108538,
January 22, 1996).
3.G.1b. When Summons Are Issued
General rule: Upon filing of the complaint and
the payment of the requisite legal fees.
Exception: If the complaint is, on its face,
dismissible under Rule 9, Sec. 1, to wit:
1. Lack of jurisdiction;
2. Litis pendentia;
3. Res judicata; and
4. Prescription of the action (Rule 14, Sec. 1).
3.G.1c. Contents of Summons
(Rule 14, Sec. 2)
It shall be directed to the defendant, signed by
the clerk of court under seal, and contain:
(a) The name of the court and the names of the
parties to the action;
(b)When authorized by the court upon ex parte
motion, an authorization for the plaintiff to
serve summons to the defendant;
(c) A direction that the defendant answer within
the time fixed by these Rules; and
(d)A notice that unless the defendant so
answers, plaintiff will take judgment by
default and may be granted the relief applied
for. (Rule 14, Sec. 2)
Note: A copy of the complaint and order for
appointment of guardian ad litem, if any, shall be
attached to the original and each copy of the
summons(Rule 14, Sec. 2).
3.G.1d. Duty of Counsel
Duty of Counsel of Record
Where the summons is improperly served
and a lawyer makes a special appearance
on behalf of the defendant to, among
others, question the validity of service of
summons, the counsel shall be deputized
by the court to serve summons on his or
her client (Rule 14, Sec. 13).(n)
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3.G.1e. Return
Within thirty (30) calendar days from
issuance of summons by the clerk of court
and receipt thereof, the sheriff or process
server, or person authorized by the court,
shall complete its service.
Within five (5) calendar days from service
of summons, the server shall file with the
court and serve a copy of the return to the
plaintiff’s counsel, personally, by registered
mail, or by electronic means authorized by
the Rules.
Should substituted servicehave been effected, the
return shall state the following:
1. The impossibility of prompt personal service
within a period of thirty (30) calendar days
from issue and receipt of summons;
2. The date and time of the three (3) attempts
on at least (2) two different dates to cause
personal service and the details of the
inquiries made to locate the defendant
residing thereat; and
3. The name of the person at least eighteen (18)
years of age and of sufficient discretion
residing thereat, name of competent person in
charge of the defendant’s office or regular
place of business, or name of the officer of
the homeowners’ association or condominium
corporation or its chief security officer in
charge of the community or building where
the defendant may be found(Rule 14, Sec. 20).
(n)
3.G.2. Voluntary Appearance
The defendant's 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 be deemed a
voluntary appearance(Rule 14, Sec. 23).(n)
and

General Rule: Any form of appearance in court,
by the defendant, by his agent authorized to do
so, or by attorney, is equivalent to service of
summons.
Exception: Where such appearance is precisely
to object to the jurisdiction of the court over the
person of the defendant.
Note:Pursuant to the 2019 amendments,
inclusion in a Motion to Dismiss of other grounds
aside from lack of jurisdiction over the person of
the defendant shall be deemed a voluntary
appearance(Rule 14, Sec. 23). (n)
For the court to acquire jurisdiction over the
person of the defendant by voluntary
appearance, there must be an “unequivocal
submission” (and intentional submission) of
himself to the jurisdiction of the court. So if it is
equivocal, then the court does not acquire
jurisdiction.
 Q. What other motions, when filed,
constitute “voluntary appearance”?
A. Assuming arguendo that the service of
summons was defective, such flaw was cured
and respondents are deemed to have
submitted themselves to the jurisdiction of
the trial court when they filed an Omnibus
Motion to Admit the Motion to Dismiss and
Answer with Counterclaim, an Answer with
Counterclaim, a Motion to Inhibit, and a
Motion for Reconsideration and Plea to Reset
Pre-trial. The filing of Motions seeking
affirmative relief -- to admit answer, for
additional time to file answer, for
reconsideration of a default judgment, and to
lift order of default with motion for
reconsideration -- are considered voluntary
submission to the jurisdiction of the court.
Having invoked the trial court’s jurisdiction to
secure affirmative relief, respondents cannot
-- after failing to obtain the relief prayed for
-- repudiate the very same authority they
have invoked (Oaminal vs. Castillo, G.R. No.
152776, October 8, 2003).
Effects of Voluntary Appearance
Purple Notes
Criminal
 Defendant’s
Remedial
voluntary appearance in the
action shall be equivalent to service of
summons.
 Whatever defect there was in the mode of
service is deemed waived and the court
acquires jurisdiction over the person of the
defendant by his voluntary submission
thereto(Orosa vs. CA, G.R. No. 118696,
September 3, 1996).
3.G.3. Who May Serve Summons (PODS)
1. Sheriff;
2. Sheriff’s Deputy;
3. Other proper court officer; and
4. In case of failure of service of summons by
them (1 and 2), the court may authorize the
Plaintiff – to serve the summons–together
with the sheriff (Rule 14, Sec. 3).
Service of Summons by the Plaintiff
1. In case of failure of service of summons by
(a) the sheriff, and (b) the sheriff’s deputy or
other proper court officer, the court may
authorize the plaintiff- to serve the summons
- together with the sheriff (Rule 14, Sec. 3).
2. The plaintiff may serve summons to the
defendant, when authorized by the court upon
ex parte motion (Rule 14, Sec. 2)
3. In cases where summons is to be served
outside the judicial region of the court where
the case is pending, the plaintiff shall be
authorized to cause the service of summons.
(Rule 14, Sec. 3)
4. If the plaintiff is a juridical entity:
a. It shall notify the court, in writing, and
name its authorized representative therein,
b. It shall attach a board resolution or
secretary’s certificate thereto, as the case
may be, stating that such representative is
duly authorized to serve the summons on
behalf of the plaintiff (Rule 14, Sec. 3)
5. If the plaintiff misrepresents that the
defendant was served summons, and it is
later proved that no summons was served:
(DNS)
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a. The Remedial
case shall be Dismissed with supersedes the first. It refers to a summons
prejudice; other than the original summons.
b. the proceedings shall be Nullified; and
c. the plaintiff shall be meted appropriate When Alias Summons Is Issued: (DLR)
Sanctions(Rule 14, Sec. 3).
a) When the summons is Destroyed;
6. If summons is returned without being served b) When the summons is Lost; or
on any or all the defendants, the court shall c) Whe the summons has been Recalled by the
order the plaintiff to cause the service of court which issued the same.
summons by other means available under the
Rules(Rule 14, Sec. 3).  Q. What is the effect of issuance and proper
service of alias summons?
7. Failure to comply with the order shall cause
the dismissal of the initiatory pleading without A. However, upon the issuance and the
prejudice(Rule 14, Sec. 3). proper service of new summons, whatever
defect attended the service of the original
Misrepresentation Failure to comply with summons, was promptly and accordingly
(DNS) the order cured. A case should not be dismissed simply
a. The case shall be The initiatory pleading because an original summons was wrongfully
Dismissed with shall be dismissed served. It should be difficult to conceive, for
prejudice; without prejudice. example, that when a defendant personally
b. the proceedings appears before a Court complaining that he
shall be had not been validly summoned, that the case
Nullified; and
against him should be dismissed. An alias
c. the plaintiff shall
be meted
summons can be actually served on said
appropriate defendant (BPI vs. Sps. Santiago, G.R. No.
Sanctions 169116, March 28, 2007).

3.G.4. Personal Service

Validity of Summons and Issuance of Alias Service In Person On Defendant

Summons
Whenever practicable, the summons shall be
Validity of Summons served by:

General Rule:Summons shall remain valid until
duly served.
Exception: If the summons is recalled by the
court (Rule 14, Sec. 4).
Alias Summons
In case of loss or destruction of summons, the
court may, upon motion, issue an alias summons
(Rule 14, Sec. 4).
Alias Summons is issued when the first summons
has not produced its effect because it is defective
in form or manner of service, and when issued,
1. Handing a copy thereof to the defendant in
person and informing the defendant that he or
she is being served; or
2. If he or she refuses to receive and sign for it,
by leaving the summons within the view and
in the presence of the defendant (Rule 14, Sec.
5).
Note: Under the present rule, Rule 14, Sec. 5
refers to the mode of service therein as “Service
In Person On Defendant” not “personal service”.
3.G.5. Substituted Service
If, for justifiable causes, the defendant cannot be
served personally after at least three (3)

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attempts on two (2) different dates, service may
be effected:
a) By leaving copies of the summons at the
defendant's residence to a person at least
eighteen (18) years of age and of sufficient
discretion residing therein;
Note:Dwelling house or residence refers to
the place where the person named in the
summons is living at the time when the
service is made, even though he may be
temporarily out of the country at the time
(Domagas vs. Jensen, G.R. No. 158407, January
17, 2005).
b) By leaving copies of the summons at the
defendant's office or regular place of business
with some competent person in charge
thereof. A competent person includes, but is
not limited to, one who customarily receives
correspondences for the defendant;
Notes: The terms “office” or “regular place of
business” refer to the office or place of
business of defendant at the time of
service(Keister vs. Navarro, G.R. No. L-29067, May
31, 1977).
To be a “competent” person to receive the
summons means that he should be "duly
qualified" and "having sufficient capacity,
ability or authority." Further, The rule
presupposes that such a relation of confidence
exists between the person with whom the
copy is left and the defendant and, therefore,
assumes that such person will deliver the
process to defendant or in some way give him
notice thereof."(Sandoval II vs. HRET, G.R. No.
149380, July 3, 2002)
A security guard is not a competent person in
charge at the defendant’s office in case of
substituted service of summons (Ong vs. Co,
G.R. No. 206653, February 25, 2015).
c) By leaving copies of the summons, if refused
entry upon making his or her authority and
purpose known, with any of the officers of the
homeowners’ association or condominium
corporation, or its chief security officer in
charge of the community or the building
where the defendant may be found (n); and
Purple Notes
Criminal
Remedial
d) By sending an electronic mail to the
defendant’s electronic mail address, if allowed
by the court(Rule 14, Sec. 6).(n)
Note: Personal service of summons is preferred
over substituted service. Resort to substituted
service is only warranted when the impossibility
of personal service is clearly apparent (Carson
Realty & Management Corporation vs. Red Robin
Security Agency, G.R. No. 225035, February 8, 2017).
The Return shall state the following:
1. The impossibility of service of summons within
a a period of thirty (30) calendar days from
issue and receipt of summons;
2. The date and time of the three (3) attempts
on at least (2) two different dates to
causepersonal service
3. The details of the inquiries made to locate the
defendant; and
4. The name of the person at least eighteen (18)
years of age and of sufficient discretion
residing thereat, name of competent person in
charge of the defendant's office or regular
place of business, or name of the officer of
the homeowners'association or condominium
corporation or its chief security officer in
charge of the community or building where
the defendant may be found (Rule 14, Sec. 20).
 Q. What is the effect of failure to comply
with the requirements of substituted service?
A. The failure to comply faithfully, strictly and
fully with all the foregoing requirements of
substituted service renders the service of
summons ineffective. This is necessary
because substituted service is in derogation
of the usual method of service (Sps. Jose vs.
SpsBoyon, G.R. No. 147369, October 23, 2003).
 Q. In cases of substituted service of
summons, who may be competent to receive
such summons?

A.(1). It is to be noted that in case of
substituted service, there should be a report
indicating that the person who received the
summons in the defendant's behalf was one
with whom the defendant had a relation of
confidence, ensuring that the latter would
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actually Remedial
receive the summons (Chu vs. Mach
Asia Trading, G.R. No. 184333, April 1, 2013).
A.(2). Effort to serve the said summons
personally upon said defendants were made,
but the same were ineffectual and unavailing
on the ground that per information of a
person of sufficient age and discretion
working therein who signed to acknowledge
receipt , said defendant is always roving
outside and gathering news, thus, substituted
service was applied (Macasaet vs. Co, G.R. No.
156759, June 05, 2013).
3.G.6. Constructive Service
General Rule: Summons by publication is
available only in actions in rem or quasi in rem. It
is not available as a means of acquiring
jurisdiction over the person of the defendant in
an action in personam.
Exception: Summons may, by leave of court, be
served by publication against a resident in an
action in personamunder the conditions set forth
in the following rules:
a) When the defendant is designated as an
unknown owner, or the like;
b) When the identity or whereabouts of the
defendant are unknown and cannot be
ascertained by diligent inquiry, within ninety
(90) calendar days from the commencement
of the action (Rule 14, Sec. 16); or
c) When the defendant is a resident temporarily
out of the Philippines (Rule 14, Sec. 18).
Note: The present rule expressly states that it
applies “in any action where the defendant is
designated as an unknown owner, or the like, or
whenever his whereabouts are unknown and
cannot be ascertained by diligent inquiry.” Thus,
it now applies to any action, whether in
personam, in rem or quasi in rem(Santos vs. PNOC,
G.R. No. 170943, September 23, 2008).
Conversion of an action in personam into
an action in rem
In an action in personam, summons must be
served by personal or substituted service,
otherwise the court will not acquire jurisdiction
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over the defendant.In case the defendant does
not reside and is not found in the Philippines
(and hence personal and substituted service
cannot be effected), the remedy of the plaintiff in
order for the court to acquire jurisdiction to try
the case is to convert the action into a
proceeding in rem or quasi in rem by attaching
the property of the defendant.
Thus, in order to acquire jurisdiction in actions in
personam where defendant resides out of and is
not found in the Philippines, it becomes a matter
of course for the court to convert the action into
a proceeding inrem or quasi in rem by attaching
the defendant’s property. The service of
summons in this case (which may be by
publication coupled with the sending by
registered mail of the copy of the summons and
the court order to the last known address of the
defendant), is no longer for the purpose of
acquiring jurisdiction but for compliance with the
requirements of due process (PCIB vs. Alejandro,
G.R. No. 175587, September 21, 2007).
Against a non-resident, jurisdiction is acquired
over the person of the defendant by service upon
his person while said defendant is within the
Philippines. As once held, when the defendant is
a non-resident, personal service of summons in
the state is essential to the acquisition of
jurisdiction over him. This is, in fact, the only way
of acquiring jurisdiction over his person if he does
not voluntarily appear in the action.
Summons by publication against a non-resident
in an action in personam is not a proper mode of
service (Velayo-Fong vs. Sps. Velayo, G.R. No.
155488, December 6, 2006).
 Q. What is the purpose of “publication”?
A. Publication is notice to the whole world
that the proceeding has for its object to bar
indefinitely all who might be minded to make
an objection of any sort against the right
sought to be established. It is the publication
of such notice that brings the whole world as
a party in the case and vests the court with
jurisdiction to hear and decide it (Alaban vs.
CA, GR 156021, September 23, 2005).
and

 Q. How is service of summons by
“publication” done?
A. As a rule, service of summons by
publication must be complemented by service
of summons by registered mail to the
defendant’s last known address. This
complementary service is evidenced by an
affidavit “showing the deposit of a copy of
the summons and order for publication in the
post office, with postage prepaid, directed to
the defendant by registered mail to his last
known address.”(Santos vs. PNOC, G.R. No.
170943, September 23, 2008)
3.G.6a. Service Upon A Defendant Where
His Identity Is Unknown Or Where His
Whereabouts Are Unknown
In any action, whether in personam, in rem or
quasi in rem, service of summons by
publicationmay, by leave of court, be beeffected
when:
a) The defendant is designated as an unknown
owner, or the like; or
b) Whenever his or her whereabouts are
unknown and cannot be ascertained by
diligent inquiry, within ninety (90) calendar
days from the commencement of the action.
Manner of publication: in a newspaper of
general circulation and in such places and for
such time as the court may order.
Note:Any order granting such leave shall specify
a reasonable time, which shall not be less than
sixty (60) calendar days after notice, within which
the defendant must answer(Rule 14, Sec. 16).(n)
3.G.6b. Service Upon Residents Temporarily
Outside of the Philippines
This rule applies when an action, whether in
personam, in rem or quasi in rem, is commenced
against a defendant who ordinarily resides within
the Philippines, but who is temporarily out of
it(Rule 14, Sec. 17).
Manner of service:
Purple Notes
Criminal
Remedial
Service may, by leave of court, be also effected
out of the Philippines, as under the rules in
extraterritorial service, to wit: (PIPO)
a. By Personal service as under Rule 14, Sec.6;
b. As provided for in International conventions
to which the Philippines is a party; or
c. By Publication in a newspaper of general
circulation in such places and for such time as
the court may order, in which case a copy of
the summons and order of the court shall be
sent by registered mail to the last known
address of the defendant, OR
d. In any Other manner the court may deem
sufficient.
Any order granting such leave shall specify a
reasonable time, which shall not be less than
sixty (60) calendar days after notice, within
which the defendant must answer (Rule 14, Sec.
17).
Reason: Even if the person is abroad, he has a
residence in the Philippines or a place of business
and surely, because of his absence, he cannot be
served in person within a reasonable time.
In the case of Montefalcon vs. Vasquez (2008)
substituted service of summons is the normal
mode of service against a temporarily absent
resident.
 Q. How is summons served to a resident
who is “temporarily absent”?
A. The normal method of service of
summons on one temporarily absent is by
substituted service because personal service
abroad and service by publication are not
ordinary means of summoning defendants.
Summons in a suit in personam against a
temporarily absent resident may be by
substituted service as domiciliaries of a State
are always amenable to suits in personam
therein. A man temporarily absent from this
country leaves a definite place of residence,
a dwelling where he lives, a local base, so to
speak, to which any inquiry about him may
be directed and where he is bound to return.
Where one temporarily absents himself, he
leaves his affairs in the hands of one who
may be reasonably expected to act in his
place and stead; to do all that is necessary
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to protectRemedial
his interests; and to communicate sent by registered mail to the last known
with him from time to time any incident of address of the defendant, or
importance that may affect him or his d) In any Other manner the court may deem
business or his affairs. It is usual for such a sufficient.
man to leave at his home or with his
business associates information as to where Any order granting such leave shall specify a
he may be contacted in the event a question reasonable time, which shall not be less than
that affects him crops up. If he does not do sixty (60) calendar days after notice, within
what is expected of him, and a case comes which the defendant must answer. (Rule 14, Sec.
up in court against him, he cannot in justice 17)
raise his voice and say that he is not subject
to the processes of our courts. He cannot
stop a suit from being filed against him upon Manner of Service
a claim that he cannot be summoned at his
dwelling house or residence or his office or Defendant Action Manner of
regular place of business (Montefalcon vs. Service
Vasquez, G.R. No. 165016, June 17, 2008). Defendant whose In any With leave of
identity or action, court, by
3.G.7. Extraterritorial Service, When whereabouts are whether in publication in
Allowed unknown personam, in a newspaper
rem or quasi of general
in rem circulation
Extraterritorial Service applies when: and in such
places and for
1. The defendant does not reside and is not such time as
found in the Philippines, and the court may
2. The action:(AREA) order.
a) Affects the personal status of the plaintiff
or Defendant does not The action: Service may,
b) Relates to, or the subject of which is, reside and is not (AREA) by leave of
found in the a) Affects court, be
property within the Philippines, in which
Philippines the effected out
the defendant has or claims a lien or personal of the
interest, actual or contingent, or (Extraterritorial status of Philippines:
c) The relief demanded consists, wholly or in Service) the (PIPO)
part, in Excluding the defendant from any plaintiff or
interest therein, or b) Relates a) By
d) The property of the defendant has been to, or the Personal
Attached within the Philippines subject of service as
which is, under
property Section 6;
Manner of service:
within the or
Philippine b) As
Service may, by leave of court, be effectedout of s, in provided
the Philippines:(PIPO) which the for in
defendant Internatio
a) By Personal service as under Section 6; or has or nal
b) As provided for in International conventions claims a convention
to which the Philippines is a party; or lien or s to which
c) By Publication in a newspaper of general interest, the
actual or Philippines
circulation in such places and for such time as
contingen is a party;
the court may order, in which case a copy of t, or or
the summons and order of the court shall be c) The relief c) By
demande Publication

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d in a
Remedial Publication
consists, newspaper in a
wholly or of general newspaper
in part, in circulation of general
Excluding in such circulation
the places and in such
defendant for such places and
from any time as for such
interest the court time as
therein, may order, the court
or in which may order,
d) The case a in which
property copy of case a
of the the copy of
defendant summons the
has been and order summons
Attached of the and order
within the court shall of the
Philippine be sent by court shall
s registered be sent by
mail to the registered
last known mail to the
address of last known
the address of
defendant, the
or defendant,
d) In any or
Other d) In any
manner Other
the court manner
may deem the court
sufficient. may deem
sufficient.
Defendant is a In any Service may,
resident who is action, by leave of
temporarily out of whether in court, be 3.G.8. Service Upon Prisoners and Minors;
the Philippines personam, in effected out
Upon Spouses
rem or quasi of the
in rem Philippines:
(PIPO) (a) Service Upon Prisoners

a) By When the defendant is a prisoner confined in a

Personal jail or institution, service shall be effected upon
service as him or her by the officer having the management
under of such jail or institution who is deemed as a
Section 6; special sheriff for said purpose.
or
b) As
provided The jail warden shall file a return within five (5)
for in calendar days from service of summons to the
Internatio defendant (Rule 14, Sec. 8).
nal
convention (b) Service Upons Minors
s to which
the This rule applies when the defendant is:
Philippines
is a party;
a) A minor;
or
c) By b) Insane; or

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 Purple Notes
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c) Remedial
Otherwise an incompetent person
Service shall be made:
a) Upon him or her personally AND on his or her
legal guardian if he or she has one;
b) If none, upon his or her guardian ad litem
whose appointment shall be applied for by the
plaintiff; or
c) In the case of a minor: on his or her parent or
guardian (Rule 14, Sec. 10)
Note: A copy of the complaint and order for
appointment of guardian ad litem, if any, shall be
attached to the original and each copy of the
summons.
(1) Service Upon Domestic Private Juridical
Entity
When the defendant is a corporation,
partnership or association organized under
the laws of the Philippines with a juridical
personality, service may be made on the:
a) President;
b) Managing partner;
c) General manager;
d) Corporate secretary;
e) Treasurer;
f) In-house counsel of the corporation wherever
they may be found; or
g) In their absence or unavailability, on their
secretaries. (n)
h) If such service cannot be made upon any of
the foregoing persons, it shall be made upon
the person who customarily receives the
correspondence for the defendant at its
principal office(Rule 14, Sec. 12). (n)

In case the domestic juridical entity is under

SERVICE UPON SERVICE UPON MINORS receivership or liquidation, service of
PRISONERS summons shall be made on the receiver or
liquidator, as the case may be. (n)
Service shall be In the case of minor,
effected upon the service SHALL be made Should there be a refusal on the part of the
prisoner by the on the minor AND his persons above-mentioned to receive summons
officer having the father or mother; despite at least three (3) attempts on two (2)
management of different dates, service may be made
such jail (i.e. On the minor AND legal electronically, if allowed by the court, as
warden) who is guardian, if there is no provided under Section 6 of this Rule (Rule 14,
deemed deputized parent; or, Sec.12).
as a special sheriff
for the purpose. On the minor AND
guardian ad litem
whose appointment Defendant is a: Defendant is
shall be applied for by (CPA) adomestic juridical
the plaintiff. a) Corporation; entity is under:
b) Partnership; or a) Receivership; or
c) Association b) Liquidation.
organized under
(c) Service Upon Spouses the laws of the
Philippines.
When spouses are sued jointly, service of Service may be Service of summons
summons should be made to each spouse made on the: shall be made on the:
individually(Rule 14, Sec. 11). a) President; a) Receiver; or
b) Managing b) Liquidator
3.G.9. Service Upon Domestic or Foreign partner;
Private Juridical Entities c) General
manager;
d) Corporate
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secretary; 
Remedial
Q. What is the effect of improper service of
e) Treasurer; summons to domestic corporations?
In-house counsel of
the corporation A. Since service upon it was invalid, the trial
wherever they
court did not acquire jurisdiction over it.
may be found
In their absence or
Hence, all the subsequent proceedings in the
unavailability, on trial court are null and void, including the
their secretaries.(n) order of default (Sps. Mason vs. CA, G.R. No.
If such service 144662, October 13, 2003).
cannot be made
upon any of the (2) Service Upon Foreign Private Juridical
foregoing persons, it Entities (FPJE)
shall be made upon
the person who When the defendant is a foreign private juridical
customarily receives
entity which has transacted or is doing business
the correspondence
for the defendant at
in the Philippines, as defined by law, service may
its principal office. be made on:(RG-DOTA)
(n)
Should there be a refusal on the part of the a) Its Resident agent designated in accordance
persons abovementioned to receive summons with law for that purpose;
despite at least three (3) attempts on two (2) b)
different dates, service may be made c) If there be no such agent, on the Government
electronically, if allowed by the court (Rule official designated by law to that effect; or
14, Sec. 12).(n)
d)
e) On any of its Officers, Agents, Directors or
 Q. How is summons served to a corporate Trustees within the Philippines.
entity?
Service Upon FJPE Not Registed In
A. The purpose is to render it reasonably Philippines
certain that the corporation will receive
prompt and proper notice in an action If the FPJE is not registered in the Philippines, or
against it or to insure that the summons be has no resident agent but has transacted or is
served on a representative so integrated doing business in it, as defined by law, such
with the corporation that such person will service may, with leave of court, be effected
know what to do with the legal papers outside of the Philippines through any of the
served on him. In other words, ‘tobring following means:
home to the corporation notice of the filing
of the action.’ (EB Villarosa vs. Benito, G.R. No. a) By personal service coursed through the
136426, August 6, 1999). appropriate court in the foreign country with
the assistance of the DFA;
Basic is the rule that a strict compliance with b)
the mode of service is necessary to confer c) By publication once in a newspaper of
jurisdiction of the court over a corporation. general circulation in the country where the
The officer upon whom service is made must defendant may be found and by serving a
be one who is named in the statute; copy of the summons and the court order by
otherwise, the service is insufficient (BPI vs. registered mail at the last known address of
Sps. Santiago, G.R. No. 169116, March 28, 2007). the defendant;
d)
Note: Since service of summons on domestic e) By facsimile;
corporation is exclusive to the above, there can f)
be no substituted service. g) By electronic means with the prescribed
proof of service; or
h)

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i) By such Remedial
other means as the court, in its Juridical
discretion, may direct (Rule 14, Sec. 14). Entity (FPJE) a) Its Resident agent
which has designated in accordance
 Q: How is “doing business in the Philippines” transacted or with law for that purpose;
is doing b)
established?
business in c) If there be no such agent,
For purposes of the rule on summons, the the on the Government official
fact of doing business must first be Philippines designated by law to that
effect; or
“established by appropriate allegations in the
d)
complaint” and the court in determining such e) On any of its Officers,
fact need not go beyond the allegations Agents, Directors or
therein. A general allegation, standing alone, Trustees within the
that a party is doing business in the Philippines.
Philippines does not make it so (Hongkong and
Shanghai Banking Corporation Limited vs. Catalan, Foreign Service may, with leave of
G.R. No. 159590, October 18, 2004). Private court, be effectedoutside of
Juridical the Philippines through any of
(3) Service Upon Public Corporations Entitiy(FPJE) the following means:
which:
When the defendant is the Republic of the a) By personal service
Philippines, service may be effected on the a) is not coursed through the
registere appropriate court in the
Solicitor General;
d in the foreign country with the
In case of a province, city or municipality, or like Philippine assistance of the DFA;
s, or b)
public corporations:
b) c) By publication once in a
a) On its Executive Head; or c) has no newspaper of general
b) On such other officer or officers as the law resident circulation in the country
or the court may direct. (Rule 14, Sec. 15) agent but where the defendant may
has be found and by serving a
(4) Service upon Entity Without Juridical transacte copy of the summons and
Personality d or is the court order by
doing registered mail at the last
When persons associated in an entity without business known address of the
juridical personality are sued under the name by in it, as defendant;
defined d)
which they are generally or commonly known,
by law. e) By facsimile;
service may be effected upon all the defendants f)
by: g) By electronic means with
the prescribed proof of
a. serving upon any one of them; or
service; or
b. serving upon the person in charge of the h)
office or place of business maintained in such i) By such other means as
name. the court, in its discretion,
may direct. (Rule 14, Sec.
Note: Such service shall not bind individually any 14)
person whose connection with the entity has, Republic of Service may be effected on
upon due notice, been severed before the action the the Solicitor General
was filed(Rule 14, Sec. 7). Philippines
Province, Service may be effected on:
City, a) On its Executive Head; or
Service of Summons on Juridical Entities
Municipality, b) On such other officer or
or like public officers as the law or the
Defendant Service of Summons corporations court may direct.
Foreign Service may be made on: Entity Service may be effected upon
Private (RG-DOTA) without all the defendants by:
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Juridical
Remedial
receive and sign for or with a person
Personality a) serving upon any one of it. having charge
them; or thereof
b) serving upon the person c) By leaving the copy
in charge of the officeor between 8am and
place of business 6pm at the party’s or
maintained in such name. counsel’s residence, if
known, with a person
Such service shall not bind of sufficient age and
individually any person whose discretion then
connection with the entity residing therein.
has, upon due notice, been Substituted Service of Substituted Service of
severed before the action was Summons Pleadings and other
filed (Rule 14, Sec. 7). a) By leaving copies of papers
the summons at the By delivering a copy to
Effect of Non-service or Irregular Service of defendant’s residence the clerk of court.
Summons with some person of
suitable age and
discretion then
Unless there is waiver, non-service or irregular residing therein; or,
service renders all subsequent proceedings and b) By leaving the copies
issuances null and void, including the order of at the defendant’s
default, judgment by default, and the order of office or regular
execution, because jurisdiction over the person of place of business
the defendant was not acquired. with some competent
person in charge
When Another Summons Must Be Served thereof.
With the Amended Complaint
Notes:
 Q: When is there a need to serve another
summons?  What is substituted service in summons is a
personal service in pleadings.
The rule is that it is only when new causes of 
action are alleged in an amended complaint  In pleadings, personal service started with the
filed before the defendant has appeared in office of the pleader or his counsel. In default
court that another summons must be served thereof, pleading is served in the residence of
on the defendant with the amended the pleader or counsel.
complaint (De Dios vs. Court of Appeals, G.R. No. 
80491, August 12, 1992).  In substituted service of summons, the process
starts with the residence. In default thereof,
then summons is served in the office or regular
Summary of the Modes of Service of place of business.
Summons
3.G.10. Proof of Service
(Rule 14, Secs. 21-22)
Service of Summons vs.
Service of Pleadings and Other Papers Proof of service of a summons:
SUMMONS PLEADINGS AND
1. Shall be made in writing by the server;
OTHER PAPERS
Upon person of the Personal Service
2. Shall set forth the manner, place, and date
defendant a) By delivering of service;
a) By handing a copy to personally a copy to 3. Shall specify any papers which have been
the defendant in the party or his served with the process and the name of the
person counsel person who received the same; and
b) By tendering it to b) By leaving it in his 4. Shall be sworn to when made by a person
him, if he refuses to office with his clerk other than a sheriff or his or her deputy.

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Remedial
If summons was served by electronic mail, the MOTION PLEADING
following as shall constitute as proof of service: A motion is an A pleading is a written
application for statement of the
1. A printout of said e-mail; relief other than a respective claims and
2. With a copy of the summons as served; and pleading (Rule 15, defenses of the parties
3. The affidavit of the person mailing (Rule 14, Sec. 1). submitted to the court
Sec. 21) for appropriate
judgment (Rule 6, Sec.
If the service has been made by publication, 1)
service may be proved:
It may be in the form
1. By the affidavit of the publisher, editor, of a complaint,
business or advertising manager, to which a counterclaim, cross-
copy of the publication shall be attached; and claim, third-party
2. By an affidavit showing the deposit of a copy complaint, or
of the summons and order for publication in complaint-in-
the post office, postage prepaid, directed to intervention, answer or
the defendant by registered mail to his or her reply (Rule 6, Sec. 2).
last known address. (Rule 14, Sec. 22) Its purpose is to Its purpose is to
apply for an order submit a claim or
3.H. MOTIONS (Rule 15) not included in the defense for appropriate
judgment. judgementjudgment(Ru
3.H.1. Motions In General le 6, Sec. 1).
3.H.1a. Definition Of A Motion

A motion is an application for relief other than
by a pleading (Rule 15, Sec. 1)
3.H.1b. Distinguish: Motions and Pleadings
MOTION PLEADING
A motion is an A pleading is a written
application for relief statement of the
other than a pleading respective claims and
(Rule 15, Sec. 1). defenses of the parties
submitted to the court for
appropriate judgment
(Rule 6, Sec. 1).
It may be in the form of a
complaint, counterclaim,
cross-claim, third-party
complaint, or complaint-
in-intervention, answer or
reply (Rule 6, Sec. 2).
Its purpose is to apply Its purpose is to submit a
for an order not included claim or defense for
in the judgment. appropriate judgment
(Rule 6, Sec. 1).
May be oral when made Always filed before
in open court or in the judgment and must be
course of hearing or written(Rule 6, Sec. 1).
trial(Rule 15, Sec. 2).
May be oral when Always filed before
made in open court judgment and must be
or in the course of written(Rule 6, Sec. 1).
hearing or trial(Rule
15, Sec. 2).
3.H.1c. Contents and Form of Motions
Contents
1. A motion shall state the relief sought to be
obtained, and the grounds upon which it is
based; and
2.
3. If required by these Rules or necessary to
prove facts alleged therein, it shall be
accompanied by supporting affidavits and
other papers(Rule 15, Sec. 3).
Form (Rule 15, Sec. 2)
General Rule: All motions must be in writing.
Exception:

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1. Motions made in open court;
2. Motions made in the course of the hearing or
trial;
3. Motions set for hearing (by the applicant);
and,
4. Motions which the court may act upon without
prejudice to the rights of the adverse party.
Notes:
 A motion made in open court or in the course
of a hearing or trial should immediately be
resolved in open court, after the adverse party
is given the opportunity to argue his or her
opposition thereto.
 possession;
 When a motion is based on facts not
appearing on record, the court may hear the
matter on affidavits or depositions presented
by the respective parties, but the court may
direct that the matter be heard wholly or
partly on oral testimony or depositions. (Rule
15, 2019 Amendments to the 1997 Rules on Civil
Procedure)
Classification of Motions: (ELMS)
1. Non-litigated motion (Ex parte) – a
motion made without the presence of a
notification to the other party because the
question generally presented is not debatable.
2. Litigated motion (de parte) – one made
with notice to the adverse party so that an
opposition thereto may be made.
3. Motion of Course – a motion for a certain
kind of relief or remedy to which the movant
is entitled as a matter of right, and not as a
matter of discretion on the part of the court.
4. Special motion – the opposite of a motion
of course; here, the discretion of the court is
involved.
3.H.1d. Litigious and Non-Litigious
Motions; When Notice of Hearing
Necessary
(a) Non-Litigious Motions
 Motions which the court may act upon without
prejudicing the rights of adverse parties are
non-litigious.
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 These
Remedial
motions shall NOT be set for hearing
and shall be resolved by the court within five
(5) calendar days from receipt thereof.
 Non-litigiousmotions include:
a) Motion for the issuance of an alias
summons;
b) Motion for extension to file answer;
c) Motion for postponement;
d) Motion for the issuance of a writ of
execution;
e) Motion for the issuance of an alias writ of
execution;
f) Motion for the issuance of a writ of
g) Motion for the issuance of an order
directing the sheriff to execute the final
certificate of sale; and
h) Other similar motions(Rule 15, Sec.4).(n)
(b) Litigious Motions
 Litigious motions include:
a) Motion for bill of particulars;
b) Motion to dismiss;
c) Motion for new trial;
d) Motion for reconsideration;
e) Motion for execution pending appeal;
f) Motion to amend after a responsive
pleading has been filed;
g) Motion to cancel statutory lien;
h) Motion for an order to break in or for a writ
of demolition;
i) Motion for intervention;
j) Motion for judgment on the pleadings;
k) Motion for summary judgment;
l) Demurrer to evidence;
m) Motion to declare defendant in default; and
n) Other similar motions.
 These motions shall be served by personal
service, accredited private courier or
registered mail, or electronic means so as to
ensure their receipt by the other party.
 The opposing party shall file his or her
opposition to a litigious motion within five (5)
calendar days from receipt thereof. No other
submissions shall be considered by the court
in the resolution of the motion.
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 The motionRemedial
shall be resolved by the court
within fifteen (15) calendar days from its
receipt of the opposition thereto, or upon
expiration of the period to file such
opposition(Rule 15, Sec. 5).(n)
 Notice of hearing on litigious motions;
discretionary — The court may, in the
exercise of its discretion, and if deemed
necessary for its resolution, call a hearing on
the motion. The notice of hearing shall be
addressed to all parties concerned, and shall
specify the time and date of the hearing (Rule
15, Sec. 6).(n)
Proof of service necessary - No written
motion shall be acted upon by the court without
proof of service thereof. (Rule 15, Sec. 7)
Motion Day
Gerenal Rule: Where the court decides to
conduct hearing on a litigious motion, the same
shall be set on a Friday.
Exception: Except for motions requiring
immediate action(Rule 15, Sec. 8).
Requirements of a valid litigated motionL
(WOP)
1. In Writing;
2. Contains the grounds or legal basis relied
upon, relief sought, and whenever
appropriate, must include supporting
affidavits and documents (Omnibus motion
rule); and
3. Proof of service.
Motionfor leave - A motion for leave to file a
pleading or motion shall be accompanied by the
pleading or motion sought to be admitted (Rule
15, Sec. 10).
Form — The Rules applicable to pleadings shall
apply to written motions so far as concerns
caption, designation, signature, and other
matters of form (Rule 15, Sec. 11).
3.H.1e. Omnibus Motion Rule
108
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A motion attacking a pleading, order, judgment
or proceeding shall include all objections then
available, and all objections not included shall be
deemed waived, subject to the provisions of Rule
9, Sec. 1(Rule 15, Sec. 9).
Exceptions to the Omnibus Motion Rule [Rule
15, Sec. 12(a)]. (n)
1. Lack of jurisdiction. The court has no
jurisdiction over the subject matter of the
case;
2. Litis Pendentia. That there is an action
pending between the same parties for the
same cause;
3. Res judicata. That the action is barred by a
prior judgment; or
4. Prescription. That the action is barred by
the statute of limitations.
5.
Q. What is an Omnibus Motion Rule?
6. A. Section [9], Rule 15 of the Rules of Court
defines an omnibus motion as a motion attacking a
pleading, judgment or proceeding. A motion to
dismiss is an omnibus motion because it attacks a
pleading, that is, the complaint. For this reason, a
motion to dismiss, like any other omnibus motion,
must raise and include all objections available at
the time of the filing of the motion because under
Section [9], "all objections not so included shall be
deemed waived." As inferred from the provision,
only the following defenses under Section 1, Rule
9, are excepted from its application: (a) lack of
jurisdiction over the subject matter; (b) there is
another action pending between the same parties
for the same cause (litis pendentia); (c) the action
is barred by prior judgment (res judicata); and (d)
the action is barred by the statute of limitations or
prescription (Sps. De Guzman vs. Ochoa, G.R.
No. 169292, April 13, 2011).
Motion for Leave
A motion for leave to file a pleading or
motion shall be accompanied by the
pleading or motion sought to be admitted
(Rule 15, Sec. 9).
3.H.1f. Prohibited Motions
and

The following motions shall NOT be
allowed:
1. Motion to dismiss except on the
following grounds:
a. That the court has no jurisdiction
over the subject matter of the claim;
b. That there is another action pending
between the same parties for the
same cause; and
c. That the cause of action is barred by a
prior judgment or by the statute of
limitations;
2. Motion to hear affirmative defenses;
3. Motion for reconsideration of the court’s
action on the affirmative defenses;
4. Motion to suspend proceedings without
a temporary restraining order or
injunction issued by a higher court;
5. Motion for extension of time to file
pleadings, affidavits or any other papers,
except a motion for extension to file an
answer as provided by Section 11, Rule
11; and
6. Motion for postponement intended for
delay, except if it is based on acts of
God, force majeure or physical inability
of the witness to appear and testify. If
the motion is granted based on such
exceptions, the moving party shall be
warned that the presentation of its
evidence must still be terminated on the
dates previously agreed upon (Rule 15,
Sec. 12).(n)
Motion for Extension of Time to File
Pleadings, Affidavits or any Other Papers
General Rule: It is a prohibited pleading;
hence, should not be allowed[Rule 15, Sec.
12(e)].
Exception: A defendant may, for
meritorious reasons, be granted an
additional period of not more than thirty
(30) calendar days to file an answer.
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Remedial
A defendant is only allowed to file one (1)
motion for extension of time to file an
answer(Rule 11, Sec. 11).
Motion for Postponement
General Rule: It is a prohibited pleading;
hence, should not be allowed[Rule 15, Sec.
12(f)].
Exception: If the same is based on: (AFP)
a) Acts of God;
b) Force majeure; or
c) Physical inability of the witness to
appear and testify.
If granted, the movant shall be warned
that presentation of its evidence must still
be terminated on the dates agreed upon
during pre-trial (Rule 15, Sec. 12).(n)
Note: A motion for postponement, whether
written or oral, shall, at all times, be
accompanied by the original official receipt
from the office of the clerk of court
evidencing payment of the postponement
fee under Section 21(b), Rule 141, to be
submitted either at the time of the filing of
said motion or not later than the next
hearing date. The clerk of court shall not
accept the motion unless accompanied by
the original receipt(Rule 15, Sec. 12).(n)
Pro-forma Motions
A motion pro forma intended merely to delay the
proceedings and it shall not interrupt or suspend
the period of time for the perfection of an
appeal(Gaspay vs. Sangco, G.R. No. L-27826,
December 18, 1967).
3.H.2. Motion for Bill OfParticulars
Bill of Particulars is a complementary
procedural document consisting of an
amplification or more particularized outline of a
pleading(Enrile vs. People, G.R. No. 213455, August
11, 2015).
Motion to Motion for a Demurrer to
Dismiss Bill of Evidence
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(Rule 15) Remedial
Particulars (Rule 33)
(Rule 12) Purpose
Filed within Filed before Filed after the
the period responding to a plaintiff To seek an order from the court directing the
prescribed pleading. completes
pleader to submit a bill of particular which avers
for filing an his/her
answer. presentation of
matters with sufficient definiteness or
evidence. particularity to enable the movant to properly
Generally, it Any matter on Upon the facts prepare his responsive pleading.
is a the pleading and the law the
prohibited being responded plaintiff has The function of the bill of particular is not to
pleading; to is not averred shown no right obtain evidentiary matter (Salita vs. Magtolis GR.
except when with sufficient to relief. No. 106429 June 13, 1994).
it is filed definiteness or
based on: particularity.  Q. What is the proper remedy wherein the
complaint is vague or indefinite?
1) That the
court has no
jurisdiction
A. An action cannot be dismissed on the
over the ground that the complaint is vague or
subject indefinite. The remedy of the defendant is to
matter of the move for a bill of particulars or avail of the
claim; proper mode of discovery (Galeon vs. Galeon,
2) G.R. No. L-30380, February 28, 1973).
Thatthereisa
notheraction When to File a Motion for a Bill of
pendingbetw Particulars
eenthesame
partiesforthe 1. Before responding to a pleading.
same 2. If the pleading is a reply, within ten (10)
cause; and
calendar days from service thereof. (Rule 12,
3) That the
2019 Amendments to the 1997 Rules on Civil
cause of
Procedure)
action is
barred by a
priorjudgme Motion for Bill of Particulars must be filed within
nt or by the the reglementary period for the filing of a
statute responsive pleading. If sufficient in form and
oflimitations; substance, the filing of the motion will interrupt
the time to plead.

3.H.2a. Purpose and When Applied for
Before responding to a pleading, a party may
move for a definite statement or for a bill of
particulars of any matter, which is not averred
with sufficient definiteness or particularity, to
enable him or her properly to prepare his or her
responsive pleading.
If the pleading is a reply, the motion must be
filed within ten (10) calendar days from service
thereof. Such motion shall point out the defects
complained of, the paragraphs wherein they are
contained, and the details desired(Rule 12, Sec. 1).
110
A Bill of Particulars becomes part of the pleading
that it supplements (Rule 12, Sec. 6).
Note: A Motion for a Bill of Particulars is a
litigated motion(Rule 15, Sec. 5).
3.H.2b. Actions of the Court
Upon the filing of the motion, the clerk of court
must immediately bring it to the attention of the
court, which may either:
a) Deny it;
b) Grant it outright; or

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c) Allow the parties the opportunity to be heard
Remedial
(Rule 12, Sec. 2). 3.H.2d. Effect on the Period to File A
Responsive Pleading

3.H.2c. Compliance With The Order and
Effect of Non-Compliance
(Rule 12, Secs. 3 and 4)
Compliance with the Order
General Rule: If the motion is granted, either in
whole or in part, the compliance therewith must
be effected within ten (10) calendar days from
notice of the order.
Exception: When a different period is fixed by
the court.
The bill of particulars or a more definite
statement ordered by the court may be filed
either in a separate or in an amended pleading,
serving a copy thereof on the adverse party (Rule
12, Sec. 3).
Effect of Non-compliance
After service of the bill of particulars or of a more
definite pleading, or after notice of denial of his
motion, the moving party may file his responsive
pleading within the period to which he was
entitled at the time of filing his motion, which
shall not be less than five (5) calendar days in
any event (Rule 12, Sec. 5).
Motion for Bill of Motion for Bill of
Particulars is Particulars is Denied
Granted
The movant may file The movant may file
his or her his or her responsive
responsive pleading pleading after notice
after service of the of the denial of the
bill of particulars or motion.
a more definite
pleading.
In any case, the movant may file his or her
responsive pleading within the period to
which he or she was entitled at the time of
filing his or her motion, which shall not be
less than five (5) calendar days.

If the order is not obeyed, or in case of 3.I. DISMISSAL OF ACTIONS

insufficient compliance therewith, the court may (Rule 17, 2019 Amendments to the 1997 Rules
order the striking out of the pleading or the on Civil Procedure)
portions thereof to which the order was directed,
or make such other order as it deems just (Rule 3.I.1. Dismissal With Prejudice
12, Sec. 4).
Dismissal With Prejudice vs. Dismissal
Non-compliance is Non-compliance is by Without Prejudice
by the Plaintiff the Defendant
General Rule: His 1. His Answer will be
Dimissal Dimissal
complaint will be stricken off;
WITH Prejudice WITHOUT Prejudice
stricken off and 2. His counterclaim
dismissed. dismissed; and
Dismissal of a case It leaves the plaintiff
3. He will be declared
on merits after free to bring another
Exception: When in default upon
adjudication. It is a suit based on the
the court orders motion of the
final judgment and same grounds.
otherwise. plaintiff(Momarco
the case becomes res
Import Company, Inc,
judicata on the
vs. Villamena, G.R.
claims that were or
No. 192477, July 27,
could have been
2016).
brought in it(Aledro-
4.
Runa vs. Lead Export
and Agro-
Note: Rules on answer to an amended complaint
Development
shall apply to amended counterclaim, amended Corporation, G.R. No.
cross claim, amended third (fourth, etc) party 225896, July 23,
complaint, and amended complaint in 2018).
intervention(Rule 11, Sec. 3).

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3.I.1. Dismissal With Prejudice
An order dismissing an action on the following
grounds shall bar the refiling of the same action:
a) That the cause of action is barred by a prior
judgment or by the statute of limitations;
b) When the claim or demand set forth in the
plaintiff’s pleading has been paid, waived,
abandoned or otherwise extinguished; or
c) When the claim on which the action is
founded is unenforceable under the provisions
of the statute of frauds (Rule 15, Sec. 13).
3.I.2. Dismissal Upon Notice By Plaintiff
(Rule 17, Sec. 1)
General Rule: The dismissal upon notice by
plaintiff is without prejudice.
Exception: When otherwise stated in the notice.
 Two-Dismissal Rule
A notice operates as an adjudication upon the
merits when filed by a plaintiff who has once
dismissed in a competent court an action
based on or including the same claim (Rule 17,
Sec. 1).
Exception to the Exception: When the prior
dismissal is for lack of jurisdiction.
 Q. What is the purpose of “two-dismissal
rule”?
A. The purpose of the “two-dismissal rule” is
to avoid vexatious litigation. When a
complaint is dismissed a second time, the
plaintiff is now BARRED from seeking relief on
the same claim (Ching vs. Cheng, G.R. No.
175507, October 8, 2014).
Dismissal is effected not by motion but by mere
notice of dismissal, which may be filed by the
plaintiff as matter of right before the service of:
a) The answer; or,
b) A motion for summary judgment.
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Note: What causes plaintiff’s loss of the right to
effect dismissal by mere notice is not the
defendant’s act of filing the answer, BUT the
service of such answer upon him.
Upon such notice being filed, the court shall issue
an order confirming the dismissal. Without such
order of confirmation, the dismissal does not
become effective.
The dismissal as a matter of right ceases when
an answer or a motion for summary judgment is
served on the plaintiff and not when the answer
or the motion is filed with the court. Thus, if a
notice of dismissal is filed by the plaintiff even
after an answer has been filed in court but before
the responsive pleading has been served on the
plaintiff, the notice of dismissal is still a matter of
right. (Riano, Civil Procedure, p. 224, 2007 ed.)
If the plaintiff files a notice of dismissal providing
therein a reason that prevents the refilling of the
complaint, the dismissal must be deemed one
with prejudice. This happens when the notice
provides that the plaintiff recognizes the fact of
prescription or extinguishment of the obligation
of the defendant or for reasons stated in [Sec. 13
of Rule 15] (Riano, Civil Procedure, 2007 ed., p.
225,).
 Where such notice is premised on the fact of
payment by the defendant of the claim
involved, the dismissal is with prejudice even
if the notice of dismissal does not provide
that it is with prejudice (Serrano vs. Cabrera,
G.R. No. L-5189, September 21, 1953).
3.I.3. Dismissal Upon Motion by Plaintiff;
Effect on Existing Counterclaim (Rule 17, Sec.
2)
In all instances, Rule 17 governs dismissals at the
instance of the plaintiff, not of the defendant.
(Ching vs. Cheng, G.R. No. 175507, October 8, 2014).
Under this section, the dismissal of the complaint
is subject to the discretion of the court and upon
such terms and conditions as may be just.
This contemplates a situation where an answer
has already been served.
and
 Purple Notes
Criminal
Effects of Dismissal upon Motion by  Q. May the
Remedial
defendant prosecute
his claim
Plaintiff inspite the dismissal of complaint as contrast
to dismissal of an action?
 When defendant has not filed a
counterclaim
A. A dismissal of an action is different from a
The plaintiff can move for the dismissal of the mere dismissal of the complaint. For this
entire case provided that the defendant has not reason, since only the complaint and not the
filed a counterclaim (compulsory or permissive) action is dismissed, the defendant – in spite of
and the court deems the dismissal proper (Rule 17, said dismissal – may still prosecute his
Sec. 2). counterclaim in the same action. In the
instant case, the petitioner’s preference to
 When a counterclaim has been have his counterclaim (and cross-claims) be
interposed(Rule 17, Sec. 2) prosecuted in the same action was timely
manifested (Chuan vs. Uy, G.R. No. 155701,
1. If a counterclaim has been pleaded by a March 11, 2015).
defendant PRIOR to the service upon him of
Comparison Between
the plaintiff’s motion for dismissal, the
Sections 2 and 3 of Rule 17
dismissal shall be limited to the complaint.

2. Such dismissal shall be WITHOUT prejudice to DISMISSAL UPON

the right of the defendant to either: DISMISSAL DUE TO
MOTION OF
FAULT OF PLAINTIFF
PLAINTIFF
(Rule 17, Sec.3)
a) Prosecute his counterclaim in a separate (Rule 17, Sec.2)
action; or,
Dismissal is at the Dismissal is NOT procured
The court shall render the corresponding instance of the plaintiff. by plaintiff, though
order granting and reserving the justified by causes
imputable to him/her.
defendant’s right to prosecute his claim in
Gen. Rule: Dismissal is a Gen. Rule: Dismissal is a
a separate complaint. matter of procedure, matter of evidence, an
without prejudice. adjudication on the
b) Have his counterclaim resolved in the same merits.
action. Exception: When
c) otherwise stated in the Exeption: When
Defendant must manifest such preference order of the court or on otherwise declared by the
to the trial court within 15 days from plaintiff’s motion to court.
notice of the plaintiff’s motion to dismiss. dismiss his/her own
complaint.
Dismissal is without Dismissal is without
Notes: prejudice to the right of prejudice to the right of
the defendant to the defendant to
 The alternative remedies of the defendants prosecute his/her prosecute his/her
are available to him regardless of whether his counterclaim in a counterclaim on the same
counterclaim is compulsory or permissive. separate action UNLESS or separate action.
 within 15 calendar days
 A dismissal upon motion of plaintiff shall be from notice of the motion,
without prejudice UNLESS otherwise stated in he/she manifests his/her
intention to have his/her
the order.
counterclaim resolved in
 the same action.
 The approval of the court is necessary in the
dismissal or compromise of a class suit (Rule
17, Sec. 2).

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Remedial
DISMISSAL UPON Note: The dismissal is with prejudice unless
DISMISSAL DUE TO
MOTION OF otherwise declared by the court. It shall have the
FAULT OF PLAINTIFF
PLAINTIFF effect of adjudication upon the merits of the
(Rule 17, Sec.3)
(Rule 17, Sec.2)
case.
Dismissal is at the Dismissal is NOT
instance of the plaintiff. procured by plaintiff, 3.I.5. Dismissal of Counterclaim, Cross-
though justified by Claim, or Third-Party Complaint
causes imputable to
him/her. The provisions of Rule 17 shall apply to the
Gen. Rule: Dismissal is a Gen. Rule: Dismissal is dismissal of any counterclaim, cross-claim, or
matter of procedure, a matter of evidence, third-party complaint. A voluntary dismissal by
without prejudice. an adjudication on the the claimant by notice as in Section 1 of the said
merits.
rule shall be made before a responsive pleading
Exception: When
otherwise stated in the Exeption: When
is served or, if there is none, before the
order of the court or on otherwise declared by introduction of evidence at the trial or
plaintiff’s motion to the court. hearing(Rule 17, Sec. 4).
dismiss his/her own
complaint.  Q: What is the effect of the dismissal of an
Dismissal is without Dismissal is without action?
prejudice to the right of prejudice to the right of 
the defendant to the defendant to A. A dismissal or discontinuance of an action
prosecute his/her prosecute his/her
operates to annul orders; rulings or
counterclaim in a counterclaim on the
separate action UNLESS same or separate
judgments previously made in a case, as
within 15 calendar action. well as all proceedings had in connection
days from notice of the therewith and renders all pleadings
motion, he/she manifests ineffective (Servicewide Specialist, Inc. VS CA,
his/her intention to have GR No. 110597, May 8, 1996).
his/her counterclaim
resolved in the same 3.J. PRE-TRIAL
action.
3.J.1. Concept of Pre-Trial
3.I.4. Dismissal Due to the Fault of the
Plaintiff (Rule 17, Sec. 3) Pre-trial is a mandatory conference and personal
confrontation between the parties in the
Complaint may be dismissed: presence of their respective counsel and the
judge.
a) Upon motion of the defendant; or
b) Upon court’s own initiative. Pre-trial is a procedural device intended to clarify
and limit the basic issues between the parties. It
Instances when the court can dismiss the thus paves the way for a less cluttered trial and
case motu proprio: (F3LS) resolution of the case. Its main objective is to
a) The plaintiff Fails to appear on the date of simplify, abbreviate and expedite the trial, or
the presentation of his evidence-in-chief on totally dispense with it. Prescinding therefrom, it
the complaint (Rule 17,Sec. 3); is a basic legal precept that the parties are bound
b) Plaintiff Fails to prosecute his action for an
to honor the stipulations they made during the
unreasonable length of time (Rule 17,Sec. 3); pre-trial (Claudio vs. Quebral, G.R. NO. 165962, July
6, 2007).
c) Plaintiff Fails to comply with the Rules or the
orders of the court (Rule 17,Sec. 3);
d) Lack of jurisdiction;
3.J.2. Nature and Purpose of Pre-Trial
e) In cases of Summary Procedure
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The Pre-trial is mandatory and should be
terminated promptly.(Rule 18, Sec. 2, 2019
Amendments to the 1997 Rules on Civil Procedure)
What the court shall consider during the
pre-trial conference:
(NOTE: Numbers 5 and 8 - 2019 Amendments to the
1997 Rules on Civil Procedure)
1. Possibility of an amicable settlement or of a
submission to alternative modes of dispute
resolution;
2. Simplification of issues;
3. Necessity or desirability of amendments of
the pleadings;
4. Possibility of obtaining stipulations or
admissions of facts and of documents to
avoid unnecessary proof;
5. Limitation on the number and identification
of witnesses and the setting of trial dates;
6. Advisability of a preliminary reference of
issues to a commissioner;
7. Propriety of rendering judgment on the
pleadings, or summary judgment or of
dismissing the action should a valid ground
be found to exist;
8. The requirement for the parties to:
a. Mark their respective evidence if not yet
marked in the judicial affidavits of their
witnesses;
b. Examine and make comparisons of the
adverse parties' evidence vis-avis the
copies to be marked;
c. Manifest for the record stipulations
regarding the faithfulness of the
reproductions and the genuineness and
due execution of the adverse parties'
evidence;
d. Reserve evidence not availableat the pre-
trial, but only in the following manner:
i. For testimonial evidence, by giving the
name or position and the nature of
the testimony of the proposed
witness;
ii.
iii. For documentary evidence and other
object evidence, by giving a particular
description of the evidence.
iv.
v. No reservation shall be allowed if not
made in the manner described above.
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Criminal
9. Advisability
Remedial
or necessity of suspending
the
proceedings; and,
10. Such other matters as may aid in the prompt
disposition of the action.
The failure without just cause of a party
and counsel to appear during pre-trial,
despite notice, shall result in a waiver of any
objections to the faithfulness of the reproductions
marked, or their genuineness and due execution.
The failure without just cause of a party
and/or counsel to bring the evidence
required shall be deemed a waiver of the
presentation of such evidence(Rule 18, Sec. 2,
2019 Amendments to the 1997 Rules on Civil
Procedure).
IMPORTANT NOTE: The above enumeration no
longer applies at the pre-trial proper because of
the Mediation and Conciliation Proceedings (A.M.
No. 03-1-09-SC, effective August 16, 2004). They no
longer happen before the judge, but before the
Branch Clerk of Court. Remember that the
pre-trial will still be set.
3.J.3. Notice of Pre-Trial
The notice of pre-trial shall be served on counsel,
or on the party who has no counsel. The counsel
served with such notice is charged with the duty
of notifying the party represented by him or her
(Rule 18, Sec. 3).
The notice of pre-trial shall include the
datesrespectively set for:
1. Pre-trial;
2. Court-Annexed Mediation; and
3. Judicial Dispute Resolution, if necessary (Rule
18, Sec. 2, 2019 Amendments to the 1997 Rules on
Civil Procedure).
 Sending a notice of pre-trial stating the date,
time and place of pre-trial is mandatory. Its
absence will render the pre-trial and
subsequent proceedings void (Maxima vs.
Tecson, G.R. No. 145276, November 29, 2005).
3.J.4. Appearance of Parties; Effect of
Failure to Appear
Appearance of Parties
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It shall be the duty of the parties and their
counsel to appear at the pre-trial, court-annexed
mediation, and judicial dispute resolution, if
necessary. (Underlined: Rule 18, Sec. 4, 2019
Amendments to the 1997 Rules on Civil Procedure)
Note: There is no more declaration of default in
case one of the parties is absent, the court may
proceed in the rendition of judgment or
presentation of evidence. The remedy of a
plaintiff who is non-suited is to appeal(Chinkoe vs.
Republic, G.R. No. 183608, July 31, 2013).

The non-appearance of a party and counsel may
be excused only for: (FAP)
a) Acts of God;
b) Force majeure; or
c) Duly substantiated Physical inability (Rule 18,
Sec. 4, 2019 Amendments to the 1997 Rules on
Civil Procedure).
A representative may appear on behalf of a
party, but must be fully authorized in
writing to:
1. Enter into an amicable settlement;
2. Submit to alternative modes of dispute
resolution; and
3. Enter into stipulations or admissions of facts
and documents (Rule 18, Sec. 4).
4.
Note: In case of juridical person, a board
resolution is required. The appearance of the
counsel without the SPA shall render the absent
plaintiff non-suited and the defendant may move
for the dismissal of the case (Daaco vs. Yu, G.R. No.
183398, June 22, 2015).
Effects of Non-Appearance
3.J.5. Pre-Trial Brief; Effect of Failure to
File Pre-Trial Brief
Pre-Trial Brief
Contents: (SWAIRES)
1. A concise Statement of the case and the
reliefs prayed for;
2. A summary of Admitted facts and proposed
stipulation of facts;
3. The main factual and legal Issues to be tried
or resolved;
4. The propriety of Referral of factual issues to
commissioners;
5. The documents or other object Evidence to be
marked, stating the purpose thereof;
6. The names of the Witnesses, and the
summary of their respective testimonies; and
7. A brief Statement of points of law and citation
of authorities (Rule 16, Sec. 6).
The Pre-Trial Brief must be filed with the court
and served on the adverse party at least 3
calendar days before the date of the pre-trial
(Rule 16, Sec. 6).

Plaintiff and Counsel Defendant and Effect of Failure to File Pre-Trial Brief
Counsel
Dismissal of the a. Plaintiff shall be
action. The dismissal allowed to present
Failure to file a pre-trial brief has the same effect
shall be with his or her evidence as failure to appear at the pre-trial.
prejudice, unless ex parte within ten
otherwise ordered (10) calendar days Plaintiff and Defendant and Counsel
by the court. from termination Counsel
of the pre-trial; Dismissal of the a. Plaintiff shall be
and action. The allowed to present
b. The court shall be dismissal shall be his or her evidence
allowed to render with prejudice, ex parte within ten
judgment on the unless otherwise (10) calendar days
basis of the ordered by the from termination of
evidence offered court. the pre-trial; and
(Rule 18, Sec. 5). b. The court shall be
allowed to render
judgment on the
basis of the

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evidence
offered(Rule 18, Sec.
5).
Records of Pre-Trial
The proceedings in the pre-trial shall
recorded.
The pre-trial order shall be issued within ten (10)
days after the termination of the pre-trial .
The order shall recite in detail the matters taken
up in the conference.
If the action proceeds to trial, the order shall
explicitly define and limit the issues to be tried.
The contents of the order shall control the
subsequent courses of the action, UNLESS
modified before trial to prevent manifest
injustice.
Note: There is no need to go to trial if only legal
issues will be presented. It is presumed that the
judge and the parties know the law.
3.J.6. Pre-Trial Order
Upon termination of the pre-trial, the court shall
issue an order within ten (10) calendar days
which shall recite in detail the matters taken up.
Contents of the Pre-Trial Order
1. An enumeration of the admitted facts;
2. The minutes of the pre-trial conference;
3. The legal and factual issue/s to be tried;
4. The applicable law, rules, and jurisprudence;
5. The evidence marked;
6. The specific trial dates for continuous trial,
which shall be within the period provided by
the Rules;
7. The case flowchart to be determined by the
court, which shall contain the different stages
of the proceedings up to the promulgation of
the decision and the use of time frames for
each stage in setting the trial dates;
8. A statement that the one-day examination of
witness rule and most important witness rule
under A.M. No. 03-1-09-SC (Guidelines for
Pre-Trial) shall be strictly followed; and
9. A statement that the court shall render
judgment on the pleadings or summary
Purple Notes
Criminal
Remedial
judgment, as the case may be. (Rule 18, Sec.
7, 2019 Amendments to the 1997 Rules on Civil
Procedure)
The direct testimony of witnesses for the plaintiff
shall be in the form of judicial affidavits. After the
be identification of such affidavits, cross-examination
shall proceed immediately(A.M. No. 12-8-8-SC, Sec.
7).
General Rule: Postponement of presentation of
the parties’ witnesses at a scheduled date is
prohibited(Rule 18, Sec. 7). (n)
Exception: If it is based on:
 Acts of God;
 Force majeur; or
 Duly substantiated physical inability of
the witness to appear and testify (Rule 18,
Sec. 7). (n)
Notes:
 The party who caused the postponement is
warned that the presentation of its evidence
must still be terminated within the remaining
dates previously agreed upon(Rule 18, Sec. 7).
(n).

 Should the opposing party fail to appear
without valid cause, the presentation of the
scheduled witness will proceed with the
absent party being deemed to have waived
the right to interpose objection and conduct
cross-examination(Rule 18, Sec. 7). (n)

 The contents of the pre-trial order shall
control the subsequent proceedings, UNLESS
modified before trial to prevent manifest
injustice (Rule 18, Sec. 7). (n)
Court-Annexed Mediation
After pre-trial and, after issues are joined, the
court shall refer the parties for mandatory court-
annexed mediation.
The period for court-annexed mediation shall not
exceed thirty (30) calendar days without further
extension (Rule 18, Sec. 8, 2019 Amendments to the
1997 Rules on Civil Procedure).
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Criminal
Remedial
Judicial Dispute Resolution 3.J.7. Distinction Between Pre-Trial in Civil
Cases and Pre-Trial in Criminal Cases
 Only if the judge of the court to which the
case was originally raffled is convinced that
PRE-TRIAL IN PRE-TRIAL IN
settlement is still possible, the case may be CIVIL CASES CRIMINAL CASES
referred to another court for judicial dispute
resolution. It is set when the It is set when the Court
 branch clerk of court shall order a pre-trial
 The judicial dispute resolution shall be shall issuea notice of conference(Rule 118, Sec.
conducted within a non-extendible period of pre-trial(Rule 18, Sec. 1) 1)
fifteen (15) calendar days from notice of It is set not later than It is set after arraignment
failure of the court-annexed mediation. sixty (60) calendar and within thirty (30) days
days from the date the court

from the filing of the acquires jurisdiction over
 If judicial dispute resolution fails, trial before last responsive the person of the
the original court shall proceed on the dates pleading.(Rule 18, Sec. accused(Rule 118, Sec. 1)
agreed upon. 1)
 The court considers The court does not
 All proceedings during the court-annexed the possibility of an considers the possibility of
mediation and the judicial dispute resolution amicable settlement as an amicable settlement as
shall be confidential (Rule 18, Sec. 9, 2019 one of its purpose one of its purpose
(Rule 18, Sec. 2)
Amendments to the 1997 Rules on Civil Procedure).
The branch clerk of All agreements or
court shall prepare the admissions made or
Judgment After Pre-Trial minutes of the pre- entered during the pre-
trial and signed by trial conference shall be
The court shall motu proprio include in the pre- both parties and their reduced in writing and
trial order that the case be submitted for counsel.(Rule 18, Sec. signed by the accused and
summary judgment or judgment on the 2) counsel, otherwise, they
pleadings, without need of position papers or cannot be used against
memoranda in the following cases: the accused.(Rule 118, Sec.
2)
The sanctions for non- In case of failure of the
 Should there be no more controverted facts, appearance in a pre- counsel for the accused or
or trial in a civil case are the prosecutor to appear
 Should there be no more genuine issue as to imposed upon the at the pre-trial conference,
any material fact, or an absence of any issue, plaintiff and the the proper sanctions or
or defendant (Rule 18, penalties are imposed
Sec. 4) upon the counsel (Rule
 Should the answer fail to tender an issue.
118, Sec. 3)
A Pre-trial Brief is A Pre-trial Brief is not
Provided that it shall be without prejudice to a specifically required to required to be submitted
party moving for judgment on the pleadings be submitted in a civil in a criminal case.
under Rule 34 or summary judgment under Rule case (Rule 18, Sec. 6)
35.,
3.K. INTERVENTION
In such cases, judgment shall be rendered within
ninety (90) calendar days from termination of the
Intervention is the remedy by which a third
pre-trial.
person, not originally a party to the suit, but
The order of the court to submit the case for claiming an interest in the subject matter, comes
judgment shall not be the subject to appeal or into the case, in order to protect his right or
certiorari(Rule 18, Sec. 7, 2019 Amendments to the interpose his claim.
1997 Rules on Civil Procedure).
It is a remedy by which a third party, not
originally impleaded in the proceedings, becomes
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a litigant therein, to enable him to protect or
preserve a right or interest which may be
affected by such proceeding(Office of the
Ombudsman vs. Gutierrez, G.R. No. 189100, June 21,
2017).
Note: An intervention is always supplemental to
an existing litigation. A dismissal of the principal
action will give rise to the denial of a pending
motion for intervention(Ongco vs. Dalisay, G.R. No.
190810, July 18, 2012).
Who May Intervene
a) One who has a legal interest in the matter in
litigation;
b) One who has legal interest in the success of
either of the parties;
c) One who has an interest against both parties;
d) One who is so situated as to be adversely
affected by the distribution or other
disposition of property in the custody of the
court or of its officer.(Rule 19, Sec. 1)
For a person to intervene in a suit, the interest
must be actual and material, on a matter in
litigation, and of such direct and immediate
character that the intervenor will either gain or
lose by the direct legal operation and effect of
the judgment(Neptune Metal Scrap Recycling, Inc.,
Vs. Manila Electric Company, G.R. No. 204222, July 4,
2016).
The intervenor may only intervene with leave of
court. Admittance of intervention is a matter of
judicial discretion(Neptune Metal Scrap Recycling,
Inc. vs. Manila Electric Company, G.R. No. 204222,
July 4, 2016).
Factors to be considered by the court
 Whether or not the intervention will unduly
delay or prejudice the adjudication of the
rights of the original parties; and,
 Whether or not the intervenor’s rights may be
fully protected in a separate proceeding (Rule
19, Sec. 1) (n).
Pleadings In Intervention (Rule 19, Sec. 3)
1. Complaint-in-intervention - if it asserts
claim against either or all of the original
parties.
Purple Notes
Criminal
2.
Remedial
Answer-in-intervention – if it joins the
defendant.
A complaint-in-intervention is an initiatory
pleading (A.M. No. 04-94, effective April 1, 1994). As
such, it is subject to the requirements on the
payment of docket fees and certification against
forum shopping.
Notes:
 The answer to the complaint-in-intervention
shall be filed within 15 calendar days from
notice of the order admitting the same,
UNLESS a different period is fixed by the court
(Rule 19, Sec. 4).

 If an intervention makes a third-party a
litigant in the main proceedings, his pleading-
in-intervention should form part of the main
case (Chipongian vs. Benitez-Lirio, G.R. No.
162692, August 26, 2015).
3.K.1. Requisites for Intervention
1. There must be a motion for leave to intervene
filed before rendition of judgment by the trial
court (Rule 19, Sec. 2).
2. A person should have a legal interest either:
3.
a) In the matter in litigation; or,
b) In the success of either party; or,
c) Against both parties; or,
d) May be adversely affected by a
distribution/disposition of property which is
in the court’s or its officer’s custody (Rule
19, Sec. 1).
4. Intervention will not unduly delay orprejudice
the adjudication of the rights of original
parties (Rule 19, Sec. 1);
5.
6. Intervenor's rights may not be fullyprotected
in a separate proceeding(Rule 19, Sec. 1;
Mabayo Farms, Inc. vs. CA, C.R. No. 140058,
August 1, 2002); and,
7.
8. A copy of the pleading-ininterventionshall be
attached to the motion and served on the
original parties(Rule 19, Sec. 2).
 Q: What are the requisites for a valid
intervention?
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Commissions 119
 Purple Notes
Criminal
Remedial
A. To warrant intervention under Rule 19 of
the Rules of Court, two requisites must
concur: (1) the movant has a legal interest in
the matter in litigation; and (2) intervention
must not unduly delay or prejudice the
adjudication of the rights of the parties, nor
should the claim of the intervenor be capable
of being properly decided in a separate
proceeding (Office of the Ombudsman vs. Sison,
G.R. No. 185954, February 16, 2010).
 Q:May a person who is not a party to the
case be bound by the order of the court?
A. Conversely, a person who is not a party in
the main suit cannot be bound by an ancillary
writ, such as a preliminary injunction.
Indeed, he cannot be affected by any
proceeding to which he is a stranger. Thus, a
person not a party to the proceedings in the
trial court or in the CA cannot maintain an
action for certiorari in the Supreme Court to
have the judgment reviewed. Stated
differently, if a petition for certiorari or
prohibition is filed by one who was not a
party in the lower court, he has no standing
to question the assailed order (Fernandez vs.
CA, A.M. OCA IPI No. 12-201-CA-J, February 19,
2013).
 Q:What is the power of the court in allowing
or denying an intervention?
A. A court’s power to allow or deny
intervention, albeit discretionary in nature, is
circumscribed by the basic demand of sound
judicial procedure that only a person with
interest in an action or proceeding may be
allowed to intervene. Otherwise stated, a
court has no authority to allow a person, who
has no interest in an action or proceeding, to
intervene therein. Consequently, when a
court commits a mistake and allows an
uninterested person to intervene in a case,
the mistake is not simply an error of
judgment, but one of jurisdiction (Añonuevo
vs. Intestate Estate of Jalandoni, G.R. No. 178221,
December 1, 2010).
3.K.2. Time to Intervene
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The motion to intervene may be filed at any
timebefore rendition of judgment by the trial
court. (Rule 19, Sec. 2).
Procedure for Intervention
1. The motion and pleading shall be served upon
the original parties.
2. The intervenor shall file a motion
forintervention attaching thereto hispleading-
in-intervention. The following arethe pleadings
to be filed depending upon the purpose of the
intervention:
a) if the purpose is to assert a claim against
either or all of the original parties, the
pleading shall be called a complaint-in-
intervention; or
b) if the purpose is to unite with the
defending party inresisting a claim against
the latter, he or she shall file an answer-in-
intervention(Rule 19, Sec. 2).
3. The answer to the complaint-in-intervention
shall be filed within fifteen (15) calendar days
from notice of the order admitting the same,
unless a different period is fixed by the
court(Rule 19, Sec. 4).
General Rule: Motion to intervene should be
filed at any time before rendition of judgment by
the trial court (Rule 19, Sec. 2). An intervention
after trial and decision can no longer be
permitted (Yau vs. Manila Banking Corporation, G.R.
No. 126731,July 11, 2002).
Exceptions:
a) Even after judgment, where the intervenors
are indispensable parties that without them,
no final adjudication of the controversy could
be made (Rodriguez vs. CA, G.R. No. 184589,
June 13, 2013);
b) When the Republic is the intervenor(Lim vs.
Pacquing, G.R. 115044, January 27, 1995);
c) To protect public interest(Pinlac vs. CA, G.R. No.
91486. September 10, 2003);
3.K.3. Remedies for the Denial of Motion to
Intervene
a) Appeal
Education and
 Purple Notes
Criminal
b) Mandamus, if there is no other plain, speedy
Remedial
and adequate remedy
c) Certiorari, if there is grave abuse of
discretion 3.L. SUBPOENA

An improper denial of a motion to intervene is Subpoena is a process directed to a person

correctible by appeal, BUT if there is grave requiring him or her to attend and to testify at
abuse of discretion, mandamus will lie if there is the hearing or the trial of an action, or at any
no other plain, speedy and adequate remedy. investigation conducted by competent authority,
or for the taking of his deposition (Rule 21, Sec. 1).
Note: The grant or refusal of a motion to
intervene is discretionary upon the court. Once Subpoena vs. Summons
exercised, the decision cannot be reviewed or
controlled by mandamus, EXCEPT, if there is
arbitrary abuse of the discretion, where the court SUBPOENA SUMMONS
will be called upon to review the exercise of such
discretionary power. If there is grave abuse of An order to appear An order to answer the
and testify, or to complaint(Rule 14, Sec.
discretion, the party may also avail of certiorari.
produce books and 2).
documents(Rule 21,
Intervention vs. Interpleader
Sec. 1).
INTERVENTI0N INTERPLEADER May be served to a Served on the
An ancillary action. A specialcivil action, non-party(Rule 21, Sec. defendant(Rule 14, Sec.
independent and original 1). 2).
Commenced by a Commenced by the filing Requires tender of Does not need tender of
motion for leave to ofa complaint, it being an kilometrage, kilometrage and other
intervene filed in a original action attendance fee and fees.
pending case reasonable cost of
attaching thereto the production fee(Rule 21,
pleading-in- Sec. 6).
intervention.
Filed by a person who Filed by a person who has 3.L.1. Subpoena Duces Tecum
has legal interest in no interest in the subject
any of the following: matter of the action or if It is a process directed to a person requiring him
a) the subject matter he has an interest, the or her to produce in court any books, documents
in litigation; b) the same is not is not
or things under his or her control on which he
success of either disputed by the claimants.
party; c) an interest
must testify(Rule 21, Sec. 1)..
against both d) he
may be adversely 3.L.2. Subpoena Ad Testificandum
affected by a
distribution or A process directed to a person requiring him or
disposition of property her to attend and to testify at the hearing or trial
which is in the court’s of an action or at any investigation conducted by
or its officer’s custody a competent authority, or for the taking of his or
If a complaint-in- Defendants are brought
her deposition(Rule 21, Sec. 1).
intervention is filed, into the action because
the defendants are they are sued and
already parties to an impleaded as such in the Note: Subpoena duces tecum is, at the same
existing suit, not complaint time, subpoena ad testificandum because in a
because of the subpoena duces tecum, you are asked to bring
intervention, but recordsand testify on the records.
because of the original
suit. 3.L.3. Service of Subpoena
(Riano, Civil Procedure Vol. II, 2016 ed., Pp.136-137)

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Commissions 121
 Purple Notes
Criminal
Remedial
It shall be made in the same manner as personal
or substituted service of summons. The original Subpoena to a prisoner
shall be exhibited and a copy delivered to the
person on whom it is served, tendering to him Tthe judge or officer shall examine and study
the fees for one day’s attendance and the carefully such application to determine whether
kilometrage allowed by these rules. The service the same is made for a valid purpose(Rule 21, Sec.
must be made so as to allow the witness a 2).
reasonable time for preparation and travel to the
place of attendance. Note: No prisoner sentenced to death, reclusion
perpetua, or life imprisonment, and who is
confined in any penal institution shall be brought
Costs for court attendance and the production of
outside for appearance or attendance in any
documents and other materials subject of the
court, unless authorized by the Supreme Court
subpoena shall be tendered or charged
ONLY(Rule 21, Sec. 2).
accordingly(Rule 21, Sec. 1).(n)
3.L.4. Compelling Attendance of Witnesses;
Note: When a subpoena is issued by or on
Contempt
behalf of the Republic of the Philippines or an
officer or agency thereof, the tender need not be
Compelling Attendance of Witnesses
made.
The court, upon showing of the failure of the
Tendering - a method of delivery, except that
witness to attend and upon proof of the service
the recipient has the choice not to accept the
of the subpoena, may issue a warrant to arrest
tender. However, the act of tender completes the
the witness and bring him or her before the court
responsibility of the person making the tender.
or officer where his or her attendance is required.
The cost of such warrant and seizure shall be
The tender may save the tendering party from a
paid by the witness if the court finds that his or
penalty of non-performance or may, if the other
her failure to appear was willful and without just
party unjustly refuses to accept the tender, it
cause(Rule 21, Sec. 8).
places the other party in default (Black’s Law
dictionary 8th edition).
Contempt
Who May Issue a Subpoena?
Failure to obey a subpoena without adequate
cause shall be deemed a contempt of the issuing
a) The court before which the witness is
court. If the subpoena was not issued by a court,
required to attend;
the disobedience shall be punished in accordance
b) The court of the place where the deposition
with the applicable law or Rule(Rule 21, Sec. 9).
is to be taken;
c) The officer or body authorized by law to do
Exceptions to Secs. 8 and 9
so, in connection with an investigation; or
d) Any Justice of the Supreme Court or the
1. Viatory Right - Where the witness resides
Court of Appeals in any case or investigation
more than 100 kilometers from his or her
pending within the Philippines (Rule 21, Sec.
residence to the place where he or she is to
2).
testify by the ordinary course of travel; and,
2. Wherepermission of the court in which the
Others allowed by LAW (not the Rules) to
issue subpoena: detained prisoner’s case is pending was not
obtained(Rule 21, Sec. 10).
 DOJ;
 Ombudsman by RA no. 6770 3.L.5. Quashing of Subpoena
 City Prosecutor
 NBI by RA No. 10867.
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A subpoena duces tecum may be quashed upon
motion promptly made and in any event before
the time specified therein(Rule 21, Sec. 4).
Grounds for Quashing Subpoena
(1) Subpoena Ad Testificandum
 Witness is not bound thereby.
 Not meritorious; or
 Not qualified to testify.
(2) Subpoena Duces Tecum
 Unreasonable and oppressive.
 Relevancy of the books, documents or
things does not appear to be prima facie
relevant to the issue.
 Person asking for the subpoena does not
advance the cost for the production of the
articles desired; or
 Subject matter or documents are not
within his power.
Note: In either case, the subpoena may be
quashed for failure to render the witness fees
and kilometrage allowed by the rules(Rule 21, Sec.
4).
3.M.COMPUTATION OF TIME (Rule 22)
How to compute time
 The day of the act or event from which the
designated period of time begins to run is to
be excluded and the date of performance
included.
 and speed up adjudication(Hyatt Industrial Mfg.
 If the last day of the period falls on a
Saturday, a Sunday, or a legal holiday in the
place where the court sits, the time shall not
run until the next working day (Rule 22, Sec.
1).
Under Article 13 of the Civil Code, when the law
speak of years, months, days or nights, it shall be
understood that years are of 365 days each;
months, of 30 days; days, of 24 hours; and
nights, from sunset to sunrise.
Purple Notes
Criminal
If months are
Remedial
designated by their
name, they
shall be computed by the number of days which
they respectively have.
In computing a period, the first day shall be
excluded and the last day included.
Effect of Interruption
Should an act be done which effectively
interrupts the running of the period, the
allowable period after such interruption shall start
to run on the day after notice of the cessation of
the cause thereof. The day of the act that caused
the interruption shall be excluded in the
computation of the period (Rule 22, Sec. 2).
3.N. MODES OF DISCOVERY
Discovery is the procedure that enables one
party in an action to obtain, before trial,
knowledge of relevant facts and of material
evidence in the possession of the adverse party
or of a witness.
It is a device employed by a party to obtain
information about relevant matters on the case
from the adverse party on preparation for the
trial (Riano, Civil Procedure, Vol. I., p. 437, 2016 ed.).
Rationale:
1. To enable the parties to obtain the fullest
possible knowledge of the issues and
evidence long before the trial, thereby
preventing surprises during trial; and,
2. To effectively shorten the period of litigation
Corp., et al. vs. Ley Construction and Dev. Corp.,
et al., G.R. No. 147143, March 10, 2006).
 Q.What is the purpose or objective of
Discovery?
A.It is to make it possible for all the parties
to a case to learn all the materials and
relevant facts, from whoever may have
knowledge thereof, to the end that their
pleadings or motions may not suffer from
inadequacy of factual foundation and all the
relevant facts may be clearly and completely
laid before the Court, without omission or
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Commissions 123
 Purple Notes
Criminal
Remedial
suppression (Dasmariñas Garments, Inc. vs.
Reyes, G.R. No. 108229, August 24, 1993).
Discovery resorted to before answer
It is only in the exceptional or unusual case that
the need for discovery arises, or that it should be
allowed before service of answer.
Modes of discovery are intended to be cumulative
and not alternative nor mutually exclusive.
Discovery is not mandatory but failure to avail of
it carries sanctions under Rules 25 and 26.
Modes of discovery
Q: How many modes of discovery are there?
A: There are 14 modes of discovery.
1. Deposition pending action (Rule 23)
2. Deposition before action (Rule 24)
3. Deposition pending appeal (Rule 24)
4. Interrogatories to parties (Rule 25)
5. Admission by the adverse parties (Rule
26)
6. Production of documents (Rule 27)
7. Production of things (Rule 27)
8. Production of documens and things
9. Inspection of documents (Rule 27)
10. Inspection of things (Rule 27)
11. Inspection of documents and things
12. Physical examination of persons (Rule 28)
13. Mental examination of persons (Rule 28)
14. Physical and mental examination of
persons.
Note: Rule 23 is inapplicable to Criminal
Procedure.
3.N.1. Depositions (Rules 23 and 24)
3.N.1a.Meaning of deposition
 Q. What is Deposition?
A. Deposition is testimony of a witness taken
upon oral question or written interrogatories,
not in open court, but in pursuance of a
commission to take testimony issued by
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court, or under a general law or court rule
on the subject, and reduce to writing and
duly authenticated, and intended to be used
in preparation and upon the trial of a civil or
a criminal prosecution.. The person who is
deposed is called the deponent. The
deposition is conducted under oath outside
of the court room, usually in one of the
lawyer's offices. A transcript — word for
word account — is made of the deposition.
Testimony of [a] witness, taken in writing,
under oath or affirmation, before some
judicial officer in answer to questions or
interrogatories(People vs. Webb, G.R. No.
132577, August 17, 1999).
DEPOSITIONS AFFIDAVITS
Written testimony of Mere sworn written
deponent in the course of statements.
judicial proceedings in
advance of trial and
hearing.
Opportunity for cross- No cross examination.
examination.
Can be competent Little testimonial
probative value. evidence.
 Q. What is the purpose of conducting
depositions?
A. Depositions are chiefly a mode of
discovery. They are intended as a means to
compel disclosure of facts resting in the
knowledge of a party or other person which
are relevant in some suit or proceeding in
court. Depositions, and the other modes of
discovery (interrogatories to parties;
requests for admission by adverse party;
production or inspection of documents or
things; physical and mental examination of
persons) are meant to enable a party to
learn all the material and relevant facts, not
only known to him and his witnesses but
also those known to the adverse party and
the latter's own witnesses. Depositions are
principally made available by law to the
parties as a means of informing themselves
Education and
 Purple Notes
Criminal
of all the relevant facts; they are not
Remedial
Any party who was present or
therefore generally meant to be a substitute represented at the taking of
for the actual testimony in open court of a WHOM the deposition or who had due
party or witness. The deponent must, as a notice thereof (Sec. 4)
rule, be presented for oral examination in
open court at the trial or hearing. This is a In the Philippines (Sec. 10):
requirement of the rules of evidence  Judge
(Dasmariñas Garments, Inc. vs. Reyes, G.R. No.  Notary public
108229, August 24, 1993).  Any person authorized to
administer oath as agreed
Rules on Civil Procedure can apply suppletorily in by the parties.
criminal cases. Hence, the rules on deposition
may apply in criminal cases. Depositions may be BEFORE WHOM In foreign countries (Sec. 11):
taken before trial, or even during trial, upon the  Also by persons
discretion of the court. mentioned above
 Secretary of Embassy or
legation, consul-general,
Depositions are intended as a means to compel consul, vice-consul or
disclosure of facts resting in the knowledge of a consular agent.
party or other person, which are relevant in suit 
or proceeding.
By deposition upon oral
HOW examination or written
Classification of Depositions interrogatories.

a) Deposition on Oral Examination;

b) Deposition upon Written Interrogatories; The deposition of a person confined in prison
c) Depositions De Bene Esse- those taken for may be taken only by leave of court (Rule 23, Sec.
purposes of a pending action (Rule 23); 1).
d) Depositions InPerpetuam Rei Memoriam -
those taken to perpetuate evidence for
Effect of Substitution of Parties
purposes of an anticipated action or further
proceedings in a case on appeal (Rule 24)
Substitution of parties does not affect the right to
use depositions previously taken.
Deposition may be used at the trial upon hearing
of a motion or hearing of an interlocutory order.
When an action has been dismissed and another
action involving the same subject is afterward
DEPOSITIONS PENDING ACTION
brought between the same parties or their
UNDER RULE 23
representatives or successors-in-interest, all
depositions lawfully taken and duly filed in the
AT WHOSE
Any partyupon ex parte motion former action may be used in the latter as if
INSTANCE MAY
(Sec. 1)(n) originally taken therefor(Rule 23, Sec. 5).
BE TAKEN
WHOSE
Any person, whether a party
TESTIMONY Effects of Taking Depositions
or not (Sec. 1)
MAY BE TAKEN
A party shall not be deemed to make a person his
 Before summons has or her own witness for any purpose by taking his
been served - with leave or her deposition(Rule 23, Sec. 7).
of court
WHEN
 After answer has been
served - without leave of
Effect of Using Depositions (Rule 23, Sec. 8)
court (Sec. 1)
 General Rule: The introduction in evidence of
AGAINST the deposition or any part thereof for any

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 Purple Notes
Criminal
purpose makesRemedial
the deponent the witness of the
party introducing the deposition (Rule 23, Sec. 8).
Exception:The introduction in evidence of the
deposition will not the make the deponent his or
her witness:
a) If it is introduced to impeach or contradict
the witness; or,
b) If it is the deposition of the opposing party.
Rebutting Deposition
At the trial or hearing, any party may rebut any
relevant evidence contained in a deposition,
whether introduced by him or by any other
party(Rule 23, Sec. 9).
Persons before whom deposition may be
taken (Rule 23, Secs. 10-11)
A. Within the Philippines
1) Judge.
2) Any person authorized to administer
oaths, if the parties so stipulate in
writing.
3) Notary Public.
B. Outside the Philippines
 On notice, before a Secretary of Embassy
or Legation, Consul General, Consul,
Vice-Consul, or consular agent of the
Philippines.
 Before such person or officer as may be
appointed by commission or under letters
rogatory.
 Any person authorized to administer
oaths, if the parties so stipulate in
writing.
 Q. What is a Commission?
A. Commission is an instrument issued by a
court of justice, or other competent
tribunal, to authorize a person to take
depositions, or do any other act by
authority of such court or tribunal
(Dasmarinas Garments, Inc. vs Reyes, G.R.
No 108229, August 24, 1993).
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 Q. What is a Letters Rogatory?
A. It is an instrument sent in the name and
by the authority of a judge or court to
another, requesting the latter to cause to
be examined, upon interrogatories filed
in a cause pending before the former, a
witness who is within the jurisdiction of
the judge or court to whom such letters
are addressed.” (Ibid) Noteworthy x xx is
that letters rogatory may be applied for
and issued only after a commission has
been “returned unexecuted” as is
apparent from Form 21 of the “Judicial
Standard Forms” appended to the Rules
of Court (Dasmarinas Garments, Inc. vs
Reyes, G.R. No 108229, August 24, 1993).
Also known as letters of request, Letters
Rogatory is a document issued by one court to a
foreign court requesting it to:
a) Take evidence from a specific person within
the foreign jurisdiction or serve process on a
person whether real or artificial within the
foreign jurisdiction;
b) Return the testimony or proof of service for
use in the pending case (Black’s Law Dictionary,
8th edition).
 Q. Is leave of court necessary for the
issuance of letters rogatory (lettes of
request)?
A. Leave of court is not required when the
deposition is to be taken before a secretary
of embassy or legation, consul general,
consul, vice consul, or consular agent of the
Republic of the Philippines and the
defendant’s answer has already been served.
However, if the deposition is to be taken in a
foreign country where the Philippines has no
secretary or embassy or legation, consul
general, consul, vice consul or consular
agent, it may be only taken before such
person or officer as may be appointed by
commission or under letters rogatory (Dulay
vs Dulay, G.R. No.158857, November 11, 2005).
Education and
 Purple Notes
Criminal
Commission vs Letters Rogatory  The party
Remedial
desiring to take the deposition of
(Dulay vs Dulay, G.R. No.158857, November 11, any party shall give reasonable notice in
2005) writing to every other party to the action.
COMMISSION LETTERS  The notice shall state the time and place for
ROGATOR
taking the deposition and the name and
Y
address of each person to be examined, if
To Whom Issued to a non- Issued to
Issued judicial foreign officer the known. If the name is not known, a general
who will directly take appropriate description sufficient to identify him or her or
the testimony. judicial the particular class or group to which he or
officer of she belongs.
the foreign  On motion of any party upon whom the notice
country is served, the court may, for cause show,
who will enlarge or shorten the time(Rule 23, Sec. 15).
direct
somebody
in said
Deposition upon Written Interrogatories
foreign
country to  The party desiring to take the deposition of
take down any person shall serve written interrogatories
testimony. upon every other party with a notice.
Applicabl Applicable rules of Applicable  The notice shall state the name and address
e Rules procedure are those rules of of the person who is to answer the written
of the requesting procedure interrogatories and the name or descriptive
court. are those
title and address of the officer before whom
of the
foreign
the deposition is to be taken.
court  Within 10 calendar days thereafter, a party so
requested served may serve cross-interrogatories upon
to act. the party proposing to take the deposition.
When Resorted to if Resorted to  Within 5 calendar days thereafter, the party
Resorted permission of the if the proposing to take the deposition may serve a
to foreign country is execution re-direct interrogatories upon a party who has
given. of the served cross-interrogatories.
commission
 Within 3 calendar days after thereafter, a
is refused
in the
party may serve recross-interrogatories upon
foreign the party proposing to take the
country. deposition(Rule 23, Sec. 25).
As to Leave of court is not Leave of
Nessecity necessary. court is Note: Under Rule 23, Sec. 25, all questions are
of Leave necessary. prepared BEFORE the date of the deposition
of Court taking.

Two Modes or Ways of Taking Depositions

Pending Action under Rule 23:
1. Upon Oral Examination (Sec. 15); and,
2. Upon Written Interrogatories (Sec. 25)
Deposition upon Oral Examination
Orders for the protection of parties and
deponents
After notice is served for taking a deposition by
oral examination, upon motion seasonably made
by any party or by the person to be examined
and for good cause shown.the court in which the
action is pending may make the following orders:
(NOW-CD2S-FJ)

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 Purple Notes
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Remedial
a) That the deposition shall Not be taken;
b) That the deposition may be taken only at
some Designated place other thanthat stated
in the notice;
c) That the deposition may be taken only on
Written interrogatories;
d) That Certain matters shall not be inquired
into;
e) That the Scope of the examination shall be
held with no one present except theparties to
the action and their officers or counsel;
f) That after being sealed the deposition shall
be Opened only by order of thecourt;
g) That Secret processes, developments, or
research need not be disclosed;
h) That the Parties shall simultaneously file
specified documents or informationenclosed
in sealed envelopes to be opened as directed
by the court; or
i) The court may make any other order which
Justice requires to protect the partyor
witness from annoyance, embarrassment, or
oppression(Rule 23, Sec. 16).
 Q. What stage/s of proceeding can a
deposition be taken?
A. There is no rule that limits deposition-
taking only to the period of pre-trial or before
it; no prohibition against the taking of
depositions after pre-trial. Indeed, the law
authorizes the taking of depositions of
witnesses before or after an appeal is taken
from the judgment of a Regional Trial Court
“to perpetuate their testimony for use in the
event of further proceedings in the said
court” (Rule 134, Rules of Court), and even
during the process of execution of a final and
executory judgment (Dasmarinas Garments vs.
Reyes, G.R. No. 108229, August 24, 1993).
 Q. What is the effect if the deposition-taking
will take place in a foreign country?
 thereof to be served on the parties and
A.That the deposition-taking will take place
in “a foreign jurisdiction not recognized by
the Philippines x xx is inconsequential. What
matters is that the deposition is taken before
a Philippine official acting by authority of the
Philippine Department of Foreign Affairs and
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in virtue of a commission duly issued by the
Philippine Court in which the action is
pending, and in accordance, moreover, with
the provisions of the Philippine Rules of Court
pursuant to which opportunity for cross-
examination of the deponent will be fully
accorded to the adverse party (Regalado. Vol.
1. 8th ed. p. 330).
DEPOSITIONS BEFORE ACTION UNDER
RULE 24
“Deposition in Perpetuam Rei Memoriam”
or Perpetuation of Testimony
Who Files: Any person who desires to
perpetuate his or her own testimony or that of
another person.
Scope: Any matter that may be cognizable in
any court of the Philippines.
Venue: RTC of the place of the residence of any
expected adverse party, because this is an action
incapable of pecuniary estimation.
Purpose: To preserve the testimony of
witnesses for probable use in a future case or in
the event of further proceedings in the same
case (Regalado, Vol. 1, 8th ed.).
Procedure
1. The petitioner files a verified petition.
2. The petitioner shall serve a notice upon each
person named in the petition as an expected
adverse party, together with a copy of the
petition(Rule 24, Sec. 3).
3. The petition shall state that the petitioner will
apply to the court, at a time and place named
therein, for the order described in the
petition(Rule 24, Sec. 3).
4. At least 20 calendar days before the date of
the hearing, the court shall cause notice
prospective deponents in the manner provided
for service of summons(Rule 24, Sec. 3).
5. If the court is satisfied that the perpetuation
of the testimony may prevent a failure or
delay of justice, it shall make an order:
and

 Designating or describing the persons
whose deposition may be taken; and,
 Specifying the subject matter of the
examination or written interrogatories(Rule
24, Sec. 4).
6. Depositions may then be taken in accordance
with Rule 23 before the hearing(Rule 24, Sec.
4).
Contents of the Verified Petition
The petition shall be entitled in the name of the
petitioner and shall show: (AS-FEE)
a. that the petitioner Expects to be a party to an
action in a court of the Philippines but is
presently unable to bring it or cause it to be
brought;
b. the Subject matter of the expected action and
his or her interest therein;
c. the Facts which he or she desires to establish
by the proposed testimony and his or her
reasons for desiring to perpetuate it;
d. the names or a description of the persons he
or she expects will be Adverse parties and
their addresses so far as known; and,
e. the names and addresses of the persons to be
Examined and the substance of the testimony
which he expects to elicit from each, and shall
ask for an order authorizing the petitioner to
take the depositions of the persons to be
examined named in the petition for the
purpose of perpetuating their testimony(Rule
24, Sec. 2).
Notes:
 Deposition is taken conditionally, and may be
used in trial only in case the deponent is not
available.
 It is considered a judicial admission although
it does not form part of the records of the
case yet.
 The deposition taken does not prove the
existence of any right. The testimony is not
conclusive as to the existence of such right,
nor of the facts to which they relate as it may
be controverted at trial in the same manner as
though no perpetuation of testimony was ever
had.
Purple Notes
Criminal
Remedial
 If there is no objection to its taking and even
if the deponent did not testify at the hearing,
the perpetuated testimony constitutes prima
facie proof of facts referred to in the
deposition (Regalado. Vol. 1. 8th ed. p. 330).
DEPOSITIONS PENDING APPEAL UNDER
RULE 24, SEC. 7
When Applicable
 If an appeal has been taken from a judgment
of a court, including the CA in proper cases;
or,
 Before the taking of an appeal if the time
therefor has not expired.
Use of Deposition Pending Appeal(Rule 24,
Sec 6 & 7)
a) To allow appellate court to admit evidence;
b) Retrial;
c) New Trial;
d) Remand for Further Proceedings.
Purpose: To perpetuate the testimony for use in
the event of further proceedings in the said
court(Rule 24, Sec.7)
Where Taken: In the court in which the
judgment (which must be final BUT not
executory) was rendered(Rule 24, Sec.7)
How Taken: The party who desires to
perpetuate the testimony may make a motion in
the said court for leave to take deposition, upon
the same notice and service as if the action was
pending therein(Rule 24, Sec.4).
Contents of the Notice (NSR)
a) Names and addresses of the persons to be
examined;
b) The Substance of the testimony which is
expected to be elicited from each; and,
c) The Reason for perpetuating testimony.
If the court finds that the perpetuation of the
testimony is proper to avoid a failure or delay of
justice, it may make an order allowing the
deposition to be taken.
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 Purple Notes
Criminal
The Remedial
depositions may then be taken and
used in the same manner and under the Use of Deposition Pending Action
same conditions as are prescribed in these
Rules for depositions taken in pending Who Use of Deposition
actions. Any For contradicting or for impeaching
party. the testimony of deponent as a
3.N.1b. Uses; scope of examination witness[Rule 23, Sec.4 (a)].
Adverse For any purpose, when deponent
party. was an officer, director, or managing
Scope of inquiry in deposition
agent of a public or private
corporation, partnership, or
1. Matters which are relevant to the subject of association which is a party at the
the pending action; time the deposition was taken [Rule
2. Matters which are not privileged; and, 23, Sec.4 (b)].
3. Matters that are not restricted by a protective Any For any purpose, if the court finds
order. party. that the:(DROUSE)
1. Witness is Dead; or
Depositions are not generally meant to substitute 2. Witness Resides at a distance
more than 100 kilometers from
for the actual testimony in open court of a party
the place of trial or hearing,
or witness. unless it appears that his
absence was procured by the
The deponent must be presented for oral party offering the deposition, or
examination in open court during trial. Otherwise, 3. Out of the Philippines, unless it
any deposition offered to prove the facts at the appears thathis absence was
trial of the case may be opposed and excluded as procured by the party offering
hearsay, except in specific instances authorized the deposition; or
4. Witness is Unable to testify
by the rules under Sec. 4, Rule 23.
because of age, sickness,
infirmity, or imprisonment; or
Scope of Examination of Depositions 5. That the party offering the
Pending Action (Rule 23, Sec. 2) deposition has been unable to
procure the attendance of
General Rule: the deponent may be witnesses by Subpoena; or
examined regarding any matter which is: 6. Exceptional circumstances exist
to make it desirable to allow the
a) not privileged use of the deposition, in the
interest of justice and with due
b) relevant to the subject of the pending
regard to the importance of
action, whether relating to the claim or presenting the testimony of
defense of any other party, including the witnesses orally in open
Existence, Description, Nature, Custody, court[Rule 23, Sec.4 (c)].
Condition, and Location of any books, Adverse When a party offers in evidence only
documents, or other tangible things and party. a part of the deposition:
the Identity and location of persons Any
having knowledge of relevant facts. party. To require party offering to introduce
(DENC2IL) all of it which is relevant to the part
introduced[Rule 23, Sec.4 (d)].
c) not restricted by a protective order.
Adverse To introduce any other parts, when
party. the party using the deposition is
Exception: Unless otherwise ordered by the Any offering only a part of it in
court as provided by Sec. 16 or 18, Rule 23. party. evidence[Rule 23, Sec.4 (d)].

Use of deposition under Rule 24

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 Purple Notes
Criminal
If a deposition to perpetuate testimony is
Remedial
takenunder this Rule, or if, although not so As to oral examination and other
taken, it would be admissible in evidence, itmay particulars – Errors and irregularities occurring
be used in any action involving the same subject at the oral examination in the manner of taking
matter subsequently broughtin accordance with the deposition in the form of the questions or
the provisions of Sections 4 and 5 of Rule 23. answers, in the oath or affirmation, or in the
conduct of the parties and errors of any kind
Deposition PENDING Action vs. Deposition which might be obviated, removed, or cured if
BEFORE Action promptly prosecuted, are waived unless
reasonable objection thereto is made at the
DEPOSITION DEPOSITION BEFORE taking of the deposition.
PENDING ACTION ACTION
(Rule 23) (Rule 24)
As to form of written interrogatories -
Pending action. No Action.
Objections to the form of written interrogatories
Terminated in the trial submitted under Secs. 25 and 26 are waived
court but no entry of unless served in writing upon the party
judgment. propounding them within the time allowed for
Initiated thru notice. By verified petition. serving succeeding cross or other interrogatories
and within 3 days after service of the last
3.N.1c.When may objections to interrogatories authorized.
admissibility be made
As to manner of preparation– Errors and
Subject to the provisions of section 29 of this irregularities in the manner in which the
Rule, objection may be made at the trial or testimony is transcribed or the deposition is
hearing to receiving in evidence any deposition or prepared, signed, certified, sealed, indorsed,
part thereof for any reason which would require transmitted, filed, or otherwise dealt with by the
the exclusion of the evidence if the witness were officer under Secs. 17, 19, 20 and 26 are waived
then present and testifying(Rule 23, Sec. 6). unless a motion to suppress the deposition or
some part thereof is made with reasonable
Effects of Errors and Irregularities in promptness after such defect is, or with due
Depositions (Rule 23, Sec. 29) diligence might have been, ascertained.

As to notice – All errors and irregularities in the 3.N.1d. When may taking of deposition be
notice for taking a deposition are waived unless terminated or its scope limited
written objection is promptly served upon the
party giving the notice. Motion to terminate or limit the
examination
As to disqualification of deposition officer –
Objection to taking a deposition because of When Proper
disqualification of the officer before whom it is to
be taken is waived unless made before the taking 1. At any time during the taking of the
of the deposition begins or as soon thereafter as deposition;
the disqualification becomes known or could be 2. On motion or petition of any party or of the
discovered with reasonable diligence. deponent; and,
3. Upon a showing that the examination is
As to competency or relevancy of evidence being conducted in bad faith or in such
– Objections to the competency of witness or the manner as unreasonably to annoy,
competency, relevancy, or materiality of embarrass, or oppress the deponent or party
testimony are not waived by failure to make
them before or during the taking of the The court in which the action is pending or the
deposition, unless the ground, of the objection is Regional Trial Court of the place where the
one which might have been obviated or removed deposition is being taken may order the officer
if presented at that time. conducting the examination to cease forthwith
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 Purple Notes
Criminal
from taking Remedial
the deposition, or may limit the
scope and manner of the taking of the
deposition, as provided in Section 16 of this Rule.
If the order made terminates the examination, it
shall be resumed thereafter only upon the order
of the court in which the action is pending.
Upon demand of the objecting party or deponent,
the taking of the deposition shall be suspended
for the time necessary to make a notice for an
order. In granting or refusing such order, the
court may impose upon either party or upon the
witness the requirement to pay such costs or
expenses as the court may deem reasonable (Rule
23, Sec. 18).
3.N.2. Written Interrogatories to Adverse
Parties
A party desiring to take relevant facts from any
adverse party, upon ex parte motion, shall file
and serve upon the latter written interrogatories
to be answered by the party served.
If the person served is a private or public
corporation, partnership or association, then it
will be answered by any officer competent to
testify in its behalf (Rule 25, Sec. 1).
How served
 With leave of court: Before answer has
been served(Rule 23, Sec. 1).
 Without leave of court: Only after answer
has been served for the first set of
interrogatories(Rule 23, Sec. 1).
 23:
Notes:
 No party may, without leave of court, serve
more than one set of interrogatories to be
answered by the same party (Rule 25, Sec. 4).
 corporation, partnership, or association
 Written interrogatories and the answers
thereto must both be filed and served.
Answers may constitute judicial
admissions(Regalado, Remedial Law
Compendium, Vol. II, 9th., Rev. Ed P.686).
Interrogatories may embrace any relevant
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matter, UNLESS the same is privileged or
prohibited by a court order(Araneta, Inc. vs.
Rodas, G.R. No. L-2363 September 23, 1948).

 Since answers to interrogatories may be used
in the same manner as a deposition, such
may also be used as a basis for Summary
Judgment under Rule 35(Rule 25, Sec. 5; Rule
23, Sec. 4).
Scope of Interrogatories
Any matters that can be inquired into under
Section 2 of Rule 23, and the answers may be
used for the same purposes provided in Sec. 4 of
Rule 23.
General Rule: Interrogatories may relate to any
matter which is:
a) not privileged
b) relevant to the pending action, whether
relating to the claim or defense of any other
party, including the existence, description,
nature, custody, condition, and location of any
books, documents, or other tangible things
and the identity and location of persons
having knowledge of relevant facts.
c) not restricted by a protective order.
Exception: Unless otherwise ordered by the
court as provided by Sec. 16 or 18, Rule 23.
Use of Interrogatories (Rule 25, Sec. 5)
The answers to interrogatories may be used for
the same purposes provided in Section 4 of Rule
1. By any party, to contradict or impeach the
testimony of deponent as a witness.
2. By an adverse party, for any purpose, when
deponent was an officer, director, or
managing agent of a public or private
which is a party at the time the deposition
was taken.
3. By any party, for any purpose, when the
court finds that:
a) The witness is dead; or
and
 Purple Notes
Criminal
b) The witness resides at a distance more
Remedial
Interrogatories vs. Bill of Particulars(Riano,
than 100 kilometers from the place of Civil Procedure Vol. I, 2011, P. 468)
trial or hearing, or is out of the
Philippines, or INTERROGATORIE BILL OF
c) The witness is unable to attend or testify S PARTICULARS
because of age, sickness, infirmity, or A party may properly A party may properly
seek disclosure of seek disclosure only of
imprisonment; or
matter of proof which matter which define the
d) The witness has not been subpoenaed, may later be made a issues and become part
or part of the records as of the pleadings.
e) Exceptional circumstances exist to evidence.
make it desirable to allow the use of Not directed to a Designed to clarify
the deposition, in the interest of justice particular pleading. ambiguties in a pleading
and with due regard to the importance Instead, they seek to or to state with sufficient
of presenting the testimony of disclose all material definiteness allegations
witnesses orally in open court and relevant facts in a pleading. Hence, it is
from a party. a direct pleading.
f) When a party offers in evidence only a
part of the deposition:
1) By an adverse party, to require
Deposition Upon Written Interrogatories
party offering to introduce all of it
vs. Interrogatories to Parties
that is relevant to the part
introduced.
DEPOSITION
2) To introduce any other parts, when UPON WRITTEN INTERROGATORIES
the party using the deposition is INTERROGATORIE TO PARTIES
offering only a part of it in S (Rule 25)
evidence. (Rule 23)
Deponent may be a Deponent must be a
Answer to Written Interrogatories (Rule 25, party or ordinary party.
Sec. 2) witness.
Covers direct, cross, Covers only one set of
The interrogatories shall be answered: redirect, re-cross interrogatories.
interrogatories.
Proceeded upon with No intervention of such
1. Fully in writing; and,
the intervention of an officer.
2. Signed and sworn to by the person making the officer authorized Interrogatories are
them. by the court to take directed served to the
deposition. party himself.
General Rule: Copy of the answers shall be filed No fixed time to 15 days to answer
and served on the party submitting the answer. unless extended or
interrogatories within 15 calendar days after reduced by the Court
service thereof. Binding to Binding to the parties
All those present only.
during the deposition.
Exception: When the court, on motion and for
good cause shown, extends or shortens the time.
3.N.2a. Consequences of Refusal to Answer
Objections to Interrogatories
The party who fails to serve his answer to written
Objections may be presented to the court within interrogatories may be the subject of a judgment
10 calendar days after the service therof, with by default.
notice as in case of motion(Rule 25, Sec. 3).
3.N.2b. Effect of Failure to Serve Written
Answers shall be deferred until the objections are Interrogatories(Rule 25, Sec. 6)
resolved which shall be at as early a time as is
practicable(Rule 25, Sec. 3).

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 Purple Notes
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Remedial
General Rule: A party not servedwith written
interrogatories may NOT be compelled by the Scope of Request for Admission
adverse party to give:
a) Admission of the genuineness of any material
a) Testimony in open court; or, and relevant document (not actionable
b) Deposition pending appeal. documents) described in and exhibited with
the request; or,
 Q. What is the purpose of the rule? b) Admission of the truth of any material and
relevant matter of fact set forth in the
A. One of the purposes of the above rule is request(Rule 26, Sec. 1).
to prevent fishing expeditions and needless
delays; it is there to maintain order and A matter of fact not related to any
facilitate the conduct of trial. It will be documents may be presented to the other
presumed that a party who does not serve party for admission or denial.
written interrogatories on the adverse party
beforehand will most likely be unable to elicit
facts useful to its case if it later opts to call Notes:
the adverse party to the witness stand as its
witness. Instead, the process could be  Actionable Document under Rule 8 is a written
treated as a fishing expedition or an attempt instrument upon which the action or defense
at delaying the proceedings; it produces no is based.
significant result that a prior written  Documents sought to be admitted under the
interrogatories might bring (Sps. Afulugencia mode of discovery under Rule 26 are other
vs. Metrobank, G.R. No. 185145, February 5, written instruments where action or defense
2014). are not based(Allied Agri-Business Dev’t. Co., Inc.
vs. CA, et al., G.R. No. 118438, December 4, 1998;
Exception: Unless thereafter allowed by the Rule 26, Sec. 2).
court for good cause shown and to prevent a
failure of justice. A request for admission is proper when the
genuineness of an evidentiary document is
3.N.3. Request For Admission sought to be admitted. If not denied under oath
in accordance with Section 2, its genuineness is
Admission by Adverse Party deemed admitted(Allied Agri-Business Dev’t. Co.,
Inc. vs. CA, et al., G.R. No. 118438, December 4,
This mode of discovery contemplates 1998).
interrogatories seeking clarification in order to
determine the truth or falsity of the allegation in Distinguished from Written Interrogatories
a pleading(Riano, Civil Procedure Vol. I, 2011, P.
470). WRITTEN ADMISSION BY
INTERROGATORIES ADVERSE PARTY
(Rule 25) (Rule 26)
Adverse party or Adverse party only.
Purpose: To expedite trial and relieve the witness.
parties of the costs of proving facts which will not NOT required to deny Required to admit or deny
be disputed on trial and the truth of which can be or admit anything. anything.
ascertained by reasonable inquiry(Allied Agri- Written request must Written request must be
Business Dev’t., Inc. vs. CA, et al., G.R. No. 118438, be filed in court and filed in court and served
December 14, 1998). served on the adverse on the adverse party.
party.
Request for Admission, When Filed and Must be objected to Must be objected to within
Served: At any time after issues have been within 10 days. 15 days.
joined.

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3.N.3a. Implied Admission by Adverse Party
(Rule 26, Sec. 2)
General Rule: Each of the matters of which an
admission is requested shall be deemed
admitted.
Exception: If, within a period designated in the
request or within such further time as the court
may allow on motion, the party to whom the
request is directed files and serves upon the
party requesting the admission, a sworn
statement:
a) denying specifically the matters of which an
admission is requested; or,
b) setting forth in detail the reasons why he or
she cannot truthfully either admit or deny
those matters.
Note: The period designated in the request shall
not be less than fifteen (15) calendar days after
service thereofor withinsuch further time as the
court may allow on motion.
Objections to any request for admission
They shall be submitted to the court by the party
requested within the period for and prior to the
filing of his or her sworn statement as
contemplated in the preceding paragraph and his
or her compliance therewith shall be deferred
until such objections are resolved, which
resolution shall be made as early as
practicable(Rule 26, Sec. 2).
Options of the Party Served (Deferment of
Compliance)
Upon service of request for admission, the party
served may do any of the following acts:
a) He may admit each of the matters of which an
admission is requested, in which case, he
need not file an answer;
b) He may admit the truth of the matters of
which admission is requested by serving upon
the party requesting a written admission of
such matters;
c) He may file a sworn statement denying
specifically the matter of which an admission
is requested; or,
Purple Notes
Criminal
d)
Remedial
He may file a sworn statement setting forth in
detail the reasons why he cannot truthfully
either admit or deny the matters of which an
admission is requested (Allied Agri-business
Development Co., Inc. vs. CA G.R. No. 118438,
December 4, 1998).
Remedy Against Implied Admission: File a
motion to be relieved of the consequences of the
implied admission. The amendment of the
complaint per se cannot set aside the legal
effects of the request for admission since its
materiality has not been affected by the
amendment.The party requested may have the
compliance of the filing and service of the sworn
statement deferred. This deferment may be effected
by the filing with the court objectionsto the request
for admission. Compliance shall be deferred until
such objections are resolved by the court (Rule 26,
Sec.2).
3.N.3b. Consequences of Failure to Answer
Request for Admission
Summary judgment may be asked when a
request and order for admission was never
answered.
It is a settled rule that summary judgment may
be granted if the facts which stand admitted by
reason of a party’s failure to deny statements
contained in a request for admission show that
no material issue of fact exists. By its failure to
answer the other party’s request for admission,
petitioner has admitted all the material facts
necessary for judgment against itself.
 Q. What is the effect of failure to answer
request for admission?
A. If there is a request for admission, and
there is no answer to such request, a motion
for summary judgment is proper because
facts alleged therein are deemed admitted,
hence no issues(Allied Agri-business
Development Co., Inc. vs. CA, G.R. No. 118438,
December 4, 1998).
3.N.3c. Effect of Admission
An admission under this mode of discovery is for
the purpose of the pending action only shall not
constitute anadmission by him or her for any
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 Purple Notes
Criminal
other purpose Remedial
nor may the same be used against
himor her in any other proceeding (Rule 26, Sec.
3).
3.N.3d. Effect of Failure to File and Serve
Request For Admission (Rule 26, Sec. 5)
General Rule: The party who fails to file and
serve a request for admission on the adverse
party shall NOT be permitted to present evidence
on such material and relevant facts at issue
which are, or ought to be, within the personal
knowledge of the adverse party.
Exception: Unless otherwise allowed by the
court for good cause shown and to prevent a
failure of justice.
Note: Within one day from receipt of the
complaint, the rule mandates not only the
preparation of the summons but also the
issuance of an order requiring the parties to avail
of interrogatories to parties under Rule 25 and
request for admission by adverse party under
Rule 26. The paties, however, may use, at their
discretion, depositions under Rule 23 or other
measures under Rule 27 and 29 within five days
from the filing of the answer (A.M. No. 03-1-09-SC,
IA, 1, 1.1, 1.2, July 14, 2004).
3.N.4. Production or Inspection of
Documents or Things
Purpose: The purpose of this mode of discovery
is to allow a party to seek an order from the
court in which the action is pending to:
a) order any party to produce and permit the
inspection and copying or photographing, by
or on behalf of the moving party, of any
designated documents, papers, books,
accounts, letters, photographs, objects or
tangible things, not privileged, which
constitute or contain evidence
material to any matter involved in the action
and which are in his or her possession,
custody or control; or
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b) order any party to permit entry upon
designated land or other property in his or
her possession or control for the purpose of
inspecting, measuring, surveying, or
photographing the property or any
designated relevant object or operation
thereon (Rule 27, Sec. 1).
Applicability: Applicable to a pending action
and the documents or things subject of the
motion must be only those within the possession,
control, or custody of a party(Rule 27, Sec. 1).
Note: Production of documents affords more
opportunity for discovery than a subpoena duces
tecum because in the latter, the documents are
brought to the court for the first time on the date
of the scheduled trial wherein such documents
are required to be procured.
 Q. Are privileged document or things
covered by production or inspection of
document or things under rule 27?
A.A motion for production or inspection of
documents or things under Rule 27 is
subject to the requirement that the
document or things should not be privileged
(Air Philippines vs. Pennswell, Inc., G.R. No.
172835, December 13, 2007).
Requisites of Production or Inspection of
Documents or Things: (MPED-N2)
1. A Motion must be filed by a party showing
good cause thereof;
2. Notice of the motion must be given to all
other parties;
3. The motion must sufficiently Describe the
documents or things sought to be produced
or inspected;
4. The documents or things sought to be
produced or inspected must constitute or
contain Evidence material to the pending
action;
and
 Purple Notes
Criminal
5. The document or thing sought to be The order for
Remedial
examination may be made only:
produced or inspected must Not be (MGNS)
privileged; and
6. The document or thing sought to be a. on Motion;
produced or inspected must be in the b. for Good cause shown; and,
Possession of the adverse party or, at least, c. upon Notice to the party to be examined and
under his control. to all other parties.
d. The notice shall Specify the time, place,
The test to be applied in determining the manner, conditions and scope of the
relevancy of the documents and sufficiency of examination and the person or persons by
their description is one of reasonableness and whom it is to be made (Rule 28, Sec. 2).
practicality(Lime Corporation of the Philippines vs.
Moran GR No. 40759, Dec 20, 1933 ). Waiver of Privilege

Production or inspection of documents Where the party examined requests and obtains
orthings under Rule 27 vs. Subpoena duces a report on the results of the examination:
Tecum
PRODUCTION OF SUBPOENA DUCES
a. He is obliged to furnish the other party a copy
DOCUMENTS TECUM
Essentially a mode of Means of compelling
of the report of any previous or subsequent
discovery. production of evidence. examination of the same physical and mental
Limited to the parties May be directed to a condition; and
to the action(Rule 27, person whether a party b. He waives any privilege he may have in that
Sec. 1). or not(Rule 21, Sec. 1).. action or any other involving the same
The order under this May be issued upon an controversies regarding the testimony of any
rule is issued only ex parte application. other person who has so examined him or
upon motion with may thereafter examine him(Rule 28, Sec. 4).
notice to adverse
party.
3.N.6. CONSEQUENCES OF REFUSAL TO
COMPLY WITH MODES OF DISCOVERY
3.N.5. Physical and MentalExamination of
Persons
Sanctions:
When examination may be ordered
1. Those which are sought to be established are
deemed established;
In an action in which the mental or physical
2. Contempt;
condition of a party is in controversy, the court in
3. Payment of reasonable fees;
which the action is pending may in its discretion
4. The matter regarding which the questions
order him or her to submit to a physical or
were asked, character or description of land,
mentalexamination by a physician(Rule 28, Sec. 1).
et al., be taken to be in accordance with the
claim of the party obtaining the order;
Notes:
5. Prohibition on the refusing party to produce
evidence, support or oppose the designated
 This applies only to parties, NOT witnesses.
claims or defenses;
 Since the results of the examination are
6. Striking out pleadings, order the dismissal of
intended to be made public, the same are not
the action, or stay the action until compliance,
covered by the physician-patient privilege
or to render judgment by default; and,
under Rule 130, Sec. 24(b) of the ROC.
7. Order the arrest of the refusing party except
 Under this rule, the examining physician
in case of physical and mental examination.
becomes essentially an officer of the court
ordering the examination.
 Q. May a party avail multiple modes of
discovery?
Order for Examination

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 Purple Notes
Criminal
A. Remedial
Availment of one mode of discovery will physical or party to refuse or support
not bar the party from obtaining another mental designated claims or defenses or
mode of discovery(Fortune Corp vs. C.A, G.R. examination prohibiting him from introducing in
No. 108119, January 19, 1994). evidence designated documents or
things or items of testimony, or
from introducing evidence of
Note: The only exception where order of default
physical or mental condition (Rule
is not preceded by a motion to declare in default 29, Sec. 3[b]).
is failure to comply with the modes of discovery.
(c) The court may issue an order
Consequences of Refusal to Comply with striking out pleadings or parts
the Modes of Discovery thereof, or staying further
proceedings until the order is
Refusal Effects obeyed, or dismissing the action or
Refusal to (a) The court may, upon proper proceeding or any part thereof, or
answer any application, shall order the rendering a judgment by default
question upon deponent or refusing party to against the disobedient party (Rule
oral answer the question or 29, Sec. 3[c]).
examination. interrogatory (Rule 29, Sec. 1).
(d) The court may direct the arrest
A refusal to answer after being of any party or agent of a party for
directed by the court may be disobeying any of the orders of the
considered as a contempt of court court, except an order to submit to
(Rule 29, Sec. 2). a physical or mental examination
(Rule 29, Sec. 3[d]).
If the refusal is unjustified, the
court may order the deponent, a Refusal to be A refusal of a party to be sworn
party, or the counsel advising the sworn after being directed by the court
refusal, or both of them, to pay may be considered as contempt of
the proponent the amount of court (Rule 29, Sec. 2).
reasonable expenses incurred in
obtaining the order, including Refusal to If a party refuses to admit the
attorney’s fees (Rule 29, Sec. 1). admit genuineness of any document or
the truth of any matter of fact and
(b) If the application for an order serves a sworn denial thereof and
to compel a deponent to answer is if the other party later on proves
denied because of the absence of the genuineness of the document
a substantial justification, the court or the truth of such matter of fact,
may require the proponent or the the court upon proper application,
counsel advising the application, or may order the former to pay the
both of them, to pay reasonable expenses in making
to the refusing party or deponent such proof, including attorney’s
the amount of reasonable fees (Rule 29, Sec. 4).
expenses incurred in opposing the
application, including attorney’s
fees (Rule 29, Sec. 1). Failure to 1. The court may:
attend (a) strike out all or any part of the
Refusal to (a) The court may order that the depositions or pleading of that party, or
answer matters regarding which the to serve
designated or questions were asked shall be answers to (b)dismiss the action or proceeding
particular taken as established for purposes interrogatories. or any part thereof; or
questions or of the action in accordance with
refusal to the claim of the party obtaining (c) enter a judgment by default
produce them (Rule 29, Sec. 3[a]). against that party, and in its
documents or discretion;
things or to (b) The court may issue an order
submit to refusing to allow the disobedient (d) order him to pay reasonable
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expenses incurred by the other,
including attorney’s fees (Rule 29,
Sec. 5).
2. The consequences under Sec. 5
of Rule 29 will apply if a party
refuses to answer the whole set of
written interrogatories, and not
just a particular question. Where
the party upon whom the written
interrogatories is served, refuses
to answer a particular question in
the set of written interrogatories
and despite an order compelling
him to answer the particular
question, still refuses to obey the
order, Sec. 3(c) of Rule 29 will
apply (Zepeda vs. China Banking
Corporation, G.R. No. 172175, October
9, 2006).
3.O. TRIAL
Trial is the judicial process of investigating and
determining the legal controversies between or
among the parties.
During the trial, the parties present their
respective evidence of their claims and defenses
which shall constitute the bases for the judgment
of the court (Riano, Civil Procedure Vol II, 2016 ed.,
P458).
 Q. When shall the period of the trial be
terminated?
A.Jurisprudence holds that the period of the
trial terminates when the judgment
begins(Acosta vs. People, G.R. No. L-17427, July
31, 1962).
General Rule: When an issue exists, trial is
necessary. Decisions should not be rendered
without trial.
Exceptions:
1. Judgment on the pleading(Rule 34)
2. Summary judgment where there is no
genuine issue(Rule 35)
3. Judgment on compromise(Rule 18; Art. 2028,
NCC)
4. Judgment by confession(Rule 30, Sec. 6)
5. Dismissal with prejudice(Rule 16, Sec. 5; Rule
17, Sec. 3; Rule 7, Sec. 5)
6. Cases under Rules on Summary Procedure
Purple Notes
Criminal
7.
Remedial
Cases under Rules on Small Claims
3.O.1. Adjournment and Postponements
Adjournment
General Rule: A court has the power to adjourn
trial from day to day, and to any stated time, as
the expeditious and convenient transaction of
business may require (Rule 30, Sec. 2).
Exception: The court has no power to adjourn a
trial for a period longer than one (1) month for
each adjournment, nor more than three (3)
months in all.
Exception to the Exception: When authorized
in writing by the Court Administrator of the
Supreme Court (Rule 30, Sec. 2).
Note:The party who caused the postponement is
warned that the presentation of its evidence
must still be terminated on the remaining dates
previously agreed upon . (Rule 30, Sec. 2a).
Postponement
A deferment or continuance of a date of a trial,
hearing or other court appearance to a later fixed
date by order of the court, or upon a stipulation
(legal agreement) by the attorneys and approved
by the court or (where local rules permit) by the
clerk of the court.
 Q. Is Postponement a matter of right?
A. No. A motion for postponement is a
privilege and not a right(Vergara vs Otadoy Jr.
G.R No. 192320,April 4, 2016).It is addressed to
the sound discretion of the court (Garces vs.
ValenzuelaG.R. No. L-53487, May 25, 1981).
The Constitution guarantees the right of
persons against unreasonable delay in the
disposition of cases before all judicial, quasi-
judicial or administrative bodies. Judges play
an active role in ensuring that cases are
resolved with speed and dispatch so as not to
defeat the cause of the litigants. The
mandatory continuous trial system was
adopted precisely to minimize delay in the
process and expedite the resolution of cases
in the trial courts by holding trials on
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 Purple Notes
Criminal
scheduled Remedial
dates without needless
postponements and terminating the entire
proceedings within ninety days from the initial
hearing. The need for speedy administration
of justice cannot be ignored. Excessive delay
in the disposition of cases renders the rights
of people guaranteed by various legislations
inutile (Matias vs. Plan, AM No. MTJ-98-1159,
August 3, 1998)
3.O.2 Requisites of Motion to Postpone
Trial
3.O.2a. For absence of evidence (Deleted in
A.M. No. 19-10-20-SC) (n)
3.O.2b. ForIllness of Party or Counsel: (Rule
30, Sec. 4)
1. Motion for postponement stating the grounds
relied upon.
2. Affidavit or sworn certificationshowing:
 That the presence of such party or counsel
at the trial is indispensable; and,
 The character of his illness is such as to
render non-attendance excusable (Rule 30,
Sec. 4).
Every civil action or proceeding shall be
suspended:
 If willingness to discuss a possible
compromise is expressed by one or both
parties; or,
 If it appears that one of the parties, before
the commencement of the action or
proceeding, offered to discuss a possible
compromise but the other party refused the
offer (Art. 2030, Civil Code).
3.O.3. Agreed Statement of Facts
General Rule: The parties may agree, inwriting,
upon the facts involved in the litigation, and
submit the case for judgmenton the facts agreed
upon, without the introduction of evidence (Rule
30, Sec. 7).
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Exception: If the parties agree only on some of
the facts in issue, the trial shall be held as to the
disputed facts in such order as the court shall
prescribe(Rule 30, Sec. 7).
Also known as STIPULATION OF FACTS and is
among the purposes of a pre-trial.
Agreed Statement of Facts is conclusive on the
parties as well as on the court. Neither of the
parties may withdraw from the agreements, nor
may the court ignore the same.
The parties may also stipulate verbally in open
court. Such stipulations are permitted by the
court on good cause shown. Judgment based on
a compromise agreement is executory and non-
appealable.
The counsels cannot stipulate on what their
respective evidence consists of and ask that
judgment be rendered on the basis of such
stipulation.
Stipulation of Facts are not permitted in actions
for annulment of marriage, legal separation, and
declaration of nullity of marriage (Family Code, Art.
48).
 Q. What is the effect of stipulation of facts?
A. Facts stipulated by the parties need not be
proven. It cannot be contradicted by
evidence to the contrary, and it is conclusive
upon the parties, unless it is shown that the
admission was made through a palpable
mistake (Bunag vs Court of Appeals, G.R. No. L-
39013, 1988).
3.O.4. Order of Trial (now Rule 30, Sec. 5 under
A.M. No. 19-10-20-SC)
Subject to the provisions of section 2 of Rule 31,
and unless the court for special reasons
otherwise directs, the trial shall be limited to the
issues stated in the pre-trial order and shall
proceed as follows:
a. The plaintiff shall adduce evidence in support
of his or hercomplaint;
and

b. The defendant shall then adduce evidence in
support of his or her defense, counterclaim,
cross-claim and third-party complaints;
c. The third-party defendant if any, shall adduce
evidence of his or her defense, counterclaim,
cross-claim and fourth-party complaint;
d. The fourth-party, and so forth, if any, shall
adduce evidence of the material facts pleaded
by them;
e. The parties against whom any counterclaim or
cross-claim has been pleaded, shall adduce
evidence in support of their defense, in the
order to be prescribed by the court;
f. The parties may then respectively adduce
rebutting evidence only, unless the court, for
good reasons and in the furtherance of
justice, permits them to adduce evidence
upon their original case; and
g. Upon admission of the evidence, the case
shall be deemed submitted for decision,
unless the court directs the parties to argue or
to submit their respective memoranda or any
further pleadings.
Note: If several defendants or third-party
defendants, and so forth, having separate
defenses appear by different counsel, the court
shall determine the relative order of presentation
of their evidence.
 Q. What is the rule on Reverse Order of
Trial?
A. As a rule, plaintiff opens the trial.
However, where the answers of the
defendant admitted the obligation stated in
the complaint, although special defenses
were pleaded, the plaintiff has every right to
insist that it was for the defendant to come
up with evidence in support of his special
defenses (Yu vs Mapayo, G.R. No. L-29742,
March 29, 1972).
If the answer admits the defendant’s obligation
as alleged in the complaint but special defenses
were alleged, the plaintiff does not have to
present evidence since judicial admissions do not
require proof and it should be the defendant who
should forthwith present evidence in support of
his special defenses.
Additional evidence may be offered at the
rebuttal stage if it was newly discovered
Purple Notes
Criminal
evidence, or
Remedial
omitted through mistake or
inadvertence or where the purpose is to correct
evidence previously offered, subject to the
discretion of the court. (Heirs of Santioque vs. Heirs
of Calma, GR. No. 160832, October 27, 2006)
What is a “HOT TUB” HEARING?
In a "hot tub" hearing, the judge can hear all the
experts discussing the same issue at the same
time to explain each of their points in a
discussion with a professional colleague. The
objective is to achieve greater efficiency and
expedition, by reduced emphasis on cross-
examination and increased emphasis on
professional dialogue, and swifter identification of
the critical areas of disagreement between the
experts [International Service for the Acquisition of
Agri-Biotech Applications, Inc. vs. Greenpeace
Southeast Asia (Philippines), G.R. No. 209271,
December 08, 2015].
All trials upon merits shall be conducted in open
court and so far as convenient in a regular
courtroom. All other acts or proceedings may be
done or conducted by a judge in chambers,
without the attendance of the clerk or other court
officials.
Oral offer of exhibits
The offer of evidence, the comment or objection
thereto, and the court ruling shall be made orally
in accordance with Sections 34 to 40 of Rule
132(Rule 30, Sec. 6).(n)
3.O.5. Consolidation or Severance
What is Consolidation
Consolidationis the act or process of uniting
several actions into one trial and judgment, by
order of a court, where all the actions are
between the same parties, pending in the same
court, and involving substantially the same
subject matter, issues and defenses( PAL vs.
Teodoro, Sr. G.R. No. L-6698 August 30, 1955 ).
When actions involving a common question of
law or fact are pending before the court, it may
order a joint hearing or trial of any or all the
matters in issue in the actions(Rule 31, Sec. 1). In
consolidation, there must be at least two cases.
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Remedial
Consolidation is a procedural device to aid the
court in deciding how cases in its docket are to
be tried so that the business of the court may be
dispatched expeditiously and with economy while
providing justice to the parties. To promote this
end, the rule allows the consolidation and a
single trial of several cases in the court’s docket,
or the consolidation of issues within those cases.
General Rule: Consolidation is discretionary
with the court.
Exceptions: Consolidation becomes a matter of
duty:
a) If the cases, same parties and same subject
matter are pending before the same judge;
or,
b) If cases were filed with different branches of
a court and one of such cases has not been
partially tried.
Notes: Consolidation of cases on appeal is
allowed.
Generally, the case which was appealed later and
bearing the higher docket number is consolidated
with the case having the lower docket number.
 Q. What is the Purpose of Consolidation?
A. It is to have all cases which are intimately
related, acted upon by one branch of the
court to avoid possibility of conflicting
decisions being rendered and in effect,
prevent confucsion, unnecessary costs and
delay. It is an action sought to avoid
multiplicity of suits; guard against oppression
and abuse, clear congested dockets; and to
simplify the work of the trial court in order to
attain justice with lease expense and
vexation against the party-litigants (Puncia vs
Toyota Shaw /Pasig, Inc. G.R. No. 214399, June
28, 2016).
Ways of Consolidating Cases
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1. By RECASTING the cases already instituted
conducting only one hearing and rendering
only one decision;
2. By CONSOLIDATING the existing cases,
and holding only one hearing and rendering
only one decision; and,
3. TEST CASE METHOD: wherein only the
principal case is heard and the hearing on the
others is suspended until the judgment has
been rendered in the principal case(Salazar vs.
CFI of Laguna, G.R. No. 45642 September 25,
1937).
In the context of legal procedure, the term
"consolidation" is used in three different senses:
 Where all except one of several actions are
stayed until one is tried, in which case the
judgment in the one trial is conclusive as to
the others. This is not actually consolidation
but is referred to as such. (QUASI-
CONSOLIDATION)

 Where several actions are combined into one,
lose their separate identity, and become a
single action in which a single judgment is
rendered. This is illustrated by a situation
where several actions are pending between
the same parties stating claims which might
have been set out originally in one complaint.
(ACTUAL CONSOLIDATION)

 Where several actions are ordered to be tried
together but each retains its separate
character and requires the entry of a
separate judgment. This type of consolidation
does not merge the suits into a single action,
or cause the parties to one action to be
parties to the other. (CONSOLIDATION
FOR TRIAL) (Republic vs. Heirs of Oribello, Jr.,
G.R. No. 199501, March 6, 2013)
Severance
Itis the act of dividing a lawsuit into two or more
independent causes, each of which terminates in
separate, final and enforceable judgment. In
severance, there is only one action.
The court, in furtherance of convenience or to
avoidprejudice, may order a separate trial of any
and

claim, cross-claim, counterclaim, or third-party
complaint, or of any separate issue or of any
number of claims, crossclaims, counterclaims,
third-party complaints or issues(Rule 31, Sec. 2).
Three factors to weigh in determining
whether to order separate trials
These are:
1. whether separate trials would further the
convenience of the parties;
2. whether separate trials would promote
judicial economy; and,
3. whetherwhether separate trials would avoid
substantial prejudice to the parties (Metrobank
vs. Sandoval, G.R. No. 169677, February 18,
2013).
3.O.6. Delegation of Reception of Evidence
General Rule: The judge of the court where the
case is pending shall personally receive the
evidence to be adduced by the parties.
Exception: The court may delegate the
reception of evidence to its clerk of court who is
a member of the barunder the following
conditions:
a) In default hearing;
b) In ex-parte hearing; or
c) In any case where the parties agree in
writing (Rule 30, Sec. 9).
Note: Unlike the commissioner under Rule 32
who “unless otherwise provided in the order of
reference, may rule upon the admissibility of
evidence,” under Rule 30, the clerk of court is
devoid of power to rule on objections to any
question or to the admission of evidence or
exhibits, which objection shall be resolved by the
court upon submission of his report and the
transcripts within ten (10) days from termination
of the hearing.
3.O.7. Trial by Commissioner
Commissioner is a person to whom a case
pending in court is referred, for him to take
testimony, hear the parties and report thereon to
the court, and upon whose report, if confirmed,
judgment is rendered.
Purple Notes
Criminal
Remedial
Trial by Commissioner applies when there is
something to be tried which requires some
technical expertise, which the court feels it does
not possess.
Trial by Commissioner depends largely upon the
discretion of the court; but the following are
instances when such appointment is mandatory:
1. In expropriation proceedings, the court
shall appoint no more than three (3)
commissioners for the determination of just
compensation;
2. Partition
3. Settlement of Estate of a Deceased Person
in case of trial of contested claims; and
4. The hearing for the approval of the
executor or administrator's accounting
can be delegated to a commissioner.
3.O.7a. Reference by Consent or Reference
ordered by motion
Reference by Consent
By written consent of both parties, the court may
order any or all of the issues in a case to be
referred to a commissioner to be agreed upon by
the parties or to be appointed by the court.
The word commissioner includes:
a. Referee;
b. Auditor; and
c. Examiner (Rule 32, Sec. 1).
The Court may, upon the application of either
party or of its own motion, direct a reference to a
commissioner.
Reference ordered on motion
When the parties do not consent, thecourt may,
upon the application of either or of its own
motion, direct a reference to a commissioner in
the following cases: (ETQC)
a) When the trial of an issue of facts requires
the Examination of a long account on either
side;
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 Purple Notes
Criminal
b) When the Remedial
Taking of an account is necessary
for the information of the court before the
judgment, or for carrying a judgment or
order into effect;
c) When a Question of fact, other than upon
the pleadings, arises upon motion or
otherwise, in any stage of a case, or
d) For Carrying a judgment or order into
effect(Rule 32, Sec. 2).
3.O.7b. Powers of the Commissioner
a. To regulate the proceeding in every hearing
before him or her;
b. To do all acts necessary or proper for the
efficient performance of his or her duties
under the order;
c. To issue subpoenas ad testificandum and
subpoenas duces tecum;
d. To swear in witnesses; and
e. To rule upon the admissibility of evidence
unless otherwise provided in the order (Rule
32, Sec. 3).
If a party fails to appear at the time and place
appointed, the commissioner may:
 Proceed ex parte; or
 In his discretion, adjourn the proceedings to
a future day, giving notice to the absent
party or his counsel of the adjournment(Rule
32, Sec. 6).
3.O.7c. Commissioner’s report; Notice to
parties and hearing on the report
Upon the completion of the trial or hearing or
proceeding before the commissioner, the
commissioner:
a. Shall file with the court his or her report in
writing upon the matters submitted to him or
her by the order of reference.
b. When his or her power is not specified or
limited, shall set forth his or her findings of
facts and conclusions of law in his or her
report.
c. Shall attach thereto all exhibits, affidavits,
deposition, papers and the transcript, if any,
of the testimonial evidence presented before
him or her. (Rule 32,Sec 9)
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Note: Objection to report based on grounds
which were available to the parties during the
proceedings before the commissioner, other than
objection to finding and conclusion therein set
forth, shall not be considered by the court unless
they were made before the commissioner. (Rule
32, Sec. 10)
Hearing upon report
Upon the expiration of the period of the period of
ten (10) calendar days by which the parties may
signify grounds of objections to the finding of the
report, the report shall be set for hearing. (Rule
32, Sec. 11)
After the hearing, the court shall issue an
order(ARR):
 Adopting, modifying, or rejecting the report
in whole or in part; or
 Recommitting it with instructions; or
 Requiring the parties to present further
evidence before the commissioner or the
court.
Note: Failure to set the commissioner’s report
for hearing is not necessarily erroneous where
parties were already granted opportunities to be
heard.
3.P. DEMURRER TO EVIDENCE
It is a form of a motion to dismiss filed after the
plaintiff has completed the presentation of his
evidence. The defendant may move to dismiss
the complaint on the ground that the plaintiff has
shown no right to relief upon the facts and the
law (insufficiency of evidence).
 Q. What is a demurrer to evidence?
A.A demurrer to the evidence is an objection
by one of the parties in an action, to the
effect that the evidence which his adversary
produced is insufficient in point of law,
whether true or not, to make out a case or
sustain the issue. The party demurring
challenges the sufficiency of the whole
evidence to sustain a verdict. The court, in
and
 Purple Notes
Criminal
passing upon the sufficiency of the evidence MOTION TO
Remedial
DEMURRER
raised in a demurrer, is merely required to DISMISS
ascertain whether there is competent or b. Litis Pendentia;
sufficient evidence to sustain the indictment c. Barred by Res
Judicata or the
or to support a verdict of guilt.
Statute of
Limitations;
Sufficient evidence for purposes of frustrating d. Pleading states no
a demurrer thereto is such evidence in cause of action.
character, weight or amount as will legally Filed before answer. Filed after the when
justify the judicial or official action demanded plaintiff has rested his
according to the circumstances. case.

To be considered sufficient therefore, the

evidence must prove: 3.P.1. Ground

(a) the commission of the crime; and, (b) the
precise degree of participation therein by the
accused (Singian, Jr. vs., Sandiganbayan, G.R.
Nos.195011-19, September 30, 2013).
 Q. What is the silmilarity between Demurrer
to evidence and Motion to Dismiss?
After plaintiff has finished presenting his or her
evidence, the defendant may move for the
dismissal of the complaint on the ground that
upon the facts and the law, the plaintiff has
shown no right to relief (Rule 33, Sec. 1).
3.P.2. Effect of denial of Demurrer

A. Demurrer is an aid or instrument for the
expeditious termination of an action, similar
to a motion to dismiss, which the court or
tribunal may either grant or deny
(Nepomuceno vs COMELEC, G.R. No. L-60601,
December 29, 1983).
 Q. What must the court consider in
determining whether the motion is a
demurrer or a dismissal?
A.To determine whether the pleading filed is
a demurer to evidence or a motion to
dismiss, the Court must consider (1) the
allegations in it made in good faith; (2) the
stage of the proceeding at which it is filed;
and, (3) the primary objective of the party
filing it. (Cabador vs. People, G.R. No. 186001,
October 2, 2009)
Motion to Dismiss vs. Demurrer
In civil case, there is no need for a leave of
court prior to filing of demurrer. If denied, the
defendant may proceed to present his evidence.
This means that the denial of the demurrer to
evidence does not deprive
thedefendanttoadduceevidenceinhisbehalf
The order denying the demurrer to evidence shall
not be subject of an appeal orpetition for
certiorari, prohibition or mandamus before
judgment (Rule 33, Sec. 2).(n)
If denied, in criminal case, the accused may
adduce his evidence only if the demurrer is with
leave of court. If demurrer is without leave of
court, accused can no longer present his
evidence (Rule 119, Sec. 23).
 Q. Is the order denying the demurrer of
evidence appealable?

MOTION TO A. NO. Anorder denying a demurrer to the

DEMURRER
DISMISS
evidence is interlocutory and is, therefore, not
Grounds under Rule Only 1 ground:
appealable. It can however, be the subject of a
15,Sec. 12:
petition for certiorariin case of grave abuse of
a. Lack of jurisdiction Insufficiency of discretion or an oppressive exercise of judicial
over the subject evidence authority(Katigbakvs.Sandiganbayan, G.R.
matter of the No.140183,July 10,2003)
claim;

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 Purple Notes
Criminal
 Q. Does aRemedial
Demurrer to evidence also apply
to election cases?
A. NO. a party who files a demurrer to
evidence that is subsequently denied in an
election case cannot insist on the right to
present evidence. The provision of the Rules of
Court governing demurrer to evidence does not
apply to an election case (Gementizavs.
COMELEC, G.R. No. 140884, March 6, 2001)
3.P.3. Effect of grant of Demurrer
If granted, incivil case, the case shall be
dismissed. The order of dismissal being a final
order, it is appealable. However, if on appeal the
order granting the motion is reversed, the
defendant loses his right to present evidence (Rule
33, Sec. 1)..
 Q. What is the effect of reversal of order
granting Demurrer to Evidence on appeal?
A.The appellate court shall render judgment
on the basis of the evidence submitted by the
plaintiff. The appellate court shall no longer
remand the case to the trial court for further
proceedings. A remand is not only frowned
upon by the Rules, it is also logically
unnecessary on the basisof the facts on
record. (Radiowealth Finance Corporation vs. Del
mandamus before judgment(Rule 33, Sec. 2, as
amended).
3.P.4 Waiver of Right to Present Evidence
The defendant can always present his evidence in
the event his demurrer is denied, even if no
reservation was made therefore.
3.P.5.Demurrer to Evidence in a Civil Case vs. Demurrer to Evidence in a Criminal Case
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146 Center for Legal Education
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Rosario, G.R. No. 138739, July 6,
2000)Radiowealth loses the right to present
evidence.
 Q. What is the effect of grant of Demurrer to
evidence in Criminal Cases?
A..(1).In criminal case, if demurrer to
evidence is granted, It is a resolution of the
case on the merits, and it amounted to an
acquittal. Any further prosecution of the
accused after an acquittal would violate the
proscription on double jeopardy (People vs.
Sumingawa, G.R. No. 183619, October 13,
2009).Except the civil aspect of the criminal
case (Hun Hyung Park vs. Eung Won Choi, G.R.
No. 165496, February 12, 2007).
Remedies in case of grant or denial of a
Demurrer to Evidence
If granted: The plaintiff may file an appeal
before the proper appellate court. This is because
a dismissal on the basis of demurrer to evidence
is similar to a judgment. It is a final order ruling
on the merits of a case (Republic vs. Jimenez,G.R.
No. 174673, January 11, 2016 – J.Leonen penned
case).
If denied: the defendant shall proceed to trial, as
the Rules provide that the order denying the
demurrer to evidence shall not be subject of an
appeal or petition for certiorari, prohibition or
If the demurrer is granted but on appeal theorder
of dismissal is reversed, the defendant is deemed
to have waived his right to present evidence (Rule
33, Sec.l).
and
 Purple Notes
Criminal
CIVIL DEMURRER
Remedial
CRIMINAL DEMURRER

Similarities (1) Demurrer is a kind of a Motion to Dismiss. It is NOT a prohibited pleading under the Rules
on Summary Proceedings because (a) it is there to similarly expedite the proceedings and (b) it
is not among those mentioned under prohibited pleadings.

(2) The ground is the same, that is, INSUFFICIENCY OF EVIDENCE

(3) Only available AFTER the presentation of the evidence of the plaintiff or prosecution, as the
case may be.

(4) Court may either grant or deny the Demurrer

Differences (1) Leave of court is not required. (1) The demurrer may be filed with or without
the leave of court.

(2) Iif DENIED - (a) if with leave of court,

accused may proceed with presentation of his
evidence; (b) if without leave, accused can no
(2) If DENIED - defendant presents evidence. longer present his evidence (Bernardo vs. CA,
G.R. No. 119010. September 5, 1997).

(3) if GRANTED - the case is dismissed; order

(3) if GRANTED - accused is acquitted;
of dismissal is a FINAL order, hence
appealable

(4) The Court may dismiss, motu poprio, the

(4) The court cannot, motu poprio, make a action on ground of isufficiency of evidence
demurrer after the plaintiff rests its case. after giving the prosecution the opportunity ot
be heard.

(5) The order of acquittal is NOT appealable;

(5)If the demurrer is granted but on APPEAL
the order of dismissal is reversed, the
defendant is deemed to have waived his right
to present evidence
otherwise, it will be a violation of his right
against double jeopardy
*Exception: appeal may be had as to the Civil
Aspect (Hun Hyung Park vs. Eung Won Choi, supra)

Note: Demurrer to evidence is not a

prohibited pleading under the Rules on
Summary Proceedings.
Reasons:
 The enumeration in Rules on Summary
Procedure is exclusive; demurrer is not
included therein; and,
 The purpose of the the Rules is to
expedite the proceedings, so also is the
purpose of demurrer.
3.Q. JUDGMENTS AND FINAL ORDERS
3.Q.1. Judgment
Judgment is the conclusion of law upon the
matters contained in the record, or the
application of the law to the pleadings and to the
facts, as found by the courts or admitted by the
parties, or deemed to exist upon their default in
the course of judicial proceedings (Gotamco vs.
Chan Seng G.R. No. L-22737, November 28, 1924).

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 Purple Notes
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Remedial
 Q. What is a Final Judgment or Order?
A.A final order is one that disposes of the
subject matter in its entirety or terminates a
particular proceeding or action, leaving
nothing else to be done but to enforce by
execution what has been determined by the
court. (Silverio vs. Court of Appeals, G.R. No.
178933, September 16, 2009)
 Q. What are the effects when a judgment
becomes final and executory?
A. When a judgment becomes final and
executory, it becomes immutable and
unalterable. The court loses jurisdiction over
the judgment to amend (except for clerical
errors) or alter the same but it retains
jurisdiction to execute it during its lifetime
(Equatorial Realty Development, Inc. vs. Mayfair
Theater, G.R. No. 106063, November 21, 1996).
 Q. What is a final and executory dismissal?
A.Once the dismissal attains the attribute of
finality, the trial court cannot impose legal
fees anew because a final and executory
dismissal although without prejudice divests
the trial court of jurisdiction over the civil
case as well as any residual power to order
anything relative to the dismissed case; it
would have to wait until the complaint is
docketed once again (RCBC vs. Magwin
Marketing, G.R. No. 152878, May 5, 2003).
 Q.What is the doctrine of finality
immutability of judgment?
A. A decision that has acquired finality
becomes immutable and unalterable, and
may no longer be modified in any respect,
even if the modification is meant to correct
erroneous conclusions of fact and law, and
whether it be made by the court that
rendered it or by the Highest Court of the
land. Any act which violates this principle
must immediately be struck down (FGU
Insurance Corp. vs. RTC of Makati City Br. 66,
G.R. No. 161282, February 23, 2011)
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It is well-settled that a decision that has
acquired finality becomes immutable and
unalterable, and may no longer be modified
in any respect, even if the modification is
meant to correct erroneous conclusions of
fact and law, and whether it be made by the
court that rendered it or by the Highest
Court of the land. In this case, the Court
concurs with the CA’s view that the Assailed
Order had already become final and
executory at the time when the NHA sought
to have it reconsidered before the court a
quo. As evidenced by the registry return
receipt on record, the NHA, however, moved
for reconsideration therefrom only more
than four (4) months from notice. As the
motion was filed way beyond the 15-day
reglementary period prescribed therefor, the
court a quo’s judgment had already lapsed
into finality (National Housing Authority vs.
Court of Appeals, GR No. 173802, April 7, 2014).
Exception to the immutability and
inalterability of final decision:(Hulst vs. PR
Builders, Inc., G.R. No. 156364, September 25, 2008)
 the correction of clerical errors, the so-called
nunc pro tunc entries which cause no
prejudice to any party, void judgments
 whenever circumstances transpire after the
finality of the decision rendering its
execution unjust and inequitable. (Additional
Information is provided under R.2.a)
Formal Requisites of a valid judgment (Rule
36,Sec. 1; Sec. 14, Art. VIII, Constitution of the
Philippines; Report on the Judicial Audit Conducted in the
or
Municipal Trial Court of Tambulig,A.M. NO. MTJ-05-1573,
October 12, 2005).
1) It should be in writing;
2) The judgment must be personally and directly
written and prepared by the judge;(Corpus vs.
Sandiganbayan, 442 SCRA 294, 309)
3) It must state clearly and distinctly the facts
and law on which it is based;
4) It should be signed by the judge and filed
with the clerk of court; and
5) The judgment must be entered because a
judgment which is not entered has only
become final but not executory.
Education and

Requisites of a Valid Judgment:(Acosta vs.
COMELEC, G.R. No. 131488. August 3, 1998
1. The Court must have jurisdiction over the
parties and the subject matter;
2. The Court and the tribunal must be clothed
with judicial authority to hear and
determine the matter before it;
3. The evidence must have been considered by
the tribunal in deciding the case; and,
4. The parties must have been given an
opportunityto be heard.
3.Q.2. Judgment without trial
A civil case may be adjudicated upon without the
need for trial in any of the following cases:
 Where the pleadings of the parties tender no
issue at all, a judgment on the pleadings may
be directed by the court (Rule 34)
 Where from the pleadings, affidavits,
depositions and other papers, there is actually
no genuine issue, the court may render a
summary judgment(Rule 35)
 Where the parties have entered into a
compromise or an amicable settlement either
during the pre-trial or while the trial is in
progress (Rule 18 of the ROC; Article 2028 of the
Civil Code of the Philippines).
 Where the complaint has been dismissed with
prejudice or when the dismissal has the effect
of an adjudication on the merits (Rule 16, Sec.,
5; Rule 17,Sec., 3; Rule 7, Sec. 5, last par.).
 Where the case falls under the operation of
the Rules on Summary Procedure.
 Where, the parties agree in writing, upon the
facts involved in the litigation, and submit the
case for judgment on the facts agreed upon,
without the introduction of evidence. If,
however, there is no agreement as to all the
facts in the case, trial may be held only as to
the disputed facts (Rule 30,Sec. 6).
 When the case falls under the Rules on Small
Claims.
3.Q.3. Judgment on the Pleadings
Grounds:
1. If the answer fails to tender an issue:
 General denial of the material allegations
of the complaint.
Purple Notes
Criminal
 Insufficient
Remedial
denial of the material
allegations of the complaint.
2. Admits the material allegation of the adverse
party’s pleading(Rule 34, Sec. 1).
Note: By moving for judgment on the pleadings,
plaintiff waives his claim for unliquidated
damages. Claims for such damages must be
alleged and proved.
When Not Allowed: (DILAU)
 When the answer raises an Issue;
 In an action for Declaration of nullity of
marriage;
 In an action for Legal separation;
 In an action for Annulment of marriage; and,
 When the issue is the amount of Unliquidated
damages
Action on motion for judgment on the
pleadings
The court may motu proprio or on motion render
judgment on the pleadings if the grounds are
apparent. Otherwise, the motion shall be subject
to the provisionsof Rule 15 of these Rules.
Any action of the court on a motion for judgment
on the pleadings shall not be subject of an appeal
or petition for certiorari, prohibition or mandamus
(Rule 34, Sec. 2).(n)
3.Q.4.. Summary Judgments
 Q. What is a Summary Judgment?
A:
(1), A summary judgment is one granted
upon motion by a party for an expeditious
settlement of the case, there appearing from
the pleadings, depositions, admissions, and
affidavits that there are no important
questions or issues of fact posed (except as
to the amount of damages) and therefore,
the moving party is entitled to a judgment as
a matter of law. (Garcia vs. Court of Appeals,
G.R. No. 117032, July 27, 2000)
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 Purple Notes
Criminal
(2) A Remedial
summary judgment is granted to settle
expedi- tiouslya case if, on motion of either
party, there appears from the pleadings,
depositions, admissions, and affida- vits that no
important issues of fact are involved, except the
amount of damages, x xx” (Ybiernasvs. Tanco-
Gabal- don, G.R. No. 178925, June 1,2011)
(3) A summary judgment or accelerated
judgment is a procedural technique to
promptly dispose of cases where the facts
appear undisputed and certain from the
pleadings, depositions, admissions and
affidavits on record, or for weeding out sham
claims or defenses at an early stage of the
litigation to avoid the expense and loss of
time involved in a trial. Its object is to
separate what is formal or pretended denial
or averment from what is genuine and
substantial so that only the latter may
subject a party-in-interest to the burden of
trial. Moreover, said summary judgment must
be premised on the absence of any other
triable genuine issues of fact. Otherwise, the
movants cannot be allowed to obtain
immediate relief. A genuine issue is such
issue of fact which requires presentation of
evidence as distinguished from a sham,
fictitious, contrived or false claim (Monterey
Foods Corp. vs. Eserjose, GR 153126, September
9, 2003)
 Q. When can a motion for Summary
Judgment be granted?
A. Summary judgments are sanctioned by
the Rules of Court as a device to simplify and
expedite the resolution of cases when, as
shown by the pleadings, affidavits,
depositions, or admissions on the records,
there are no genuine issues which would
entail an expensive, lengthy and protracted
trial (Jose Feliciano Loy et.al. vs. San Miguel
Corporation Employees Union-Philippine Transport
and General Workers Organization, et. al. G.R.
No.164886, November 24, 2009)
Trial courts are authorized to grant relief by
summary judgment. This is intended to
expedite or promptly dispose of cases where
the facts appear undisputed and certain from
the pleading admissions and affidavits. This
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rule does not vest in the court summary
jurisdiction to try the issue on pleadings and
affidavits but gives the court limited authority
to enter summary judgment only if it clearly
appears that there is no genuine issue of
material fact (Velasco vs. CA G.R. No. L-31018
June 29, 1973).
 Q.What is a Genuine Issue?
A. There is genuine issue when an issue of
fact is presented which requires presentation
of evidence as distinguished from a sham,
fictitious, contrived or false claim (Villuga vs.
Kelly Hardware and Construction Supply Inc. G.R.
No. 176570, July 18,2012).
Bases of summary judgment
1. Affidavits made on personal knowledge;
2. Depositions of the adverse party or a
thirdparty under Rule 23;
3. Admissions of the adverse party under
Rule26; and
4. Answers to interrogatories under Rule 25.
All intended to show that:
a. There is no genuine issue as to any material
fact, except damages which must always be
proved; and
b. The movant is entitled to a judgment as a
matter of law(Monterey Foods Corp., et al. vs.
Eserjose, G.R. No. 153126, September 11, 2003).
3.Q.4a. For the Claimant
A party seeking to recover upon a claim,
counterclaim, or cross-claim or to obtain a
declaratory relief may, at any time after the
pleading in answer thereto has been served,
move with supporting affidavits, depositions or
admissions for a summary judgment in his favor
upon all or any part thereof. (Rule 35, Sec. 1.)
When to File:
and

He must wait for the Answer to be filed and
served before he can move for summary
judgment (Rule 35, Sec. 1).
3.Q.4b. For the Defendant
A party against whom a claim, counterclaim, or
cross-claim is asserted or a declaratory relief is
sought may, at any time, move with supporting
affidavits, depositions or admissions for a
summary judgment in his favor as to all or any
part thereof(Rule 35, Sec.1 ).
When to File:
He can move for summary judgment at any time
after filing and service of the complaint, even
before he answers(Rule 35, Sec. 2).
3.Q.4c. When the Case not fully adjudicated
on motion
If on motion under this Rule, judgment is not
rendered upon the whole case or for all the
reliefs sought and atrial is necessary, the court
may, by examining the pleadings and the
evidence before it and by interrogating counsel,
ascertain what material facts exist without
substantial controversy, including the extent to
which the amount of damages or other relief
isnot in controversy, and direct such further
proceedings in the action as are just. The facts so
ascertained shall be deemed established, and the
trial shall be conducted on the controverted facts
accordingly(Rule 35, Sec. 4).(4a)
Burden of Proof: Lies with the party movant
who must demonstrate clearly the absence of
any genuine issue of fact, or that the issue posed
in the complaint is so patently unsubstantial as
not to constitute a genuine issue for trial, and
any doubt as to the existence of such an issue is
resolved against the movant.(Riano, 2014)
3.Q.4d. Affidavits and Attachments
Motion and proceedings
The motion for summary judgment must be
supported by:
1. Affidavit
Purple Notes
Criminal
2.
Remedial
Depositions or admission of the adverse party
or a third party, for a summary judgment in
his favor upon all or any part thereof.
3. The specific law relied upon(Rule 35, Sec. 3
A.M. No. 19-10-20-SC).
Note: The Adverse party may file a comment
and serve opposing affidavits, depositions, or
admissions within a non-extendible period of five
(5) calendar days from receipt of the motion(Rule
35, Sec. 3).
Unless the court orders the conduct of a hearing,
judgment sought shall be rendered forthwith if
the pleadings, supporting affidavits, depositions
and admissions onfile, show that, except as to
the amount of damages, there is no genuine
issue as to any material fact and that the moving
party is entitled to judgment as a matter
oflaw(Rule 35, Sec. 3 A.M. No. 19-10-20-SC).
Requisites of Affidavit:
1. Made on personal knowledge;
2. Set forth such facts as would be admissible
in evidence;
Shall show affirmatively that the affiant is
competent to testify to the matters stated therein
(Rule 35, Sec. 5).
Note: Certified true copies of all papers or parts
thereof referred to in the affidavit shall be
attached thereto or served therewith (Rule 35,
Sec. 5).
Affidavits in bad faith
Should it appear to its satisfaction at any
timethat any of the affidavits presented pursuant
to this Rule are presented in bad faith, or solely
for the purpose of delay(Rule 35, Sec. 6).
Effects:
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 Purple Notes
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The court shallRemedial
forthwith: affidavits caused him or her to incur,
including attorney's fees,
1. Order the offending party or counsel to pay 2. it may, after hearing further adjudge the
to the other party the amount of the offending party or counsel guilty of
reasonable expenses which the filing of the contempt(Rule 35, Sec. 6).

3.Q.5. Summary Judgment, Judgment on the Pleadings, and Judgment by Default

Distinguished(Albano, Remedial Law Reviewer, 2010 ed., Pp. 408-409)

SUMMARY JUDGMENT JUDGMENT ON THE PLEADINGS

JUDGMENT BY DEFAULT
(Rule 35) (Rule 34)
Based on the pleadings, Based solely on the pleadings. Based on the complaint and
depositions, admissions and evidence, if presentation is
affidavits. required.
Available to both plaintiff and Generally available to the plaintiff, Available to plaintiff.
defendant. unless the defendant presents a
counterclaim.
There is no genuine issue The answer fails to tender an issue or There is no issue because no
between the parties. there is an admission of material answer was filed by the
allegations. defending party.
10-day notice required. 3-day notice required. 3-day notice rule applies.
May be interlocutory or on the
On the merits. On the merits.
merits.
There is no genuine The answer fails to
Remedy against Summary Judgment issue between the tender an issue or there
parties. i.e there may is an admission of
Any action of the court on a motion for summary be issues but these are material allegations.
judgment shall not be subject of an appeal or irrelevant.
petition for certiorari, prohibition or mandamus.
(Rule 35, Sec. 3)

Judgment on the Pleadings vs.

Summary Judgment (Albano, Remedial Law 10-day notice required. 3-days notice required.
Reviewer, 2010, Pp. 408-409)
Available in any action
except annulment of
May be interlocutory or
marriage or legal
on the merits.
separation cases.
Judgment on the
Summary Judgment
Pleadings
Based on the pleadings,
Based solely on the
depositions, admission If filed by plaintiff, it
pleadings.
and affidavits. must be filed at any
Generally available only time after an answer is
There is already an
to the plaintiff, unless the served; if filed by
Available to both answer filed.
defendant presents a defendant, may be filed
plaintiff and defendant.
counterclaim. at any time even before
there is an answer

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 Purple Notes
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Remedial
This rule rests on the theory that the fallo is the
Summary Judgment on the
Judgment Pleadings final order while the opinion in the body is merely
Based on the a statement ordering nothing(Florentino vs. Rivera,
pleadings, G.R. No. 167968, January 23, 2006).
Based solely on the
depositions,
pleadings. Exception: Where the inevitable conclusion from
admission and
affidavits the body of the decision is so clear that there
Generally available was a mere mistake in the dispositive portion, the
only to the plaintiff, body of the decision prevails.(Florentino vs. Rivera,
Available to both G.R. No. 167968, January 23, 2006).
unless the defendant
plaintiff and
presents a
defendant. Promulgation is the process by which a
counterclaim.
decision is published, officially announced, made
The answer fails to known to the public or delivered to the Clerk of
There is no genuine Court for filing, coupled with notice to the parties
tender an issue or
issue between the or their counsel.(Neria vs Com. of Immigration, G.R.
there is an admission
parties. i.e there may No. L-24800 May 27, 1968).
of material
be issues but these
allegations.
are irrelevant. Memorandum Decision is the judgment or
final resolution of the appellate court adopting by
reference the findings of facts and conclusion of
10-day notice 3-days notice
law contained in a decision of the trial
required. required.
court(Francisco vs CA G.R. No. L-57438 January 3,
Available in any
1984).
action except
May be interlocutory annulment of
Judicial Compromise is a judgment based on a
or on the merits. marriage or legal
compromise which has the force of law and is
separation cases.
conclusive between the parties, hence, not
appealable(Inutan et. al. vs. Napan Contracting &
If filed by plaintiff, it Allied Services, G.R. No. 195654, November 25, 2015).
must be filed at any
time after an answer Rendition of Judgment is the act of filing the
is served; if filed by There is already an signed decision with the Clerk of Court.
defendant, may be answer filed.
filed at any time even This includes an amended decision, which is a
before there is an distinct and separate judgment and must follow
answer the established rule(Rule 19, Sec. 2).

3.Q.6. Contents of a Judgment: The power to amend a judgment is inherent to

the court before judgment becomes final and
 Opinion of the court (findings of facts and executory( Manila Banking Coiporationvs. Yan, et al.,
conclusion of law) or ratio decidendi; G.R. No. 128623, July 11, 2002).

 Disposition of the case (contained in the A judgment on the pleadings may be rendered
dispositive portion); and, upon motion of the claimant/plaintiff (Manila
 Signature of the judge.(Rule 36, Sec. 1) Banking Coiporation vs. Yan, et al., G.R. No. 128623,
July 11, 2002).

General Rule: Where there is a conflict between
the fallo and the ratio decidendi, the fallo
controls.
While the case is still on pre-trial, the court may
render a judgment on the pleadings motu proprio
if it finds that such a judgment is proper(Manila
Banking Coiporation vs Yan, et al., G.R. No. 128623,
July 11, 2002).

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Remedial
3.Q.7. Rendition and Final Orders
Rendition of judgments and final orders
Rendition of judgment is the filing of the same
with the clerk of court. It is not the
pronouncement of the judgment in open court
that constitutes the rendition. Even if the
judgment has already been put in writing and
signed, it is still subject to amendment if it has
not yet been filed with the clerk of court and
before its filing does not yet constitute the real
judgment of the court (Ago vs. CA, G.R. No. L-
17898, October 31, 1962).It is not the writing of the
judgment or its signing which constitutes
rendition of the judgment (Castro vs. Malazo, A.M.
No. 1237-CAR, August 21, 1980).
3.Q.8. Entry of judgment or final order
Important Rule: “The date of finality of the
judgment or final order shall be deemed to be
the date of its entry”
Entry of judgment means the recording of the
dispositive part of a judgment or final order by
the clerk of court in the book of entries of
judgments.
A judgment or order becomes final after 15 days,
when no appeal, motion for reconsideration or
motion for new trial is filed. When the judgment
becomes final and executory, such date is
deemed the date of entry of judgment. The
actual date of entry retroacts to the date of the
finality of judgment. (Rule 36, Sec. 2)
Note: Point of reference of the 15 day period:
from receipt or notice of judgment.
Rule of Immutability of Judgment
Under the Doctrine of Immutability of Judgments
(Conclusiveness of Judgment), a judgment that
has attained finality can no longer be disturbed.
The doctrine, which is sometimes referred to as
preclusion of issues or collateral estoppel, holds
that issues actually and directly resolved in a
former suit cannot again be raised in any future
case between the same parties (Riano,Civil
Procedure Vol. 1, 2016,p.487).
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Two-Fold Purpose:
a. To avoid delay in the administration of justice
and, thus, procedurally, to make orderly the
discharge of judicial business; and
b. To put an end to judicial controversies, at the
risk of occasional errors, which is precisely
why courts exist(Marcos vs. Pamintuan, A.M. No.
RTJ-07-2062, January 18, 2011).
General Rule: A final judgment cannot be
modified, EVEN IF the purpose is to correct
perceived erroneous conclusions of the facts or
law(Florentino vs. Rivera, G.R. No. 167968, January
23, 2006).
Exceptions:
a) To make corrections of clerical errors;
b) Not substantial amendments, as by an
amendment nunc pro tunc;
c) To clarify an ambiguity which is borne out by
and justifiable in the context of the decision;
d) Where the judgment is void; or,
e) In judgments for support, it can always be
amended from time to time (Nunal vs. CA G.R.
No. 94005. April 6, 1993).
Manner of assailing judgments
1. Direct attack
a) Before finality
 Motion for Reconsideration / New Trial
 Appeal
b) After finality
 Relief from judgment under Rule 38
 Annulment of Judgment under Rule 47
 Collateral attack
2. Collateral attack - is made when, in
another action to obtain a different relief, an
attack on the judgment is made as an
incident in said judgment. This is proper only
when the judgment, on its face, is null and
void, as where it is patent that the court
which rendered said judgment has no
and

jurisdiction(Co vs. C.A.,G.R. No. 93687 May 6,
1991).
Special Forms of Judgments
 Judgment by Default (Rule 9,Sec. 3);
 Judgment on the Pleadings (Rule 34);
 Summary Judgment (Rule 35);
 Several Judgment (Rule 36);
 Separate Judgment (Rule 36,Sec. 5);
 Special Judgment (Rule 39,Sec. 11);
 Judgment for Specific Acts (Rule 39,Sec. 10);
 Judgment upon Confession;
 Judgment upon Compromise, or on consent or
agreement;
 Clarificatory Judgment;
 Judgment nunc pro tunc.
Several Judgment
This is proper where the liability of each party is
clearly separable and distinct from his co-parties
such that the claims against each of them could
have been the subject of separate suits and the
judgment for or against one of them will not
necessarily affect the other.
This is not proper in actions against solidary
debtors.
Separate Judgments
This is proper where more than one claim for
relief is presented in an action and a
determination as to the issues material to the
claim has been made. The action shall proceed
as to the remaining claims.
Cannot be executed without the other judgment,
EXCEPT with leave of court.
Court must stay the enforcement, until the
rendition of subsequent judgment.
No appeal may be taken from separate
judgment, unless the law allows it.
Purple Notes
Criminal
Remedial
Judgment upon Agreement or Compromise
A compromise agreement between the parties to
a case and upon which the decision of the court
was based has the effect and authority of res
judicata upon such parties.
It is immediately executory. However, such
extrajudicial compromise may not be enforced by
execution. (Art. 2037, New Civil Code)
If the compromise is attended by fraud, mistake
or duress, a motion to set aside the compromise
may be made.
Other remedies include a petition for relief or a
new action to annul the compromise agreement.
Judgment by Confession
This is one which is rendered against a party
upon his petition or consent.
This usually happens when the defendant
appears in court and confesses the right of the
plaintiff to judgment or files a pleading expressly
agreeing to the plaintiff’s demand.(PNB vs. Manila
Oil Refining & By Products Co., G.R. No. L-18103, June
8, 1922)
Two kinds of judgment by confession: (PNB
vs. Manila Oil Refining & By Products Co., G.R. No. L-
18103 June 8, 1922)
1. Judgment by cognovit actionem – the
defendant, after service, instead of entering a
plea, acknowledges and confesses that the
plaintiff’s cause of action was just and rightful
2. Judgment by confession
relictaverificacione– after pleading and
before trial, the defendant both confesses the
plaintiff’s cause of action and withdraws or
abandons his plea or other allegation
whereupon judgment was entered against him
without proceeding to trial.
 Q. Is Consent of the client necessary?
A. Judgment upon confession and
compromise cannot be entered into by
counsel without the knowledge and special
authority of the client (Manufacturer’s Bank
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 Purple Notes
Criminal
and Trust Remedial
Co. vs. Woodworks, Inc., G.R. No. L- motion is filed to set aside the agreement on
29453, Dec. 28, 1970)Q. Is a judgment by the ground of fraud, mistake, or duress, in
compromise appealable? which case, an appeal may be taken against
the order denying the motion (Journalists, Inc.
A. A judgment rendered in accordance with vs. NLRC, G.R. No. 169421, September 5, 2006).
a compromise agreement is not appealable,
and is immediately executory, UNLESS a
Judgment by Confession Distinguished From Judgment upon Compromise

JUDGMENT BY COMPROMISE JUDGMENT UPON CONFESSION

The provisions and terms are settled and agreed
upon by the parties to the action and which is
entered in the record with the consent of the
court(Gadrinab vs. Salamanca,G.R. No. 194560
June 11, 2014).
An affirmative and voluntary act of the defendant
himself. The court exercises a certain amount of
supervision over the entry of judgment (PNB vs. Manila
Oil Refining & By Products Co., G.R. No. L-18103 June
8, 1922).

Clarificatory judgment is a judgment rendered by the court, upon motion, when a judgment
previously rendered is ambiguous and difficult to comply with. (Riano, Civil Procedure Vol. 1, 2016, p.525)

Amended or Clarified Judgment Distinguished From Supplemental Decision

AMENDED OR CLARIFIED JUDGMENT SUPPLEMENTAL DECISION

It is an entirely new decision which supersedes the Does not take the place of or extinguish the original
original judgment. judgment.
Court makes a thorough study of the original Serves to bolster or add to the original judgment.
judgment and renders the amended and clarified
judgment only after considering all the factual and
legal issues(Maramba vs. Lozano, G.R. No. L-21533,
June 29,1967).
in substance or any material respect (Lichauco vs.
Tan Pho G.R. No. L-24930, December 31, 1926).

3.R. POST JUDGMENT REMEDIES

3.R.1. Motion For New Trial or

Reconsideration (Rule 37)

Judgment Nunc Pro Tunc Definition

It literally means judgment rendered by the court The re-hearing of a case previously decided by
“now for then”. the court before the judgment rendered becomes
final and executory, whereby errors of law or
It is rendered to enter or record such judgment irregularities are expunged from the record, or
as has been formerly rendered but does not where new evidence is introduced, or both.
appear on the record.
3.R.1a. Grounds
Its only function is to record some act of the
court which was done at a former time, but
which was not recorded then, in order to make MOTION FOR NEW MOTION FOR
the record speak the truth, without any changes TRIAL RECONSIDERATION
GROUNDS

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 Purple Notes
Criminal
1. Extrinsic fraud, 1. The damages
Remedial
accident, mistake or awarded are It is to be distinguished from intrinsic fraud which
excusable excessive; refers to the act of a party in a trial which
negligence (FAME) 2. The evidence is prevented a fair and just determination of the
which ordinary insufficient to satisfy case and which could have been litigated and
prudence could not the decision or final determined at the trial or adjudication of the
have guarded order; or case, such as falsification, false testimony, and so
against and by 3. The decisionor final forth, and does not constitute a ground for new
reason of which the order is
trial.
rights of the contrary(Rule 37,
aggrieved party was Sec. 1).  Accident
impaired; or
2. Newly discovered It is an event beyond the control of the party.
evidence, which
could not, with There is accident when there is an actual surprise
reasonable diligence, incident preventing one from attending the trial.
have been
discovered and
produced at the  Mistake
trial, and which if
presented, would Mistake generally refers to mistake of facts but
probably alter the may also include mistakes of law where, in good
result (Rule 37, Sec. faith, the defendant was misled in the case.
1).
EFFECT AS TO GRANTING
General Rule: A client is bound by the mistakes
The original judgment If the court finds that
or final order shall be excessive damages have of his counsel.
vacated, and the been awarded or that
action shall stand for the judgment or final Exception:The client is not bound if the
trial de novo. (Rule 37, order is contrary to the application of the general rule would result in
Sec. 6) evidence or law, it may serious injustice(Villa Rhecar Bus vs. De la Cruz, G.R.
amend such judgment No. L-78936 January 7, 1988).
or final order
accordingly. (Rule 37,  Excusable Negligence
Sec. 3)
Negligence must be excusable and generally
EFFECT AS TO DENIAL imputable to the party, but the negligence of the
The movant has a “fresh period” of 15 days from counsel is binding on the client(City of Dagupan vs.
receipt or notice of the order denying or Maramba, G.R. No. 174411, July 2, 2014) . However,
dismissing the motion for new trial. (Neypes vs. negligence of the counsel may also be a ground
Court of Appeals, supra)
for new trial if it was so great such that the party
was prejudiced and prevented from fairly
Motion for New Trial presenting his case.
a) Fraud, accident, mistake and excusable b) Newly Discovered Evidence
negligence (FAME)
 Q. What is “The Berry Rule”?
Intentional omission of a fact necessary to
establish the truth. A. Which could not, with reasonable
diligence, have been discovered and
Fraud produced at the trial and which, if
Fraud must be extrinsic or collateral, i.e., the kind presented, would probably alter the
of fraud that prevented the aggrieved party from result. The Berry Rule (Berry vs. State of
having a trial or presenting his case to the court, Georgia, 1891)
or was used to procure the judgment without fair
submission of the controversy.

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 Purple Notes
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Remedial
Before a new trial may be granted on the ground
of NEWLY DISCOVERED EVIDENCE, the
following must be shown: (ANMaW)
1. The evidence was discovered After trial;
2. Such evidence could Not have been
discovered and produced at the trial even
with the exercise of reasonable diligence;
3. The evidence is Material and not merely
corroborative, cumulative or impeaching;
and,
4. The evidence is of such Weight that it would
probably change the judgment if admitted
(Custodio vs. Sandiganbayan, G.R. Nos. 96027-28,
March 08, 2005)
Two Aspects of Newly Discovered Evidence:
Temporal – when was the evidence discovered;
Predictive –when should or could it have been
discovered (with the exercise of due diligence).
 Q. When is evidence considered as newly
discovered?
A. For evidence to be considered as newly
discovered, it is essential that the offering
party exercised reasonable diligencein
seeking to locate such evidence before or
during trial, but nonetheless failed to secure
it; not so much the time when the evidence
offered first sprang into existence nor the
time when it first came to the knowledge of
the party now submitting. (Custodio vs.
Sandiganbayan,G.R. Nos. 96027-28,
March 08, 2005).
A motion for new trial or for reconsideration, if
timely filed, will toll the running of the
reglementary period for appeal except when the
same is pro-forma.
Note: When the ground is FAME, the motion
must be supported by an affidavit of merit. When
the ground relied upon is newly discovered
evidence, no affidavit of merit is required.
Instead, it shall be supported by affidavits of
witnesses or by duly authenticated documents.
Grounds for Motion for Reconsideration
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The aggrieved party may move for motion for
reconsideration on the following grounds: (DIC)
a) That the Damages awarded are excessive;
b) That the evidence is Insufficient to justify the
decision or final order; or
c) That the decision of final order is Contrary to
law (Rule 37, Sec. 1).
3.R.1b. When to file
Motion for new trial or Motion for reconsideration
must be filed within the period for taking an
appeal.(Rule 37, Sec. 1)
 Appeal by Notice of Appeal - 15 days after
notice to the appellant of the judgment or
final order appealed from.
 Appeal by Record on Appeal - 30 daysfrom
notice of the judgment or final order.
Notes:
 A motion for new trial shall include all grounds
then available and those not so included shall
be deemed waived.
 A second Motion for New Trial is permitted
when based on a ground neither existing, nor
available when the first motion was made. A
second Motion for Reconsideration is NOT
allowed (Rule 37,Sec. 5).
 Where a party first filed a motion for
reconsideration, he shall be entitled to
another 15 days within which to file a motion
for new trial from notice of denial of his
motion for reconsideration. The 15 day period
does not include that which have elapsed
from the notice of judgment to the time when
the motion for reconsideration was filed.
 Motion for New Trial or Motion for
Reconsideration that does not comply with the
requirements of notice of hearing and proof of
service does not also toll the reglementary
period of appeal. (Cledra vs. Sarmiento, G.R. no.
L-32450-51, June 10, 1971).
Contents of Motion for New Trial
The motion shall be made in writing, stating the
ground thereof, and a written notice of which
shall be served by the movant on the adverse
party.
and

If the motion is based on FAME, it shall be
supported by Affidavit of Merit.
If the motion is based on newly discovered
evidence, it shall be supported by the affidavits
of the witnesses by whom such evidence is
expected to be given, or by duly authenticated
documents which are proposed to be introduced
by evidence. (Rule 37, Sec. 2)
Pro Forma Motion for New Trial
 Q. What is Pro Forma Motion for New Trial?
A.It is one which merely reiterates the
evidence presented in the trial (Llantero vs. CA,
G.R. no. L-28421. July 20, 1981) or based on
grounds existing when the first motion was
filed. (Cruz vs. Villaluz, G.R. no. L-41684. February
21, 1979).
When Motion for New Trial is Considered
Pro Forma
1. Based on the same grounds as that raised in a
preceding motion for new trial or
reconsideration already denied;
2. Contains the same arguments and manner of
discussion appearing in the prior opposition to
the granted motion to dismiss;
3. New ground alleged in the motion for new
trial already existed and was available and
could have been alleged in the first motion for
new trial which was denied;
4. Based on ground of insufficiency of evidence
or that the judgment is contrary to law but
does not specify the supposed defects in the
judgment; or
5. It is based on the ground of FAME but does
not specify the facts constituting these
Purple Notes
Criminal
grounds
Remedial
and/or is not accompanied by an
affidavit of merits.
Pro Forma Motion For Reconsideration
It is one which fails to point out specifically the
findings or conclusions of the judgment or final
order which are not supported by evidence or
which are contrary to law, making express
reference to the testimonial or documentary
evidence or to the provisions of law alleged to be
contrary to such findings or conclusion(Riano, Civil
Procedure, Volume I, 2016, pg. no. 506).
Notes:
 A pro forma motion for new trial or
reconsideration shall NOT toll the
reglementary period of appeal already
stated(Riano, Civil Procedure, Volume I, 2016, pg.
no. 507).
 Pro Forma rule is not applicable in criminal
cases.
When Motion for Reconsideration is
Considered Pro Forma
1. it was a second motion for reconsideration;
2. It did not comply with the rule that the
motion must specify the findings and
conclusions alleged to be contrary to law or
not supported by the evidence;
3. It failed to substantiate the alleged errors;
4. It merely alleged that the decision in
question was contrary to law; or
5. The adverse party was not given notice
thereof. (Philippine National Bank vs. Paneda,
G.R. No. 149236, February 14, 2007)
Affidavit of Merit states:
a.) The nature or character of the fraud,
accident, mistake, or excusable negligence
on which the motion for new trial is based;
b.) The facts constituting the movant’s good and
substantial and valid defenses are valid
causes of action; and
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 Purple Notes
Criminal
c.) Remedial
The evidence of which he intends to present
if his motion is granted (Niguid vs. Carino, G.R.
no. L-12379. June 31, 1958).
Instances when Affidavit of Merit May Be
Dispensed With:
 When the judgment is null and void;
 When the judgment is procedurally defective;
and
 When the defendant was unreasonably
deprived of his day in court.
Motion for Reconsideration
Purpose: to reconsider or amend judgment or
final order.
Where to File: with the trial court which
rendered the judgment or final order sought to
be reconsidered.
 The Motion for Reconsideration shall be in
writing and notice thereof must be given to
the adverse party. It must also contain a
notice of hearing. In other words, it must
comply with the rules on motion. If it does
not, it will be considered only a pro forma
motion and will not have the effect of
suspending or interrupting the period to
appeal. The suspension of the period for
appeal presupposes that the motion is not
pro forma.
 The Motion for Reconsideration shall point
out specifically the findings or conclusion of
the judgment not supported by the evidence
or which are contrary to law. Mere general
assertions that a ground for reconsideration
exists will not suffice, otherwise the motion
shall be deemed a pro forma motion (Riano,
Civil Procedure, Volume I, 2016, Pp. 506-507).
Motion for New Trial or Reconsideration,
when prohibited
A Motion for New Trial, or for Reconsideration of
a judgment, or for reopening of trial, is a
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prohibited motion under Section 19 of the
Revised Rule on Summary Procedure. This rule,
however, applies only where the judgment
sought to be reconsidered is one rendered on the
merits. "The motion prohibited by this Section is
that which seeks reconsideration of the judgment
rendered by the court after trial on the merits of
the case." (Lucas vs. Fabros A.M. No. MTJ-99-1226,
January 31, 2000)
3.R.1c. Denial of the Motion; Effects
The order denying aMotion for New Trial or
Motion for Reconsideration is not appealable, the
remedybeing an appeal from the judgment or
finalorder (Rule 37,Sec. 9).
The movant has a freshperiod of fifteen days
from receipt or notice ofthe order denying or
dismissing the motion forreconsideration within
which to file a notice ofappeal.
When the motion for new trial is denied on the
ground of fraud, accident, mistake of fact or law,
or excusable negligence, the aggrieved party can
no longer avail of the remedy of petition for relief
from judgment (Francisco vs. Puno, G.R. No. L-55694
October 23, 1981).
3.R.1d. Granting of Motion; Effect
Effect of granting MR
If the courts grants the motion of reconsideration
and finds that excessive damages have been
awarded or that the judgment or final order is
contrary to the evidence or law, it may amend
such judgment or final order accordingly (Rule
37,Sec. 3).
The amended judgment in in the nature of a new
judgment which supersedes the original
judgment. It is not a mere supplemental decision
which does not supplant the original but only
serves to add something to it (Esquivel vs. Alegre,
G.R. No. 79425, April 17, 1989).
Effect of granting MNT
and

The original judgment shall be vacated, and the
action shall stand for trial de novo; but the
recorded evidence taken upon the former trial, in
so far as the same is material and competent to
establish the issues, shall be used as the new
trial without re-taking the same(Rule 37,Sec. 6).
Partial New Trial or Reconsideration
If the grounds for a motion under thus Rule
affect the issues as to only a part, or less than all
of the matters in controversy, or only one, or less
than all of the parties to it, the court may order a
new trial or grant reconsideration as to such
issues, without interfering with the judgment or
final order upon the rest. (Rule 37,Sec. 7)
Upon issuance of an order for partial new trial,
the court may either:
 Enter judgment or final order as to the rest;
or
 Stay the enforcement of such judgment or
final order until after the new trial.
Where one party files a Motion for New Trial or
Reconsideration and the other party seeks to
perfect an appeal from the said decision, the
court should withhold action on the appeal until
after the Motion for New Trial or Reconsideration
shall have been resolved.
3.R.1e. Remedy when Motion is Denied;
Fresh 15-Day Period Rule
An order denying a motion for new trial or
reconsideration is not appealable. The
remedybeing an appeal from the judgment or
finalorder (Rule 37, Sec. 9).
 The “Fresh Period Rule”-? If the Motion
for Reconsideration or Motion for New Trial
is denied, the movant has a new period of
15 days to file an appeal if he so desires,
counted from the receipt of the notice or
order denying the motion. Hence, if he files
a Motion for reconsideration on the 10th day
from notice of the judgment and the motion
is denied, he does not have only the
remainder of the 15-day period to appeal,
but a fresh period of 15 days to to file his
appeal (Neypes vs. CA, supra).
Purple Notes
Criminal

Remedial
Q. Does the Is Fresh Period Rule applyies to
non-judicial proceedings?
A.the "fresh period rule" in Neypes applies
only to judicial appeals and not to
administrative appeals. Appeal from a
decision of the HLURB Board of
Commissioners to the OP, is not judicial but
administrative in nature; thus, the "fresh
period rule" in Neypes does not apply. (San
Lorenzo Ruiz Builders And Developers Group, Inc.
vs. Bayang., G.R. No. 194702, April 20, 2015)
 Q. Does theIs Fresh Period Rule also
applyies to Criminal Cases?
A.While Neypes involved the period to
appeal in civil cases, the Court's
pronouncement of a "fresh period" to appeal
should equally apply to the period for appeal
in criminal cases under Section 6 of Rule 122
of the Revised Rules of Criminal Procedure.
(Yu vs. Samson-Tatad, G.R. No. 170979,
February 09, 2011)
3.R.2 APPEALS IN GENERAL
 Q. What is an appeal?
A. It is a settled rule that the right to appeal
is neither a natural right nor a part of due
process; it is merely a statutory privilege,
and may be exercised only in the manner
and in accordance with the provisions of law
(Fenequito vs. Vergara, Jr., G.R. No. 172829, July
18, 2012).
Right to Appeal
The right to appeal is not a constitutional right,
natural of inherent right. It is a statutory privilege
and of statutory origin. It is available only if
granted or as provided by statutes (Sps. Lee vs.
LBP, G.R. No. 218867, February 17, 2016).
3.R.2a. Judgements and Final Orders
Subject to Appeal
What may be appealed
An appeal may be taken from a judgment or final
order that completely disposes of the case, or of
a particular matter therein when declared by

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 Purple Notes
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these Rules to Remedial
be appealable . (Rule 41, Sec.1, par 6. A judgment or final order for or against one
1).Only a judgment or final order that completely or more of several parties or in separate
disposes of a case or of a particular matter claims, counterclaims, cross-claims and third-
therein when declared by the Rules of Court to party complaints, while the main case is
be appealable may be the subject of an appeal. pending, unless the court allows an appeal
there from;
Final Order – one which disposes of the whole 7. An order dismissing an action without
subject matter or terminates a particular prejudice (Rule 41, Sec.1 par 2, asamended by
proceeding or action, leaving nothing to be done A.M. No. 07-7·12-SC););
by the court (or quasi-court) but to enforce by 8. Judgment of direct contempt. (Rule 71, Sec.
execution what has been determined (Neypes vs. 2);
CA, supra). 9. An order denying a motion for new trial or
motion for reconsideration by way of Rule 65,
Interlocutory Order – An order which does not as per A.M. No. 07-7-12-SC (Riano, Civil
disposed of the case but leaves something else to Procedure Vol. I, 2016 ed., P.524)
be done by the trial court on the merits of the
case. Note: However, as of December 27, 2007, an
aggrieved party may no longer assail an order
FINAL denying a motion for new trial or a motion for
INTERLOCUTORY
JUDGMENT/
ORDER
reconsideration by way of Rule 65 as per A.M.
ORDER No. 07-7-12-SC, such ground having been
Disposes of a case, Does not end the removed from the enumeration in Sec.1 of Rule
leaving nothing more to court’s task of 41. The proper remedy is to appeal from the
be done by the court in adjudicating the parties’
judgment (Rule 37,Sec. 9).
respect thereto. contentions and
determining their rights
and liabilities as regards 3.R.2c. Remedy Against Judgments and
each other. Orders Which are not Appealable
Appealable. May not be questioned
on appeal. In those instances where the judgment or the
Must clearly and Need not comply with final order is not appealable, the aggrieved party
distinctly set forth the such requirement. may file the appropriate special civil action under
facts and law upon rule 65 (Rule 41, Section 1).This refers to the
which it is based. special civil actions of certiorari, prohibition and
(Riano, Civil Procedure Volume I, 2016, Pp. 483-484)
mandamus.

3.R.2b. Matters Not Appealable Remedy against an order of execution;

Matters not Appealable, as amended by A.M.
No. 07-7-12-SC, 27 Dec. 2007, Sec.1, Rule 41 -
removed- Order denying a motion for
reconsideration and new trial):
exceptions
 Q. What is the exception to the rule that
parties are not allowed to object to the
execution of a final judgment?

1. An order denying a petition for relief or any
similar motion seeking relief from judgment;
2. An interlocutory order;
3. An order disallowing or dismissing an appeal;
4. An order denying a motion to set aside a
judgment by consent, confession or
compromise on the ground of fraud, mistake
or duress, or any other ground vitiating
consent;
5. An order of execution;
162
A. As a rule, parties are not allowed to
object to the execution of a final
judgment.One exception is when the terms
of the judgment are not clear enough and
there remains room for its interpretation. If
the exception applies, the respondents may
seek the stay of execution or the quashal of
the writ of execution. Although an order of
execution is not appealable, an aggrieved
party may challenge the order of

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execution via an appropriate special civil
action under Rule 65 of the Rules of Court
(Orix Metro Leasing and Finance Corporation vs.
Cardline, Inc., G.R. No. 201417, January 13,
2016).
DOCTRINE OF FINALITY OR
IMMUTABILITY OF FINAL JUDGMENT
Decisions which attained finality can no longer be
altered, amended or modified, even if the
alteration, amendment or modification was
meant to correct what was perceived to be an
erroneous conclusion of fact or of law and
regardless of what court, be it the highest Court
of the land, rendered it (Gadrinab vs. Salamanca,
G.R. no. 19450. June 11, 2014).
Exceptions
Doctrine of immutability of a final judgment may
be relaxed only to serve the ends of substantial
justice in order to consider certain circumstances
like:
1. matters of life, liberty, honor or property;
2. the existence of special or compelling
circumstances;
3. the merits of the case;
4. the cause not being entirely attributable to the
fault or negligence of the party favored by the
suspension of the doctrine;
5. the lack of any showing that the review
sought is merely frivolous and dilatory; or,
6. the other party will not be unjustly prejudiced
by the suspension(Abrigo vs. Flores, G.R. No.
160786, June 17, 2013).
Supervening event
A supervening event consists of facts that
transpire after the judgment became final and
executory, or of new circumstances that develop
after the judgment attained finality, including
matters that the parties were not aware of prior
to or during the trial because such matters were
not yet in existence at that time.
Supervening event is an exception to the
execution as a matter of right of a final and
immutable judgment rule, ONLY IF it directly
affects the matter already litigated and settled, or
substantially changes the rights or relations of
the parties therein as to render the execution
Purple Notes
Criminal
unjust,
Remedial
impossible or inequitable (Lomondot vs.
Balindong, G.R. No. 192463, July 13, 2015).
3.R.2d. Modes of Appeal
The three modes of appeal are:
1. Ordinary appeal (Rules 40 and 41)
2. Petition for review (Rules 42 and 43)
3. Appeal by Certiorari (Rule 45)
i. Ordinary Appeal
Kinds
1. Notice of appeal (15 Day period)
2. Record on appeal (30 Day period)– only in
cases of special proceedings and other
cases of multiple or separate appeals
where law on these Rules so require.
Applicable to:
1. Appeal to the RTC in cases decided by the
MTC under Rule 40
2. Appeal to the Court of Appeals in cases
decided by RTC in the exercise of original
jurisdiction under Rule 41
3.
4.
ii. Petition for Review
Applicable to:
1. Appeal to the Court of Appeals in cases
decided by the Regional Trial Court in the
exercise of its appellate jurisdiction under Rule
42.
2. Appeal to the Court of Appeals in cases
decided by Quasi-judicial Bodies under Rule
43.
iii. Appeal By Certiorari
Applicable to:
All cases where only questions of law are raised
or involved. The appeal shall be to the Supreme
Court by petition for review on certiorari in
accordance with the Rule 45 (Rule 41, Sec. 2).
a. RTC to SC (Rule 41, Sec. 1[c])
b. CA to SC (Rule 45, Sec. 1)
c. Sandiganbayan to SC (Rule 45, Sec. 1)
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 Purple Notes
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d. CTAEn BancRemedial
to SC(Rule 45, Sec. 1) b) It affects validity of the judgment appealed
e. Appeal from judgment or final order in a from;
petition for Writ of Amparoto SC(Sec. 19, The c) It affects the validity of the proceedings;
Rules on the Writ of Amparo) d) It is related to or dependent on an assigned
f. Appeal from judgment or final order in a error, and properly argued in the brief; or
petition for Writ of Habeas Datato SC (Sec. 19, e) It is a plain and clerical error (Rule 51, Sec. 8).
AM No. 08-1-16-SC)
g. Appeal from judgment or final order in a Note: The court is imbued with sufficient
petition for Writ of Kalikasanto SC (Sec. 16, authority and discretion to review matters, not
Rule 7, AM No. 09-6-8-SC) otherwise assigned as errors on appeal, if it finds
that the consideration is necessary in arriving at
Note: An appeal from judgment in a petition for a complete and just resolution of the case or to
a writ of amparo may raise not only questions of serve the interests of justice or to avoid
law but also questions of facts, or both questions dispensing piecemeal justice (Asian Terminals, Inc.
of law and fact (Sec 19, The rules of the Writ of vs.QUESTION
NLRC, G.R. No. 158458, December
OF LAW 19, 2007)
QUESTION .
OF FACT
Amparo; Riano, 2016).
Doubt or controversy as Doubt or difference
to what the law is on arises as to the truth or
3.R.2e. Issues to be Raised on Appeal
certain facts. falsehood of facts, or as
to probative value of the
Modes of Appeal Issues to be Raised evidence presented.
Ordinary appeal (MTC Questions of fact or mixed Appellate court can The determination
to RTC) questions of fact and law. determine the issue involves evaluation or
Ordinary appeal (RTC Question of law or fact raised without reviewing review of evidence.
to CA) that has been raised in or QUESTION
evaluatingOF LAW the QUESTION OF FACT
the court below and which Doubt
evidence. or controversy Doubt or difference arises
is within the issues as to
Can what questions
involve the law is of asQuery
to the truth or
invites the
framed by the on certain facts.
interpretation of the law falsehood
calibration of theor whole
of facts, as
parties(Riano, Civil with respect to certain toevidence
probative value of the
considering
Procedure Volume I, set of facts. evidence presented.
mainly the credibility of
2016, P. 547). Appellate court can The determination
witnesses, existence and
Petition for Review Questions of fact, of law, determine the issue involves evaluation
relevancy of or specific
(RTC to CA) or mixed questions of fact raised without review of evidence.
surrounding
and law(Riano, Civil reviewing or circumstances and
Procedure Volume I, evaluating the relation to each other
2016, P. 541). evidence. and the whole
Petition for Review Questions of fact, of law, Can involve questions Query invites the of
probabilities the
(Quasi-judicial bodies or mixed questions of fact of interpretation of calibration
situation. of the whole
to CA) and law(Riano, Civil the law with respect evidence considering
Procedure Volume I, to certain set of facts. mainly the credibility of
2016, Pp. 563-564). witnesses, existence and
Appeal by Certiorari Only questions of law relevancy of specific
(Riano, Civil Procedure surrounding
Volume I, 2016, P. 548- circumstances and
549). relation to each other
and the whole
General Rule: No error will be considered by probabilities of the
situation.
the appellate court unless stated in the
assignment of errors.

Exception: The court may consider the following

even if not raised in the assignment of errors:

a) It affects the jurisdiction over the subject

matter;
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 Purple Notes
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Notice of Within 15 With the
appeal Rule 40 days after court
and 41 notice to that
the rendered
appellant of the
the judgment
judgment or or final
final order order
(Riano, Civil Procedure Volume I, 2016, P. 84) appealed appealed
from. from.
Participation of the Solicitor General during
appeal
Record Rule 40 Within 30 With the
The OSG, as principal law officer and legal on and 41 days after court
defender of the government, possesses the appeal notice of that
unequivocal mandate to appear for and in its (Note: in the rendered
behalf in legal proceedings. such judgment or the
cases, a final order judgment
Described as an "independent and autonomous notice of
or final
appeal
office attached to the Department of Justice" order
AND
under Sec. 34, Book IV, Title III, Chapter 12, appealed
record on
Executive Order 292,the OSG, with the Solicitor appeal from.
General at its helm, is vested with the following shall be
powers and functions, among others, to wit: file)
Petition Rule 41, Within 15 With the
SECTION 35. Powers and Functions.—The for 42, 43 days from proper
Office of the Solicitor General shall represent the Review notice of court in
Government of the Philippines, its agencies and the decision the
instrumentalities and its officials and agents in sought to exercise
any litigation, proceeding, investigation or matter be reviewed of its
requiring the services of a lawyer. When or of the appellate
authorized by the President or head of the office denial of the jurisdictio
concerned, it shall also represent government- petitioner’s n (RTC or
owned or controlled corporations. The Office of motions for CA)
the Solicitor General shall constitute the law new trial or
office of the Government and, as such, shall consideratio
discharge duties requiring the services of a n.
lawyer. It shall have the following specific powers
and functions: Note: for
petitions
(1) Represent the Government in the Supreme filed under
Court and the Court of Appeals in all criminal Rule 43, the
proceedings; represent the Government and its 15-day
officers in the Supreme Court, the Court of period is
Appeals, and all other courts or tribunals in all reckoned
civil actions and special proceedings in which the from notice
Government or any officer thereof in his official of the
capacity is a party. xxx award,
judgment,
3.R.2f. Periods for Appeal (Rule 41,Sec. 3) final order
or
Pleadin Applicabl resolution
When Where
g e Rules or from the

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 Purple Notes
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Remedial
date of its
last A. The 15-day reglementary period for
publication, appealing or filing a motion for
if required, reconsideration or new trial cannot be
or of the extended, EXCEPT in cases before this Court,
denial of the as one of last resort, which may, in its sound
petitioner’s discretion, grant the extension requested
motions for (Estinozo vs. CA, G.R. No. 150276, February 12,
new trial or 2008).
consideratio
n.
Petition Rule 45 Within 15 Supreme
for days from Court
Review notice of
on judgment or Appeal by Record on Appeal
Certiora final order
ri or Where a record on appeal is required, the
resolution appellant shall file a notice of appeal and a
appealed record on appeal within thirty (30) days after
from, or of notice of judgment or final order(Rule 40, Sec. 2;
the denial of Rule 41, Sec 3).
the
petitioner’s
Notice of Appeal Record on Appeal
motions for
The appeal is taken A record on appeal
new trial or by filing a notice of shall be required only
consideratio appeal with the in special proceedings
n. court that rendered and in other cases of
the judgment or multiple or separate
final order appealed appeals (Rule 40, Sec.
from and copies are 3).
Period to file Notice of Appeal under Rule served on the
400 and 41, 41, 42, 43, and 45 adverse party(Rule
40, Sec. 3).
Within 15 days after Within 30 days from
An appeal may be taken within fifteen (15) days notice to the notice of the judgment
after notice to the appellant of the judgment or appellant of the or final order.
final order appealed from. judgment or final
order appealed
Notes: from.
Deemed perfected Deemed perfected as
 Appeal in habeas corpus cases shall be taken as to him upon the to appellant with
within forty-eight (48) hours from notice of filing of the notice respect to the subject
of appeal in due matter upon the
the judgment or final order appealed from
time. approval of the record
(Rule 41, Sec. 3). on appeal filed in due
time.
 Period to appeal shall be interrupted by a Court loses Court loses jurisdiction
timely Motion for New Trial or jurisdiction over only over subject
Reconsideration. case upon matter upon approval
perfection of the of records on appeal
 Q. May the 15-day reglementary period for appeals filed in due filed in due time and
appealing or filing a motion for time and expiration expiration of the time
of time to appeal of to appeal of other
reconsideration or new trial be extended?
other parties parties.
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3.R.2g. Perfection of Appeal(Rule 41, Sec. 9)
Perfection of the appeal within the statutory or
reglementary period is not only mandatory but
also jurisdictional, and failure to do so renders
the questioned decision final and executory,
depriving the appellate court or body of
jurisdiction to alter the final judgment, much less
to entertain the appeal(Florentino Pedrosa vs. Sps.
Hill, G.R. No. 120804, June 14, 1996).
Purple Notes
Criminal
Remedial
Notes:
 Prior to the transmittal of the original record
or the record on appeal to the appellate
court, the trial court may, motu proprio or on
motion, dismiss the appeal for having been
taken out of time or for non-payment of the
docket and other lawful fees within the
reglementary period (Rule 41, Sec. 13, as
amended by A.M. No. 00-2-10-SC, May 1, 2000).
 After an appeal to the RTC has been
perfected, the MTC loses its jurisdiction over
the case and any motion for the execution of
the judgment should be filed with the RTC.
 The Summary Rules no longer apply when
the case is on appeal.

Mode of When  Q. Is it necessary to obtain the court’s

Effect approval for the perfection of appeal?
Appeal Perfected
By Notice of Deemed The court loses
Appeal perfected as to jurisdiction over A. The notice of appeal does not require the
a party upon the case upon approval of the court. The function of the
the filing of the the perfection of notice of appeal is merely to notify the trial
notice of the appeal filed court that the appellant was availing of the
appeal in due in due time
right to appeal, and not to seek the court’s
time and andthe
permission that he be allowed to pose an
payment of the expiration of the
required time to appeal of appeal (Crisologo vs. Daray, A.M. No. RTJ-07-
docket fee and the other parties. 2036, August 30, 2006).
other lawful
fees.  Q. When is the Perfection of appeal within
Appeal by Deemed The court loses the reglementary period not jurisdictional?
Record on perfected as to jurisdiction only
Appeal a party with over the subject A. Perfection of appeal within the
respect to the matter upon the reglementary period is jurisdictional except
subject matter approval of the when there has been extrinsic fraud,
thereof, upon records on
accident, mistake, or excusable negligence
the approval of appeal filed in
the record on due time andthe (FAME) (Habaluyas vs. Japson, G.R. No. 70895,
appeal filed in expiration of the May 30,1986).
due time and time to appeal of
upon payment the other parties Appellate court docket and other lawful
of the fees
appellate court  
docket fee. Within the period for taking an appeal, the
Appeal by Deemed RTC loses appellant shall pay to the clerk of the court which
Petition for perfected upon jurisdiction over rendered the judgment or final order appealed
Review the timely filing the case upon
from the full amount of the appellate court
of a petition for the perfection of
review and the the appeal and docket and other lawful fees. Proof of payment
payment of the the expiration of thereof shall be transmitted to the appellate court
corresponding the time to together with the original record or the record on
docket and appeal of the appeal, as the case may be(Riano, Civil Procedure
other lawful other parties. Volume I, 2016 ed., P. 532).
fees.

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 Purple Notes
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 Q. Is Remedial
the payment of docket fee
jurisdictional?
A. Payment of docket fee is jurisdictional.
The failure to pay appellate court docket fee
within the reglementary period allows only
discretionary dismissal and not automatic
dismissal, of the appeal. Such power should
be used in the exercise of the court’s sound
discretion (Republic vs. Spouses Luriz, GR No.
158992, January 26, 2007).
 Q. What is the effect of non-payment of
appellate docket fees?
A.Payment in full of docket fees within the
prescribed period is mandatory. It is an
essential requirement without which the
decision appealed from would become final
and executory as if no appeal had been
filed. Failure to perfect an appeal within the
prescribed period is not a mere technicality
but a jurisdictional defect and failure to
perfect an appeal renders the judgment final
and executory. (M.A. Santander Construction,
Inc. vs. Villanueva, 441 SCRA 525).Payment of
the full amount of the docket fee is an
indispensable step for the perfection of an
appeal. X xx appeal is not perfected if only a
part of the docket fee is deposited within the
reglementary period and the remainder is
tendered after the expiration of the period
(Saint Louis University, Inc vs. Cobarrubias, G.R.
No. 187104, August 3, 2010).
Duty of the Clerk of Court of Lower Court
upon Perfection of Appeal under Rule 41
Within thirty (30) days after perfection of all the
appeals, it shall be the duty of the clerk of court
of the lower court:
1. To verify the correctness of the original
record or the record on appeal, as the case
may be, and to make a certification of its
correctness;
2. To verify the completeness of the records
that will be transmitted to the appellate
court;
3. If found to be incomplete, to take such
measures as may be required to complete
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the records, availing of the authority that he
or the court may exercise for this purpose;
4. To transmit the records to the appellate
court.If the efforts to complete the records
fail, he shall indicate in his letter of
transmittal the exhibits or transcripts not
included in the records being transmitted to
the appellate court, the reasons for their
non-transmittal, and the steps taken or that
could be taken to have them available; and
5. The clerk of court shall furnish the parties
with copies of his letter of transmittal of the
records to the appellate court(Rule 41, Sec.10).
Residual jurisdiction:
 Species of jurisdiction that the trial courts
have over cases they have decided
subsequently brought up.
This power of the court materializes upon the
perfection of the appeals by the parties or
upon the approval of the records on appeal,
but prior to the transmittal of the original
records or the records on appeal. In either
instance, the trial court still retains its so-
called residual jurisdiction.
The CA’s motu proprio dismissal of
petitioner’s Complaint could not have been
based, therefore, on residual jurisdiction
under Rule 41. What the CA referred to as
residual prerogatives were the general
residual powers of the courts to dismiss an
action motu proprio upon the grounds
mentioned in Section 1 of Rule 9 of the Rules
of Court and under authority of Section 2 of
Rule 1 of the same rules (Katon vs. Palanca,
Jr., et al., G.R. No. 151149, September 7, 2004).
Residual powers of the court prior to the
transmittal of the original record or record
on appeal:
Perfection of the appeal by one party does not
operate to deprive the trial court of jurisdiction
over the case. The trial court still has the
authority to: (PC-POW)
and

a. Issue orders for the Protection and
preservation of the rights of the parties which
do not involve matters litigated by appeal;
b. Approve Compromise prior to the transmittal
of the record;
c. Permit appeal by an indigent;
d. Order execution pending appeal under
Section 2, Rule 39; and
e. Allow Withdrawal of the appeal (Rule 41, Sec.
9).
3.R.2h.Appeal from Judgments or Final
Orders Of The MeTC/MTC/MTCC/ MCTC
Where to Appeal
An appeal from a judgment or final order of a
MTC shall be taken to the RTC exercising
jurisdiction over the area which the former
pertains (Rule 40, Sec.1).
Note: The appeal is taken by filing a notice of
appeal with the court that rendered the
judgment, which is the MTC. Do not file the
notice of appeal with the RTC.
How to Appeal (Rule 40, Sec. 3)
 By Notice of Appeal
1. By filing a notice of appeal with the court
that rendered the judgment or final order
appealed from;
2. The notice of appeal shall indicate: (PJM)
a. the Parties to the appeal;
b. the Judgment or final order or part
thereof appealed from; and
c. The Material dates showing the
timeliness of the appeal.
3. Copies of the notice of appeal shall be served
on the adverse party;
4. Payment of the full amount of the appellate
court docket and other fees.
 By Record on Appeal
1. It shall be required only in special
proceedings and in other cases of multiple or
separate appeals.
2. The form and contents of the record on
appeal shall contain:
Purple Notes
Criminal
a. The full
Remedial
names of all the parties to the
proceedings shall be stated in the caption
of the record;
b. Include the judgment or final order from
which the appeal is taken;
c. In chronological order, copies of only
such pleadings, petitions, motions and all
interlocutory orders as are related to the
appealed judgment or final order for the
proper understanding of the issue
involved;
d. Together with such data as will show that
the appeal was perfected on time.
e. Every record on appeal exceeding twenty
(20) pages must contain a subject index.
3. Copies of the record on appeal shall be
served on the adverse party; and
4. Payment of the full amount of the appellate
court docket and other fees.
Notes:
 If an issue of fact is to be raised on appeal,
the record on appeal shall include by
reference all the evidence, testimonial and
documentary, taken upon the issue involved.
The reference shall specify the documentary
evidence by the exhibit numbers or letters by
which it was identified when admitted or
offered at the hearing, and the testimonial
evidence by the names of the corresponding
witnesses(Spouses Lebin vs. Mirasol, G.R. no.
164255. September 7, 2011).
 If the whole testimonial and documentary
evidence in the case is to be included, a
statement to that effect will be sufficient
without mentioning the names of the
witnesses or the numbers or letters of
exhibits(Spouses Lebin vs. Mirasol, G.R. no.
164255. September 7, 2011).
Duty of the Clerk of Court
Within fifteen (15) days from the perfection of
the appeal, the clerk of court or the branch clerk
of court of the lower court shall transmit the
original record or the record on appeal, together
with the transcripts and exhibits, which he shall
certify as complete, to the proper Regional Trial
Court. A copy of his letter of transmittal of the
records to the appellate court shall be furnished
the parties(Rule 40, Sec. 6).
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Submission of the Memorandum
By the Appellant: Within 15 days from the
notice issued by the clerk of court upon receipt of
the complete record or the record on appeal, the
appellant shall file/submit a memorandum which
shall briefly discuss the errors imputed to the
lower court, copy of which shall be furnished to
the appellee. Failure to so file shall be a ground
for the dismissal of the appeal (Rule 40,Sec.7[b]).
By the Appelle:Within 15 days from the receipt
of appellants’s memorandum, the appellee may
file his memorandum (Rule 40,Sec.7[b]). The filing
of appellee’s memorandum is not mandatory.
Note:The case shall be deemed submitted for
decision upon the filing of the memorandum of
the appellee, or the expiration of the period to do
so(Rule 40,Sec.7[b]).
Appeal from Orders Dismissing Case
without Trial; Lack of Jurisdiction
(Rule 40, Sec. 8)
 
 If lower court dismissed the case
without trial on the merits, The RTC
may:
a) Affirm, or
b) Reverse, in which case, it shall remand
the case for further proceedings.
 If dismissal is due to lack of
jurisdiction over the subject matter,
The RTC may:
a) Affirm. If RTC has jurisdiction, it shall try
the case on the merits as if the case was
originally filed with it, or,
b) Reverse, in which case, it remands the
case for further proceedings.
 If the case was tried on the merits by
the lower court without jurisdiction
over the subject matter, the RTC shall not
dismiss the case if it has original jurisdiction,
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but shall decide the case, and shall admit
amended pleadings or additional evidence.
Applicability of Rule 41
The other provisions of Rule 41 shall apply to
appeals provided for under Rule 40 insofar as
they are not inconsistent with or may serve to
supplement the provisions thereof.
3.R.2i.Appeal from Judgments or Final
Orders of the RTC 
Modes of Appeal from Judgments or Final
Orders of the RTC
1. Ordinary Appeal or Appeal by writ of Error
(Rule 41), where judgment or the final order
was rendered by RTC in the exercise of its
original jurisdiction. It is taken to the CA on
questions of fact or mixed questions of fact
and law.
2. Petition for Review (Rule 42), where the
judgment or final order was rendered by the
court in the exercise of its appellate
jurisdiction. This mode of appeal is brought
to the CA on questions of fact or law, or
mixed questions of fact and law.
3. Petition for Review on Certiorari or Appeal by
Certiorari to the Supreme Court (Rule 45).
This mode is brought to the SC from a
judgment or final order of the RTC in the
exercise of its original jurisdiction and only on
questions of law are raised or involved.
Note: A petition for review on certiorari under
Rule 45 and a petition for certiorari under Rule 65
are mutually exclusive remedies. Certiorari
cannot co-exist with an appeal or any other
adequate remedy (Estinozo vs. CA, G.R. No. 150276,
February 12, 2008).
ORDINARY APPEAL PETITION FOR
(Rule 41) REVIEW (Rule 42)
Taken by notice of Taken by means of a
appeal or by record on petition.
appeal.
Notice of appeal is filed Petition is filed with,
with, and the docket fee and the docket fee paid
paid to the court that to the appellate court.
and
 Purple Notes
Criminal
ORDINARY APPEAL PETITION FOR c. In
Remedial
chronological order, copies of only
(Rule 41) REVIEW (Rule 42) such pleadings, petitions, motions and all
rendered the judgment. interlocutory orders as are related to the
Judgment appealed Judgment sought for appealed judgment or final order for the
from was rendered in review was rendered in proper understanding of the issue
the exercise of the the exercise of its
involved;
court’s original appellate jurisdiction.
jurisdiction. d. Together with such data as will show that
No deposit for costs is Deposit for costs is the appeal was perfected on time.
required. required. e. Every record on appeal exceeding twenty
A motion for extension Appellate court may (20) pages must contain a subject
of time to file notice of grant an extension index(Rule 41, Sec. 6).
appeal is not allowed. within which to file the
petition. 3. Copies of the record on appeal shall be
Certification against Required to be served on the adverse party; and
forum shopping is not attached with the
4. Payment of the full amount of the appellate
required. petition (initiatory
pleading).
court docket and other fees.
Motion for new trial or Motion for new trial or
reconsideration gives reconsideration gives Notes:
The appellant has a The appellant has a
NEW PERIOD of fifteen NEW PERIOD of fifteen  If an issue of fact is to be raised on appeal,
(15) days from notice of (15) days from notice the record on appeal shall include by
denial of the motion. of denial of the motion. reference all the evidence, testimonial and
documentary, taken upon the issue involved.
How to Appeal (Rule 41) The reference shall specify the documentary
evidence by the exhibit numbers or letters by
 Notice of Appeal which it was identified when admitted or
offered at the hearing, and the testimonial
1. By filing a notice of appeal with the court evidence by the names of the corresponding
that rendered the judgment or final order witnesses(Spouses Lebin vs. Mirasol, G.R. no.
appealed from; 164255. September 7, 2011).
2. The notice of appeal shall indicate: (PJM)  If the whole testimonial and documentary
a. the Parties to the appeal; evidence in the case is to be included, a
b. the Judgment or final order or part statement to that effect will be sufficient
thereof appealed from; and without mentioning the names of the
c. The Material dates showing the witnesses or the numbers or letters of
timeliness of the appeal(Rule 41, Sec. 5). exhibits(Spouses Lebin vs. Mirasol, G.R. no.
3. Copies of the notice of appeal shall be served 164255. September 7, 2011).
on the adverse party;
4. Payment of the full amount of the appellate Petition for Review from the RTC in its
court docket and other fees. appellate jurisdiction to the CA (Rule 42)

 By Record on Appeal This mode of appeal applies when the decision of

1. It shall be required only in special
proceedings and in other cases of multiple or
separate appeals.
2. The form and contents of the record on
appeal shall contain:
a. The full names of all the parties to the
proceedings shall be stated in the caption
of the record;
b. Include the judgment or final order from
which the appeal is taken;
the RTC appealed from is one decided by it in the
exercise of its appellate jurisdiction.This means
that the case originated from the MTC and
appealed to the RTC.
In filing a petition for review, a notice of appeal is
not required. The appeal is done by filing a
verified petition for review directly with the Court
of Appeals.

Bar Operations 171

Commissions 171
 Purple Notes
Criminal
The lower Remedial
courts or judges that rendered the
judgment or final order complained of should not
be impleaded as parties since this petition is for
purposes of appeal and not petitions in original
actions.
When to Appeal:
1. Within 15 days from notice of decision
sought to be reviewed or of the denial of
petitioner’s motion for new trial or
reconsideration filed in due time after
judgment.
2. Additional period of 15 days only, provided
that extension is sought upon proper motion
and there is payment of the full amount of
docket and other lawful fees and the deposit
for costs before the expiration of the
reglementary period.
Note:No other extension shall be granted except
for the most compelling reason and in no case
shall it extend fifteen (15) days (Rule 42, Sec.1).
How to Appeal: (P2DF)
1. Filing a verified Petition for review with the
CA;
2. Payment of the corresponding and other
lawful fees to the clerk of court;
3. Depositing the amount of P500.00 for costs;
and
4. Furnishing the RTC and the adverse party a
copy of the petition (Rule 42, Sec. 1).
Form and Contents of the Petition
The petition shall be filed in seven (7) legible
copies, with the original copy intended for the
court being indicated and shall:
1. State the full names of the parties to the
case, without impleading the lower courts or
judges thereof either as petitioners or
respondents;
2. Indicate the specific material dates showing
that it was filed on time;
3. Set forth concisely a statement of the
matters involved, the issues raised, the
specification of errors of fact or law, or both,
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172 Center for Legal Education
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allegedly committed by the RTC, and the
reasons or arguments relied upon for the
allowance of the appeal;
4. Accompanied by clearly legible duplicate
originals or true copies of the judgments or
final orders of both lower courts, certified
correct by the clerk of court of the RTC; and
5. Submit together with the petition a
certification against forum shopping (Rule 42,
Sec. 2).
Grounds for Outright Dismissal by Court of
Appeals of the Petition (Motu Proprio
Dismissal) (FP-DQ)
a) Failure of the petition to comply with the
requirements on form(Rule 42, Sec. 3);
 Payment of docket and other lawful fees;
 Deposit for costs;
 Proof of service of the same petition to
the adverse party;
 Certification against forum shopping
b) Patently without merit;
c) Prosecuted manifestly for Delay; or,
d) Questions raised are too unsubstantial to
require consideration(Rule 42, Sec. 4).
Note:The CA may either require the respondent
to file comment within 10 days from notice or
dismiss the petition on the grounds provided for
above.
Due Course
Petition for Review is not a matter of right but
discretionary on the CA.
It may only give due course to the petition if it
shows on its face that the lower court has
committed an error of fact and/or law that will
warrant a reversal or a review thereof (Rule 42,
Sec. 6;Riano, Civil Procedure Volume I, 2016 ed., P.
126).
Stay of Judgment
General Rule: The appeal shall stay the
judgment or final order.
Exceptions:
and

a) If the CA, law or rules shall provide
otherwise; or
b) Civil cases decided under the Rules on
Summary Procedure (Rule 42,Sec.8 [b])
Submission for decision
If the petition is given due course, the CA may
set the case for oral argument or require the
parties to submit memoranda within a period of
fifteen (15) days from notice. The case shall be
deemed submitted for decision upon the filing of
the last pleading or memorandum required by
these Rules or by the court itself (Rule 42, Sec.9;
Riano, Civil Procedure Volume I, 2016, P. 547).
Ordinary Appealed Cases; Procedure in the
Court of Appeals (Rule 44)
Title of the case (Rule 41)
In all cases appealed to the Court of Appeals
under Rule 41, the title of the case shall remain
as it was in the court of origin, but the party
appealing the case shall be further referred to as
the appellant and the adverse party as the
appellee(Rule 44, Sec. 1).
Appellant’s Brief
It shall be the duty of the appellant to file with
the court, within forty-five (45) days from receipt
of the notice of the clerk that all the evidence,
oral and documentary, are attached to the
record. It shall be filed in:
a. seven (7) copies of his legibly typewritten,
mimeographed or printed brief; and
b. with proof of service of two (2) copies
thereof upon the appellee(Rule 44, Sec.7).
General Rule: Failure to file appellant’s brief on
time is a ground for dismissal of the appeal.
Exception:(CISI-NAP)
a) the Circumstances obtaining warrant the
court’s liberality;
b) that Strong considerations of equity justify an
exception to the procedural rule in the
interest of substantial justice;
c) no material Injury has been suffered by the
appellee by the delay;
Purple Notes
Criminal
d) there is no
Remedial
contention that the appellees’
cause was Prejudiced;
e) where the reckless or gross Negligence of
counsel deprives the client of due process of
law;
f) when Application of the rule will result in
outright deprivation of the client’s liberty or
property; or
g) where the Interests of justice so require
(Tiangco vs. LBP, G.R. No. 153998, October 6,
2010).
If a motion to dismiss an appeal has been filed, it
suspends the running of the period for filing the
appellant’s brief, as the same would be
unnecessary should the motion be granted.
The failure of the appellant to make specific
assignment of errors in his brief or page
references to the record as required in Section 9
is a ground for dismissal of his appeal.
Appellee’s Brief
Within forty-five (45) days from receipt of the
appellant's brief, the appellee shall file with the
court:
a. Seven (7) copies of his legibly typewritten,
mimeographed or printed brief; and
b. with proof of service of two (2) copies
thereof upon the appellant(Rule 44, Sec. 8).
 Failure to file does not affect appeal.
 Appellee can only make counter–assignment
of errors to sustain judgment.
 Appellee can also argue on issues raised at the
trial to sustain the judgment in his favor on
other grounds, even if the same were not
included in the decision of the court a quo nor
raised in appellant’s assignment of errors or
arguments.
 Appellee cannot assign error to have judgment
modified, to do so, he must have appealed.
Appellant’s Reply Brief
 Filing is optional.
 Filed to answer point in the appellee’s brief
not covered in the appellant’s brief.
 Filed within twenty (20) days from receipt
of appellee’s brief.
Bar Operations 173
Commissions 173
 Purple Notes
Criminal
Remedial did not have jurisdiction over the said
BRIEF MEMORANDUM appeal.
Ordinary appeals Certiorari, prohibition,
mandamus, quo
warranto and habeas
corpus cases.
APPEAL BY CERTIORARI TO THE SUPREME
For Appellant’s brief, it Filed within a non- COURT (Rule 45)
shall be filed within extendible 30 days
forty-five (45) days from receipt of the When the appeal raises pure questions of law,
from receipt of the notice issued by the the appeal should be addressed to the Supreme
notice of the clerk that clerk of court that all Court.
all the evidence, oral the evidence, oral and
and documentary, are documentary, are
attached to the already attached to
A question of law arises when the doubt or
record(Rule 44, Sec. 7). the record (Rule 44, Sec. difference arises as to what the law is on a
10). certain set of facts.
For Appellee’s Brief, it
shall be filed within Application of Rule 45
forty-five (45) days
from receipt of the Instances when Rule 45 may be applied:
appellant's brief (Rule
44, Sec. 8).
a. Appeal from a judgment or final order of RTC
Contents specified by Shorter, briefer, only
in the exercise of its original jurisdiction
Rules(Rule 44, Sec. 14- one issue involved – no where only questions of law are raised or
15). subject index or involved(Rule 41, Sec. 1[c])
assignment of errors; b. Appeal from a judgement, final order or
just facts and law resolution of the CA (Rule 45, Sec. 1)
applicable. c. Appeal from a judgement, final order or
resolution of the Sandiganbayan (Rule 45, Sec.
Time for Filing Memoranda in Special Cases 1)
d. Appeal from a judgementjudgment, final
In certiorari, prohibition, mandamus, quo order or resolution of the CTA (Rule 45, Sec. 1)
warranto and habeas corpus cases, the parties e. Appeal from judgment or final order in a
shall file, in lieu of briefs, their respective petition for Writ of Amparoto the SC(Sec. 19,
memoranda within a non-extendible period of 30 The Rules on the Writ of Amparo)
days from receipt of the notice issued by the f. Appeal from judgment or final order in a
clerk that all the evidence, oral and documentary, petition for Writ of Habeas Data to the
is already attached to the record. SC(Sec. 19, AM No. 08-1-16-SC)
g. Appeal from judgment or final order in a
The failure of the appellant to file his petition for Writ of Kalikasanto the SC (Sec.
memorandum within the period thereof may be a 16, Rule 7, AM No. 09-6-8-SC)
ground for dismissal of the appeal (Rule 44, Sec.
10). Notes:

 It shall only raise question of law. However,

Effect of a Misdirected Appeal appeal from a decision in a petition for writ of
Amparo, habeas data or writ of Kalikasan,
questions of fact may be raised.
 It will result to the outright dismissal of the
 Petition may include an application for a writ
appeal in accordance in the Revised Rules
of preliminary injunction or other provisional
on Civil Procedure.
remedies.

 The petitioner may seek the same provisional
 It produces no effect, because such
remedies by verified motion filed in the same
dismissal is based on the fact that the court
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 Purple Notes
Criminal
action or proceeding or any time during its  When
Remedial
certain material facts and
pendency (Rule 45,Sec. 1 as amended by A.M. circumstances have been overlooked by the
No. 07-7-12-SC, 27 Dec. 2007). trial court which, if taken into account, would
alter the result of the case in that they would
Test for Questions of Law: If the appellate entitle the accused to acquittal (Riano, Civil
court can determine the issue raised without Procedure Volume I, 2016 Ed.. P.556).Mendoza
reviewing or evaluating the evidence (Centure Iron vs. Palugod, G.R. No. 220517, June 20, 2018).
Works, Inc. vs. Eleto B. Banas, G.R. No. 184116, June
19, 2013).  Q. What is the Factual-Issue-Bar Rule?

A. In the exercise of its power of review, the

Conclusiveness of Facts
Supreme Court is not a trier of facts and,
unless there are excepting circumstances, it
General Rule: The findings of fact of the CA are
does not routinely undertake the re-
final and conclusive and cannot be reviewed on
examination of the evidence presented by
appeal to the SC.
the contending parties during the trial of the
case (Tayco vs. Heirs of Tayco-Flores, G.R. No.
Exceptions:
168692, December 13, 2010).
 When the finding is grounded entirely on Grounds for Denial of Petition by the
speculations, surmises or conjectures; Supreme Court on its own initiative: (WDQ)

 When inference made is manifestly absurd,  The appeal is Wthout merit
mistaken or impossible;  If prosecuted manifestly for Delay
  The Questions raised therein are too
 When the judgment is premised on a unsubstantial to require consideration (Rule
misrepresentation of facts; 45, Sec. 5)

Remedies if aggrieved by the judgment of
 When there is grave abuse of discretion in
the trial court:
the appreciation of facts;

 Motion for reconsideration.
 When the findings of fact are conflicting;
 Motion for new trial.

 Appeal.
 When the CA in making its finding went
 Petition for relief from judgment.
beyond the issue of the case and the same is
 Petition for annulment of judgment.
contrary to both the admissions of appellants
and appellees; Remedies if aggrieved by decision of the
 CA:
 When the findings of fact of the CA are at
variance with those of the trial court, the SC  Motion for reconsideration.
has to review the evidence in order to arrive  Motion for new trial (on newly discovered
at the correct findings based on the record; evidence).
  Petition for review on certiorari under Rule
 When the findings of fact are conclusions 45.
without citation of specific evidence on which
they are based; RULE 45 vs. RULE 65 vs. RULE 64

 When the facts set forth in the petition as REVIEW ON
well as in the petitioner’s main and reply CERTIORARI CERTIORARI CERTIORARI
briefs are not disputed by the respondents; UNDER UNDER RULE UNDER RULE
 RULE 45 65 64
 The findings of fact of the CA is premised on
the supposed evidence on record; Petition is Petition raises Petition prays
 based on the issue as to for annulment

Bar Operations 175

Commissions 175
 Purple Notes
Criminal
questions Remedial
of whether the or modification and the the aggrieved the aggrieved
law. lower court of the respondent are party against party against
acted without questioned the original the lower court the
jurisdiction or judgment, final parties to the or quasi- Commission
with grave order or action, and the judicial agency concerned and
abuse of resolution. lower court or and the person or
discretion. (Finding of quasi-judicial prevailing persons
facts agency is not parties. interested in
supported by impleaded. sustaining the
substantial judgment, final
evidence final order or
and resolution.
renewable)
Motion for Motion for Motion for
A mode of Special civil Special civil reconsideration reconsideration reconsideration
appeal. action. action. is not required. or for new trial or for new
is required. trial, if allowed
Involves the Directed Involves the If a motion for under the
review of the against review of reconsideration procedural
judgment aninterlocutory judgment, and or new trial is rules of the
award or final order of the final orders or filed, the Commission
order on the court or where resolution of period shall concerned,
merits. there is no the not only be shall interrupt
appeal or any Commission on interrupted but the period
other plain, Elections and another 60 fixed.
speedy or the days shall be
adequate Commission on given to the
remedy. Audit petitioner (SC
Admin. Matter
Must be made Filed not later Filed within 30 002-03)
within the than 60 days days from
reglementary from notice of notice of
period. judgment, judgment,
order or order or
resolution. resolution.

Stays the Unless a writ Unless the

REVIEW ON
judgment or of preliminary Supreme Court CERTIORAR CERTIORARI
CERTIORAR
order appealed injunction or shall direct I UNDER UNDER RULE
I UNDER
from. temporary otherwise RULE 65 64
RULE 45
restraining upon such
Petition is Petition raises Petition prays
order is issued terms as it
based on the issue as for annulment
does not stay may deem
questions of to whether or modification
the challenged just, does NOT
law. the lower of the
proceeding. stay execution
court acted questioned
of judgment,
without judgment, final
final order or
jurisdiction or order or
resolution.
with grave resolution.
abuse of (Finding of facts
The court is in Court exercises Court exercises
discretion. supported by
the exercise of original original
substantial
its appellate jurisdiction. jurisdiction.
evidence final
jurisdiction and
and renewable)
power of
A mode of Special civil Special civil
review.
appeal. action. action.
Involves the Directed Involves the
The petitioner The parties are The parties are
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 Purple Notes
Criminal
REVIEW ON REVIEW ON
Remedial
CERTIORAR CERTIORARI CERTIORAR CERTIORARI
CERTIORAR CERTIORAR
I UNDER UNDER RULE I UNDER UNDER RULE
I UNDER I UNDER
RULE 65 64 RULE 65 64
RULE 45 RULE 45
review of the against review of n is not n or for new or for new trial,
judgment aninterlocutor judgment, and required. trial is if allowed under
award or final y order of the final orders or required. the procedural
order on the court or resolution of the If a motion rules of the
merits. where there is Commission on for Commission
no appeal or Elections and reconsideratio concerned, shall
any other the Commission n or new trial interrupt the
plain, speedy on Audit is filed, the period fixed.
or adequate period shall
remedy. not only be
Must be made Filed not later Filed within 30 interrupted
within the than 60 days days from notice but another
reglementary from notice of of judgment, 60 days shall
period. judgment, order or be given to
order or resolution. the petitioner
resolution. (SC Admin.
Stays the Unless a writ Unless the Matter 002-
judgment or of preliminary Supreme Court 03)
order injunction or shall direct
appealed temporary otherwise upon Review Discretionary; Not a matter of
from. restraining such terms as it Right(Rule 45, Sec. 6)
order is issued may deem just,
does not stay does NOT stay
A review is not a matter of right, but of sound
the execution of
challenged judgment, final judicial discretion, and will be granted only when
proceeding. order or there are special and important reasons therefor.
resolution.
The court is in Court Court exercises The following, while neither controlling nor fully
the exercise exercises original measuring the court’s discretion, indicate the
of its original jurisdiction. character of the reasons which will be
appellate jurisdiction. considered:
jurisdiction
and power of
 When the court a quo has decided a question
review.
The petitioner The parties The parties are
of substance, not theretofore determined by
and the are the the aggrieved the Supreme Court, or has decided it in a
respondent aggrieved party against way probably not in accord with law or with
are the party against the Commission the applicable decisions of the Supreme
original the lower concerned and Court; or
parties to the court or person or
action, and quasi-judicial persons  When the court a quo has so far departed
the lower agency and interested in from the accepted and usual course of
court or the prevailing sustaining the
judicial proceedings, or so far sanctioned
quasi-judicial parties. judgment, final
agency is not order or such departure by a lower court, as to call for
impleaded. resolution. an exercise of the power of supervision..
Motion for Motion for Motion for 
reconsideratio reconsideratio reconsideration

SUMMARY OF APPEALS

Bar Operations 177

Commissions 177
 Purple Notes
Criminal
Remedial APPEAL BY
ORDINARY APPEAL PETITION FOR REVIEW
CERTIORARI
(Rule 41 and 42) (Rule 41, 42, and 43)
(Rule 45)
By notice of appeal or By filing a petition for By filing a petition for
How
record on appeal. review. review on certiorari.
From the MTC and MCTC to
the RTC, and from the RTC
to the CA in decisions of the
RTC rendered in the
exercise of their respective From the RTC to the SC
original jurisdictions From the RTC to the CA, a on a pure question of
decision of the RTC law, a decision of the
Where to appeal
From the MTC and MCTC to rendered in the exercise of RTC rendered in the
the CA for decisions its appellate jurisdiction. exercise of its original
rendered by the said courts jurisdiction.
in the exercise of their
delegated jurisdiction, in
which case the MTC and
MCTC acts as RTC.
Matter of appellate court’s Matter of appellate
Nature of appeal Matter of right
discretion. court’s discretion.
To whom appellate
Clerk of Court whose
docket and other Clerk of Court of the CA Clerk of Court of the SC
decision is being appealed.
lawful fees is paid
Not a requisite for Requirement for
Payment of
perfection of appeal but a Requirement for perfection perfection of appeal to be
appellate docket and
ground for dismissal if not of appeal. paid to the Clerk of Court
other lawful fees
paid on time. of the appellate court.
Petitioner – party Petitioner – party
Appellant – party appealing appealing appealing
Name of parties
Appellee – adverse party Respondent – adverse Respondent – adverse
party party.
In special proceedings and
Requirement of
other cases of multiple or Not required Not required
record on appeal
separate appeals
From the MTC and MCTC to
Basic document to the RTC, Memo
Memoranda, when Memorandum, when
be filed in the
required by the CA. required by the SC.
appellate court From the RTC to the CA,
Briefs.
Upon timely filing of a Upon timely filing of the
If filing of the notice of
petition for review and petition for review on
Perfection of appeal appeal is required, upon
payment of corresponding certiorari and payment of
as to appellant approval of the record on
docket and other lawful docket and other lawful
appeal in due time.
fees. fees.
When court whose In appeal by notice of Upon the perfection of the Upon the perfection of
decision is being appeal – upon perfection of appeal filed in due time to the appeal filed in due
appealed loses the appeal filed in due time appeal by the other time to appeal by the
jurisdiction and the expiration of its parties. other parties.
time to appeal of the other
parties.

In appeal by record on
appeal – upon approval of
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 Purple Notes
Criminal
Remedial
APPEAL BY
ORDINARY APPEAL PETITION FOR REVIEW
CERTIORARI
(Rule 41 and 42) (Rule 41, 42, and 43)
(Rule 45)
the records on appeal filed
in due time and the
expiration of its time to
appeal of the other parties.
Question of fact, question Question of fact, question
As to questions
of law and question of fact of law, question of fact Only question of law.
which may be raised
and law. and law.

Bar Operations 179

Commissions 179
 Purple Notes
Criminal
3.R.2j.
Remedial
Appeal from Judgments or Final has yet been rendered, Motion for New Trial may
Orders of the CA be filed based on newly discovered evidence.

Dual Functions of CA This Rule, as well as Rule 42, constitutes the

exceptions to the general rule that appeals on
1. Original Jurisdiction (governed by Rule pure questions of law are brought to the SC.
46); original cases filed before the CA:
certiorari, prohibition, mandamus, quo 3.R.2k. Decisions and final orders of the
warranto Sandiganbayan
2. Appellate Jurisdiction (governed by Rule
44) A party desiring to appeal by certiorari from a
judgment, final order or resolution of the
Mode of Appeal – Petition for Review under Sandiganbayan may file with the Supreme Court
Rule 45 a verified petition for review on certiorari.(Rule 45,
Sec. 1). The petition of review on certiorari shall
Cases Not Covered – Rule 43 shall not apply to raise only pure questions of law.(Section 7, P.D.
Judgments or final orders issued under the Labor 1606, as amended by R.A. 7975 and R.A. 8249).
Code of the Philippines (Rule 43, Sec. 2).
 Q. How may decisions and final orders of
Period of Appeal the Sandiganbayan be appealed?

 Within 15 days from notice of judgment or
final order or resolution appealed from.
 The SC may grant an additional period of 30
days only within which to file the petition for
review.
A. Shall be appealable to the Supreme Court
by way of petition for review on certiorari
under Rule 45 raising pure questions of law
(People vs Espinosa, G.R Nos. 153714-20, August
15, 2003).

Effect of failure to comply with 3.R.2l. Appeal from judgments or final

requirements orders of the Court of Tax Appeals

The failure of the petitioner to comply with any of
the requirements regarding the payment of the
docket and other lawful fees, the deposit for
costs, proof of service of the petition, and the
contents of and the documents which should
accompany the petition shall be sufficient ground
for the dismissal thereof.
No civil proceeding involving matter arising under
the National Internal Revenue Code, the Tariff
and Customs Code or the Local Government Code
shall be maintained, except as herein provided,
until and unless an appeal has been previously
filed with the CTA and disposed of in accordance
with the provisions of this Act.

Issues of pure questions of law may be raised;
however, CA has the discretion whether or not to
entertain the same.
From the decision of the CA, the aggrieved
party may:
a) Appeal by Certiorari under Rule 45;
b) File Motion for New Trial.
Under Rule 37, Motion for New Trial may be filed
only when the trial court has rendered a decision
already. However, in the CA, even if no decision
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A party adversely affected by a resolution of a
Division of the CTA on a motion for
reconsideration or new trial, may file a petition
for review with the CTA en banc.
A party adversely affected by a decision or ruling
of the CTA en banc may file with the Supreme
Court a verified petition for review on certiorari
pursuant to Rule 45 of the 1997 Rules of Civil
Procedure (Section 11, R.A. no. 9282, March 30,
2004).
and
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3.R.2m-n.Review of Judgments or Final interpreted by the Supreme Court to refer to
Orders of the COA and COMELEC certiorari under Rule 65 and not appeal by
certiorari under Rule 45 (Aratuc vs. COMELEC,
A party aggrieved by the judgment, final order or 88 SCRA 251; Dario vs. Mison, 176 SCRA 84). To
resolution of the Commission on Elections or implement the above constitutional provision,
Commission on Audit may file a petition for the SC promulgated Rule 64.
certiorari under Rule 65 with the Supreme Court
(Rule 64Sec. 2). RULE 64 RULE 65
Directed only to the Directed to any
The mode of review under Rule 64 is starkly judgments, final orders tribunal, board or
different from the mode applicable to the or resolutions of the officers exercising
judgment, final order or resolution of another COMELEC and COA; judicial or quasi-
judicial functions;
constitutional body, the Civil Service Commission.
Filed within 30 days Filed within 60 days
The judgment of the Civil Service Commission
from notice of the from notice of the
cannot be assailed by a petition for certiorari to judgment; judgment;
the Supreme Court but by appeal. This appeal The filing of a motion The period within
shall be taken by filing a verified petition for for reconsideration or a which to file the
review to the Court of Appeals (R.A. 7902)in motion for new trial, if petition, if the motion
accordance with Rule 43 of the Rules of Court. allowed, interrupts the for reconsideration or
period for the filing of new trial is denied, is
Time for filing of petition the petition for 60 days from notice of
certiorari. If the motion the denial of the
is denied, the aggrieved motion.
 Within 30 days (special period of 30 days as
party may file the
opposed to 60 days provided in Rule 65) petition within the
from notice of judgment or final order or remaining period, but
resolution sought to be reviewed. which shall not be less
 If a motion for reconsideration was filed and than 5 days reckoned
is subsequently denied, petition must be filed from the notice of
within the remaining period but not less than denial.
5 days in any event reckoned from notice of Not under concurrent Under concurrent
denial. jurisdiction because it is jurisdiction.
“exclusive original”.
Mode of review
As to Periods:
 As an independent civil action under Rule 65,
Period Rule 64 Rule 65
to be filed exclusively with the SC.
 Filing of petition for certiorari does not stay Time 30 days 60 days
Frame
execution of judgment or final order or
Reckoning From notice of From receipt of
resolution sought to be reviewed unless the Period judgment. denial of Motion for
petitioner files for TRO and Preliminary Reconsideration.
Injunction(Ocampo vs. RPN-9, G.R. no. 192947,
December 9, 2015).
3.R.2o. Review of final judgments or final
orders of the Civil Service Commission
Application of Rules 64 and 65
The judgment of the Civil Service Commission
 Sec. 7, Art. IX-A of the Constitution reads,
cannot be assailed by a petition for certiorari to
“unless otherwise provided by the
the Supreme Court but by appeal. This appeal
Constitution or by law, any decision, order or
shall be taken by filing a verified petition for
ruling of each commission may be brought to
review to the Court of Appeals (R.A. 7902)in
the Supreme Court on certiorari by the
accordance with Rule 43 of the Rules of Court.
aggrieved party within 30 days from receipt
of a copy thereof.” The provision was
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Appeals from Awards, judgments, final orders or vs. Ateneo de Naga University, G.R. No. 185058,
resolutions of our authorized by any quasi-judicial November 9, 2015).
agency in the exercise of its quasi-judicial
function, including Civil Service Commission shall 3.R.2r. Review of final judgments or final
be governed by Rule 43. orders of Quasi-judicial Agencies

3.R.2p.Review of final judgments or final Agencies included under Rule

orders of the Ombudsman 43(C4LOSIN2G-VEB2·SPADE)

 Q. How may final judgments or final orders 1. Civil Service Commission;

of the Ombudsman be appealed? 2. Central Board of Assessment Appeals;
3. Securities and Exchange Commission;
A. Appeals from decisions of the Office of the 4. Office of the President;
Ombudsman in administrative disciplinary 5. Land Registration Authority;
cases should be taken to the Court of 6. Social Security Commission;
Appeals under the provisions of Rule 43. x xx 7. Civil Aeronautics Board;
With regard to orders, directives, or decisions 8. Bureau of Patents, Trademarks and
of the Ombudsman in criminal or non- Technology Transfer;
administrative cases, the Court, in Tirol, Jr. 9. National Electrification Administration;
vs. Del Rosario, held that the remedy for the 10. Energy Regulatory Board;
same is to file a petition for certiorari under 11. National Telecommunications Commission;
Rule 65 of the Rules of Court .an aggrieved 12. Department of Agrarian Reform under R.A.
party is not without recourse where the 6657;
finding of the Ombudsman as to the 13. GSIS;
existence of probable cause is tainted with 14. Employee Compensation Commission;
grave abuse of discretion, amounting. to lack 15. Agricultural Inventions Board;
or excess of jurisdiction. An aggrieved party 16. Insurance Commission;
may file a petition for certiorari under Rule 65 17. Philippine Atomic Energy Commission;
of the 1997 Rules of Civil Procedure 18. Board of Investments;
(Gatchalian vs. Ombudsman, G.R. No. 229288, 19. Construction Industry Arbitration
August 1, 2018). Commission; and
20. Voluntary Arbitrators authorized by law (Rule
3.R.2q. Review of final judgments or final 43, Sec. 1).
orders of the National Labor Relations
Commission Notes:

Judgments of the NLRC are to be brought first to
the CA by way of petition for certiorari under
Rule 65 wihtin 60 days from notice of decision,
not under Rule 43 of the Rules of Court (St. Martin
Funeral Homes vs. NLRC, G.R. No. 130866, September
16, 1998).
 Q. May the final judgments or final orders of
the National Labor Relations Commission be
subject for review? How?
A. Judicial review of decisions of the NLRC is
permitted. However, this review is through a
petition for certiorari (i.e., special civil action
for certiorari) under Rule 65 of the Rules of
Court, rather than through an appeal (Manalo
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 Appeals from judgments and final orders of
quasi-judicial bodies/agencies are now
required to be brought to the CA under the
requirements and conditions set forth in Rule
43. This rule was adopted precisely to
provide a uniform rule of appellate procedure
from quasi-judicial bodies (Carpio vs. Sulu
Resource Devt. Corp., G.R. No. 148267. August 8,
2002).
Issues to be Raised
The appeal under Rule 43 may raise issues
involving questions of fact, of law or mixed
questions of fact and law.
and

Period of Appeal
The appeal shall be taken within 15 days
from:
a) Notice of the award, judgment, final order or
resolution;
b) From the date of its last publication, if
publication is required by law for its
effectivity; or
c) The denial of petitioner's motion for new trial
or reconsideration.
Note: Only one (1) motion for
reconsideration shall be allowed(Rule 43,
Sec. 4).
Extension of Filing
Upon proper motion and the payment of
the full amount of the docket fee before the
expiration of the reglementary period, the
Court of Appeals may grant an additional
period of fifteen (15) days only within
which to file the petition for review. No
further extension shall be granted except
for the most compelling reason and in no
case to exceed fifteen (15) days(Rule 43,
Sec. 4).
Stay of Judgment
The appeal shall not stay the award,
judgment, final order or resolution sought
to be reviewed UNLESS the CA shall direct
otherwise upon such terms as it may deem
just (Rule 43, Sec. 12).
In Rule 40 (Appeal from the MTC to the
RTC), 41 (Appeal from the RTC), and 42
(Petition for Review from the RTC to the
CA), the judgment is stayed, unlike in Rule
43 (Appeals from Quasi-judicial Agencies to
the C.A.); parties must apply for restraining
order and preliminary injunction to stay
judgment.
Rule 42 Rule 43
Decision is stayed by an Decision is immediately
appeal. executory. It is not
stayed by an appeal.
Factual findings are Factual Findings are
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not conclusive to the conclusive to CA if
CA. supported by substantial
evidence.
DISMISSAL, REINSTATEMENT AND
WITHDRAWAL OF APPEAL
 Dismissal of Appeal
Grounds for dismissal of appeal
1. Failure of the record on appeal to show
on its face that the appeal was taken
within the period fixed by these Rules;
2. Failure to file the notice of appeal or the
record on appeal within the period
prescribed by these Rules;
3. Failure of the appellant to pay the
docket and other lawful fees as
provided in section 5, Rule 40 and
section 4 of Rule 41; (Bar Matter No.
803, 17 February 1998)
4. Unauthorized alterations, omissions or
additions in the approved record on
appeal as provided in section 4 of Rule
44;
5. Failure of the appellant to serve and file
the required number of copies of his
brief or memorandum within the time
provided by these Rules;
6. Absence of specific assignment of
errors in the appellant's brief, or of
page references to the record as
required in section 13, paragraphs (a),
(c), (d) and (f) of Rule 44;
7. Failure of the appellant to take the
necessary steps for the correction or
completion of the record within the
time limited by the court in its order;
8. Failure of the appellant to appear at the
preliminary conference under Rule 48
or to comply with orders, circulars, or
directives of the court without
justifiable cause; and
9. The fact that the order or judgment
appealed from is not appealable(Rule 50,
Sec. 1). (1a)
Notes:
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 An
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appeal under Rule 41 taken from the
Regional Trial Court to the Court of Appeals
raising only questions of law shall be
dismissed, issues purely of law not being
reviewable by said court(Rule 50, Sec. 2).
 An appeal by notice of appeal instead of by
petition for review from the appellate
judgment of a Regional Trial Court shall be
dismissed(Rule 50, Sec. 2).
 An appeal erroneously taken to the Court of
Appeals shall not be transferred to the
appropriate court but shall be dismissed
outright(Mitsubishi Motors Philippines Corporation
vs. Bureau of Customs, G.R. no. 209830, June 17,
2015).
b) Withdrawal of appeal
The withdrawal of an appeal maybe a matter of
right or a matter of judicial discretion. Before the
filing of the appellee’s brief, the appeal may be
withdrawn as a matter of right. However, once
the appellee’s brief has been filed, the withdrawal
may be allowed in the discretion of the court (Rule
50, Sec. 3).
Dual Function of Appellate Courts
An appellate court serves a dual function.
1. Correctness function - The case is reviewed
on appeal to assure that substantial justice
has been done. It is concerned with the
justice of the particular case.
2. Institutional function - the progressive
development of the law for general application
in the judicial system. It is concerned with the
articulation and application of constitutional
principles, the authoritative interpretation of
statutes, and the formulation of policy within
the proper sphere of the judicial function.
The duality also relates to the dual function of all
adjudication in the common law system.
1. Doctrine of res judicata, which decides the
case and settles the controversy;
2. Doctrine of stare decisis, which pertains to the
precedential value of the case which assists in
deciding future similar cases by the
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application of the rule or principle derived
from the earlier case.
With each level of the appellate structure, the
review for correctness function diminishes and
the institutional function, which concerns itself
with uniformity of judicial administration and the
progressive development of the law, increases.
(Re: Letter Complaint of Merlita B. Fabiana Against
Presiding Justice Andres B. Reyes, Jr., et al. 700 SCRA
348 , July 02, 2013)
Harmless Error Rule in Appellate Decisions
No error in either the admission or the exclusion
of evidence and no error or defect in any ruling
or order or in anything done or omitted by the
trial court or by any of the parties is ground for
granting a new trial or for setting aside,
modifying, or otherwise disturbing a judgment or
order, unless refusal to take such action appears
to the court inconsistent with substantial justice.
The court at every stage of the proceeding must
disregard any error or defect which does not
affect the substantial rights of the parties. (Rule
51,Sec. 6)
3.R.3. Relief from Judgments, Orders and
Other Proceedings(Rule 38)
 Q.What is a Petition for Relief from
Judgment?
A.1. Relief from judgment is a remedy
provided by law to any person against whom
a decision or order is entered through fraud,
accident, mistake, or excusable
negligence. This remedy is equitable in
character, allowed only in exceptional cases
where there is no other available or adequate
remedy provided by law or the
rules. Generally, relief will not be granted to
a party who seeks avoidance from the effects
of the judgment when the loss of the remedy
at law was due to the negligence of his
counsel because of the time-honored
principle that clients are bound by the
mistakes and negligence of their
counsel(Cagayan Economic Zone Authority vs.
Meridien Vista Gaming Corporation, G.R. No.
194962, January 27, 2016).
and

A.2.A petition for relief from judgment is an
equitable remedy that is allowed in
exceptional cases where there is no other
available or adequate remedy (Cagayan
Economic Zone Authority vs. Meridien Vista
Gaming Corporation, G.R. No. 194962, January
27, 2016).
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Note: A party who has filed a MNT, but which
was denied, cannot file a petition for relief. These
two remedies are exclusive of each other. It is
when a party aggrieved by a judgment has not
been able to file a MNT that a petition for relief
can be filed (Francisco vs. Puno, G.R. No. L-55694
October 23, 1981).

Motion fo New Trial/Consideration (Rule

37) vs. Petition for Relief from Judgment Who may Avail
(Rule 38)
A petition for relief from judgment, together with
RULE 37 RULE 38 a motion for new trial or reconsideration, are
Available before Available after judgment remedies available only to parties' in the
judgment becomes has become final and
proceedings' where the assailedjudgment is
final and executory. executory.
rendered.In fact, it has been held that a person
Applies to judgments Applies to judgments,
or final orders only. final orders and other who was never a party to the case, or even
proceedings: summoned to appear therein, cannot avail of a
 Land Registration petition for relief from judgment(Alaban vs. Court
 Special Proceedings of Appeals, G.R. No. 156021, September 23, 2005).
 Order of Execution
Grounds for MNT: Grounds: FAME 3.R.3a. Grounds for Petition for Relief
1. FAME
2. Newly-discovered 1. A judgment or final order is entered, or any
evidence
other proceeding is thereafter taken against
Ground for MR:
a party, in any court, through Fraud,
1. the damages Accident, Mistake, or Excusable
awarded are negligence(Rule 38, Sec. 1); or
excessive;
2. the evidence is 2. A judgment or final order is rendered by any
insufficient to court in a case, and a party thereto, by
justify the Fraud, Accident, Mistake, or Excusable
decision or final negligence, has been prevented from taking
order; or
an appeal(Rule 38, Sec. 2).
3. The decision or
final order is
contrary to law. Notes:
When availed of: When availed of:
within the time to within 60 days from  If the petition is filed based on the first
appeal. knowledge of the ground, it shall be filed with such court and
judgment; and, in the same case (not in another or higher
within 6 months from court). The petition shall pray that the
entry of judgment. judgment, order or proceeding be set aside
If denied, the Order of If denied, the order
(Rule 38, Sec. 1,).
Denial is not denying the petition for
appealable; the relief is not appealable;
 If the petition is filed based on the second
remedy is appeal from the remedy is ground, it shall, likewise, be filed with such
the judgment. appropriate civil action court and in the same case (not in another or
under Rule 65. higher court) but the prayer this time is that
Legal Remedy. Equitable Remedy. the appeal be given due course (Rule 38, Sec.
Motion need not be Petition must be verified. 2).
verified.
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3.R.3b. Time to file Petition
A petition for relief from judgment must be
verified, filed within:
a. 60 days after the petitioner learns of the
judgment, final order or other proceedings to
be set aside; and
b. Not more than six (6) months after such
judgment or final order was entered, or such
proceeding taken (Rule 38, Sec. 3).
Note: It must be accompanied with affidavits
showing the fraud, accident, mistake, or
excusable negligence relied upon, and the facts
constituting the petitioner’s good and substantial
cause of action or defense, as the case may be
(Rule 38, Sec. 3).
Answer to the Petition - Filed within fifteen
(15) days from the receipt of the Petition.
3.R.3c. Contents of Petition
1. The petition must be verified;
2. Accompanied with affidavits showing FAME
relied upon; and
3. The facts constituting the petitioner's good
and substantial cause of action or defense, as
the case may be (Rule 38, Sec. 3,).
 Petition based on the first ground –
petition shall pray that the judgment,
order or proceeding be set aside
 Petition based on the second ground
– petition shall pray that that the appeal
be given due course.
Two Hearings under Rule 38:
a) A hearing to determine whether the
judgment, order or proceeding should be set
aside; and
b) If yes, a hearing on the merits of the case.
Note: Failure to file an answer to the petition for
relief does not constitute default since even
without such answer, the court will still have to
hear the petition and determine its merits.
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3.R.4. Annulment of Judgments or Final
Orders And Resolutions (Rule 47)
Annulment of judgment is remedy in law
independent of the case where the judgment
sought to be annulled was rendered and which
may be availed of though the judgment has been
executed (Riano, Civil Procedure Volume I, 2016 ed.,
P.583).
Important Conditions:
 The petitioner failed to move for new trial in,
or appeal from, or file a petition for relief
against, or take other appropriate remedies
assailing the questioned judgment or final
order or resolution through no fault
attributable to him(Riano, Civil Procedure
Volume I, 2016 ed., p. 584).
 If he failed to avail of those other remedies
without sufficient justification, he cannot
resort to annulment provided in this Rule.
Otherwise, he would benefit from his own or
negligence (Republic vs. Sandiganbayan, G.R.
No. 140615. February 19, 2001).
 Q.When may a final and executory judgment
be set aside?
A.A final and executory judgment may still be
set aside if, upon mere inspection thereof, its
patent nullity can be shown for having been
issued without jurisdiction or for lack of due
process of law. Annulment of judgment
under Rule 47 is an exception to the final
judgment rule (Diona vs. Balangue, G.R. No.
173559, January 7, 2013).
 Q. When is the remedy of annulment of
judgment available?
A.Annulment of judgment is a recourse
equitable in character, allowed only in
exceptional cases as where there is no
available or other adequate remedy.
Jurisprudence and Section 2, Rule 47 of the
Rules of Court lay down the grounds upon
which an action for annulment of judgment
may be brought, i.e., (1) extrinsic fraud, and
(2) lack of jurisdiction or denial of due
and
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process. Lack of jurisdiction refers to either new trial was and rendered void.
lack of jurisdiction over the person of the granted(Rule 47,
defending party or over the subject matter of Sec. 7);
(2) Prescriptive
the claim, and in either case, the judgment
period shall
or final order and resolution are void (Baclaran NOT be
Marketing Corporation vs. Nieva, G.R. No. 189881, suspended if
April 19, 2017). the extrinsic
fraud is
3.R.4a. Grounds for Annulment (LED) attributable to
the plaintiff in
the original
 Extrinsic Fraud;
action(Rule 47,
 Lack of jurisdiction over the subject matter Sec. 8)
and over the person (Rule 47,Sec. 2)
 Denial of due process (Alaban vs. CA, G.R. No. Where to file
156021, Sept. 23, 2005).

Reminders: a. Judgment of MTC – file with the RTC

b. Judgment of RTC – file with the CA
 Fraud must be extrinsic and committed by
the adverse party, not by plaintiff’s own  If the petition is filed in the CA, it can dismiss
counsel who misled said plaintiff. the petition outright because the same is a
 Extrinsic fraud shall not be a valid ground if matter of discretion on the part of the said
it was availed of, or could have been availed court.
of, in a motion for new trial or petition for  If the petition is filed in the RTC, it cannot
relief (Rule 47, Sec. 2). dismiss the petition outright because the
 The CA has exclusive original jurisdiction in action to annul the judgment of the MTC in
actions to annul judgments of the RTC; the RTC is a matter of right.
while the RTC has jurisdiction to annul  Rule 47 refers to the annulment of decision
judgments of MTC in the region. of RTC and/or MTC, and not of the CA.
 Actions to annul judgments are not
necessarily limited to those principally or Who may file
secondarily bound thereunder. Any person
adversely affected thereby can enjoin its An action for annulment can be filed by one who
enforcement. was not a party to the action in which the
assailed judgment was rendered. It is a remedy
Extrinsic or Collateral Fraud - any fraudulent in law independent of the case where the
act of the prevailing party in the litigation which judgment sought to be annulled is promulgated
is committed outside of the trial of the case, (Villanueva vs. Nite, G.R. No. 148211, July 25, 2006).
whereby the defeated party was prevented from
exhibiting fully and fairly presenting his side of A person need not be a party to the judgment
the case. sought to be annulled to acquire personality to
file the action. What is essential is that he can
3.R.4b. Period to file action prove his allegation that the judgment was
obtained by the use of fraud and collusion, and
EXTRINSIC LACK OF he would be adversely affected thereby (Alaban
FRAUD JURISDICTION vs. CA, G.R. No. 156021, Sept. 23, 2005).
Period for 4 years from Before it is barred
filing discovery(Rule by laches or
Two stages of this proceeding:
action 47, Sec. 3) estoppel
Effect of (1) Trial court Questioned
judgment will try the case judgment or order  A preliminary evaluation of the petition to
as if motion for shall be set aside determine prima facie merit therein,

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The issuance of summons as in ordinary civil
cases and such appropriate proceedings
thereafter as contemplated in Section 6,
Rule 14.
For the court to acquire jurisdiction over the
respondent, the rule requires the issuance of
summons should prima facie merit be found in
the petition and the same is given due course.
 Q. Is a petition for relief from judgment
available in the Supreme Court and Court of
Appeals?
A. A petition for relief from judgment is not
an available remedy in the Court of Appeals
and the Supreme Court.As it stands, neither
the Rules of Court nor the Revised Internal
Rules of the CA allows the remedy of petition
for relief in the CA. If a petition for relief
from judgment is not among the remedies
available in the CA, with more reason that
this remedy cannot be availed of in the
Supreme Court. (Purcon vs. MRM Philippines,
G.R. No. 182718, September 26, 2008)
3.R.4c. Effects of a Judgment of Annulment
Based on Lack of Jurisdiction: A judgment of
annulment shall set aside the questioned
judgment or final order or resolution and render
the same null and void, without prejudice to the
original action being refiled in the proper court
(Rule 47,Sec. 7).
Based on Extrinsic Fraud: Where the
judgment or final order or resolution is set aside
on the ground of extrinsic fraud, the court, upon
motion, may order the trial court to try the case
as if a motion for new trial was granted (Rule
47,Sec. 7).
Notes:
 The prescriptive period for the refiling of the
original action shall be deemed suspended
from the filing of such original action until the
finality of the judgment of annulment
EXCEPT where the extrinsic fraud is
attributable to the plaintiff in the original
action. (Rule 47, Sec. 8)
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 The judgment of annulment may include the
award of damages, attorney’s fees and other
relied. The court may issue such orders of
restitution or other relief as justice and equity
may warrant under the circumstances if the
questioned judgment or final order or
resolution had already been executed(Rule 47,
Sec. 9).
3.R.5. COLLATERAL ATTACK ON
JUDGMENTS
Indirect or Collateral Attack - is made when,
in another action to obtain a different relief, an
attack on the judgment is made as an incident in
said action. This is proper only when the
judgment on its face is null and void, as where it
is patent that the court, which rendered said
judgment has no jurisdiction (Spouses Amancio vs.
CA, G.R. No. 152627 September 16, 2005).
Direct Attack - when the object of an action is
to annul or set aside such proceeding, or enjoin
its enforcement.
 Q. What is Direct attack and Collateral attack
upon a judgment?
A. Direct attack against a judgment is
made through an action or proceeding the
main object of which is to annul, set aside, or
enjoin the enforcement of such judgment, if
not carried into effect, or if the property has
been disposed of, the aggrieved party may
sue for recovery.
Collateral attack is made when, in another
action to obtain a different relief, an attack
on the judgment is made as an incident in
said action. This is proper only when the
judgment on its face is null and void, as
where it is patent that the court, which
rendered said judgment has no jurisdiction
(Spouses Amancio vs. CA, G.R. No. 152627
September 16, 2005).
Examples:
and

1. A petition for certiorari under Rule 65 is a
direct attack. It is filed primarily to have an
order annulled.
2. An action for annulment of a judgment is
likewise a direct attack on a judgment.
3. A motion to dismiss a complaint for
collection of a sum of money filed by a
corporation against the defendant on the
ground that the plaintiff has no legal
capacity to sue is a collateral attack on the
corporation. A motion to dismiss is incidental
to the main action for sum of money. It is
not filed as an action intended to attack the
legal existence of the plaintiff (Co vs. CA, G.R.
no. 93687. May 6, 1991).
3.S. EXECUTION, SATISFACTION AND
EFFECT OF JUDGMENTS (Rule 39)
 Q. What is an Execution?
A. Execution under Rule 39 of the Revised
Rules of Court is a remedy afforded by law
for the enforcement of a judgment, its object
being to obtain satisfaction of the judgment
on which the writ is issued (Cagayan De Oro
Coliseum, Inc. vs. CA, G.R. no. 129713, December
15, 1999).
 Q. What consists the dispositive portive
portion of the judgment?
A. The dispositive portion (also called “fallo”)
of the judgment is that part which is subject
to execution uner Rule 39 of the Rules of
Court. This portion of the judgment as that
which finally vests rights upon the parties,
sets conditions for the exercise of those
rights, and imposes the corresponding duties
and obligations. Hence, if there is a conflict
between the dispositive portion of the
decision and the body thereof, the dispositive
portion controls irrespective of what happens
in the body. (Florentino vs. RiveraG.R. No.
167968, Janury 23, 2006).
Against whom is execution issued
Execution can only be issued against a party and
not against one who has not had his day in
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court(Power Sector Assets and Liabilities Management
Corporation vs. Maunlad Homes Inc., G.R. no. 215933.
February 8, 2017).
Essential Requisites for a Writ of Execution
1. It must conform strictly to the decision or
judgment which gave life to it;
2. It cannot vary the terms of the judgment it
seeks to enforce nor may it go beyond the
terms of the judgment sought to be
executed; and
3. It must conform to the dlspositive portion of
the decision to be executed(Riano, Civil
Procedure Volume I, 2016, pg. no. 607).
Meaning of Final Judgment
The term “final”, when used to describe a
judgment, may be used in two senses:
1. Final Judgment for Purposes of Appeal -
Judgment that disposes of a case in a
manner that leaves nothing more to be done
by the court in respect thereto. In this sense,
a final judgment is distinguished from an
interlocutory order which does not finally
terminate or dispose of the case (Rudecon
Management Corp. vs. Singson, G.R. No. 150798
March 31, 2005).
2. Final Judgment for Purposes of
Execution - Judgment that is no longer
appealable and is already capable of being
executed because the period for appeal has
elapsed without a party having perfected an
appeal or, if there has been appeal, it has
already been resolved by a highest possible
tribunal(PCGG vs. Sandiganbayan, G.R. Nos.
151809-12, April 12, 2005).
In this sense, the judgment is commonly referred
to as one that is final and executory.
3.S.1. Difference Between Finality of
Judgment for Purposes of Appeal;
ForPurposes of Execution
FOR PURPOSES OF FOR PURPOSES OF
APPEAL EXECUTION
Final judgments are After lapse of period to
appealable. appeal and no appeal
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was perfected, no further 3.S.2. When Execution shall issue
Interlocutory orders are action can be had(Perez
not appealable. et.al. vs. Zulueta, G.R. A final and executory judgment or order
no. L-10374. September may be executed on motion within five (5)
30, 1959).
years from the date of its entry. After the
Execution of final Execution is a matter of
judgment in this sense right (Vargas vs. lapse of such time, and before it is barred
may not be a matter of Cajucom, G.R. no. by the statute of limitations, a judgment
right as when the 171095. June22, 2015). may be enforced by action (Rule 39, Sec. 6).
period to file an appeal
has not lapsed. Refusal of the court to issue a writ of
To determine whether To determine whether execution
a judgment is final or judgment is final, the test
interlocutory, the test is is whether the lapse of General Rule: Where the judgment or order has
whether the judgment the reglementary period
become executory, the court cannot refuse to
or order leaves nothing to appeal has lapsed and
more for the court to no appeal has been
issue a writ of execution.
do with respect to the perfected(Barrio Fiesta
merits of the case. Restaurant vs. Beronia,
G.R. no. 206690. July 11, Exceptions:
2016).
a) When the judgment has already been
Amendment of a Final and Executory executed by the voluntary compliance thereof
Judgment by the parties;
b) When the Judgment has been novated by the
General Rule: Amendment is NOT allowed. parties;
c) When the petition for relief is filed and
Exceptions: preliminary injunction is granted in
1. To make corrections of clerical errors, accordance with Sec. 5 of Rule 38. Also, when
mistakes or omissions (amendments nunc pro execution of judgment is enjoined by a higher
tunc); court;
2. To clarify an ambiguity which is borne out by d) When the judgment sought to be executed is
and justifiable in the context of the decision, conditional;
especially if the parties acquiesced thereto; e) When facts and circumstances transpire which
and, would render execution inequitable or unjust;
3. In judgments for support, which can always f) When the execution is sough more than 5
be amended from time to time, in the light of years from its entry without the judgment
the circumstances of the parties (Riano, Civil having been revived;
Procedure Volume I, 2016 ed., P. 488). g) When execution is sought against property
exempt from execution under Sec. 13 of Rule
Relevance of Finality of a Judgment or 39; or
Order h) When the refusal to execute the judgment has
become imperative in the higher interest of
General Rule: Only judgments and orders which justice (Riano, Civil Procedure, Vol. I, 2016 ed.
are final may be executed. pp.608-609).

Exceptions: (SIRA)
3.S.2a. Execution as a Matter of Right
a) Orders granting Support even if the main case
is still pending. It shall issue upon the expiration of the period to
b) Orders in Injunctions. appeal, on motion, if no appeal was perfected
c) Orders in Receivership; and from a judgment or order that disposes of the
d) Orders in Accounting cases. action or proceeding (Rule 39, Sec. 1).
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Issuance of a writ of execution becomes
ministerial duty of the court (Riano, Civil Procedure,
Volume 1, 2016 ed., p. 604).
General Rule: Execution will issue as a matter
of right only when:
a) The judgment has become final and
executory;
b) The judgment debtor has renounced or
waived his right of appeal;
c) The period for appeal has lapsed without an
appeal having been filed; or
d) Having been filed, the appeal has been
resolved and the records of the case have
been returned to the court of origin.
Exception: Execution pending appeal(City of
Iligan vs. Principal Management Group , Inc., G.R. No.
145260, July 31, 2003)
 Q. When will the issuance of a writ of
execution becomes ministerial duty of the
court?
A. Once a judgment becomes final and
executory, the prevailing party can have it
executed as a matter of right, and the
issuance of a writ of execution becomes the
ministerial duty of the court. Once a decision
becomes final and executory, it is the
ministerial duty of the presiding judge to
issue a writ of execution except in certain
cases, as when subsequent events would
render execution of judgment unjust
(Mangahas vs. Paredes, G.R. no. 157866,
February 14, 2007).
3.S.2b. Discretionary Execution
Discretionary execution is called “discretionary”
precisely because it is not a matter of right. The
execution of a judgment under this concept is
addressed to the discretionary power of the court
(Bangkok Bank Public Company Ltd. vs. Lee, G.R.No.
159806, January 29, 2006).
Kinds of Discretionary Execution
1. Execution pending appeal; and,
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2. Execution of several, separate or partial
judgment (Florendo vs. PIC, G.R. No. 167976,
January 20, 2010).
Requisites of Execution Pending Appeal
(MH-GG)
1. Motion by prevailing party with notice to the
adverse party;
2. Hearing on the motion;
3. Good reasons to justify the discretionary
execution; and,
4. Good reasons must be stated in the special
order(Rule 39,Sec. 2).
 Q. In what instances will an execution
pending appeal considered as a matter of
right?
A. An execution pending appeal is deemed
an exception to the general rule, which
allows an execution as a matter of right only
in any of the following instances:
i. (a) when the judgment has become
final and executory;
ii. (b) when the judgment debtor has
renounced or waived his right of
appeal;
iii. (c) when the period for appeal has
lapsed without an appeal having been
filed; or
iv. (d) when, having been filed, the appeal
has been resolved and the records of
the case have been returned to the
court of origin (Abenion vs. Pilipinas Shell
Petroleum Corporation, G.R. No. 200749,
February 6, 2017).
 Q.What are Goods Reasons that justifies
discretionary execution?
A.Good reasons consist of compelling
circumstances justifying immediate execution
lest judgment becomes illusory, or the
prevailing party after the lapse of time be
unable to enjoy it, considering the tactics of
the adverse party who may have apparently
no cause but to delay. Such reasons must
constitute superior circumstances demanding
urgency which will outweigh the injury or
damages should the losing party secure a
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reversal of the judgment. Were it otherwise, Effect of Reversal of Executed Judgment
execution pending appeal may well become a (Rule 39, Sec. 5)
tool of oppression and inequity instead of an
instrument of solicitude and justice (NAPOCOR Where the judgment subject to discretionary
vs. Heirs of Rabie, G.R. No. 210218, August 17, execution is reversed or annulled, the trial court
2016). may, on motion, issue such orders of restitution
or reparation of damages as equity and justice
Where to File an Application For may warrant under the circumstances
Discretionary Execution
3.S.3. How Judgment is Executed
Lower Court Appellate Court
While it has After the trial court has  By motion, within 5 years from date of the
jurisdiction over the lost jurisdiction. entry; or
case and is in
possession of either
the original record or
 By independent action, after the lapse of 5
the record on years from the date of its entry and before it
appeal(Riano, Civil is barred by the statute of limitations. The
Procedure Volume I, revived judgment may also be enforced by
2016, p. 627). motion within five (5) years from the date of
its entry and thereafter by action before it is
barred by the statute of limitations (Rule 39,
Stay of Discretionary Execution Sec. 6).

Discretionary execution may be stayed upon Judgments that may be altered or modified
approval by the proper court of a sufficient after becoming final and executory:
supersedeas bond filed by the party against
whom it is directed, conditioned upon the
performance of the judgment or order allowed to
be executed in case it shall finally be sustained in i. (a) Facts and circumstances transpire which
whole or in part(Rule 39, Sec. 3). render its execution impossible or unjust;
ii. (b) Support;
Note: Supersede as Bond is a bond filed by a iii. (c) Interlocutory judgment.
petitioner which guarantees satisfaction of the
judgment in case it is affirmed on appeal. It must 3.S.3a. Execution by Motion or by
be approved by the court before the judgment Independent Action
becomes final and executory.
M Within 5 No revival Executed by
Judgments not stayed by appeal (Rule 39, O years from of judgment motion.
Sec. 4) T date of needed.
I entry of
General Rule: Judgment is stayed by appeal O judgment
N
Exception: Judgment in the following actions After 5 Revival of Once revived,
years but judgment execution
are immediately executory:(IRAS2)
before 10 by means of may be by
A
years from independent motion since
a) Injunction. C
the date of action / the revival is
b) Receivership. T
entry of petition. in nature of a
c) Accounting. I
judgment. new
O
d) Support The right to judgment
N
e) Such other judgments declared to be execution is separate and
immediately executory reduced to a distinct from
right of the original
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action judgment original judgment. It is not a continuation of
which may (See First the original judgment. The action to revive
be Row). judgment is a new action and results in a
proceeded new judgment constituting a new cause of
in a
action with a new period of limitations.
separate
action. Hence, the 10-year period to revive the
revived judgment shall commence to run
from the date of the finality of the revived
Revival of Judgment judgment and not from the date of finality of
the old, original judgment (PNB vs. Bondoc,
An action for revival of judgment is no more than G.R. no. L-20236. July 30, 1965).
a procedural means of securing the execution of
a previous judgment which has become dormant 3.S.3b. Issuance And Contents Of A Writ Of
after the passage of five years without it being Execution
executed upon motion of the prevailing party.
Writ of Execution

It is a new and independent action, different and It is the judicial writ issued to an officer
distinct from either the recovery of property case authorizing him to execute the judgment of the
or the reconstitution case, wherein the cause of court.
action is the decision itself and not the mertis of
the action upon which the judgment sought to be
enforced is rendered.

Revival of judgment is premised on the

Contents of a Writ of Execution
assumption that the decision to be revived, either
by motion or by independent action, is already
The writ of execution is issued in the name of the
final and executory (Saligumba vs. Palanog, G.R. No.
Republic of the Philippines and shall state:
143365, December 4, 2008).
1. The name of the court which granted the
An action to revive a judgment prescribes in 10
motion.
years from the finality of the judgment (Art.
2. The case number and title.
1144[3], in relation to Art. 1152, NCC) .Since the date
3. The dispositive portion of the judgment or
of the finality of the judgment or final order shall
order subject of the execution; and
be deemed to be the date of its entry, the
4. A statement requiring the sheriff or other
prescriptive period is supposed to run from the
proper officer to whom it is directed to
date of entry of the judgment. (Riano, Civil
enforce the writ according to its terms(Rule
Procedure, Vol. I, 2016 ed. p.612)
39, Sec. 8).
When a judgment is revived under Sec. 6 of Rule
The writ of execution shall continue in effect
39, such revived judgment may also be enforced
during the period which the judgment may be
by motion within 5 years from the date of its
enforced by motion. (Rule 39, Sec. 14) Hence, the
entry and thereafter, by action also before it is
writ is enforceable within the five-year period
barred by the statute of limitations.
from entry of judgment as provided for in Sec. 6
of Rule 39 because within that period, the writ
 Q. Is revived judgment a continuation of the
may be enforced by motion. (Riano, Civil Procedure,
original judgment? Vol. I, 2016 ed. p.608)

A. A revived judgment is deemed a new A Motion for Execution must be:

judgment separate and distinct from the
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1. In writing
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2. With hearing
3. With notice
Note: Non-compliance makes the motion pro
forma.
Execution of Several Judgments
This is availed of when the winning party seeks a
judgment against one or more of several
defendants. The court may grant execution with
respect to said defendant or defendants.
Execution of Separate or Partial Judgments
This may be sought in court at any stage of an
action to dispose of a particular claim, while the
action is being heard of with regard to the other
claims that have not been settled yet or are still
awaiting resolution.
Execution in case of death of party (Rule 39,
Sec. 7)
a) In case of the death of the judgment obligee,
upon the application of his executor or
administrator, or successor in interest;
b) In case of the death of the judgment obligor,
against his executor or administrator or
successor in interest, if the judgment be for
the recovery of real or personal property, or
the enforcement of a lien thereon;
c) In case of the death of the judgment obligor,
after execution is actually levied upon any of
his property, the same may be sold for the
satisfaction of the judgment obligation, and
the officer making the sale shall account to
the corresponding executor or administrator
for any surplus in his hands.
Notes:
 If the obligor dies after the entry but before
levy on his property, execution will be issued
for recovery of real or personal property or
enforcement of lien thereon(Riano, Civil
Procedure Volume I, 2016, pg. no. 628).
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 If he dies after levy has been made,
execution sale proceeds(Riano, Civil Procedure
Volume I, 2016, pg. no. 628).
 For a sum of money, judgment cannot be
enforced by writ but as a claim against the
estate in probate proceedings.
When a Writ of Possession may be issued
Writ of Possession may be issued under the
following instances: (LJEE)
1. In Land registration proceedings;
2. In a Judicial foreclosure, provided the debtor
is in possession of the mortgaged realty and
no third person, not a party to the
foreclosure suit, had intervened;
3. In an Extrajudicial foreclosure of a real estate
mortgage; and
4. In Execution sales (Sps. Reyes vs. Sps. Chung,
G.R. No. 228112, September 13, 2017).
Grounds for Quashal of a writ of execution
General Rule: We have ruled that an order of
execution of a final and executory judgment, as
in this case, is not appealable; otherwise, there
would be no end to litigation. (D’ Armoured
Security and Investigation Agency, Inc. Vs. Orpia, G.R.
No. 151325. June 27, 2005)
Exceptions:
a) the writ of execution varies the judgment;
b) there has been a change in the situation of
the parties making execution inequitable or
unjust;
c) execution is sought to be enforced against
property exempt from execution;
d) it appears that the controversy has never
been submitted to the judgment of the court;
e) the terms of the judgment are not clear
enough and there remains room for
interpretation thereof;
f) it appears that the writ of execution has been
improvidently issued;
g) it appears that it is defective in substance, or
is issued against the wrong party, or that the
judgment debt has been paid or otherwise
satisfied, or the writ was issued without
authority (Reburiano vs. Court of Appeals, G.R.
No. 102965 January 21, 1999).
and

Return of writ of execution
The writ of execution must be returned to the
issuing court after partial or full satisfaction of
judgment. If the judgment cannot be satisfied in
full within 30 days after his receipt of the writ,
the officer shall report to the court and state the
reason and thereafter make periodic reports until
judgment is satisfied. The writ continues to be
effective during such period of time that the
judgment may be enforced by motion -- 5 years.
(Rule 39,Sec. 14)
 Q. How many days is a sheriff required by
the Rules of Court to render a report on the
action taken on a writ of execution?
A. Within 30 days from receipt thereof and
every 30 days thereafter until the judgment
is fully satisfied, a sheriff is required by the
Rules of Court to render a report on the
action taken on a writ of execution. X xxx
When a writ of execution is placed in the
hands of a sheriff, it is his duty, in the
absence of contrary instructions, to have it
implemented forthwith. The sheriff is
primarily responsible for the speedy and
efficient service of all court processes and
writs originating from the court and its
branches, including such as may be properly
delegated to him by other courts. (Fajardo vs.
Quitalig, A.M. No.P-02-1535, March 28, 2003)
 Q. What is the effect of a decision that is left
unexecuted or delayed indefinitely because of
the sheriff’s inefficiency or negligence?
A. A decision that is left unexecuted or
delayed indefinitely because of the sheriff’s
inefficiency or negligence remains an empty
victory on the part of the prevailing party. X
xx For this reason, any inordinate delay in
the execution of judgment is truly deplorable
and cannot be countenanced by the Court.
There is no mistaking the mandatory
character of the period prescribed under
Section 14 of Rule 39 of the Revised Rules of
Court on the Return of a Writ of Execution
(Morta vs. Bagagnan, A.M. MTJ-03-1512,
November 12, 2003).
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3.S.3c. Execution of Judgments For
Money(Rule 39,Sec. 9)
It may be enforced by:
 Immediate payment on demand;
 Satisfaction by levy; or
 Garnishment of debts and credits
How executed
1. In executing a judgment for money, the
sheriff shall demand from the judgment
obligor the full amount in cash or certified
check payable to the judgment debtor.
2. If the judgment debtor has no cash or check,
the officer shall levy upon his properties but
the judgment debtor has the option to
choose which property shall be levied upon.
3. If the option is not exercised, the officer shall
first levy on the personal properties and then
other properties if the personal properties are
not sufficient [Rule 39,Sec 9 (b)].
4. The officer may also levy upon bank deposits
of the debtor, royalties, commissions, or his
credits and others not capable of manual
delivery by serving notice upon the person in
possession of the same. This is called
garnishment [Rule 39, Sec.9 (c)].
Requisites of payment on demand:
1. Demand by the sheriff.
2. Payable to the judgment obligee.
3. Cash, check, or any payment acceptable to
the judgment obliges.
If the judgment obligee or his authorized
representative is not present to receive payment,
the judgment obligor shall deliver the aforesaid
payment to the executing sheriff who shall turn
over it on the same day to the clerk of court, or if
the same is not practicable, deposit said amount
to a fiduciary account.
In no case shall the executing sheriff demand
that any payment by check be made payable to
him.
Levy
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Levy is the act by which an officer sets apart or working days from service of notice on said
appropriates a part of the whole of the property garnishee;
of the judgment debtor for purposes of the 3. The lawful fees shall be directly paid to the
execution sale(Riano, Civil Procedure Volume I, 2016, court; and
pg. no. 641). 4. If the amount is insufficient, the report shall
state how much funds or credits the
 Q. When can the sheriff resort to levy? garnishee holds for the judgment
obligor(Viscal Development Corporation vs. Dela
A. The levy upon the properties of the Ciujz-Buendia, A.M. no. P-12-3097. November 26,
judgment obligor may be had by the 2012).
executing sheriff only if the judgment obligor
cannot pay all or part of the full amount
stated in the writ of execution. If the Garnishment vs. Attachment
judgment obligor cannot pay all or part of the
obligation in cash, certified bank check, or ATTACHMENT GARNISHMENT
other mode acceptable to the judgment Rrefers to corporeal Rrefers to money,
obligee, the judgment obligor is given the property in the stocks, credits and
option to immediately choose which of his possession of the other incorporeal
judgment debtor property which are not
property or part thereof, not otherwise
in possession of the
exempt from execution, may be levied upon judgment debtor(Caja
sufficient to satisfy the judgment. If the vs. Nanquil, A.M. no. P-
judgment obligor does not exercise the 04-1885. September 13,
option immediately, or when he is absent or 2004).
cannot be located, he waives such right, and
the sheriff can now first levy his personal
properties, if any, and then the real
properties if the personal properties are 3.S.3d. Execution of judgment for Specific
insufficient to answer for the Acts (Rule 39, Sec. 10)
judgment(Leachon vs. Pascua, A.M. No. P-11-
2972, September 28, 2011).
Specific Acts (CSR-DD)
Garnishment
a) Conveyance, delivery of deeds, or other
Garnishment is the act of appropriation by the specific acts vesting title.
court when the property of the debtor is in the b) Sale of real or personal property.
hands of third persons(Riano, Civil Procedure c) Delivery or restitution of Real property.
Volume I, 2016, pg. no. 632). d) Removal of improvements on property
subject of execution; and
Procedure of Garnishment e) Delivery of Personal property.

SPECIFIC EFFECT IN MANNER OF

1. A notice is served upon the third person ACTS CASE OF EXECUTION
orgarnishee having in possession or controlof REFUSAL OF
the credits in favor of the judgmentobligor; JUDGMENT
2. The garnishee shall make a written report to DEBTOR
the court within five (5) days from service of Conveyance May direct Court can
the notice of garnishment stating whether or , delivery of the act to be appoint some
not the judgment obligor has sufficient funds deeds, or done by other person
other someone at at the expense
or credits to satisfy the amount of the
specific the cost of of the
judgment. If sufficient, the garnishee shall
acts; the disobedient
deliver the amount in cash or certified check vesting title disobedient party and the
directly to the judgment oblige within 10 party. act done shall
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have the same satisfy any
effect as if the judgment for
required party money as
performed it. therein
Sale of Real Sell such provided.
or Personal property and
propery apply the
proceeds in General Rule: Refusal by the judgment debtor
conformity
to comply with judgment of the court is not a
with the
judgment
ground to be cited in contempt of court (Pascua
Delivery or Officer shall If no vs. Heirs of Simeon, G.R. No. L-47717 May 2, 1988).
restitution demand the demolition is
of real losing party involved and Exceptions:
properties to peaceably the party
vacate the refuses to 1. Refusal to perform a particular act or special
property deliver, a writ judgments under Sec. 11;
within 3 of execution 2. In case of the provisional remedy of support
working directing the
pendente lite under Rule 61 even if the
days, and sheriff to
restore cause the
decision is not a special judgment and
possession to defendant to requires the latter to pay money.
the judgment vacate is in the
oblige; nature of a 3.S.3e. Execution of Special Judgments
otherwise the habere facias
officer shall possesionem Special Judgment is one that can be complied
oust such and authorizes with only by the judgment obligor himself.
disobedient the sheriff to
party. break open the
When judgment requires the performance of any
premises
where there is act, other than for money and delivery of
no occupant property, the writ of execution shall be served
therein (not upon the party required to obey the same and
contempt). such party may be punished for contempt by
imprisonment, if he disobeys(Rule 39, Sec. 11).
If demolition is
involved, there
must be a
special order.
Removal of the officer Obligee must
improvemen shall not file a motion
3.S.3f. Effect of Levy on Third Persons
ts destroy, and upon
demolish or special order Levy creates a lien in favor of the judgment
remove of the court, obligee over the right, title and interest of the
improvement the officer may judgment obligor in such property at the time of
s except destroy, the levy, subject to liens and encumbrances then
upon special demolish or existing(Rule 39, Sec. 12).
order of the remove the
court. improvements.
 Q. What is the remedy of a third person
Delivery of officer shall The officer
personal take shall take
whose property has been levied for
property possession of possession and execution?
the same and deliver to the
forthwith party entitled A. An execution can be issued only against a
deliver it to thereto party and not against one who did not have
the party his day in court. The duty of the sheriff is to
entitled to levy the property of the judgment debtor not
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a third person. For, as the saying
goes, one man's goods shall not be sold for
another man's debts. Thus, if the property
levied by virtue of a writ of execution is
claimed by a third person who is not the
judgment obligor, the latter may execute an
affidavit of his title or right to the possession
of the property levied, and serve the same to
the officer making the levy and a copy
thereof to the judgment creditor. This
remedy is known as terceria(Power Sector
Assets and Liabilities Management Corporation
(PSALM) vs. Maunlad Homes, Inc., G.R. No.
215933, February 8, 2017).
 Q. What is a lien?
A. A lien is a “legal claim or charge on
property, either real or personal, as a
collateral or security for the payment of some
debt or obligation. A lien, until discharged,
follows the property(Development Bank of the
Philippines vs. Clarges Realty Corporation, G.R.
No. 170060, August 17, 2016). .
Remedies Available to a third-party
Claimant in Levy of real property (SITA)
1. Summary hearing before the court which
authorized the execution;
2. Terceria or third party claim filed with the
sheriff;
3. Action for damages on the bond posted by
judgment creditors; or
4. Independent reinvindicatory action. (Rule 39,
Sec. 16)
5.
Notes:
 The remedies are cumulative and may be
availed independently of or separately from
the others.
 The officer shall not be liable for damages for
the taking or keeping of the property, to any
third-party claimant if such bond is filed.
Nothing herein contained shall prevent such
claimant or any third person from vindicating
his claim to the property in a separate action,
or prevent the judgment obligee from
claiming damages in the same or a separate
action against a third-party claimant who
filed a frivolous or plainly spurious claim.
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3.S.4. Properties Exempt from Execution
(Rule 39, Sec. 13) (FOH-CHI-LBS-GALE)
a) The judgment obligor's Family home as
provided by law, or the homestead in which
he resides, and land necessarily used in
connection therewith;
b) Ordinary tools and implements personally
used by him in hs trade, employment, or
livelihood;
c) Three Horses, or three cows, or three
carabaos, or other beasts of burden such as
the judgment obligor may select necessarily
used by him in his ordinary occupation;
d) His necessary Clothing and articles for
ordinary personal use, excluding jewelry;
e) Household furniture and utensils necessary
for housekeeping, and used for that purpose
by the judgment obligor and his family, such
as the judgment obligor may select, of a
value not exceeding one hundred thousand
pesos;
f) Provisions for Individual or family use
sufficient for four months;
g) The professional Libraries and equipment of
judges, lawyers, physicians, pharmacists,
dentists, engineers, surveyors, clergymen,
teachers, and other professionals, not
exceeding three hundred thousand pesos in
value;
h) One Fishing boat and accessories not
exceeding the total value of one hundred
thousand pesos owned by a fisherman and
by the lawful use of which he earns his
livelihood;
i) So much of the Salaries, wages, or earnings
of the judgment obligor of his personal
services within the four months preceding the
levy as are necessary for the support of his
family;
j) Lettered Gravestones;
k) Monies benefits, privileges, or Annuities
accruing or in any manner growing out of
any life insurance;
l) The right to receive Legal support, or money
or property obtained as such support, or any
pension or gratuity from the Government;
m) Properties speciallyExempt by law. 
 
Note: But no article or species of property
mentioned in his section shall be exempt from
and

execution issued upon a judgment recovered for
its price or upon a judgment of foreclosure of a
mortgage thereon.
 Q. Are the exceptions enumerated also
applicable to juridical entities?
A.The above Rule clearly enumerates what
properties are exempt from execution. xxx
exemptions under this rule are confined only
to natural persons and not to juridical entities
such as petitioner (D’ Armoured Security and
Investigation Agency, Inc. vs. Orpia, G.R. No.
151325. June 27, 2005).
3.S.5. Proceedings where property is
claimed by third persons;in relation to third
party claim in attachment and replevin
At any time, third-party claim may be filed so
long as the sheriff has the possession of the
property levied upon, or before the property is
sold under execution, provided:(PAPS)
1. The Property is Levied;
2. The claimant is a Person other than the
judgment obligor or his agent;
3. The claimant makes an Affidavit of his title
thereto or right to the possession thereof
stating the grounds of such right or title; and,
4. He Serves the same upon the officer making
the levy and the judgment oblige (Rule 39, Sec.
16).
Duty of the Officer
General Rule: The officer shall NOT be bound
to keep the property.
Exception: When the judgment obligee, on
demand of the officer, files a bond approved by
the court to indemnify the third-party claimant in
a sum not less than the value of the property
levied on.
Notes:
 In case of disagreement as to such value, the
same shall be determined by the court
issuing the writ of execution.
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 No claim for damages for the taking or
keeping of the property may be enforced
against the bond unless the action therefor is
filed within one hundred twenty (120) days
from the date of the filing of the bond.
 The officer shall not be liable for damages for
the taking or keeping of the property, to any
third-party claimant if such bond is filed.
 When the writ of execution is issued in favor
of the Republic of the Philippines, or any
officer duly representing it, the filing of such
bond shall not be required, and in case the
sheriff or levying officer is sued for damages
as a result of the levy, he shall be
represented by the Solicitor General and if
held liable therefor, the actual damages
adjudged by the court shall be paid by the
National Treasurer out of such funds as may
be appropriated for the purpose(Rule 57, Sec.
14).
In Relation to Third Party Claim in
Attachment and Replevin
Certain remedies available to a third person not
party to the action but whose property is the
subject of execution:
Terceria – By making an affidavit of his title
thereto or his right to possession thereof, stating
the grounds of such right or title. The affidavit
must be served upon the sheriff and the
attaching party (Rule 57, Sec. 14).Upon service of
the affidavit upon him, the sheriff shall not be
bound to keep the property under attachment
except if the attaching party files a bond
approved by the court. the sheriff shall not be
liable for damages for the taking or keeping of
the property, if such bond shall be filed.
Exclusion or release of property – Upon
application of the third person through a motion
to set aside the levy on attachment, the court
shall order a summary hearing for the purpose of
determining whether the sheriff has acted rightly
or wrongly in the performance of his duties in the
execution of the writ of attachment. The court
may order the sheriff to release the property
from the erroneous levy and to return the same
to the third person. In resolving the application,
the court cannot pass upon the question of title
to the property with any character of finality but
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only insofar as may be necessary to decide if the
sheriff has acted correctly or not (Ching vs. CA,
G.R. No. 124642, February 23, 2004).
Intervention – This is possible because no
judgment has yet been rendered and under the
rules, a motion for intervention may be filed any
time before the rendition of the judgment by the
trial court (Rule 19, Sec 2).
AccionReinvindicatoria – The third party
claimant is not precluded by Sec. 14, Rule 57
from vindicating his claim to the property in the
same or in a separate action. He may file a
separate action to nullify the levy with damages
resulting from the unlawful levy and seizure. This
action may be a totally distinct action from the
former case.
Sale of Property
Requisites:
1) At a public auction;
2) To the highest bidder;
3) Starting at the exact time fixed in the notice;
4) In the province where the land is situated;
5) Only so much of the property that will satisfy
the judgment; and,
6) Excess to be delivered to the judgment
obligor, unless otherwise directed by the
court.
Persons Disqualified to Participate in the
Sale:
 Officer conducting the sale and his deputies.
 Judge who issued the writ of execution; and
 Those prohibited by Article 1491 of the Civil
Code.
 Guardian, with regard to the property of the
ward
 Agents, as to properties entrusted to them.
 Executors and Administrators, as to
properties of the estate.
 Public officers and employees who have been
entrusted with the administration of the
property of the State.
 Justices, judges, prosecutors, clerks of courts
and employees connected with the
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administration of justice, when the property
is in litigation or levied upon an execution
before the court within whose jurisdiction
they exercise their function including lawyers
involved in the litigation; and
 Others specially disqualified by law.
Refusal of Purchaser to Pay
If a purchaser refuses to pay the amount bid by
him for property struck off to him at a sale under
execution, the officer may AGAIN sell the
property to the highest bidder and shall not be
responsible for any loss occasioned thereby.
The court may order the refusing purchaser to
pay into the court the amount of such loss, with
costs, and may punish him for contempt if he
disobeys the order. (Rule 39, Sec. 20)
Judgment Obligee as Purchaser
When the purchaser is the judgment obligee, he
need not pay the amount of the bid if it does not
exceed the amount of his judgment. If it does, he
shall pay only the excess except when third-party
claim has been filed. (Rule 39, Sec. 21)
Certificate of Sale
 If the Certificate of Sale is not registered, the
period of redemption does not run, except
where the parties agreed on the date of
redemption. In such a case, the statutory
period for legal redemption is converted into
one of conventional redemption and the
period is binding on them.
 The Certificate of Sale of real property is
merely a memorial title of the fact of sale and
does not confer any right to the possession,
much less the ownership, of the real property
purchased.
 Certificate of Sale in case of personal
property is optional.
 It is the Deed of Sale executed by the Sheriff
at the expiration of the period of redemption
which constitutes effective conveyance of the
property sold.
 If the lien of the creditor is prior to the
judgment under which the property was sold,
he is not a redemptioner.
and
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 The right of redemption is transferable and thereof given, the last redemptioner is entitled to
may be sold voluntarily, but said right cannot the conveyance and possession of the property.
be levied upon by the judgment creditor.
Upon the expiration of the right of redemption,
the purchaser or redemptioner shall be
3.S. 6. Rules on Redemption substituted to and acquire all the rights, title,
interest and claim of the judgment obligor to the
 Q. What is Redemption? property as of the time of the levy(Rule 39,Sec. 33)
A. Redemption is inconsistent with the claim Judgment Obligor vs. Redemptioner
of invalidity of the sale. Redemption is an
implied admission of the regularity of the JUDGMENT REDEMPTIONER
sale and would estop the respondents from OBLIGOR
later impugning its validity on that ground. One against whom the One who has a lien by by
Thus, the private respondents’ pleas for judgment is executed virtue of an attachment
extensions of time to redeem the subject or his successor in judgment, judgment, or
property are of the same genre (Perez vs. CA, Interest(Rule 39, Sec. mortgage on the property
G.R. No. 157616. July 22, 2005). 27). sold, SUBSEQUENT to
the lien under which the
Right of Redemption: If the property sold is property was sold(Riano,
Civil Procedure Volume I,
real property. 2016, pg. no. 643)
May redeem within 1 May redeem:
Who May Redeem year from the date of Within 1 year from the
registration of the date of registration of the
Only the following may redeem: certificate of sale(Rule certificate of sale if he is
39, Sec. 28) the first redemptioner, or
1) Judgment obligor or his successor-in-Interest
Within 60 days from the
within 1 year from the date of registration of
last redemption, if he be a
the Certificate of Sale; or, subsequent redemptioner,
2) Redemptioner, within 1 year from the date of provided that the
registration of the Certificate of Sale or within judgment debtor has not
60 days from the last redemption by another exercised his right of
redemptioner.(Rule 39, Sec. 27) redemption.(Rule 39, Sec.
28)
Redemptioner – a creditor with a lien Once he redeems, no Further redemption is
further redemption is allowed, even after lapse
subsequent to the lien under which the
allowed. of 1 year, as long as each
property was sold. redemption is made
within 60 days after the
Note:The purchaser is not entitled to the rents, last.
fruits or income of the property pending the
redemption and shall belong to the judgment Note: Tthe period within which to redeem the
debtor until the expiration of his period of property sold is not suspended by the institution
redemption (Rule 39, Sec. 32). of an action to annul the foreclosure sale (Landrito
vs. Court of Appeals, G.R. No. 133079, August 9,
Effect if no redemption is made 2005).
If no redemption is made within one year from
the date of the registration of the certificate of Rights of the Judgment Obligor
sale, the purchaser is entitled to a conveyance
and possession of the property; or if so  Remain in possession of the property (cannot
redeemed whenever 60 days have elapsed and be ejected)(Rule 39, Sec. 31).
no other redemption has been made, and notice  Collect rent and profits(Rule 39, Sec. 32).
 Make necessary repairs(Rule 39, Sec. 31).
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Use in the ordinary course of husbandry(Rule
39, Sec. 31).
 Use it in the same manner in which it was
previously used (Rule 39, Sec. 31).
Offer to Redeem
 Redemption cannot be effected by an offer to
redeem.
 The offer to redeem must be accompanied
with a bona fide tender or delivery of the
redemption price.
 A formal offer with tender is not necessary
where the right to redeem is exercised
through the filing of a complaint to redeem in
courts within the period to redeem (Gregorio
vs. De Culig, G.R. no. 180559. January 20, 2016).
Proof of Redemption
1. If redemption is by redemptioner, proof is
necessary and he must show to the person or
officer whom he seeks to redeem;
2. The redemptioner must show:
a) A certified copy of the judgment or final
order if he redeems upon a final order or
judgment;
b) A certified memorandum of the records
thereof if he redeems upon a mortgage
or other lien; or
c) An original or certified copy of the
assignment if he redeems upon
assignment.
3. In all cases, he must present an affidavit
executed by him or his agent showing the
amount due on the lien(Rule 39, Sec. 30).
Notes:
 There is no need of proof if redemption is by
judgment debtor.
 Failure of redemptioner to show proof is a
ground for refusal to allow redemption.
Deed of conveyance
 The Deed of Conveyance transfers to the
purchaser whatever rights the judgment
debtor had in the property.
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 The purchaser is entitled to a conveyance
and possession of the property if there is no
redemption.
 The purchaser is substituted to and acquires
all the rights, title, interest and claims of the
judgment obligor to the property at the time
of levy.
 The purchaser acquires no better right than
what the judgment debtor has in the
property levied upon(Rule 39, Sec. 33).
Note:If the judgment debtor or his successor-in-
interest are in possession of the property levied
upon, the court has jurisdiction to issue writ of
possession to the purchasers but not when third
persons are involved.In such a case, the
procedure is for the court to order a hearing; and
for the court to determine the nature of such
adverse possession.
Recovery of Purchase prince if sale not
effective
The purchaser can recover the purchase price
from the judgment obligor in the following
situations:
a) When the purchaser or his successor in
interest fails to recover possession of
property; or
b) If the purchaser is evicted due to:
 Irregularities in the proceedings
concerning the sale;
 Reversal or setting aside of judgment;
 Fact that the property was exempted
from execution; and
 Third person has vindicated his claim to
the property(Rule 39, Sec. 34).
Successive Redemption
 Property redeemed may again be redeemed
within 60 days after redemption, with 2%
added thereon, plus assessments/taxes paid
by last redemptioner.
 Written notice of redemption must be given
to the officer who has made the sale, the
duplicate filed with the Registry of Deeds of
the place, if redemptioner paid any
assessments/taxes.
and

 Notice shall also be made in like manner to
the officer and filed with the Registry. If
there is no notice of said taxes, property may
be redeemed without paying such taxes (Rule
39, Sec. 28).
Remedies of judgmentcreditor in aid of
execution
Q. What may the judgment creditor do if
the execution is returned unsatisfied?
A.
1. He may he may cause examination of the
judgment debtor as to his property and
income (Sec. 37).
2. He may cause examination of the debtor of
the judgment debtor as to any debt owned
by him or to any property of the judgment
debtor in his possession and if after
examination, the court finds that there is
property of the judgment debtor either in his
own hands or that of any person, the court
may order the property applied to the
satisfaction of judgment (Sec. 38).
Q. May the court order a judgment debtor
to pay in installment?
A. Yes. If the court finds the earnings of the
judgment debtor are more than sufficient for his
family’s needs, it may order payment in
installments (Sec. 40).
Q. May the court appoint a receiver for
properties that may be subject to
execution?
A. Yes. The court may appoint a receiver for the
property of the judgment debtor not exempt
from execution or forbid a transfer or disposition
or interference with such property (Sec. 41). If the
court finds that the judgment debtor has an
ascertainable interest in real property either as a
mortgagor, mortgagee, or otherwise, and his
interest can be ascertained without controversy,
the court may order the receiver to sell such
interest (Sec. 42).
Q. What remedy is available to a judgment
creditor when the persons indebted to the
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judgment debtor deny their debt or claim
an adverse interest over the judgment
debtor’s properties?
A. The court may authorize the judgment creditor
to institute an action to recover the property,
forbid its transfer and may punish disobedience
for contempt (Sec. 43).Section 36: If the
execution is returned unsatisfied, he may cause
examination of the judgment debtor as to his
property and income
Section 37: He may cause examination of the
debtor of the judgment debtor as to any debt
owned by him or to any property of the judgment
debtor in his possession
Section 37: If after examination, the court finds
that there is property of the judgment debtor
either in his own hands or that of any person, the
court may order the property applied to the
satisfaction of judgment.
Section 40: If the court finds the earnings of
the judgment debtor are more than sufficient for
his family’s needs, it may order payment in
installments.
Section 41: The court may appoint a receiver
for the property of the judgment debtor not
exempt from execution or forbid a transfer or
disposition or interference with such property.
Section 42: If the court finds that the judgment
debtor has an ascertainable interest in real
property either as a mortgagor, mortgagee, or
otherwise, and his interest can be ascertained
without controversy, the court may order the sale
of such interest.
Section 43: If the person alleged to have the
property of the judgment debtor or be indebted
to him, claims an adverse interest in the property
or denies the debt, the court may authorize the
judgment creditor to institute an action to
recover the property, forbid its transfer and may
punish disobedience for contempt.
Claims against surety
A case may be filed against the surety provided
the principal is informed about it.
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3.S.7. Examination of judgment obligor
when judgment is unsatisfied
When the return of a writ of execution issued
against property of a judgment obligor, or any
one of several obligors in the same judgment,
shows that the judgment remains unsatisfied, in
whole or in part, the judgment obligee, at any
time after such return is made, shall be entitled
to an order from the court which rendered the
said judgment.
Such order shall require the judgment obligor to
appear and be examined concerning his property
and income before such court or before a
commissioner appointed by it, at a specified time
and place; and, proceedings may thereupon be
had for the application of the property and
income of the judgment obligor towards the
satisfaction of the judgment(Rule 39, Sec. 36).
Note: No judgment obligor shall be so required
to appear before a court or commissioner outside
the province or city in which such obligor resides
or is found(Riano, Civil Procedure Vol. I, 2016 Ed., p.
644).
3.S.8. Examination of obligor of judgment
obligor
When the return of a writ of execution against
the property of a judgment obligor shows that
the judgment remains unsatisfied, in whole or in
part, and upon proof to the satisfaction of the
court which issued the writ, that person,
corporation, or other juridical entity has property
of such judgment obligor or is indebted to him,
the court may, by an order, require such person,
corporation, or other juridical entity, or any
officer or member thereof, to appear before the
court or a commissioner appointed by it, at a
time and place within the province or city where
such debtor resides or is found, and be examined
concerning the same.
The service of the order shall bind all credits due
the judgment obligor and all money and property
of the judgment obligor in the possession or in
control of such person, corporation, or juridical
entity from the time of service; and the court
may also require notice of such proceedings to be
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given to any party to the action in such manner
as it may deem proper(Rule 39, Sec. 37).
3.S.9. Effect of Judgments or Final Orders
1. In case of a judgment or final order against a
specific thing, the same is conclusive upon
the title to the thing;
2. In case of a judgment or final order in
respect to the probate of a will, or the
administration of the estate of a deceased
person, the same is conclusive upon them,
however, the probate of a will or granting of
letters of administration shall only be prima
facie evidence of the death of the testator or
intestate;
3. In case of a judgment or final order in
respect to the personal, political, or legal
condition or status of a particular person or
his relationship to another, the same is
conclusive upon the condition, status or
relationship of the person;
4. In other cases,the judgment or final order
with respect to the matter directly adjudged
or as to any other matter that could have
been missed in relation thereto is conclusive
between the parties and their successors in
interest, by title subsequent to the
commencement of the action or special
proceeding, litigating for the same thing and
under the same title and in the same
capacity; and
5. In any other litigation between the same
parties or their successors in interest, that
only is deemed to have been adjudged in a
former judgment or final order which appears
upon its face to have been so adjudged, or
which was actually and necessarily included
therein or necessary thereto(Rule 39, Sec. 47).
Rule on Res Judicata in Judgment in
rem(Rule 39,Sec. 47[a])
In res judicata, the parties and the causes of
action in both suits are identical or substantially
the same. The judgment in the first action is
conclusive as to every matter offered and
received therein and as to any other matter
admissible therein and which might have been
offered for that purpose. Hence, it is an absolute
bar to subsequent action for the same cause.
and

Rule on Res Judicata in Judgments in
personam(Rule 39,Sec. 47 [b])
Requisites of Res Judicata: (FMJI)
1. The former judgment or order must be Final.
2. It must be a judgment or order on the
Merits, that is, it was rendered after a
consideration of evidence or stipulations
submitted by the parties at the trial of the
case.
3. It must have been rendered by a court
having Jurisdiction over the subject matter
and the parties; and,
4. There must be between the first and second
actions, Identity of parties, of subject matter
and of cause of action. This requisite is
satisfied if two actions are substantially
between the same parties (Perez vs. CA, G.R.
No. 157616. July 22, 2005).
Note:A judgment or order is on the merits of the
case when it determines the rights and liabilities
of the parties based on the ultimate facts as
disclosed by the pleadings or issues presented for
trial. It is not necessary that a trial, actual
hearing or argument on the facts of the case
ensued. For as long as the parties had the full
legal opportunity to be heard on their respective
claims and contentions, the judgment or order is
on the merits. An order of the trial court on the
ground that the complaint does not state a cause
of action is a determination of the case on its
merits. Such order whether right or wrong bars
another action based upon the same cause of
action. The operation of the order as res judicata
is not affected by a mere right of appeal where
the appeal has not been taken or by an appeal
which never has been perfected. (Perez vs. CA,
G.R. No. 157616. July 22, 2005)
 Q. Is absolute identity of parties required for
Res Judicata to apply?
A.Absolute identity of parties is not a
condition sine qua non for the application of
res judicata. It is sufficient that there is a
shared identity of interest. Even if new
parties are found in the second action, res
judicata still applies if the party against
whom the judgment is offered in evidence
was a party in the first action; otherwise, a
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case can always be renewed by the mere
expedience of joining new parties in the new
suit.
 Q. What is the ultimate test to ascertain the
identity of causes of action?
A. The ultimate test to ascertain identity of
causes of action is whether or not the same
evidence fully supports and establishes both
the first and second cases. The application of
the doctrine of res judicata cannot be
excused by merely varying the form of the
action or engaging a different method of
presenting the issue.
Rule of Auter Action Pendent (Rule 39,Sec.
47[c])
Also known as Conclusiveness of Judgment, it
has the effect of preclusion only as to issues.
 Q. What is Conclusiveness of Judgment?
A.The concept of conclusiveness of judgment
under the principle of res judicata means that
where between the first case where in
judgment is involved, there is identity of
parties, but there is no identity of cause of
action, the judgment is conclusive in the
second case, only as to those matters merely
involved therein (DOLE Philippines, Inc. vs.
Esteva, et.al., G.R. 161115, November 30, 2006).
Collateral Estoppel or Estoppel by Verdict
It applies where, between the first case wherein
judgment is rendered and the second case
wherein such judgment is involved, there is no
identity of causes of action. It has been held
that in order that a judgment in one action can
be conclusive as to a particular matter in another
action between the same parties or their privies,
it is essential that the issues be identical. If a
particular point or question is in issue in the
second action, and the judgment will depend on
the determination of that particular point or
question, a former judgment between the same
parties will be final and conclusive in the second
if that same point or question was in issue and
adjudicated in the first suit; but the adjudication
of an issue in the first case is not conclusive of an
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entirely different and distinct issue arising in the
second. In order that this rule may be applied, it
must clearly and positively appear, either from
the record itself or by the aid of competent
extrinsic evidence that the precise point or
question in issue in the second suit was involved
and decided in the first. And in determining
whether a given question was an issue in the
prior action, it is proper to look behind the
judgment to ascertain whether the evidence
necessary to sustain a judgment in the second
action would have authorized a judgment for the
same party in the first action (Perez vs. CA, G.R. no.
157616. July 22, 2005).
Note: Void judgment cannot be invoked as res
judicata but avoidable one can.
b) Want of Notice to the party
c) Collusion;
d) Fraud; or
e) Clear mistake of law or fact (Rule 39, Sec.
47).
Note: A foreign judgment on the mere strength
of its promulgation is not yet conclusive, as it can
be annulled on the grounds of want of
jurisdiction, want of notice to the party, collusion,
fraud, or clear mistake of law or fact. It is
likewise recognized in Philippine jurisprudence
and international law that a foreign judgment
may be barred from recognition if it runs counter
to public policy (Republic vs. Gingoyon, GR 166429,
June 27, 2006).

CONCLUSIVENESS OF Philippine Rule on Recognition and

RES JUDICATA
JUDGMENT Enforcement of Foreign Judgment
There is identity Only identity of parties
of parties, subject and subject matter. 1) It is based on comity
matter and cause 2) As vested right
of action.
3) As an obligation. The judgment of a court of
The first The first judgment is
competent jurisdiction over the defendant
judgment is an conclusive only as to
ABSOLUTE BAR to matters directly imposes a duty or obligation on him to pay
all matters adjudged and actually the same for which judgment is given, which
directly adjudges litigated in the first the courts in the country are bound to
and those that action, the second enforce.
might have been action can be 4) On the doctrine of res judicata(SCRA
adjudged. prosecuted(Samson vs. Annotation on Enforcement and Recognition of
Spouses Gabor, G.R. no. Foreign Judgments by Jorge R. Caquia)
182970. July 23, 2014).
The case of Fujiki vs. Marinay (G.R. No.
3.S.10. Enforcement and effect of foreign 196049, June 26, 2013)
judgments or final orders
The Rule on Declaration of Absolute Nullity of
Provided that the foreign tribunal had Void Marriages and Annulment of Voidable
jurisdiction: Marriages (A.M. No. 02-11-10-SC)does not apply in
a petition to recognize a foreign judgment
 In case of judgment against a specific thing, relating to the status of a marriage where one of
the judgment is conclusive upon the title of the parties is a citizen of a foreign country.
the thing; and
 In case of a judgment against person, the For Philippine courts to recognize a foreign
judgment is presumptive evidence of a right judgment relating to the status of a marriage
as between the parties and their successors- where one of the parties is a citizen of a foreign
in-interest by a subsequent title. country, the petitioner only needs to prove the
foreign judgment as a fact under the Rules of
In both instances, the judgment may be repelled Court. x xx However, the effect of a foreign
by evidence of: (JN-CFC) judgment is not automatic. To extend the effect
of a foreign judgment in the Philippines,
a) Want of Jurisdiction; Philippine courts must determine if the foreign
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 Purple Notes
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(Regalado, F.,
Remedial
Remedial Law Compendium, Vol. 8th
judgment is consistent with domestic public
policy and other mandatory laws. A petition to Ed., pg. 616).
recognize a foreign judgment declaring a
marriage void does not require relitigation under Such remedies are dependent for their
a Philippine court of the case as if it were a new application upon the existence of a principal
petition for declaration of nullity of marriage. action. The dismissal of a principal action or its
Philippine courts cannot presume to know the resolution will render the provisional remedies
foreign laws under which the foreign judgment therein ineffective(Riano, Civil Procedure, Vol. II,
was rendered. They cannot substitute their 2016 Ed., p.1).
judgment on the status, condition and legal
capacity of the foreign citizen who is under the  Q. Explain the nature of provisional
jurisdiction of another state. Thus, Philippine remedies.
courts can only recognize the foreign judgment
as a fact according to the rules of evidence. A. Provisional because it constitutes a
temporary measure availed of during the
Section 48(b), Rule 39 states that a foreign pendency of the action and it is ancillary
judgment or final order against a person creates because it is a mere incident in and is
a "presumptive evidence of a right as between dependent upon the result of the main
the parties and their successors in interest by a action(Buyco vs. Baraquia, G.R.No. 177486, Dec.
21, 2009).
subsequent title." Moreover, Section 48 of the
Rules of Court states that "the judgment or final
 Q. Are provisional remedies considered as
order may be repelled by evidence of a want of
civil actions?
jurisdiction, want of notice to the party, collusion,
fraud, or clear mistake of law or fact." X xx
A. No, Provisional remedies are merely
adjunct to a main suit (Estares vs. CA, G.R. No.
144755, June 8, 2005).

Courts are not allowed to delve into the

merits of a foreign judgment
The Regional Trial Court can recognize the
foreign judgment in a proceeding for cancellation
or correction of entries in the Civil Registry under
Rule 108 of the Rules of Court, since the
recognition of a foreign judgment only requires
proof of fact of the judgment.
4. PROVISIONAL REMEDIES
4.A. NATURE AND PURPOSE
Nature of Provisional Remedies
Purpose of Provisional Remedies
Provisional remedies are resorted to by litigants
for any or a combinaton of the following reasons:
(RJSS)
 To preserve or protect their Rights or
interests while the main action is pending
 To secure the Judgment
 To preserve the Status quo
 To preserve the Subject matter of the
action(Riano, Civil Procedure, Vol. II, 2016 Ed.,
p.2).
Kinds of Provisional Remedies Under the
Rules of Court (ARIRS)

TEMPORARY, AUXILIARY, and ANCILLARY PROVISIONAL

WHEN AVAILABLE
remedies available to a litigant for the protection REMEDIES
and preservation of his rights while the main Preliminary at the commencement of
action is pending, for the purposes of the Attachment action or at any time but
ultimate effects of a final judgment in the case (Rule 57) before entry of final judgment
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PROVISIONAL rule, attaches to the crime (Riano, Civil Procedure,
WHEN AVAILABLE
REMEDIES Vol. II, 2016 Ed., p.9).
Preliminary at any stage of the action or
Injunction proceeding prior to the 4.B. JURISDICTION OVER PROVISIONAL
(Rule 58) judgment or final order REMEDIES

at any stage of the action or

The court which grants or issues a provisional
Receivership remedy is the court which has jurisdiction over
proceeding and even after
(Rule 59) the main action. Thus, where the main case is
final judgment therein.
pending is the same court which may grant the
provisional remedy. A court cannot grant a
at the commencement of the provisional remedy where it has no jurisdiction
Replevin
action or at any time before
(Rule 60) over the principal action (Riano, Civil Procedure, Vol.
answer.
II, 2016 Ed., p.5).
at any stage of the action and
Support even for the first time on As long as the main action is within their
Pendente Lite appeal BUT before the final jurisdiction, all inferior courts can grant all
(Rule 61) judgment in said case on appropriate provisional remedies (Sec. 33[1],
appeal. BP129).

***The above enumeration does not represent
an exclusive list of provisional remedies (Riano,
Civil Procedure, Vol. II, 2016 Ed.,p.8).
 Q.When can the court allow a provisional
remedy of deposit in the exercise of its equity
jurisdiction?
A. In a situation where there is
“silence,obscurityor insufficiency of the laws”
calls for the application of equity jurisdiction,
which “fills the open spaces in the law”. So
that while conceding that deposit is not
among the provisional remedies in the Rules
of Courtif not granted would result in unjust
enrichment. The purpose of the exercise of
equity jurisdiction in this case is to prevent
unjust enrichment and to ensure restitution.
Equity jurisdiction aims to do complete justice
in cases where a court of law is unable to
adapt its judgments to the special
circumstances of a case because of
inflexibility of iots statutory or legal
jurisdiction(Reyes vs. Lim, G.R. No. 134241,
August 11, 2003).
Provisional Remedies in Criminal Cases
Provisional Remedies may also be availed of in
criminal actions pursuant to Rule 127 of the Rules
of Court because of the civil liability which, as a
4.C. PRELIMINARY ATTACHMENT (Rule 57)
Nature of Preliminary Attachment
Preliminary attachment is purely a statutory
remedy. Its legal basis for application are the
Rules of Court and the Civil Code.
Attachment is in the nature of a proceeding quasi
in rem although sometimes referred to as an
action in rem (Valdevieso vs. Damalerio, G.R. no.
133303, February 17, 2005).
The grant of preliminary attachment is
discretionary upon the court.
 Q.What is a preliminary attachment?

A. Attachment is a provisional remedy by
which the property of an adverse party is
taken into legal custody, either at the
commencement of an action or at any time
thereafter, as a security for the satisfaction of
any judgment that may be recovered by the
plaintiff or any proper party (Northern Islands
Company vs. Spouses Garcia, G.R. no. 203240,
March 18, 2015).As to its nature, attachment is
a proceeding quasi in rem although
sometimes it is referred to as an action in
rem. The grant of preliminary attachment is

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discretionary (Riano, Civil Procedure, Vol. II,
2016 ed., pg. 12 -13).
 Q. Can preliminary attachment be a subject
of a separate independent principal action?
 would entail notice to the defendant.
A. No, because the attachment is only an
incident of such action (Northern Islands
Company vs. Spouses Garcia, G.R. no. 203240,
March 18, 2015).
 Q. How is preliminary attachment construed?
 when resorted to before the finality of the
A. Since attachment is harsh, extraordinary,
and summary in nature, the rules on the
application of a writ of attachment must be
strictly construed in favor of the
defendant(Watercraft Venture Corporation vs.
Wolfe, G.R. no. 181721, September 9, 2015).
Who may avail (Rule 57, Sec. 1):
1) Plaintiff; or,
2) any proper party, e.g. defendant who files
counterclaim
When Available(Rule 57, Sec. 1):
1) At the commencement of the action.
Here, the application is made even before
summons is issued by the court or before
summons is served on the defendant.
The application may be incorporated in a
verified complaint alleging all the grounds
relied upon and complying with all the
requisites for the grant of application.
If granted, it will result in an ex parte issuance
of the writ of preliminary attachment (Riano,
Civil Procedure, Vol. II, 2016 Ed., pg.15)
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2) At any time before entry (finality) of the
judgment.
Since at this stage, the defendant has already
been summoned to the action, the application
for the issuance of an order of attachment
 Q.When is an attachment considered
preliminary?
A.No. The attachment is preliminary only
judgment. Once the judgment has become
final and executory, the attachment becomes
a final one and is issued in order to satisfy the
judgment (Riano, Civil Procedure, Vol. II, 2016
Ed., p.11).
What are the Purposes of Preliminary
attachment:
 To seize the property of the debtor in
advance of final judgment and to hold it for
purposes of satisfying said judgment.
 To enable the court to acquire jurisdiction
over the action by actual or constructive
seizure of the property in those instances
where personal or substituted service of
summons on the defendant cannot be
effected, as in par. (f) of Sec. 1 (PCIB vs.
Alejandro, G.R. no. 175587, Sept. 21, 2007).
Kinds of Attachments
There are certain types of attachments:
1. Preliminary Attachment – one issued at
the commencement of the action or at
anytime before the entry of the judgment as
security for the satisfaction of any judgment
that may be recovered.
2. Garnishment – the attaching party seeks to
subject to his claim either the property of the
adverse party, in the hands of a third person
called the garnishee, or the money which said
third person owes the adverse party.
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3. Levy
Remedial
upon execution – the process
employed after the judgment has become
executory by which the property of the
judgment obligor is set aside and taken into
the costudy of the court before the sale of the
property on execution for the satisfaction of a
final judgment (Riano, Civil Procedure, Vol. II,
2016 Ed., p. 16-18).
4.C.1. Grounds for Issuance of Writ of
Attachment (D FRENDS)
1. Fraud- In an action against a party who has
been guilty of fraud in the incurrence or the
performance of an obligation[Rule 57, Sec. 1
(d)].
2. Recover Possession- In an action to recover
possession of property unjustly taken and
which has been concealed or disposed of to
prevent its being founds or taken by the
applicant [Rule 57, Sec. 1 (c)].
3. Disposed of Property- In an action against a
party who has dispoed of his property, or is
about to do so, with intent to defraud
creditors[Rule 57, Sec. 1 (e)].
4. Embezzlement- In an action for embezzlement
against a person acting in a fiduciary capacity
or willful violation of duty[Rule 57, Sec. 1 (b)].
5. Non-Resident- In an action against non-
resident party not found in the Philippines[Rule
57, Sec. 1 (f)].
Note:in order to acquire jurisdiction in actions
in personam where defendant resides out of
and is not found in the Philippines, it becomes
a matter of course for the court to convert the
action into a proceeding in rem or quasi in
rem by attaching the defendant’s
property(PCIB vs. Alejandro, G.R. No. 175587
September 21, 2007).
6. Depart- In an action for sum of money or
damages (other than moral or exemplary)
against a party who is about to depart from
the Philippines with intent to defraud
creditors.(Note: If already departed from the
Philippines, then a non-resident, as in NO. 5)
[Rule 57, Sec. 1 (a)].
7. Summons by Publication- In an action against
a party on whom summons may be served by
publication (Sec. 1, Rule 57).These are the
defendant whose identity or whereabouts
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unknown (Sec. 14, Rule 14)and the defendant
temporarily out of the Philippines (Sec. 16, Rule
14)[Rule 57, Sec. 1 (f)](Riguera, Primer-Reviewer
on Remedial Law, Civil Procedure, Vol. I, 2015 Ed).
Note: The grounds for attachment is exclusive
(Chamorro vs. Ready-Mix Co., G.R. no.. L-6572, May
14, 1954).
4.C.2. Requisites
An order of attachment shall be granted only
upon the filing of the requisite affidavit and bond.
The affidavitneed not be executed by the
applicant. It may be executed by some other
person who personally knows the facts (Rule 57,
Sec. 3).
The bond (attachment bond) shall be in the
amount fixed by the court and executed to the
adverse party (Rule 57, Sec. 4).
4.C.3. Issuance and contents of order of
attachment; affidavit and bond
Issuance of the Order of Attachment
1. May be issued either ex parte or upon
motion with notice and hearing;
2. By the court in which the action is pending,
or by the Court of Appeals or the Supreme
Court.
Several writs may be issued at the same time to
the sheriffs of the courts of different judicial
regions(Rule 57, Sec. 2).
Note: No hearing is required on an application
for preliminary attachment, with notice to the
defendant, for the reason that this "would defeat
the objective of the remedy . . . (since the) time
which such a hearing would take, could be
enough to enable the defendant to abscond or
dispose of his property before a writ of
attachment issues."(Davao Light & Power, Co., Inc.
vs. CA, G.R. No. 93262 December 29, 1991).
and

Contents of an Order of Attachment
The Order must require the sheriff of the court
to attach so much of the property in the
Philippines of the party against whom it is
issued, not exempt from execution, as may be
sufficient to satisfy the applicant's demand,
unless such party makes deposit or gives a
bond as hereinafter provided in the amount
equal to that fixed in the order, which may be
the amount sufficient to satisfy the applicant's
demand or the value of the property to be
attached as stated by the applicant, exclusive of
costs (Rule 57, Sec. 2).
Note: An order of attachment shall be granted
only upon the filing of an affidavit and a
bond(Rule 57, Sec. 2).
Contents of the Affidavit (CONA)
1. That a sufficient Cause of action exists;
2. That the case is One of those mentioned in
Section 1, Rule 57;
3. That there is No sufficient security for the
claim sought to be enforced by the action;
and
4. That the Amount due to the applicant, or the
value of the property the possession of
which he is entitled to recover, is as much as
the sum for which the order is granted
above all legal counterclaims (Rule 57, Sec.
3).
 Note: the affidavit must be executed by the
applicant or by some other person who
personally knows the facts (Ibid).
 Q. May an order of preliminary attachment
be issued if there exist a real estate
mortgage?
A.No.The order of preliminary attachment will
not be issued if a real estate mortgage exists
to secure the obligation, even if an action for
a sum of money was filed instead of an action
for foreclosure (Salgado vs. CA, G.R. no. L-55381,
March 26, 1984).
Purple Notes
Criminal
Remedial
 Q. May a writ of preliminary attachment be
issued when there is failure to allege the
prescribed requisites?
A. No.Failure to allege the requisites
prescribed for the issuance of a writ of
preliminary attachment renders the writ
fatally defective, and the judge issuing it is
deemed to have acted in excess of his
jurisdiction (K.O. Glass Construction Co., Inc. vs.
Valenzuela, G.R. no. L-48756, September 11,
1982).
Condition of Applicant's Bond
The bond executed in favor of the adverse party
is conditioned upon:
a) the payment, by the party applying for an
order of attachment, of all costs which the
adverse party may be adjudged as entitled
to; and,
b) all damages which the adverse party may
sustain by reason of the attachment, if it
shall be finally adjudged that the party
applying for the attachment was not entitled
thereto (Rule 57, Sec. 4).
 Q. When can a defendant claim from the
attachment bond?
A. The defendant can only claim from the
bond for all the damages which he may
sustain by reason of the attachment and not
because of the sale of the attached
properties prior to final judgment (CBC vs.
Asian Construction and Development Corporation,
G.R. No. 158271, April 8, 2008).
Stages in the Grant of a Writ of Preliminary
Attachment
1. The court issues the order granting the
application;
2. The writ of attachment issues pursuant to the
order granting the writ; and,
3. The writ is implemented(Riano, Civil Procedure,
Vol II, 2016 Ed, p.33).
 Q. When is jurisdiction over the person of
the defendant necessary?
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A.
Remedial
Jurisdiction over the person of the
defendant is only required in the third stage
(i.e. once the implementation of the writ
commences). Without such jurisdiction, the
court has no power and authority to act in
any manner against the property of the
defendant (Mangila vs. CA, G.R. no. 125027,
August 12, 2002).
4.C.4. Rule on Prior or Contemporaneous
Service of Summons
General Rule: The sheriff is NOT allowed to
make a levy on attachment if such levy is not
preceded or contemporaneously accompanied by
the service on the defendant within the
Philippines of the following:
1) Summons;
2) Copy of the complaint;
3) Application for attachment;
4) Applicant's affidavit and bond; and,
5) Order and writ of attachment (Rule 57, Sec.
5).
Note: The service mentioned above is necessary
to acquire jurisdiction over the person of the
defendant.
Exceptions: Prior or Contemporaneous Service
shall NOT apply when:(PeSTa-NR)
1) summons could not be served Personally
despite diligent efforts;
2) Summons could not be served by
substituted service despite diligent efforts;
3) defendant is a resident of the Philippines
Temporarily absent therefrom;
4) defendant is a Non-resident of the
Philippines; or,
5) action is one in Rem or quasi in rem (Rule
57, Sec. 5).
Reason for the Exceptions: Without these
exceptions, the party against whom the writ is
directed would be able to frustrate the ends of
justice by the simple expedient of disappearing
and intentionally putting himself beyond the
reach of court processes. Note that most of these
exceptions are instances where service of
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summons by publication may be justified (Riano,
Civil Procedure, Vol. II, 2016 ed., pg. 34-35).
No Retroactivity of Belated Service of
Summons
 Q. What is the effect of subsequent service
of summons when an attachment is issued
before the court has acquired jurisdiction
over the person of the defendant?
A. Belated service of summons cannot be
deemed to have cured the fatal defect in the
enforcement of the writ. The subsequent
service of summons does not confer a
retroactive acquisition of jurisdiction over her
person because the law does not allow for
retroactivity of a belated service (Torres v.
SatsatinG.R.no. 166759, November 25, 2009).
4.C.5. Manner of Attaching Real and
Personal Property; When Property Attached
is Claimed by Third Person
Manner of Attachment of Real and Personal
Property under Rule 57
PROPERTY MANNER OF ATTACHMENT
Real property, or a) By filing with the Registry of
growing crops Deeds the following:
thereon, or any
interest therein 1. copy of the order of
(Sec. 7, par. a) attachment;
2. description of the property
attached; and,
3. notice that the property
subject of the writ is
attached.
b) Then, by leaving a copy of
such order, description, and
notice with the occupant of
the property, if any, or with
such other person or his
agent if found within the
province.
Where the property has been
brought under the operation of
either the Land Registration Act
or the Property Registration
Decree, the notice shall contain a
reference to the:
and
 Purple Notes
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a) number of the certificate of applicant is satisfied.
title;
b) volume and page in the This liability or responsibility shall
registration book where the cease if the property subject of
certificate is registered; and, the writ is delivered or
c) registered owner or owners transferred, or the debts or
thereof. credits are paid to the clerk,
sheriff or other proper officer of
Personal By taking and safely keeping it the court issuing the attachment
Property capable under custody, after issuing a (Rule 57, Sec. 8).
of manual corresponding receipt.
delivery (Sec. 7, Examination: Any person owing
par. b) debts to the party whose property
Stocks or By leaving with the president or is attached or having in his
shares, or an managing agent thereof, the possession or under his control
interest therein, following: any credit or other personal
of any a) copy of the writ; and, property belonging to such party,
corporation or b) notice stating that the stock may be required to attend before
company (Sec. or interest of the party the court in which the action is
7, par. c) against whom the pending, or before a
attachment is issued is commissioner appointed by the
attached in pursuance of court, and be examined on oath
such writ respecting the same(Rule 57, Sec.
9).
Debts and By leaving with the person
credits, including (garnishee) owing such debts or Interest in By serving the executor,
bank deposits, having in his possession or property administrator or other personal
financial control, such credits or other belonging to the representative of the decedent
interest, personal property, or with his estate of the the following:
royalties, agent, the following: decedent (Sec.
commissions, 7, par. e) a) copy of the writ; and,
and other a) copy of the writ; and, b) notice that said interest is
personal b) notice that the following are attached
property not attached in pursuance of
capable of such writ: A copy of the writ of attachment
manual delivery  debts owing by him to and notice shall also be filed in
(par. d) the party against whom the office of the clerk of court in
attachment is issued; which said estate is being settled.
GARNISHMENT  credits and other The same shall likewise be served
personal property in his upon the heir, legatee or devisee
possession or under his concerned.
control, belonging to
said party Effect: It does not have the
effect of impairing the powers of
Effect: The person having administration of the executor,
possession or control of the administrator or personal
debts, credits, and similar representative of the decedent.
personal property belonging to The representative, however, is
the person against whom the obligated to report the
attachment is issued shall be attachment to the court when a
liable to the applicant for the petition for distribution is filed.
amount of the property, debts, or
credits. The property attached shall be
delivered to the sheriff making
This liability continues until the the levy, subject to the claim of
attachment is discharged or until the heir, legatee or devisee, or
the judgment recovered by the any person claiming under him

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(Rule 57, Sec. 9).
Property in By filing a copy of the writ of
custodia legis attachment with the proper court
(Sec. 7, last or quasi-judicial agency, and
paragraph) serving a notice of the
attachment upon the custodian of
said property.
Priority in liens: The first
attachment will have priority over
subsequent attachments.
The attachment of property
already in custodia legis merely
operates as a lien and does not
mean that the attaching court will
wrest custody of the property
from another court. (Riano, Civil
Procedure, Vol. II, pp. 38-39,
2016 ed.)
 Q. Can one enforce a maritime lien through
a writ of preliminary attachment?
b.)
A. NO. A maritime lien exists in accordance
with the provision of the Ship Mortgage
Decree. When a maritime lien exists, this
means that the party in whose favor the lien
was established may ask the court to
enforce it by ordering the sale of the
subject property and using the proceeds to
settle the obligation. On the other hand, a
writ of preliminary attachment is issued
precisely to create a lien.When a lien
already exists, this is already equivalent to
an attachment(TSUNEISHI HEAVY INDUSTRIES
(CEBU), INC.,vs. MIS MARITIME CORPORATION,
G.R. No. 193572, April 04, 2018).
Duties of the Sheriff
1) To proceed with the attachment without
delay and with all reasonable diligence
UNLESS the party against whom the writ is
directed
a) makes a deposit; or,
b) gives a counter-bond (Rule 57, Sec. 5)
2) To attach only so much of the property in
the Philippines against whom the writ is
issuedto await the judgment in the case and
its execution.
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3) Not to attach any property exempt from
execution (Rule 57, Sec. 5);
4) To make a return, without delay, to the
court which issued the writ;
5) After enforcing the writ, to make a return
thereon, without delay, to the court which
issued the writ, with a full statement of his
proceedings under the writ and a complete
inventory of the property attached, together
with any counter-bond given by the party
against whom attachment is issued, and
serve copies thereof on the applicant (Rule
57, Sec. 6).
Sale of Attached Property AFTER Levy on
Attachment and BEFORE Entry of Judgment
a.) When the property attached is perishable; or,
When the interests of all the parties to the action
will be subserved by the sale thereof (Rule
57, Sec. 11).
When Property Attached is Claimed by
Third Person
Note: The third person here is NOT a party to
the action.
1. File a terceria stating the grounds of such
right or title. The affidavit must be served
upon the sheriff while he has possession of
the attached property, and the attaching
party(Rule 57, Sec. 14).
Terceriais an affidavit of one’s title to or right
to the possession of the property attached.
General Rule: Upon service of the affidavit
upon the sheriff, he (sheriff) shall not be
bound to keep the property under
attachment(Id).
Exception: The attaching party files an
INDEMNITY BOND approved by the court.
and
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The sheriff shall not be liable for damages for Note: the above remedies are cumulative
the taking or keeping of the property, if such and any one of them may be resorted to
bond shall be filed(Rule 57, Sec. 14). without availing the other remedies(Ching vs.
CA, G.R. no. 124642, February 23, 2004).

5. Claim for damages on the indemnity bond, if

filed (Rule 57, Sec. 14).
ATTACHMENT INDEMNITY BOND
BOND (Sec. 4) (Sec. 14) 4.C.6. Discharge of Attachment and the
To assure: To indemnify the sheriff Counter-Bond
a) the return of against:
defendant’s a) any claim by the A writ of attachment already enforced may be
personal intervenor to the discharged in the following ways:
property; or, property seized; or,

b) the payment of b) for damages arising 1. By filing a motion to discharge the

damages to the from such seizure, attachment and making a CASH DEPOSIT or
defendant which the sheriff was COUNTER-BOND inan amount equal to that
making and for which fixed by the court in the order or equal to the
IF the plaintiff’s the sheriff was directly value of the particular property attached(Rule
action to recover responsible to the third 57, Sec. 12).
possession of the party (Fort Bonifacio
same property fails. Dev. Corp vs. After due notice and hearing,the court shall
YllasLendinCorp,G.R. direct that the attachment be discharged.
No. 158997, October
6, 2008). ATTACHMENT BOND COUNTER-BOND (Sec.
(Sec. 3) 12)
To assure the return of To secure the payment of
2. Summary Hearing defendant’s personal any judgment that the
property or the attaching party may
Upon application of the third person through
payment of damages recover in the action.
a motion to set aside the levy on attachment, to the defendant if the
the court shall order a summary hearing to plaintiff’s action to  It is also a
determine whether the sheriff has acted recover possession of replacement of the
rightly or wrongly in the performance of his the same property property formerly
duties in the execution of the writ of fails. attached and just as
attachment. the latter, may be
levied upon final
The court may order the sheriff to release judgment (Security
Pacific Assurance
the property from the erroneous levy and to
Corp. vs. Tria-
return the same to the third person. Infante, G.R. no.
144740, August 31,
3. File a Separate Action to nullify the levy, 2005).
with damages resulting from the unlawful
levy and seizure (Ching vs. CA, G.R. no. 124642,
February 23, 2004). 2. By filing a motion to set aside or discharge
the attachment on other grounds WITHOUT
The action here is a totally distinct action need for filing a counter-bond.
from the former case.
Note: A writ of attachment not yet enforced may
4. File a Motion For Intervention, provided be PREVENTED by making a DEPOSIT or
no judgment has yet been rendered in the COUNTER-BOND executed to the applicant in an
action (Rule 19, Sec. 2). amount equal to the bond fixed by the court in
the order of attachment or to the value of the

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 Purple Notes
Criminal
property to
Remedial
be attached, exclusive of costs (Rule
57, Sec. 5).
Grounds for Motion to Discharge: (JI2E2)
a) That the order of attachment was Improperly
or irregularly issued or enforced (Rule 57, Sec.
13)
b) That the bond furnished by the applicant is
Insufficient (Rule 57, Sec. 3)
c) The attachment is Excessive. (The discharge
shall be limited to the excess.)
d) The property attached is Exempt from
execution, hence, exempt from preliminary
attachment (Rule 57, Sec. 2 and 5);
e) TheJudgment is rendered against the
attaching creditor (Rule 57, Sec. 19).
Note: The motion may be filed before levy, after
levy, or even after the release of the attached
property. After due notice and hearing, the court
shall order the setting aside or the corresponding
discharge of the attachment (Rule 57, Sec. 13).
Effect of Discharge
The property attached or the proceeds of any
sale thereof, shall be delivered to the party
making the deposit or giving the counterbond, or
to the person appearing on his behalf. The
deposit or counterbond shall stand in the place of
the property attached(Rule 57, Sec. 12).
Damages for a Wrongful Attachment (Rule
57, Sec. 20)
Merit award of actual damages when the
attachment defendantproves the fact of loss or
injury. He may recover actual damages even
without proof that the attachment plaintiff acted
in bad faith in obtaining the attachment.
 Q. May the court award moral and exemplary
damages for improper, irregular or excessive
attachment?
A. If it is alleged and established that the
attachment was not merely wrongful but also
malicious, the attachment defendant may
recover moral damages and exemplary
damages as well (Spouses Yu vs. Ngo Yet Te,
G.R. no. 155868, February 6, 2007).
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216 216 Research
 Q.When should a hearing be held for the
recovery of damages under Sec. 20? Is this
the same for the recovery of damages under
Sec. 17?
A.Under Sec. 20, a hearing should be held
before finality of judgment. This is not the
case for the recovery of damages under Sec.
17, which may be held even after finality of
judgment.
The difference lies with the kind of damages
being recovered. Under Sec. 20 in relation to
Sec. 4 of the same rule, the surety bond shall
answer for all the costs which may be
adjudged to the adverse party and all
damages which he may sustain by reason of
the attachment. In other words, the damages
sought to be enforced against the surety
bond are unliquidated. On the other hand,
Sec. 17 in relation to Sec. 12, the cash
deposit or the counter-bond shall secure the
payment of any judgment that the attaching
party may recover in the action. Stated
differently, the damages sought to be
charged against the surety bond are
liquidated(Excellent Quality Apparel, Inc. vs.
Visayan Surety & Insurance Corporation, G.R. No.
212025, July 01, 2015).
Should the bond or deposit be insufficient to fully
satisfy the award of damages, the party against
whom the attachment was issued may recover
from any property of the attaching party not
exempt from execution (Rule 57, Sec. 19).
The judgment for damages shall be included in
the judgment on the main case. Damages may
be recovered from the attaching party or his
surety or sureties(Rule 57, Sec. 20).
Where the Judgment of the Appellate Court
is Favorable to the Party Against Whom the
Attachment was Issued(Rule 57, Section 20)
Such party must claim damages sustained during
the pendency of the appeal in the following
manner:
a) by filing an application in the appellate court;
Education and

b) with notice to the party in whose favor the
attachment was issued or his surety or
sureties;
c) before the judgment of the appellate court
becomes executor
Notes:
 Theappellate court may allow the application
to be heard and decided by the trial court.
 The merits of the action in which a writ of
preliminary attachment has been issued are
not triable on a motion for dissolution of
the attachment, otherwise an applicant for
the lifting of the writ could force a trial of the
merits of the case on a mere motion.
Moreover, we have held that when the writ
of attachment is issued upon a ground which
is at the same time the applicant's cause of
action, the only other way the writ can be
lifted or dissolved is by a counterbond, in
accordance with Section 12 of the same
rule(Chuidian vs. Sandiganbayan, G.R. No.
139941 January 19, 2001)
4.C.7. Satisfaction of Judgment out of
Property Attached
Manner of Satisfying the Judgment Out of
the Property
a) By paying the judgment creditor the
proceeds of all sales of perishable or other
property sold in pursuance of the order of the
court, or so much as shall be necessary to
satisfy the judgment.
b) If any balance remains due, by selling so
much of the property, real or personal, as
may be necessary to satisfy the balance, if
enough for that purpose remain in the
sheriff’s hands, or in those of the clerk of
court.
c) By collecting from all persons having in their
possession, credits belonging to the
judgment debtor or owing debts to the latter
at the time of the attachment of such credit
and debts as determined by the court in the
action, and stated in the judgment, and
paying the proceeds of such collection over
to the judgment creditor.
Purple Notes
Criminal
Remedial
The sheriff shall make a return in writing to the
court of his proceedings and furnish the parties
with copies thereof (Rule 57, Sec. 15).
Balance Due Collected Upon an Execution;
Excess Delivered to Judgment Obligor
Any balance due shall be collected upon ordinary
execution; any excess shall be delivered to
judgment obligor (Rule 57, Sec. 16).
Recovery Upon the Counter-bond
Recovery may also be had on the counter-bond
by requiring the surety on the bond to pay the
judgment obligee upon demand the amount due
the judgment.
The said amount may be recovered from such
surety or sureties after notice and summary
hearing in the same action (Rule 57, Sec. 17).
Disposition of Money Deposited
Where the party against whom attachment had
been issued has deposited money instead of
giving counter-bond, it shall be applied under the
direction of the court to the satisfaction of any
judgment rendered in favor of the attaching
party.
After satisfying the judgment, the balance shall
be rendered to the depositor or his assignee. If
the judgment is in favor of the party against
whom attachment was issued, the whole sum
deposited must be refunded to him or his
assignee (Rule 57, Sec. 18).
Rule if Judgment is Rendered Against the
Attaching Party
1. The following shall be delivered to the party
against whom attachment was issued:
a) all the proceeds of sales and money
collected or received by the sheriff, under
the order of attachment; and,
b) all property attached remaining in any such
officer's hands
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 Purple Notes
Criminal
Remedial
2. The order of attachment shall be discharged II, 2016 ed.,
(Rule 57, Sec. 19) pp.16-17).
The court takes It does not Property of the
4.C.8. Compared with Garnishment and custody of the involve actual judgment
property of the seizure of the obligor is set
Levy on Execution
party against property which aside and
whom the remains in the taken into
Garnishment attachment is hands of custody of the
directed (Riano, garnishee court before
The attaching party seeks to subject to his claim Civil Procedure (Riano, Civil the sale of the
either the property of the adverse party, in the Vol. II, 2016 Procedure Vol. property on
hands of a 3rd person (garnishee), or the money ed., pp.16-17). II, 2016 ed., execution
which said 3rd person owes the adverse party. p.17). (Riano, Civil
Procedure Vol.
II, 2016 ed.,
Salaries can be attached only at the end of the
p.18).
month or on the pay day provided by contract or
law. This is so because prior thereto, the same
do not constitute money “due” to the debtor from
his employer.

 Q.What is the procedure for attaching

property in custodia legis?
4.D. PRELIMINARY INJUNCTION
A. Rule 57, Sec. 7(e) provides that if the
Preliminary injunction is an order granted at any
property sought to be attached is in custodia
stage of an action, prior to the judgment or final
legis, a copy of the writ of attachment shall
order:
be filed with the proper court or quasi-judicial
agency, and notice of the attachment served
upon the custodian of such property. Citing 1.) a) requiring a party, court, agency or person
Trader’s Royal Bank vs. IAC, the court held: to perform; or
property in the custody of the law cannot be 2.) b)refrain from performing a particular act or
interfered with without: acts(Rule 58, Sec. 1).

a. the custody of the proper court and It is an equitable remedy. By issuing a writ of
b. properly legally attached is property in preliminary injunction, the court can thereby
custodia legis(BSP vs. Lanzanas, A.M. No. prevent a threatened or continued irreparable
RTJ-06-1999, December 8, 2010). injury to the plaintiff before a judgment can be
rendered on the claim (Riano, Civil Procedure, Vol.
II, 2016 Ed., pp.50-51).
Preliminary Levy on
Garnishment
Attachment Execution Notice and Hearing
Issued at the It is a manner Process
commencement of attaching employed
of the action or property AFTER the
A writ of preliminary injunction cannot be issued
at any time pursuant to a judgment has without a prior notice and hearing (Rule 58, Sec.
before entry of writ of become 5).
judgment as execution executory for
security for the (Rule 39, Sec. the satisfaction Purpose of Preliminary Injunction
satisfaction of 9c) or a writ of of final
any judgment attachment judgment. It is issued by the court to prevent threatened or
that may be (Rule 57, continuous irreparable injury to parties before
recovered Sec.5)
their claims can be thoroughly studied and
(Riano, Civil
Procedure Vol. adjudicated and during pendency of an action.
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 Purple Notes
Criminal
Remedial
Hence, in order to protect the rights of the PRELIMINARY TEMPORARY
parties before the main action is resolved, there INJUNCTION RESTRAINING ORDER
is a need to preserve status quo (Riano, Civil injunction shall be parte(Rule 58, Sec. 5).
Procedure, Vol. II, 2016 ed., p. 51). granted without
hearing and prior notice
to the party or person
Status Quo is defined as the last actual, sought to be enjoined
peaceful, and uncontested status that precedes (Rule 58, Sec. 5).
the actual controversy, that which is existing at A writ of preliminary A TRO has a lifetime of
the time of the filing of the case (Cortez-Estrada vs. injunction remains until only 72 hours, 20 days or
Heirs of Domingo/Antonia Samut, GR No. 154407, it is dissolved. 60 days depending on
February 14, 2005). the issuing Court (Rule
3. It is merely 58, Sec. 5).
temporary, subject
Note: A grant of preliminary injunction is not a to the final
judgment on the merits. disposition of the
principal action
(Dungog vs. CA,
G.R. no. 139767,
August 5, 2003).
4.
PRELIMINARY TEMPORARY
INJUNCTION RESTRAINING ORDER
A preliminary injunction A TEMPORARY
4.D.1. Definitions and Differences:
is an order granted at RESTRAINING ORDER
Preliminary Injunction, Temporary any stage of an action (TRO) is issued if it shall
Restraining Order, and Status Quo Ante or proceeding prior to appear  from the facts
Order the judgment or final shown by affidavits or  by
order, requiring a party the verified application
Define and Differ Preliminary Injunction or a court, agency or a that great or irreparable
person to refrain from a injury would result to the
and Temporary Restraining Order
particular act or acts. applicant application for
preliminary injunction can
PRELIMINARY TEMPORARY It may also require the be heard on notice (Rule
INJUNCTION RESTRAINING ORDER performance of a 58, Sec. 5).
A preliminary A TEMPORARY particular act or acts, in
injunction is an order RESTRAINING ORDER which case it shall be
granted at any stage of (TRO) is issued if it shall known as a preliminary
an action or proceeding appear  from the facts mandatory injunction
prior to the judgment shown by affidavits or  by (Rule 58, Sec. 1).
or final order, requiring the verified application No preliminary May be issued ex parte
a party or a court, that great or irreparable injunction shall be (Rule 58, Sec. 5).
agency or a person to injury would result to the granted without
refrain from a particular applicant application for hearing and prior notice
act or acts. preliminary injunction can to the party or person
be heard on notice (Rule sought to be enjoined
It may also require the 58, Sec. 5). (Rule 58, Sec. 5).
performance of a A writ of preliminary A TRO has a lifetime of
particular act or acts, in injunction remains until only 72 hours, 20 days or
which case it shall be it is dissolved. 60 days depending on
known as a the issuing Court (Rule
preliminary 5. It is merely 58, Sec. 5).
mandatory temporary, subject
injunction(Rule 58, to the final
Sec. 1). disposition of the
principal action
No preliminary May be issued ex (Dungog vs. CA,
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Commissions 219219
 Purple Notes
Criminal
Remedial
PRELIMINARY TEMPORARY action (Bacolod Water application for a writ of
INJUNCTION RESTRAINING ORDER District vs. Labayen, preliminary injunction,
G.R. no. 139767, G.R. no. 157494, (Riano, Civil Procedure,
August 5, 2003). December 10, 2004). Vol. II, 2016 Ed., p.56).
It is not a cause of
action in itself but
merely an adjunct to a
main suit (Mabayo
Farms, Inc. vs. CA,G.R.
no. 140058,August 01,
2002)
It does not seek a It seeks a judgment
permanent embodying a final
Status Quo Ante Order injunction(Riano, Civil injunction(Riano, Civil
Procedure, Vol. II, 2016 Procedure, Vol. II, 2016
 Q. When is a status quo ante issued? Ed., p.56). Ed., p.56).
Granted after the trial of
A. There have been instances when the Granted at any stage of the action if it appears
an action or proceeding that the applicant is
Supreme Court has issued a status quo order
prior to the judgment entitled to have the act
which, as the very term connotes, is merely or final order (Rule 58, or acts complained of
intended to maintain the last, actual, Sec. 1). permanently enjoined
peaceable and uncontested state of things (Rule 58, Sec. 9).
which preceded the controversy. This was Its hearing is separate --
resorted to when the projected proceedings and distinct from the
in the case made the conservation of trial on the merits of
the status quo desirable or essential, but the the main case for
affected party neither sought such relief or injunction (Juana
Complex I Homeowners
the allegations in his pleading did not
Association, Inc. vs. Fil-
sufficiently make out a case for a temporary Estate Land, Inc., G.R.
restraining order. The status quo order was no. 152272, March 5,
thus issued motu proprio on equitable 2012).
considerations. Also, unlike a temporary The right and the act
Generally, based solely
restraining order or a preliminary injunction, violative thereof must be
on initial and
a status quo order is more in the nature of a incomplete evidence
established with absolute
cease and desist order, since it neither certainty to be a basis for
(Zuneca Pharmaceutical
directs the doing or undoing of acts as in the a final and permanent
v. Natrapharm, inc.,
injunction (Republic vs.
case of prohibitory or mandatory injunctive G.R. no. 197802,
Cortez, G.R. no. 197472,
relief. The further distinction is provided by November 11, 2015).
September 7, 2015).
the present amendment in the sense that, Grant is not a final Judgment should be
unlike the amended rule on restraining resolution or decision assailed by a timely
orders, a status quo order does not require disposing the case appeal (Casilan vs.
the posting of a bond (Megaworld vs. Majestic, (Recto vs. Escaler, G.R. Ibanez, G.R. nos. L-
G.R. no. 169694, December 09, 2015 citing no. 173179, October 19968-69, October 31,
Regalado). 20, 2010). Hence, the 1962).
order may be
Preliminary Injunction vs. Main Action for challenged by a petition
for certiorari under Rule
Injunction
65 (Sec. 1[b], Rule 41).
PRELIMINARY MAIN ACTION FOR
PRELIMINARY MAIN ACTION FOR INJUNCTION INJUNCTION
INJUNCTION INJUNCTION Not a principal action & A principal action and a
Not a principal action & A principal action and a can only exist as an cause of action in itself.
can only exist as an cause of action in itself. incident to a principal It can be coupled with an
incident to a principal It can be coupled with an action (Bacolod Water application for a writ of
Center for Legal Education and
220 220 Research
 Purple Notes
Criminal
District vs. Labayen, G.R.
Remedial
preliminary injunction,
no. 157494, December 10, (Riano, Civil Procedure,
2004). Vol. II, 2016 Ed., p.56).
It is not a cause of
action in itself but
merely an adjunct to a
main suit (Mabayo Preliminary Prohibitory Injunction vs.
Farms, Inc. vs. CA,G.R. Petition for Prohibition
no. 140058,August 01,
2002)
It does not seek a It seeks a judgment PRELIMINARY
PETITION FOR
permanent embodying a final PROHIBITORY
PROHIBITION
injunction(Riano, Civil injunction(Riano, Civil INJUNCTION
Procedure, Vol. II, 2016 Procedure, Vol. II, 2016 Not an independent An independent action.
Ed., p.56). Ed., p.56). action.
Granted at any stage of Granted after the trial of Generally directed Not directed against a
an action or proceeding the action if it appears against a party-litigant, party-litigant but against
prior to the judgment that the applicant is although under the a tribunal, corporation,
or final order (Rule 58, entitled to have the act Rules, it may be board, officer or person
Sec. 1). or acts complained of directed against a exercising judicial, quasi-
permanently enjoined court, an agency or judicial or ministerial
(Rule 58, Sec. 9). person (Rule 58, Sec. 1). functions (Rule 65, Sec. 2).
Its hearing is separate -- It applies even if there It applies when the acts
and distinct from the is no issue of or proceedings of any
trial on the merits of jurisdiction, grave tribunal, corporation,
the main case for abuse of discretion, or board, officer or person
injunction (Juana other similar acts which are without or in excess
Complex I Homeowners amount to lack of of its or his jurisdiction,
Association, Inc. vs. Fil- jurisdiction. or with grave abuse of
Estate Land, Inc., G.R. no. discretion amouting to
152272, March 5, 2012).
lack of jurisdiction.
Generally, based solely The right and the act
Hence, the basis of
on initial and violative thereof must be
prohibition is a
incomplete evidence established with absolute
jurisdictional issue (Rule
(Zuneca Pharmaceutical v. certainty to be a basis for 65, Sec. 2).
Natrapharm, inc., G.R. no. a final and permanent
197802, November 11, injunction (Republic vs.
2015). Cortez, G.R. no. 197472, Preliminary Mandatory Injunction vs.
September 7, 2015). Petition for Mandamus
Grant is not a final Judgment should be
resolution or decision assailed by a timely PRELIMINARY
disposing the case appeal (Casilan vs. Ibanez, PETITION FOR
MANDATORY
(Recto vs. Escaler, G.R. G.R. nos. L-19968-69, MANDAMUS
no. 173179, October 20, October 31, 1962).
INJUNCTION
2010). Hence, the order A provisional remedy, A special civil action and a
may be challenged by a not a main or main action.
petition for certiorari independent action.
under Rule 65 (Sec. Generally directed Directed against a
1[b], Rule 41). against a party-litigant, tribunal, corporation,
although under the board, officer or person
Rules, it may be (Rule 65, Sec. 3).
Notes:
directed against a
 Examples of acts subject to the main action court, an agency or
person (Rule 58, Sec. 1)
for injunction are those mentioned in Art. 26
Issued to require a Seeks a judgment
of the Civil Code.
party to perform an act commanding tribunal,
 A judgment in an action for injunction is (Rule 58, Sec. 1) in order corporation, board, officer
to restore the last or person to perform a
immediately executory.
peaceable and duty which the law
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Commissions 221221
 Purple Notes
Criminal
uncontested
Remedial
status specifically enjoins as a 2) This right is directly Threatened by an act
preceding the duty either because there sought to be enjoined;
controversy. was an unlawful neglect 3) The invasion of this right is Material and
of such duty or a person substantial; and,
was unlawfully excluded
4) There is an Urgent and paramount necessity
from the use and
enjoyment of an office to for the writ to prevent serious irreparable
which such person is damage(Spouses Dulnuan vs. MBTC, GR 196864,
entitled (Rule 65, Sec. 3). July 8, 2015).
May be directed Directed against
against any act. ministerial acts.  Q. What is a clear and unmistakeable right?

PRELIMINARY A. The righ sought to be protected must be a

PETITION FOR present right, a legal right which must be
MANDATORY
MANDAMUS shown to be clear and positive. Accordingly,
INJUNCTION
A provisional remedy, A special civil action and a this means that the applicants praying for the
not a main or main action. issuance of a writ of preliminary injunction
independent action. “must show that they have an ostensible
Generally directed Directed against a right to the final relief pray for in their
against a party- tribunal, corporation, complaint” (Juana Complex I Homeowners
litigant, although board, officer or person Association, Inc. vs. Fil-Estate Land, Inc., G.R. No.
under the Rules, it (Rule 65, Sec. 3).
152272, March 05, 2012).
may be directed
against a court, an
agency or person
Formal Requisites:
(Rule 58, Sec. 1)
Issued to require a Seeks a judgment 1) There must be a verified application (Sec. 4[a],
party to perform an commanding tribunal, Rule 58);
act (Rule 58, Sec. 1) in corporation, board, officer 2) The applicant must post a bond, unless
order to restore the or person to perform a exempted by the court (Sec. 4[b], Rule 58);
last peaceable and duty which the law and,
uncontested status specifically enjoins as a 3) The court must conduct a hearing (Sec. 5,
preceding the duty either because there Rule 58). It cannot be issued ex parte.
controversy. was an unlawful neglect
of such duty or a person
was unlawfully excluded
from the use and
enjoyment of an office to
which such person is Posting an Injunction Bond
entitled (Rule 65, Sec. 3).
May be directed Directed against An applicant for a preliminary injunction is
against any act. ministerial acts. required to file a bond:

Who May Grant Preliminary Injunction
Court where the action or
pending(Rule 58, Sec. 2).
4.D.2. Requisites
Essential Requisites: (TRUM)
a) Executed in favor of the party enjoined;
b) In the amount fixed by the court; and,
proceeding is c) To the effect that the applicant shall pay to
the party enjoined all damages which he may
sustain by reason of the preliminary injunction
or the restraining order if the court should
finally decide that the applicant was not
entitled to the writ or order.

1) There exists a clear and unmistakable Right The applicant may, however, be exempted by the
to be protected;The right must not be court from posting a bond (Sec. 4[b], Rule 58).
doubtful or disputed.
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Service of Copies of Bonds PROHIBITORY MANDATORY
Requires one to Requires the
The party filing a bond in accordance with the REFRAINfrom the PERFORMANCE of a
provisions of this Rule shall forthwith serve a performance of a particular act or acts.
particular act or acts.
copy of such bond on the other party who may
The act has not yet The act has already been
except to the sufficiency of the bond, or of the
been performed performed and this act
surety or sureties thereon (Rule 58, Sec. 7). because it is restrained has violated the rights of
or prevented by another.
When Injunction Shall be Dissolved injunction.
Its purpose is to Its purpose is to
a) If the applicant’s bond is found to be PREVENT a future or RESTORE the status quo
insufficient in amount; or, threatened injury. and then PRESERVE the
b) if the surety or sureties thereon fail to justify; Hence, status quo is said status quo which has
and, preserved. been restored.
c) a bond sufficient in amount with sufficient
sureties approved after justification is NOT Kinds of Temporary Restraining Order
filed forthwith (Rule 58, Sec. 7). (TRO) (Rule 58, Sec. 5)

TRO - 20 DAYS TRO - 72 HOURS

When Injunction Shall be Granted or
Great or irreparable
Restored
injury would result to
the applicant before the
a) If the bond of the adverse party is found to be matter can be heard on
insufficient in amount; or, notice.
b) Tthe surety or sureties thereon fail to justify a Note: “Irreparable
bond sufficient in amount with sufficient injury” – constant and
sureties approved after justification is not filed frequent recurrence that
forthwith (Rule 58, Sec. 7). no fair or reasonable
redress can be had in a
court of law.
The court to which the
application for
preliminary injunction
was made, may issue ex
parte a TRO to be
effective only for a
4.D.3. Kinds of Injunctions; Kinds of period of 20 daysfrom
Temporary Restraining Orders service on the party or
person sought to be
enjoined.
Kinds of Injunctions
PRELIMINARY
FINAL INJUNCTION
INJUNCTION
Section 1, Rule 58 Section 9, Rule 58
Granted at any stage of One issued after the trial
an action prior to the of the action permanently Within the said 20-day
judgment or final order restraining defendant or period, the court must:
therein making the preliminary
injunction permanent. a) order the proper
party orperson to
show cause why the
Kinds of Preliminary Injunction(Riano, Civil injunction should
Procedure, Vol. II, 2016 ed., p. 55) not be granted;
b) determine whether
Bar Operations
Commissions
The matter is of extreme
urgency and the applicant
will suffer grave injustice
and irreparable injury.
The executive judge of a
multiple-sala court or the
presiding judge of a single-
sala court may issue ex
parte a TRO effective for
only 72 hoursfrom
issuance.
It may be extededfor a
period not exceeding 20
days including the original
72 hours already given.
If issued originally to be
effective for 20 days, the
TRO takes effect from
service.
Within the
aforesaid72hours, the
judge before whom the
case is pending shall
conduct a summary
hearing to determine
whether the TRO shall be
extended until the
application for preliminary
injunction can be heard.
223223
 Purple Notes
Criminal
or not
Remedial
the EXCEPT that the TRO may, in some cases, be
preliminary issued ex parte pursuant to Sec. 5 of Rule 58.
injunction shall be
granted; and,

c) issue the order. 4.D.4. When Writ May Be Issued, When

Writ May Not Be Issued

TRO - 20 DAYS TRO - 72 HOURS When writ may be Issued

Great or irreparable The matter is of extreme
injury would result to urgency and the applicant A preliminary injunction is an order granted at
the applicant before will suffer grave injustice
any stage of an action or proceeding prior to the
the matter can be and irreparable injury.
heard on notice. judgment or final order(Rule 58, Sec. 1).
Note: “Irreparable
injury” – constant When Writ may not be Issued
and frequent
recurrence that no 1. No court, except the Supreme Court, shall
fair or reasonable issue any temporary restraining order,
redress can be had in preliminary injunction or preliminary
a court of law. mandatory injunction against the government,
The court to which The executive judge of a
or any of its subdivisions, officials or any
the application for multiple-sala court or the
preliminary injunction presiding judge of a
person or entity, whether public or private
was made, may issue single-sala court may acting under the government direction, to
ex parte a TRO to be issue ex parte a TRO restrain, prohibit or compel the following acts:
effective only for a effective for only 72
period of 20 hoursfrom issuance. 1. (a) Acquisition, clearance and
daysfrom service on It may be extededfor a development of the right-of-way and/or
the party or person period not exceeding 20 site or location of any national
sought to be days including the original government project;
enjoined. 72 hours already given.
2.
If issued originally to be
effective for 20 days, the 3. (b) Bidding or awarding of
TRO takes effect from contract/project of the national
service. government as defined under Section 2
Within the said 20- Within the hereof;
day period, the court aforesaid72hours, the 4.
must: judge before whom the 5. (c) Commencement prosecution,
d) order the proper case is pending shall execution, implementation, operation of
party orperson conduct a summary any such contract or project;
to show cause hearing to determine
6.
why the whether the TRO shall be
injunction should extended until the 7. (d) Termination or rescission of any such
not be granted; application for preliminary contract/project; and
injunction can be heard. 8.
e) determine 9. (e) The undertaking or authorization of
whether or not any other lawful activity necessary for
the preliminary
such contract/project.(R.A. 8975, Sec. 3)
injunction shall
be granted; and,
2. The National Internal Revenue Code of 1997
f) issue the order.
(NIRC) expressly provides that no court shall
have the authority to grant an injunction to
Note: Sec. 4 of Rule 58 establishes the same restrain the collection of any national internal
requirement for the issuance of a preliminary revenue tax, fee or charge imposed by the
injunction and a temporary restraining order code
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Exceptions:
a. When in the opinion of the Court of Tax
Appeals (CTA) the collection thereof may
jeopardize the interest of the government
and/or the taxpayer.
b. Local taxes, as the prohibition on the
issuance of a writ of injunction to enjoin
the collection of taxes applies only to
national internal revenue taxes, and not to
local taxes (Angeles City vs. Angeles City
Electric Corporation, G.R. No. 166134, June 29,
2010).
3. A restraining order or a preliminary injunction
may not be issued by any court against the
Presidential Agrarian Reform Council (PARC)
or any of its duly authorized agencies in any
case connected with its application,
implementation or enforcement of the CARP
(Sec. 55, R.A. 6657, Comprehensive Agrarian
Reform Law; Riano, Civpro Vol. II, 2016, p.75).
4. A court may not interfere by injunction with
the orders of another court of co-equal rank
or decrees of a court with concurrent or
coordinate jurisdiction (Riano, Civpro Vol. II,
2016, p.75).
4.D.5 Grounds for the Issuance
ofPreliminary Injunction (EnCoD)
a. The applicant is Entitled to the relief
demanded, and the whole or part of such
relief consists in restraining the commission or
continuance of the act or acts complained of,
or in requiring the performance of an act or
acts either for a limited period or perpetually;
b. The Commission, continuance or non-
performance of the act or acts complained of
during the litigation would probably work
injustice to the applicant; or
c. A party, court, agency or a person is Doing,
threatening, or is attempting to do, or is
procuring or suffering to be done some act or
acts probably in violation of the rights of the
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applicant respecting the subject of the action
or proceeding, and tending to render the
judgment ineffectual(Rule 58, Sec. 3).
4.D.6. Grounds for objecton to, or for the
dissolution of injunction or restraining
order
1. The application for injunction or restraining
order may be denied upon ahsowing of its
insufficiency;
When insufficient:
a) It if is not verified and supported by any
of the grounds for its issuance;
b) It does not show factsentitling applicant
to the relief; or
c) Not supported by required bond.
2. On other grounds by affidavits of the party or
parties enjoined (Rule 58, Sec. 6);
3. If it appears after hearing that applicant
entitled but the issuance or continuance would
cause irreparable damage to the party oe
person enjoined while the applicant can be
fully compensated for such damages as he
may suffer(Rule 58, Sec. 6).
Note: The mere filing of a counterbond does
not necessarily warrant the dissolution of the
writ of preliminary injunction. Under Sec. 6,
Rule 58, the court is called upon to exercise
its discretion in determining or weighing the
relative damages that may be suffered by the
parties. If the damages that may be suffered
by the defendant by the continuance of the
injunction outweigh the damages that may be
suffered by the plaintiff by the dissolution of
the injunction, then the injunction should be
dissolved(Director of Bureau of
Telecommunications vs. Aligaen, G.R. No. L-31135,
May 29, 1970).
4.D.7. Duration of temporary restraining
orders
1. The court to which the application for
preliminary injunction was made, may issue
ex parte a TRO to be effective only for a
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period of 20 daysfrom service on the party or
person sought to be enjoined.
2. The executive judge of a multiple-sala court or
the presiding judge of a single-sala court may
issue ex parte a TRO effective for only 72
hoursfrom issuance.
Within the aforesaid period, the judge before
whom the case is pending shall conduct a
summary hearing to determine if such TRO
should be extended. In case of extension, it
shall not exceed 20 days which include the
original 72 hours of the previous issuance.
The 20-day period shall not apply to the
following:
a. Court of Appeals – the TRO shall be
effective for 60 days from service on the
party or person sought to be enjoined.
b. Supreme Court – it shall be effective until
further orders.
4.D.8. Rule on prior or contemporaneous
service of summons in relation to
attachment
When an application for a writ of preliminary
injunction or a temporary restraining order (TRO)
is included in a complaint or any initiatory
pleading, the case, if filed in a multiple-sala
court, shall be raffled only after notice to and in
the presence of the adverse party or the person
to be enjoined.
In any event, such notice upon the adverse party
in the Philippines shall be preceded, or
contemporaneously accompanied, by:
a. service of summons;
b. copy of the complaint or initiatory pleading;
and,
c. applicant’s affidavit and bond
When Prior or Contemporary Service of
Summons NOT Required
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a) summons could not be served personally
despite diligent efforts; or,
b) summons could not be served by substituted
service despite diligent efforts; or,
c) adverse party is a:
i) Resident of the Philippines temporarily
absent therefrom; or,
ii) Non-resident (Sec. 4[c], Rule 58)
4.E. RECEIVERSHIP (Rule 59)
Nature of a Receivership
It is a provisional or ancillary remedy wherein the
court appoints a receiver to receive and preserve
the property or fund in litigation pendente lite,
when it does not seem reasonable to the court
that either party should hold it (Riguera, Primer-
Reviewer on Remedial Law, Civil Procedure, Vol. I,
2015 Ed).
 Q. What is the purpose of receivership?
A. It is aimed at the preservation of, and at
making more secure, existing rights. It
cannot be used as an instrument for the
destruction of those rights (Arranza v. B.F.
Homes, Inc., G.R. no. 131683, June 19, 2000).
 Q. May the court deny the appointment of a
receiver?
A.Yes.The appointment is NOT a matter of
absolute right. It depends upon the sound
discretion of the court and is based on facts
and circumstances of each particular case
(Commodities Storage & Ice Plant Corp. vs. CA,
G.R. no. 125008, June 19, 1997).
Which court has jurisdiction to appoint a
receiver?
a) The court where the action is pending
b) The Court of Appeals or a member thereof
c) The Supreme Court or any member thereof
(Riano, Civil Procedure, Vol II, 2016 Ed., p.88)
Who May be Appointed as Receiver?
1) Any person indifferent to the parties who is
impartial and disinterested.
and

2) Party in litigation, with consent of other
parties
3) Clerk of Court, with bond
 Q. Who is a receiver?
A. A receiver is a person appointed by the
court in behalf of all the parties to an action
for the purpose of preserving and conserving
the property in litigation and prevent its
possible destruction or dissipation if left in
the possession of any of the parties
(Commodities Storage & Ice Plant Corp. vs. CA,
G.R. no. 125008, June 19, 1997).
 Q. Is a receiver a representative of either
party?
A. No.A receiver is not an agent or
representative of any party in action. He is an
officer of court exercising his functions not
for the interest of either plaintiff or
defendant, but for the COMMON BENEFIT of
ALL parties in interest. He is “subject to the
control of the Court”(Pacific Merchandising
Corp. vs Cosolacion Insurance & Surety Co., G.R.
nos. L-30204, October 29, 1976; Riano, Civil
Procedure, Vol. II, , 2016 ed., pg. 88).
4.E.1 Cases When Receiver May Be
Appointed (Rule 59, Sec. 1)(IFAC)
a) When a party applying for a receiver has an
Interest in the property or fund under
litigation, and the same is in danger of being
lost, removed or materially injured unless a
receiver be appointed to administer and
preserve it (Making Enterprise, Inc. vs. Marfori,
G.R. nno. 152239, August 17, 2011);
b)
c) In an action for the Foreclosure of a
mortgage, when the mortgaged property is
in danger of being wasted or dissipated or
materially injured, and that its value is
insufficient to discharge the mortgage debt,
or if parties so stipulated in the contract of
mortgage (Commodities Storage and Ice Plant
Corporation vs Court of Appeals, G.R. no.
125008, June 19, 1997);
d)
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e) After judgment, to preserve the property
during pendency of the Appeal or to dispose
of it according to the judgment or to aid
execution thereof if unsatisfied (DSM
Construction and Development Corporation vs.
Court of Appeals, G.R. No. 166993, December 19,
2005);
f)
g) Whenever it appears that the appointment
of a receiver is the most Convenient and
feasible means of preserving, administering
or disposing the property in litigation
(Biraogo vs. The Philippine Truth Commission of
2010, G.R. No. 192935, December 7, 2010).
4.E.2. Requisites
1. A verified application filed by the party
applying for the appointment of a receiver.
(Sec. 1(a), Rule 59);
2. The applicant to file a bond executed to
the party against whom the application is
presented, in an amount to fixed by the court
(Sec. 2, Rule 59).
Conditions of the Bond
a) executed to the party against whom the
application is presented;
b) in an amount to be fixed by the court;
c) to the effect that the applicant will pay such
party all damages he may sustain by reason
of the appointment of such receiver in case
the applicant shall have procured such
appointment without sufficient cause
The court may, in its discretion, at any time after
the appointment, require an additional bond as
further security for such damages (Rule 59, Sec.
2).
4.E.3. Requirements before issuance of an
order
1. A verified application filed by the party
applying for the appointment of a receiver.
(Sec. 1(a), Rule 59);
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Interest of the applicant in the property or 2. 2) No action may be filed by or against the
funds subject of the action (Sec. 1(a), Rule receiver without leave of court which
59); appointed him (Rule 59, Sec. 6).
3. The application must be with notice and set 3. 3)A receiver cannot enter into a conract
for hearing; without the approval of the court (Pacific
4. Before issuing the appointment of a receiver, Merchandising Corp. vs. Consolacion
the applicant is required to post a bond; and, Insurance & Surety Company, GR No. L-
5. The receiver must be sworn to perform his 30204, Pctober 29, 1976).
duties faithfully and shall file a bond (Sec. 4,
Rule 59). Instances When Receivership May Be
Denied or Lifted (Rule 59, Sec. 3)
4.E.4. General Powers of a Receiver
(BTRC2MPD2I) a) Filing of a counterbond; or
b) No sufficient cause for appointing a receiver.
1. 1.Bring and defend action in his own name
in his capacity as receiver; Liability for Refusal or Neglect to Deliver
2. Property to Receiver
3. 2.Take and keep possession of the property
in controversy; A person who refuses or neglects, upon
4. reasonable demand, to deliver to the receiver all
5. 3.Receive rents; the property, money, books, deeds, notes, bills,
6. documents and papers within his power or
7. 4.Collect debts due to himself as receiver or control, subject of or involved in the action or
to fund, property, estate or corporation of proceeding, or in case of disagreement, as
which he is the receiver; determined and ordered by the court, may be:
8.
9. 5. Compound for and compromise the same. 1. punished for contempt;
10. 2. shall be liable to the receiver for the money
11. 6. Make transfers; or the value of the property and other things
12. so refused or neglected to be surrendered;
13. 7. Pay outstanding debts; 3. shall be liable for all damages that may have
14. been sustained by the party or parties
15. 8. Divide the money and other property that entitled thereto as a consequence of such
shall remain among the persons legally refusal or neglect (Rule 59, Sec. 7).
entitled to receive them;
16. 4.E.5. Two (2) Kinds of Bonds
17. 9. Generally to Do such acts respecting the
property as the court may authorize; and 1. Applicant’s Bond (for appointment of
18. receiver) – To pay the damages the adverse
19. 10.Invest funds in his hands, only by the party may sustain by reason of appointment
order of the court upon the written consent of receiver (Rule 59, Sec. 2).
of all the parties to the action.(Rule 59, Sec. 2.
6) 3. Receiver’s Bond (of the appointed
receiver, aside from oath) – To answer for
Acts of Receiver that need court approval receiver’s faithful discharge of his duties
(Rule 59, Sec. 4).
1. 1)Funds in the hands of the receiver may be
invested only by order of the court upon the 4.E.6. Termination of Receivership
written consent of all the parties to the
action (Rule 59, Sec. 6). The receivership shall be terminated if upon
motion of either party or motu proprio by the

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court, the necessity for a receiver no longer actual or constructive possession of a third
exists (Rule 59, Sec. 8). possession of the person.
property.
Procedure in the Termination of Only extends to Extends to all types of
personal property property whether real,
Receivership:
capable of manual personal or incorporeal.
delivery.
1. Due notice to all interested parties; Cannot be availed of Can be availed of even if
2. Hearing; when property is in property is in custodia
3. Settling the accounts of the receiver; and custodia legis. legis.
4. Directing delivery of the funds and other Available before Available from
property in the receiver’s possession to the defendant answers. commencement but before
person adjudged to receive (Rule 59, Sec. 8). entry of judgment.
Bond is double the Bond is fixed by the
Note: Receiver is allowed a reasonable value of the property court(Riano, Civil
Procedure, Vol. II, p. 95,
compensation set by the court as the case may
2016 ed.).
warrant to be taxed as costs against the defeated
party, or apportioned if justice requires (Rule 59,
4.F.1. When may Writ be Issued
Sec. 8).
1. At the commencement of the action; or
4.F. REPLEVIN
2. At any time before answer (Rule 60, Sec. 1).

Replevinunder Rule 60 is a provisional remedy 4.F.2. Requisites

wherein a party praying for the recovery of pos-
session of personal property may apply for an or- 1. Applicant must file for an application for writ
der for the delivery to him of such property of replevin before defendant answers.
wrongfully detained by the adverse party.
 Q. How should the application for writ of
Replevin Distinguished vs. Preliminary replevin be filed?
Attachment
A. A party praying for the provisional
PRELIMINARY remedy must file an application for a writ
REPLEVIN
ATTACHMENT
of replevin. His application must be filed
Purpose is to recover Purpose is to place the
personal property property in custodialegisto
at the commencement of the action or at
capable of manual secure satisfaction of any time before the defendant answers,
delivery from adverse judgment that may be and must contain an affidavit particularly
party. rendered in favor of describing the property to which he is
applicant. entitled of possession(Davao Light and
May be sought only Available even if recovery Power Co. Inc, vs. CA, G.R. No. 93262,
when the principal of property is only December 29, 1991).
action is recovery of incidental to the relief
personal property. sought. 2. Application must contain affidavit executed by
Personal property Property belongs to the the (i) applicant or (ii) any one who has
belongs either to defendant. personal knowledge of facts.
plaintiff or he has
right of possession
over the same. The Affidavit must contain the following:
No need to show that In some cases, needs to (ODDA)
the property is being show that the property is
concealed or disposed being concealed, removed, a. The applicant is the Owner of the property
to the prejudice of or disposed of. claimed, particularly describing it, or is
plaintiff. entitled to the possession thereof;
Can be sought only May be resorted to even if
when defendant is in the property is in
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The property is wrongfully Detained by the
adverse party;
c. The property has not been Distrained; and
d. The Actual market value of the property.
3. Applicant must post a replevin bond executed
to the adverse party(Rule 60, Sec. 2).
4.F.3. Affidavit and Bond; Redelivery Bond
Contents of the Affidavit(ODDA)
1. 1. That the applicant is the Owner of
property claimed, describing it, or entitled to
its possession;
2. 2. That the property is wrongfully Detained
by the adverse party, alleging cause of its
detention;
3. 3. That the property has NOT been:
 Distrained or taken for tax assessment or
fine; or,
 under writ of execution/attachment; or,
 placed under custodia legis; or,
 if seized, that it is exempt or should be
released (Navarro vs. Escobido G.R. No.
153788, November 27, 2009, supra) ; and,
4. 4.The Actual market value of the property
(Government of Tuguegarao vs. Ting, G.R. Nos.
192435-36  September 14, 2011).
Replevin is not available when the property is
under custodia legis, under attachment or seized
pursuant to law (Rule 60, Sec. 2).
Note:A property held as evidence in a criminal
case cannot be replevied. However, such
propertymust is lawfully held, that is, seized in
accordance with the rule against warrantless
searches and seizures or its accepted
exceptions(Bagahilog vs. Fernandez, G.R. No. 96356,
June 27, 1991).
Conditions of Replevin Bond
1. 1. posted by the applicant;
2. 2. executed to the adverse party;
3. 3. in double the value of the property (Rule
60, Sec. 2).
Purpose of Replevin Bond
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1. For the return of the property to the adverse
party, if such return be adjudged; and,
2. for the payment to the adverse party of such
sum as he may recover from the applicant in
the action(Rule 60, Sec. 2).
Where the court awards damages based on
Articles 19 and 20 of the Civil Code and not on
the deprivation of personal properties subject of
the replevin bond, recourse on the bond for the
payment of such damages is NOT proper (Riano,
Civil Procedure, Vol. II, 2016 ed., p. 98).
Order of the Court and Writ of Replevin
Upon filing of affidavit and approval of bond, the
court shall issue an Order and a Writ of Replevin.
The Writ of Replevin shall:
1. Describe the personal property alleged to be
wrongfully detained; and,
2. Require the Sherif to take such property in
his custody (Rule 60, Sec. 3).
4.F.4. Sheriffs Duty in the Implementation
of the Writ; when Property is claimed by
Third Party
Sheriff’s Duty
Upon receipt of the order, the sheriff must:
1. serve a copy of order on the adverse party,
together with a copy of the application,
affidavit and bond;
2. Take the property, if it be in the possession
of the adverse party, or his agent;
3. Retain the property in his custodywithin five
(5) days from the taking of the property shall
wait for the move of the adverse party and,
4. Deliver the property to the party entitled
(Rule 60, Sec. 4).
Service of Writ of Replevin
A writ of replevin may be served anywhere in the
Philippines(Fernandez vs. The Internation Corporate
Bank, G.R. No. 131283, October 7, 1999).
Property is Wholly or Partly Concealed
and

1) If the property or any part thereof be
concealed in a building or enclosure, the
sheriff must demand its delivery.
2) If not delivered, the sheriff must cause the
building or enclosure to be broken open and
take the property into his possession (Rule 60,
Sec. 4).
When Defendant is Entitled to Return of
Property (PIN)
a) He Posts a redelivery bond;
b) The plaintiff’s bond is found to be Insufficient
or defective and is not replaced with a proper
bond; or,
c) The property is Not delivered to the plaintiff
for any reason.
Redelivery Bond (Rule 60, Sec. 5)
If the adverse party does not object to the
sufficiency of the applicant’s bond, he may, at
any time before the delivery of the property to
the applicant, require the return thereof, by filing
with the court a bond executed to the applicant.
The bond is double the value of the property.
Service of the copy of such bond to the applicant
shall also be required.
 Q. State the requirement of the rules on the
redelivery bond of the property to the
defendant.
A. It is required that the redelivery bond be
filed within the period of 5 days after the
taking of the property. The rule is mandatory
(Yang vs. Valdez, G.R. No. 73317, August 31,
1989).
Effect of the Dismissal of the Complaint for
Replevin for Failure of Plaintiff to Prosecute
Parties’ status prior to litigation shall be restored
and the property must be returned to the
defendant (Riano, Civil Procedure, Vol. II, p. 102,
2016 ed.).
Procedure When There is a Third-Party
Claimant(Rule 60, Sec. 7)
Any third-party claimant or his agent must:
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1. Make an affidavit of his title thereto, or right
to the possession thereof, stating the
grounds therefor; and,
2.
3. Serve such affidavit upon the sheriff while
the latter has possession of the property and
a copy thereof upon the applicant (Rule 60,
Sec. 4).
 Note: A third-party refers to any person
other than the party against whom the writ
of replevin had been issued. He may may
vindicate his claim to the property under
replevin in the same or separate action (Rule
60, Sec. 7).
Effect of the Third-Party Claimant’s
Affidavit
General Rule: Sheriff is not bound to keep the
property under replevin or to deliver it to the
applicant.
Exception: When the applicant or his agent files
a bond approved by the court in a sum not less
than the value of the property under replevin.
Notes:
 No claim for damages for the taking or
keeping of the property may be enforced
against the bond UNLESS the action
therefore is filed within 120 days from the
date of the filing of the bond.
 Filing of a bond is NOT required when the
writ of replevin is issued in favor of the
Republic of the Philippines, or any officer duly
representing it.
 Sheriff is not liable for damages against the
third-party claimant if bond is filed(Rule 60,
Sec. 7).
Judgment in the Alternative
a) For the delivery of the chattel to the party
entitled thereto;
b) For the payment of value in case delivery
cannot be made, and also for such damages
if warranted (Rule 60, Sec. 9).
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4.G.
RemedialREMEDIES
PROVISIONAL AND
INTERIM RELIEFS UNDER SPECIAL LAWS
AND RULES
4.G.1. Provisional Remedies of the Family
Courts
In Violence Cases
In cases of violence among immediate family
members living in the same domicile or
household, the Family Court may issue a
restraining order against the accused of
defendant upon verified application by the
complainant or the victim for relief from abuse
(RA 8369 Family Courts Act of 1997, Sec. 7).
In Civil Actions for Custody
The court may order the temporary custody of
children in all civil actions for their custody (RA
8369 Family Courts Act of 1997, Sec. 7).
In Civil Actions forSupport
The court may also order support pendente lite,
including deduction from the salary and use of
conjugal home and other properties in all civil
actions for support(RA 8369 Family Courts Act of
1997, Sec. 7).
Provisional Orders in petition for
declaration of absolute nullity of void
marriage or for annulment of voidable
marriage, or for legal separation cases
When Issued
Upon receipt of a verified petition and at any
time during the proceeding the court, motu
proprio or upon application under oath of any of
the parties, guardian or designated custodian,
may issue provisional orders and protection
orders with or without a hearing(A.M. No. 02-11-
12-SC Rule on Provisional Order, Sec. 1).
Requirement and Enforceability
These orders may be enforced immediately, with
or without a bond, and for such period and under
such terms" and conditions as the court may
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deem necessary (A.M. No. 02-11-12-SC Rule on
Provisional Order, Sec. 1).
Kinds of Provisional and Protection Orders
which the Court may Issue (A.M. No. 02-11-12-
SC Rule on Provisional Order)
1. Spousal Support - court may award support
to either spouse in such amount and for such
period of time as the court may deem just
and reasonable based on their standard of
living during the marriage.
2. Child Support – for support, maintenance and
education of the child in proportion to the
resources or means of either parent entitled
to give support and to the necessities of the
child.
4. Child Custody - the court shall consider the
best interests of the child and shall give
paramount consideration to the material and
moral welfare of the child.
5. Visitation Rights - shall be provided to the
parent who is not awarded provisional
custody unless found unfit or disqualified by
the court
6. Hold Departure Order- no child of the parties
shall be brought out of the country without
prior order from the court.
4.G.2. Human Security Act
Provisional Remedies under HAS
1. 1. Restriction on Travel
2. 2. Judicial Authorization Required to
Examine Bank Deposits, Accounts, and
Records
3. 3. Seizure and Sequestration
Restriction to Travel ( RA 9372 Human Security
Act, Sec. 26)
Requisites for the Issuance of Restriction
to Travel
1. Evidence of guilt is not strong;
2. Person charged with the crime of terrorism or
conspiracy to commit terrorism is entitled to
bail and is granted the same;
3. Application by the prosecutor for travel
restriction;
Education and

4. Restriction is in the interest of national
security and public safety, consistent with
Article III, Section 6 of the Constitution
Restrictions of Restriction to Travel
A.) Limit the right of travel of the accused to
within the municipality or city where he
resides or where the case is pending; or
B.)
C.) House arrest without the use of means of
communication unless otherwise ordered by
the Court.
Application and Grant of Order to Inspect
and Examine
A written order shall only be granted:
1. 1. Upon an ex parte application to that effect
of a police or of a law enforcement official
who has been duly authorized in writing to file
such ex parte application by the Anti-
Terrorism Council;
2. 2. Upon examination under oath or affirmation
of the applicant and, the witnesses he may
produce to establish the facts that will justify
the need and urgency of examining and
freezing the bank deposits, placements, trust
accounts, assets, and records. (RA 9372
Human Security Act, Sec. 28) and
3. 3. Determination of the probable cause in a
hearing called for that purpose by the Justices
of the Court of Appeals designated as a
special court to handle anti-terrorism cases.
(RA 9372 Human Security Act, Sec. 27)
Effectivity (RA 9372 Human Security Act, Sec. 30)
The authorization to examine or cause the
examination of and to freeze bank deposits,
placements, trust accounts, assets, and records,
or to gather information about the same, shall be
effective for the length of time specified in the
written order of the authorizing division of the
Court of Appeals, which shall not exceed a period
of thirty (30) days from the date of receipt of the
written order by the applicant.
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It may be extended for another period not
exceeding 30 days provided that:
 Authorizing division of the Court of Appeals is
satisfied that such extension or renewal is in
the public interest;
 Application of renewal shall be filed by original
applicant; and
 The application for renewal been duly
authorized in writing by the Anti-Terrorism
Council.
Seizure and Sequestration of Accounts and
Assets
The deposits and their outstanding balances,
placements, trust accounts, assets, and records
in any bank or financial institution, moneys,
businesses, transportation and communication
equipment, supplies and other implements, and
property of whatever kind and nature belonging:
(1) to any person suspected of or charged before
a competent Regional Trial Court for the crime of
terrorism or the crime of conspiracy to commit
terrorism; (2) to a judicially declared and
outlawed organization, association, or group of
persons; or (3) to a member of such
organization, association, or group of persons
shall be seized, sequestered, and frozen in order
to prevent their use, transfer, or conveyance for
purposes that are inimical to the safety and
security of the people or injurious to the interest
of the State.
The accused or a person suspected of may
withdraw such sums as may be reasonably
needed by the monthly needs of his family
including the services of his or her counsel and
his or her family's medical needs upon approval
of the court. He or she may also use any of his
property that is under seizure or sequestration or
frozen because of his/her indictment as a
terrorist upon permission of the court for any
legitimate reason. (RA 9372 Human Security Act,
Sec. 39)
Nature of the Seized and Sequestered
Accounts and Assets
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It shall be
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deemed as property held in trust by be enforced by law enforcement agencies. The
the bank or financial institution for such person protection orders that may be issued under this
and the government during the pendency of the Act are the barangay protection order (BPO),
investigation of the person suspected of or during temporary protection order (TPO) and permanent
the pendency of the trial of the person charged protection order (PPO) (RA 9262 Anti-VAWC Act,
with any of the said crimes, as the case may be Sec.8)
and their use or disposition while the case is
pending shall be subject to the approval of the  Barangay protection order (BPO) - Barangay
court before which the case or cases are Protection Orders (BPOs) refer to the
pending. (RA 9372 Human Security Act, Sec. 40) protection order issued by the Punong
Barangay ordering the perpetrator to desist
from committing acts under Section 5 (a) and
(b) of this Act (RA 9262 Anti-VAWC Act, Sec.14);

Disposition of the Seized and Sequestered  Temporary Protection Order (TPO) - refers to
Accounts and Assets the protection order issued by the court on
the date of filing of the application after ex
1. If accused is found, after his investigation, to parte determination that such order should be
be innocent by the investigating body, or is issued. (RA 9262 Anti-VAWC Act, Sec.15)
acquitted, after his arraignment or his case is  Permanent Protection Order (PPO)refers to
dismissed before his arraignment by a protection order issued by the court after
competent court, the accounts and assets notice and hearing (RA 9262 Anti-VAWC Act,
Sec.16)
hall be deemed released from such seizure,
sequestration and freezing, and shall be
BPO TPO PPO
restored to him without any delay by the
(RA 9262 (RA 9262 Anti- (RA 9262 Anti-
bank or financial institution concerned Anti-VAWC VAWC Act, VAWC Act,
without any further action on his part. The Act, Sec.14) Sec.15) Sec.16)
filing of any appeal on motion for Issued by Issued by the Issued by the
reconsideration shall not state the release of the Punong court on the filing court after
said funds from seizure, sequestration and Barangay, or of the application notice and
freezing. in his and after ex parte hearing.
absence the determination of
2. If found guilty, forfeited in favor of the Barangay its need. It may
Kagawad, also be issued in
government. (RA 9372 Human Security Act,
ordering the the course of a
Sec. 41)
perpetrator hearing, motu
to desist proprio or upon
4.G.3. Anti-Violence against Women and from motion.
Children Act committing
acts of
Protection Orders available violence
against the
A protection order is an order issued under this family or
household
act for the purpose of preventing further acts of
members
violence against a woman or her child specified in
particularly
Section 5 of this Act and granting other women and
necessary relief. The relief granted under a their
protection order serve the purpose of children.
safeguarding the victim from further harm,
minimizing any disruption in the victim's daily life, Effective for Effective for 30 Effective until
and facilitating the opportunity and ability of the 15 days. But days may be revoked by a
victim to independently regain control over her will not bar renewed by the court upon
life. The provisions of the protection order shall the grant of Court until PPO is application of
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TPO and issued. the person in
PPO. whose favor
the order was
issued
Temporary Protection Order under Rule on
VAWC (A.M. No. 04-10-11-SC, October 19, 2004)
Form of Petition
A petition for protection order shall be in writing,
signed and verified by the petitioner. It shall be
accompanied by a certificate of non-forum
shopping which the petitioner must sign
personally (Sec. 7).
Who may file
a) The offended party;
b) Parents or guardians of the offended party;
c) Ascendants, descendants or collateral
relatives of the offended party within the
fourth civil degree of consanguinity or
affinity;
d) Officers or social workers of the Department
of Social Welfare and Development (DSWD)
or social workers of local government units
(LGUs);
e) Police officers, preferably those in charge of
women and children's desks;
f) Punong Barangay or Barangay Kagawad;
g) Lawyer, counselor, therapist or healthcare
provider of the petitioner; or
h) At least two concerned, responsible citizens
of the place where the violence against
women and their children occurred and who
have personal knowledge of the offense
committed.(Sec. 8)
Hierarchy in Filing
Filing of offended party suspends the right of
other authorized parties but filing of other party
shall not dismiss the right of the offended party
to file. The petition of the offended party shall be
consolidated with the petition filed earlier(Sec. 8).
Where to File
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a) Family Court of the place where the offended
party resides.
b) If there is no existing Family Court, it may be
filed with the regional trial court,
metropolitan trial court, municipal trial court
in cities, municipal trial court or municipal
circuit trial court with territorial jurisdiction
over the place of residence of the offended
party(Sec. 9).
Ex Parte Issuance of TPO
a) If the court is satisfied from the verified
allegations of the petition that there is
reasonable ground to believe that an
imminent danger of violence against women
and their children exists or is about to recur,
the court may issue ex parte a temporary
protection order which shall be effective for
thirty days from service on the party or
person sought to be enjoined.
b) The temporary protection order shall include
notice of the date of the preliminary
conference and hearing on the merits with a
with the printed statement provided for by
law.
c) The court shall likewise order the immediate
issuance of a notice requiring the respondent
to file an opposition within five days from
service. It shall further order service of (1)
the notices to file opposition and of dates of
the preliminary conference and hearing, (2)
the protection order, and (3) copy of the
petition, upon the respondent by the court
sheriff, or any person authorized by the
court, who may obtain the assistance of law
enforcement officers.(Sec. 15)
Notice where no TPO is issued ex parte
Where no temporary protection order is issued ex
parte, the clerk of court shall forthwith issue the
corresponding notice to the respondent requiring
him to file an opposition within five days. The
date of the preliminary conference and hearing
on the merits shall be indicated on the notice
(Sec. 16).
4.G.4. Anti-Money Laundering Act
Freezing of Monetary Instrument or
Property (Freeze Order) (RA 10167, Sec. 1)
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Requisites for Issuance
1. 1.Upon verified ex parte petition by the AMLC
and
2. 2. After determination that probable cause
exists that any monetary instrument or
property is in any way related to an unlawful
activity
Effectivity
Court of Appeals may issue a freeze order which
shall be effective immediately. The freeze order
shall be for a period of twenty (20) days unless
extended by the court. In any case, the court
should act on the petition to freeze within
twenty-four (24) hours from filing of the petition.
If the application is filed a day before a
nonworking day, the computation of the twenty-
four (24)-hour period shall exclude the
nonworking days.”
Motion to Lift
A person whose account has been frozen may file
a motion to lift the freeze order and the court
must resolve this motion before the expiration of
the twenty (20)-day original freeze order.
TRO or INJUNCTION may not be issued
No court shall issue a temporary restraining order
or a writ of injunction against any freeze order,
except the Supreme Court.
Authority to Inquire Deposit or Investment
(RA 10167, Sec. 2)
The AMLC may inquire into or examine any
particular deposit or investment, including related
accounts, with any banking institution or non-
bank financial institution upon order of any
competent court based on an ex parte application
in cases of violations of this Act, when it has
been established that there is probable cause
that the deposits or investments, including
related accounts involved, are related to an
unlawful activity.
The Court of Appeals shall act on the application
to inquire into or examine any deposit or
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investment with any banking institution or non-
bank financial institution within twenty-four (24)
hours from filing of the application.
4.G.5. Financial Rehabilitation and
Insolvency Act
Commencement Order
The Court shall issue a Commencement Order
within five days after filing a petition for
rehabilitation which is sufficient in form and
substance. Unless lifted by the court, the
Commencement Order shall be for the effective
for the duration of the rehabilitation proceedings
for as long as there is a substantial likelihood that
the debtor will be successfully rehabilitated. The
Commencement Order shall contain the following
provisional orders:
1. Stay or Suspension Order
2. Appointment of Rehabilitation Receiver.
Stay or Suspension Order
Stay or Suspension Order shall refer to an order
issued in conjunction with the commencement
order that shall:
1. 1. suspend all actions or proceedings, in court
or otherwise, for the enforcement of claims
against the debtor;
2. 2. suspend all actions to enforce any
judgment, attachment or other provisional
remedies against the debtor;
3. 3. prohibit the debtor from selling,
encumbering, transferring or disposing in any
manner any of its properties except in the
ordinary course of business; and
4. 4. prohibit the debtor from making any
payment of its liabilities outstanding as of the
commencement date except as may be
provided herein. (RA 10142, Sec. 16 (q))
The issuance of a stay order does not affect the
right to commence actions or proceedings in
order to preserve ad cautelam a claim against the
debtor and to toll the running of the prescriptive
period to file the claim. For this purpose, the
plaintiff may file the appropriate court action or
proceeding by paying the amount of One
Hundred Thousand Pesos (P100,000.00) or one-
and

tenth (1/10) of the prescribed filing fee,
whichever is lower. The payment of the balance
of the filing fee shall be a jurisdictional
requirement for the reinstatement or revival of
the case. (A.M. No. 12-12-11-SC, Rule 2, Sec. 8)
Exceptions to the Stay or Suspension Order
The Stay or Suspension Order shall not apply:
a) to cases already pending appeal in the
Supreme Court as of commencement date
Provided, That any final and executory
judgment arising from such appeal shall be
referred to the court for appropriate action;
b) subject to the discretion of the court, to
cases pending or filed at a specialized court
or quasi-judicial agency which, upon
determination by the court is capable of
resolving the claim more quickly, fairly and
efficiently than the court: Provided, That any
final and executory judgment of such court
or agency shall be referred to the court and
shall be treated as a non-disputed claim;
c) to the enforcement of claims against sureties
and other persons solidarily liable with the
debtor, and third party or accommodation
mortgagors as well as issuers of letters of
credit, unless the property subject of the
third party or accommodation mortgage is
necessary for the rehabilitation of the debtor
as determined by the court upon
recommendation by the rehabilitation
receiver;
d) to any form of action of customers or clients
of a securities market participant to recover
or otherwise claim moneys and securities
entrusted to the latter in the ordinary course
of the latter's business as well as any action
of such securities market participant or the
appropriate regulatory agency or self-
regulatory organization to pay or settle such
claims or liabilities;
e) to the actions of a licensed broker or dealer
to sell pledged securities of a debtor
pursuant to a securities pledge or margin
agreement for the settlement of securities
transactions in accordance with the
provisions of the Securities Regulation Code
and its implementing rules and regulations;
f) the clearing and settlement of financial
transactions through the facilities of a
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Criminal
Remedial
clearing agency or similar entities duly
authorized, registered and/or recognized by
the appropriate regulatory agency like the
BangkoSentral ng Pilipinas (BSP) and the
SEC as well as any form of actions of such
agencies or entities to reimburse themselves
for any transactions settled for the debtor;
and
g) any criminal action against individual debtor
or owner, partner, director or officer of a
debtor shall not be affected by any
proceeding commend under this Act(RA
10142, Sec. 18).
Rehabilitation Receiver
It is the person or persons, natural or juridical,
appointed as such by the court pursuant to the
Act and which shall be entrusted with such
powers, duties, and responsibilities as set forth
herein. Where the rehabilitation receiver is a
juridical entity, the term includes the juridical
entity's designated representative (A.M. No. 12-12-
11-SC, Rule 1, Sec. 5(p)).
Appointment of Rehabilitation Receiver
The Rehabilitation Receiver is initially appointed
by the court in the Commencement Order(RA
10142, Sec. 16 (h)).
The Court may retain or appoint another after
the initial hearing (RA 10142, Sec. 30).
Qualifications of a Rehabilitation Receiver
(A.M. No. 12-12-11-SC, Rule 2, Sec. 21)
A. The rehabilitation receiver who is a natural
person must comply with the following
minimum qualifications and requirements:
1. He is a citizen of the Philippines or a
resident of the Philippines for at least six
(6) months immediately preceding his
nomination;
2. He is of good moral character and with
acknowledged integrity, impartiality and
independence;
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3. As
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far as practicable, he has expertise
and acumen to manage and operate a
business similar in size and complexity to
that of the debtor;
4. He has an operating knowledge in
management, finance and rehabilitation
of distressed companies;
5. He has a general familiarity with the
rights of creditors subject to suspension
of payments or rehabilitation and a
general understanding of the duties and
obligations of a rehabilitation receiver;
6. He has not been earlier dismissed as a
rehabilitation receiver pursuant to Section
27 of this Rule;
7. He has no conflict of interest as defined
in this Rule; and
8. He is willing and able to file a bond in
such amount as may be determined by
the court.
B. The rehabilitation receiver, which is a
juridical person, must comply with the
following qualifications and requirements:
1. It is duly authorized to do business in the
Philippines for at least six (6) years prior
to its appointment;
2. It is of good standing as certified by the
appropriate regulatory agency/ies;
3. It has no conflict of interest as defined in
this Rule;
4. It has not been earlier dismissed as a
rehabilitation receiver pursuant to Section
27 of this Rule;
5. It must submit the name of the person
designated to discharge the
responsibilities and powers of a
rehabilitation receiver and the names of
the employees and other persons
authorized to assist the designated
representative, together with a sworn
certification that these persons possess
the qualifications and none of the
disqualifications enumerated above;
6. It must submit a sworn undertaking, duly
approved in accordance with law, binding
itself to be solidarily liable with the
persons designated by it to discharge the
functions and responsibilities of a
rehabilitation receiver;
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7. It is willing and able to file a bond in such
amount as may be determined by the
court;
8. It is not disqualified to discharge the
duties of a rehabilitation receiver under
the Constitution and other relevant laws;
C. In addition, the designated representative of
the juridical person must comply with the
following requirements:
1. The representative must be duly
designated and authorized to act for and
on behalf of the juridical entity;
2. The designated representative must be a
director, officer, stockholder or partner of
the juridical entity; and
3. The designated representative must
submit a sworn undertaking that he shall
be solidarily liable with his firm for all the
obligations and responsibilities of a
rehabilitation receiver.
Conflict of Interest Rule
No person with conflict of interest shall be
appointed as a receiver. An individual shall be
deemed to have a conflict of interest if he is so
situated as to be materially influenced in the
exercise of his judgment for or against any party
to the proceedings. A conflict of interest of an
individual employed or contracted by the
rehabilitation receiver or the management
committee or its members shall be deemed to be
a conflict of interest of the rehabilitation
receiver(A.M. No. 12-12-11-SC, Rule 2, Sec. 22).
Conflict of interest shall be disclosed at all times
throughout the proceedings to the court and to
the creditors (A.M. No. 12-12-11-SC, Rule 2, Sec.
23).
Within ten (10) days from receipt of the
disclosure of conflict of interest any party to the
proceedings adversely affected by the
appointment of the persons to the positions
above may file his objection to the appointment
of the rehabilitation receiver. Should the court
decide that the objection has merit and that the
conflict of interest will be detrimental to the
general interest of the stakeholders, it shall
dismiss the rehabilitation receiver having conflict
and

of interest and appoint a new one. Failure to file
a timely objection shall be deemed a waiver of
the conflict of interest rule (A.M. No. 12-12-11-SC,
Rule 2, Sec. 24).
Oath and Bond of the Rehabilitation
Receiver
Prior to entering upon his powers, duties and
responsibilities, the rehabilitation receiver shall
take an oath and file a bond, in such amount to
be fixed by the court, conditioned upon the
faithful and proper discharge of his powers,
duties and responsibilities (RA 10142, Sec. 32).
Powers, Duties and Responsibilities of the
Rehabilitation Receiver
The rehabilitation receiver shall be deemed an
officer of the court with the principal duty of
preserving and maximizing the value of the
assets of the debtor during the rehabilitation
proceedings, determining the viability of the
rehabilitation of the debtor, preparing and
recommending a Rehabilitation Plan to the court,
and implementing the approved Rehabilitation
Plan(RA 10142, Sec. 31).
Immunity
The rehabilitation receiver and all persons
employed by him, and the members of the
management committee and all persons
employed by it, shall not be subject to any
action, claim or demand in connection with any
act done or omitted to be done by them in good
faith in connection with the exercise of their
powers and functions (RA 10142, Sec. 41).
4.G.6. Precautionary Hold Departure Orders
(A.M. No. 18-07-05-SC, August 07, 2018)
Precautionary Hold Departure Order
(PHDO)
It an order in writing issued by a court
commanding the Bureau of Immigration to
prevent any attempt by a person suspected of a
crime to depart from the Philippines, which shall
be issued ex-parte in cases involving crimes
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Criminal
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where the minimum of the penalty prescribed by
law is at least six (6) years and one (1) day or
when the offender is a foreigner regardless of the
imposable penalty(Sec.1).
Venue
1.
2. 1. In any regional trial court within whose
territorial jurisdiction the alleged crime
was committed;
3. In any regional trial court within whose
territorial jurisdiction the alleged crime was
committed;
4. For compelling reasons, any regional trial
court within the judicial region where the
crimewas committed if the place of the
commission of the crime is known
5. Regional trial courts in the City of Manila,
Quezon City, Cebu City, Iloilo City, Davao City,
and Cagayan de Oro City shall also have the
authority to act on applications filed by the
prosecutor based on complaints instituted by
the National Bureau of Investigation,
regardless where the alleged crime was
committed (Sec.2).
6. 2. For compelling reasons, any regional trial court
within the judicial region where the crime was
committed if the place of the commission of the
crime is known
7. 3. Regional trial courts in the City of Manila,
Quezon City, Cebu City, Iloilo City, Davao City,
and Cagayan de Oro City shall also have the
authority to act on applications filed by the
prosecutor based on complaints instituted by the
National Bureau of Investigation, regardless where
the alleged crime was committed (Sec.2).
Grounds for Issuance
1. Determination by the judge that probable
cause exists; and
2. There is a high probability that the respondent
will depart from the Philippines to evade
arrest and prosecution of crime against him or
her (Sec. 4).
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3.
Remedial
1. Determination by the judge that probable concerns to special matters. It holds special
cause exists; and features which are absent in ordinary civil
2. There is a high probability that the respondent actions. Special civil actions are governed by the
will depart from the Philippines to evade arrest rules on ordinary civil actions subject to specific
and prosecution of crime against him or her (Sec. rules prescribed for a special civil action (Section
4). 3, Rule 1).

Form and Validity 5.B. DISTINGUISH: ORDINARY CIVIL

ACTIONS AND SPECIAL CIVIL ACTIONS
The PHDO shall indicate the name of the
respondent, his or her alleged crime, the time Ordinary Civil Action Special Civil Action
and place of its commission, and the name of the Every ordinary civil Not all special civil
complainant. The order shall be valid until lifted action must be actions are based on a
by the issuing court as may be warranted by the based on a cause of cause of action. Such
action (Sec.1, Rule aExamples ares
result of the preliminary investigation (Sec. 6).
2). declaratory relief
(Rule 63) and
Requisites for Temporary Lifting of PHDO interpleader (Rule 62)
, where no direct
1. Verified petition for the temporary lifting on transgression against
the grounds that there is doubt that probable one’s right has been
cause exists or that it is shown that he or she committed.
is not a flight risk; and Personal actions - Generally governed by
venue is determined the Rule on Venue
2. Posting of bond (Sec. 7). by the residence of (Rule 4).
either parties.
Exception:
For real actions - as provided in the
where the property respective rule of a
may be found (Rule special civil action.
4).
i.e. actions for
certiorari, mandamus
and prohibition may
be commenced in the
proper Regional Trial
Court, Court of
Appeals or Supreme
Court, as the case may
be (Rule 65); Special rule
of venue is provided for
Quo warranto
proceedings (Rule 66).
5. SPECIAL CIVIL ACTIONS
Ordinary civil actions In special civil
5.A. NATURE OF SPECIAL CIVIL ACTIONS may be filed before actions, the nature of
the MTC or the RTC, the action must be
Special civil actions, like ordinary civil actions,are depending upon the considered. For
those by which a party sues another for the jurisdictional instance, actions
enforcement or protection of a right, or the amount or the unlawful detainer and
prevention or redress of a wrong. However, nature of the action. forcible entry may be
filed only before the
unlike ordinary civil actions, these are governed
MTCs. On the other
by certainrules that are unique to them. This is hand, Petitions for
what makes a civil action special (Riano, Civpro Vol certiorari, Mandamus
II, 2016 ed., p. 122 – 123). are those which and Prohibition may
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only be commenced
before the RTC, CA, or Ordinary Civil Actions
SC.
Determined by either the residence of the
5.C. JURISDICTION AND VENUE parties where the action is personal or by
the location of the property where the
Jurisdiction
action is real(Rule 4).
Special Civil MTC OTHER
Action COURTS Special Civil Actions
Interpleader YES RTC
(Depending on Special civil actions are governed by the
May be filed in jurisdictional rules on ordinary civil actions subject to
MTC(Dependin amount) specific rules for a particular special civil
g on action [Rule 1, Sec. 3(a)].
jurisdictional
amount) Rules on venue of Ordinary Civil Actions do
Declaratory NO ONLY in RTC
not always apply to a special civil action.
Relief and
Similar May be subject For instance:
Remedies to exceptions.
1. Review of Judgments, Final Orders and
Review of NO ONLY in Resolutions of COMELEC and COA -
Judgments, Supreme Court Only in Suprement Court (Rule 64).
Final Orders by Certiorari 2. Certiorari, Prohibition and Mandamus –
and a. RTCexercising jurisdiction over the
Resolutions of
territorial area if it relates to the
COMELEC and
acts or omissions of a lower court or
COA
Certiorari, NO RTC, CA, SB or of a corporation, board, officer or
Prohibition and COMELEC person;
Mandamus (Election cases b. CA- whether or not it is in aid of its
in its appellate appellate jurisdiction or if it involves
jurisdiction) the acts or omissions of a quasi-
Quo Warranto NO RTC, CA, SC judicial agency, unless otherwise
Expropriation NO RTC (Incapable provided by law or these Rules;
of pecuniary c. Sandiganbayan if it is in aid of its
estimation)
appellate jurisdiction;
Foreclosure of YES RTC (Depends
d. Commission on Elections in election
Real Estate on jurisdictional
Mortgage May be filed in amount) cases;
MTC e. in the Supreme Court; (Rule 65)
(Depending on 3. Quo Warranto - the venue in a petition
jurisdictional for quo warranto is where the Supreme
amount) Court or the Court of Appeals sits, if the
Partition NO RTC (Incapable petition is commenced in any of these
of Pecuniary courts and without taking into
Estimation) consideration where the parties reside.
Forcible Entry YES NO
It is only when the petition is lodged
and Unlawful
Detainer
with the RTC that the residence is
Contempt YES May also be considered in considering venue. A
filed in RTC, CA petition for quo warranto filed in the
May be filed in or SC RTC merely looks into the residence of
MTC the respondent, not that of the
petitioner. But if it is the Solicitor
Venue General who commences the action,
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another special rule is followed because
the petition may only be commenced in
the RTC in Manila, in the Court of
Appeals or in the Supreme Court (Rule
66);and
4. Contempt - Where the charge for
indirect contempt has been committed
against a Regional Trial Court or a court
of equivalent or higher rank, or against
an officer appointed by it, the charge
may be filed with such court. Where
such contempt has been committed
against a lower court, the charge may
be filed with the Regional Trial Court of
the place in which the lower court is
sitting; but the proceedings may also be
instituted in such lower court subject to
appeal to the Regional Trial Court of
such place (Rule 71).
5.D. INTERPLEADER (Rule 62)
It is a special civil action filed by a person
against whom two conflicting claims are
made upon the same subject matter and over
which he claims no interest, to compel the
claimants to interplead and to litigate their
conflicting claims among themselves (Rule 62,
Sec.1).
 Q. Is an action for interpleader compulsory?
A. An interpleader is a compulsory
counterclaim. A stakeholder's action of
interpleader is too late when filed after
judgment has been rendered against him in
favor of one of the contending claimants,
especially where he had notice of the
conflicting claims prior to the rendition of the
judgment and neglected the opportunity to
implead the adverse claimants in the suit
where judgment was entered. This must be
so; because once judgment is obtained
against him by one claimant, he becomes
liable to the latter (Wack-wack Golf & Country
Club vs. Lee Won, G.R. L-23851, March 26, 1976).
 Q. What is the purpose of Interpleader?
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A. It is designed to protect a person against
double vexation in respect of a single liability.
It requires, as an indispensable requisite,
that conflicting claims upon the same subject
matter are or may be made against the
stakeholder (the possessor of the subject
matter) who claims no interest whatever in
the subject matter or an interest which in
whole or in part is not disputed by the
claimants. Through this remedy, the
stakeholder can join all competing claimants
in a single proceeding to determine
conflicting claims without exposing the
stakeholder to thepossibility of having to pay
more than once on a single liability (Bank of
Commerce vs. Planters Development Bank et.al.,
G.R. No. 154470-71, September 24, 2012).
 Q. What is the essence of an interpleader?
A.The essence of interpleader, aside from the
disavowal of interest of the property in
litigation by petitioner, is the deposit of the
property or funds in controversy, with the
court (Eternal Gardens Memorial Parks Corp. vs.
First Special Cases Division Intermediate Appellate
Court et.al., G.R. no. 73794, September 19, 1988).
Who files the petition
The person against whom conflicting claims are
made (Rule 62, Sec. 1).
Where to file the petition
Jurisdiction
Basis is jurisdictional amount (Riano, Civil
Procedure Vol. II, 2016, Pp. 135-136; BP 129, Sec.
33):
1. MTC:
Value of Personal property
 DOES NOT EXCEED Php. 300,000 (outside
Metro Manila)
 DOES NOT EXCEED Php. 400,000 (within
Metro Manila)
Value of Real Property
Education and
 Purple Notes
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Remedial
4. The subject matter must be one and the
 DOES NOT EXCEED Php. 20,000 (outside Same(Riano, Civil Procedure Vol. II, 2016, P. 130).
Metro Manila)
 DOES NOT EXCEED Php. 50,000 (within
Metro Manila)
5.D.2. When to File
2. RTC
Within a reasonable time after a dispute has
Value of Personal or Real Property arisen without waiting to be sued by either
contending claimants. Otherwise, the remedy is
 EXCEEDS the value within the jurisdiction of barred by laches or undue delay (Wack-wack Golf
& Country Club vs. Lee Won, L-23851, March 26,
MTC
1976).
 Subject matter is incapable of pecuniary
estimation

Venue

Rules in Ordinary Civil Action applies (Rule 4, Sec.

2)
Interpleader vs. Intervention
Subject Matter Venue
Interpleader Intervention
Personal Property Residence of either (Rule 62) (Rule 19)
plaintiff or defendant, at Principal Ancillary
the option of the Action. Filed Action.Filed as
plaintiff. Kind of as an original an ancillary
action special civil action depending
Real Property Where property is action. on the original
located or portion of it action.
is located. Plaintiff has no Plaintiff has
interest in the interest in the
subject matter matter under
Effect When a Claimant Fails to Plead of the action or litigation, or
Within the Time Fixed has an interest in the success of
therein which, either parties, or
When in whole or in an interest
The court may, on motion, declare the claimant proper to part, is not against both to
in default and thereafter render judgment barring file disputed by the be adversely
him from any claim in respect to the subject other parties. affected by the
matter(Rule 62, Sec. 5). distribution of
the property in
5.D.1. Requisites for Interpleader (NETS) the court or by
an officer
thereof.
1. The plaintiff claims No interest in the subject
Defendants are Defendants are
matter or his claim thereto is not disputed;
Status of being sued already original
defendant precisely to parties to the
2. There must be at least Two or more implead them. pending suit.
conflicting claimants; Issue an order Grant or deny a
requiring the Motion to
3. The parties to interplead must make Effective The allowance or Intervene in the
claims; and, court’s disallowance of exercise of its
action conflicting sound
claimants to discretion(Riano,
implead with Civil Procedure Vol.
Bar Operations
Commissions 243243
 Purple Notes
Criminal
Remedial
Interpleader Intervention
(Rule 62) (Rule 19) Jurisdiction on Declaratory Relief and
one II, 2016, Pp. 136- Similar Remedies
another(Riano, 137).
Civil Procedure General Rule: Only in appropriate RTC because
Vol. II, 2016, Pp.
136-137). it is incapable of pecuniary estimation (Rule 63,
Sec.1; Riano, Vol. II, p. 149)

5.D.3. Dismissal
A petition for interpleader may be dismissed on
the basis of the grounds provided for in Rule 16
and on the ground of impropriety of the
interpleader action (Rule 62, Section 4).
The filing of a motion to dismiss shall toll the
period to file answer within the remaining period,
but shall not be less than 5 days in any event,
reckoned from the notice of denial (Rule 62,
Section 4).
5.E. DECLARATORY RELIEF
SIMILAR REMEDIES (Rule 63)
Remedies Contemplated:
 Declaratory Relief; and
 Similar Remedies: (ROQ)
1. Action for the Reformation of an
instrument
2. Action to Quiet title;
3. Action to consolidate Ownership under
Article 1607 of the Civil Code(Rule 62,
Section 1).
Note: There is yet no cause of action in a strict
sense under declaratory relief (Lectures in Remedial
Law, Bengzon, p. 242, 1959 Edition)
 Q. May an action for declaratory relief be
sought to determine or try issues?
A. No. Where a declaratory judgment as to
disputed fact would be determinative of
issues rather than a construction of definite
stated rights, status, and other relations,
commonly expressed in written instruments,
the case is not one for declaratory
relief(Kawasaki Port Service v.Amores, G.R. No. L-
58340, July 16, 1991).
Center for Legal
244 244 Research
Exception: Action for Quieting Title, a real
action whose jurisdiction depends on the
assessed value of property.
 Q. Should all cases filed under Rule 63,
Section 1 be filed before the RTC?
A.The first paragraph refers to an action for
declaratory relief, which may be brought
before the RTC. The second paragraph,
however, refers to a different set of
remedies, which includes an action to quiet
title to real property. The second paragraph
must be read in relation to R.A. No. 7691,
which vests the MTC with jurisdiction over
AND
real actions, where the assessed value of the
real property involved does not exceed
P50,000.00 in Metro Manila and P20,000.00
in all other places (Malana v. Tappa, G.R. No.
181303, September 17, 2009).
Purpose of Declaratory Relief: To determine
any question of construction or validity arising
from subject action issue, and to seek for a
declaration of petitioner’s right thereunder
remedy (Sec.1, Rule 63; Riano, Vol. II, p. 142)
 Q. Must an action for declaratory relief be
filed before a breach of the instrument
involved?
A. Yes. An action for declaratory relief
presupposes that there has been no actual
breach of the instruments involved or of
rights arising thereunder. Since the purpose
of an action for declaratory relief is to secure
an authoritative statement of the rights and
obligations of the parties under a statute,
deed, or contract for their guidance in the
enforcement thereof, or compliance
therewith, and not to settle issues arising
from an alleged breach thereof, it may be
entertained only before the breach or
violation of the statute, deed, or contract to
Education and

which it refers. Where the law or contract
has already been contravened prior to the
filing of an action for declaratory relief, the
courts can no longer assume jurisdiction over
the action. In other words, a court has no
more jurisdiction over an action for
declaratory relief if its subject has already
been infringed or transgressed before the
institution of the action (Malana v. Tappa, G.R.
No. 181303, 17 September 2009).
5.E.1 Who may File Action
1. Any person interested under a deed, will,
contract or other written instrument; or
2. If it be a statute, executive order, regulation
or ordinance, the petitioner is one whose
rights are affected by the same (Rule 63, Sec
1).
3. All persons who have or claim any interest
which would be affected by the declaration
(Rule 63, Sec. 2).
Note: The rights of persons not made parties to
the action do not stand to be prejudiced by the
declaration (Rule 63, Sec. 2).
5.E.2 Requisites of an Action forDeclaratory
Relief (SANDRA)
1. Subject matter is a deed, will, contract or
other written instrument, statute, executive
order or regulation, or ordinance;
2. There must be an Actual justiciable
controversy or the “ripening seeds” of one
between persons whose interests are adverse;
3. There must have been No breach of the
documents in question;
4. Terms of and validity of the said documents
are Doubtful and require judicial construction;
5. The issue must be Ripe for judicial
determination; and
6. Adequate relief is not available through other
means or other forms of action or
proceeding(Almeda vs. Bathala Marketing
Industries, Inc. G.R. No. 150806, January 28,
2008).
The subject matter in a petition for
declaratory relief is any of the following:
(DeW-CoS-EO2)
Purple Notes
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Remedial
a) Deed;
b) Will;
c) Contract or other written instrument;
d) Statute;
e) Executive order or regulation;
f) Ordinance; or
g) Any Other governmental regulation (Rule 63,
Sec. 1)
 Q. Is the enumeration of subject matter
exclusive?
A. Yes.The enumeration of the subject matter
is exclusive. Any other matter not mentioned
therein is deemed excluded. This is under the
principle of expressiouniusestexclussioalterius
(Reyes v. Ortiz, G.R. No. 137794, August 11,
2010).
5.E.3 When Court May Refuse to Make
Judicial Declaration
a) The decision will not terminate the
controversy or uncertainty giving rise to the
action; or,
b) The declaration is not necessary and proper
under the circumstances (Rule 63, Sec. 5).
Note: In declaratory relief, the court is given the
discretion to act or not on the petition. On the
other hand, the court does not have the
discretion to refuse to act with respect to actions
described as similar remedies. Thus, in an action
for reformation of an instrument, to quiet title or
to consolidate ownership, the court cannot refuse
to render a judgment (Rule 63, Sec.5).
Declaratory Relief is not available in:
 Declaration of Citizenship and Registration
Certificate – unilateral in nature and without
conflicting adverse interest.
 Court Decisions – There are other existing
remedies in connection therewith, such as an
appeal or motion for clarificatory judgment.
 Where a law or contract has already been
contravened prior to the filing of an action for
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Remedial
declaratory relief, the court can no longer ORDINARY ACTION DECLARATORY
assume jurisdiction over the action RELIEF
(Tambunting Jr. vs. Sumabat, G.R. No. 144101, Writ of execution is No writ of
September 16, 2005). available(Riano, Civil execution(Riano, Civil
Procedure Vol. II, Procedure Vol. II,
5.E.4 Conversion into Ordinary Action 2016, P..158). 2016, P. 158).
There is breach or No breach or violation
violation of right(Riano, of right(Riano, Civil
If before the final termination of the case, a
Civil Procedure Vol. II, Procedure Vol. II,
breach or violation of the documents would take
2016, P..160). 2016, P..160).
place, the action for declaratory relief may Additional ground for
thereupon be converted into an ordinary civil dismissal:
action, and the parties shall be allowed to file Rule 63, Sec. 5 - By
such pleadings as maybe necessary or proper motion or motu
(Rule 63, Sec. 6). proprio, court may
refuse to declare rights
Ordinary Action vs. Declaratory Relief Grounds and manner and construe
of dismissal are instruments if the
governed by Rules 16 decision would not
ORDINARY ACTION DECLARATORY
and 17. terminate the
RELIEF
uncertainty or
Writ of execution is No writ of
controversy which gave
available(Riano, Civil execution(Riano, Civil
rise to the action; or if
Procedure Vol. II, Procedure Vol. II,
it is not necessary and
2016, P..158). 2016, P. 158).
proper under the
There is breach or No breach or violation
circumstances.
violation of right(Riano, of right(Riano, Civil
DECLARATORY
Civil Procedure Vol. II, Procedure Vol. II, ORDINARY ACTION
RELIEF
2016, P..160). 2016, P..160).
and 17. motion or motu
Additional ground for
proprio, court may
dismissal:
refuse to declare rights
Rule 63, Sec. 5 - By
and construe
motion or motu
instruments if the
proprio, court may
decision would not
refuse to declare rights
terminate the
Grounds and manner and construe
uncertainty or
of dismissal are instruments if the
controversy which gave
governed by Rules 16 decision would not
rise to the action; or if
and 17. terminate the
it is not necessary and
uncertainty or
proper under the
controversy which gave
circumstances.
rise to the action; or if
it is not necessary and
proper under the The concept of a cause of action as “an act or
circumstances. omission by which a person violates the rights of
DECLARATORY another” under ordinary civil action does not
ORDINARY ACTION
RELIEF apply in declaratory relief; there must be no
Writ of execution is No writ of breach or violation of the instrument or statute
available(Riano, Civil execution(Riano, Civil involved.
Procedure Vol. II, Procedure Vol. II,
2016, P..158). 2016, P. 158).
A third-party complaint is improper when the
There is breach or No breach or violation
main case is a special civil action for declaratory
violation of right(Riano, of right(Riano, Civil
Civil Procedure Vol. II, Procedure Vol. II, relief (Commissioner of Customs v. Cloribel, G.R. No.
2016, P..160). 2016, P..160). L-21036 June 30, 1977).
Grounds and manner Additional ground for
of dismissal are dismissal: There is nothing in the nature of a special civil
governed by Rules 16 Rule 63, Sec. 5 - By action for declaratory relief that proscribes the
Center for Legal Education and
246 246 Research

filing of a counterclaim based on the same
transaction, deed or contract subject of the
complaint (PDIC v. CA, G.R. No. 126911 April
30, 2003).
5.E.5. Proceedings Considered as Similar
Remedies
a. Action for Reformation of an instrument
recognized under Articles 1359 to 1369 of the
Civil Code;
b. Action to Quiet title governed by Art. 476 to
481 of the Civil Code; and
c. Action to consolidate Ownership under Article
1607 of the Civil Code[Rule 62, Section 1(par
2)].
5.E.5a. Reformation of an Instrument
When there having meeting of the mind of the
parties to a contract,their true intention is not
expressed in the instrument purporting to
embody the agreement, by reason of mistake,
fraud, inequitable conduct or accident one of the
parties may ask for the reformation of the
instrument to the end that such true intention
may be expressed (Art. 1359, Civil Code).
If mistake, fraud, inequitable conduct or accident
has prevented the meeting of the minds, the
proper remedy is not reformation but annulment
of the contract (Art. 1359, Civil Code).
Reformation of Instrument, when proper
Failure of the instrument to disclose their
agreement due to:
a. Mutual mistake of the parties (Art. 1361, Civil
Code);
b. One party is mistaken and the other acted
fraudulently or inequitably, the former may
ask for reformation (Art. 1362, Civil Code);
c. Ignorance, lack of skill, negligence or bad
faith of the person drafting the instrument
(Art. 1364, Civil Code); and
d. Parties agree upon mortgage or pledge of property
but instrument but instrument states the
instrument states that the property is sold
absolutely or with a right of repurchase (Art.
1365, Civil Code).
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Remedial
Requisites for Reformation of an
Instrument (MT-mafi)
1. there must have been a Meeting of the minds
of the parties to the contract;
2. the instrument does not express the True
intention of the parties; and,
3. the failure of the instrument to express the
true intention of the parties is due to Mistake,
Fraud,Inequitable conduct or Accident (Emilio
vs. Rapal, G.R. No. 181855, March 30, 2010).
Reformation of the instrument is NOT
proper in any of the following:
a. Simple donation inter vivos wherein no
condition is imposed;
b. Wills;
c. When the real agreement is void (Art. 1366,
Civil Code);
d. Party asking for reformation has brought an action
to enforce the instrument (Art. 1367, Civil Code).
If anAction for Reformation of Instrument
pertains to issue other than recovery of money, it
is incapable of pecuniary estimation (Riano, Vol. II,
p. 152).
5.E.5b. Consolidation of Ownership
The concept of consolidation of ownership under
Art. 1607 of Civil Code, has its origin in the
substantive provisions of the law on sales. Under
the law, a contract of sale may be extinguished
eifher by legal redemption(Art. 1619, Civil Code)or
conventional redemption (Art. 1601, Civil Code).
Modes of Extinguishment
1. Legal redemption (Retracto legal) - a
statutory mandated redemption of a property
previously sold.
For instance, a co-owner of a property may
exercise the right of redemption in case the
shares of all the other co-owners or any of
them are sold to a third person (Art. 1620, Civil
Code).The owners of adjoining lands shall have
the right of redemption when a piece of rural
land with a size of one hectare or less is
alienated (Art. 1621, Civil Code).
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 Purple Notes
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2.
Remedial
Conventional redemption (Pacto de
retro)- one that is not mandated by the
statute but which takes place because of the
stipulation of the parties to the sale (Riano,
Civpro Vol. II, 2016 ed., p. 169).
Period of redemption
a. May be fixed by the parties in which case the
period cannot exceed ten (10) years from the
date of the contract.
b. In the absence of any agreement, the
redemption period shall be four (4) years from
the date of the contract (Art. 1606, Civil Code).
Redemption not made within agreed period
and where subject matter is a real property
Art. 1607 of the Civil Code provides that the
consolidation of ownership in the vendee shall
not be recorded in the Registry of Property
without a judicial order, after the vendor has
been duly heard.
 Q: What is the action for consolidation of
ownership for?
A: The action brought to consolidate
ownership is not for the purpose of
consolidating the ownership of the property
in the person of the vendee or buyer but for
the registration of the property. The lapse of
the redemption period without the seller a
retro exercising his right of redemption
consolidates ownership or title upon the
person of the vendee by operation of law.
Art. 1607 requires the filing of the petition to
consolidate ownership because the law
precludes the registration of the consolidated
title without judicial order (Cruz vs. Leis, G.R.
No. 125233, March 09, 2000).
In an Action for Consolidation of Ownership,
assessed value shall not be considered because it
does not involve recovery of title to, or ownership
of real property. The action is brought merely to
obtain judicial order to effect registration and not
aquire ownership thereof. It is NOT a real action
(Riano, Vol. II, p. 152).
Center for Legal Education
248 248 Research
5.E.5c. Quieting of Title to Real Property
It is an action brought to remove a cloud on title
to real property or any interest therein. It is
characterized as a proceeding quasi in rem and
judgment on such proceedings is conclusive only
between the parties (Riano, Vol.II, p. 173).
The action contemplates a situation where an
instrument or a record is apparently valid or
effective but is in truth and in fact invalid,
ineffective, voidable or unenforceable, and may
be prejudicial to said title to real property. This
action is then brought to remove a cloud on title
to real property or any interest therein. It may
also be brought as a preventive remedy to
prevent a cloud from being cast upon title to real
property or any interest therein (Art. 476, Civil
Code).
The plaintiff need not be in possession of the real
property before he may bring the action as long
as he can show that he has a legal or an
equitable title to the property which is the subject
matter of the action (Art. 477, Civil Code).
Requisites for Quieting of Title:
1. Plaintiff or complainant has a legal or
equitable title or interest in the real property
subject of action; and,
2.
3. The deed, claim, encumbrance, or proceeding
deemed casting cloud on his ttile must be
shown to be, in fact, invalid, or inoperative
despite prima facie appearance of validity or
legal efficacy (Riano, Vol. II, pp. 172-173).
Jurisdictionfor Quieting of Title, an
Exception to the General Rule
When, instead of filing a petition for declaratory
relief, one files an action for quieting of title,
Jurisdiction for quieting of title isjurisdiction is
determined based on the assessed value of the
real property (Riano, Civil Procedure Vol II, 2016 Ed.,
P. 150 and B.P. 129, Sec. 33).
5.F. REVIEW OF JUDGMENTS AND FINAL
ORDERS OR RESOLUTIONS OF THE
COMELEC AND COA (Rule 64 In Relation to Rule
65)
and
 Purple Notes
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theapplication of Rule 65 to other tribunals,
Application of Rule 65 under Rule 64 persons and officers

 Q: What is the basis of application of Rule RULE 64 RULE 65

65 under Rule 64?
Application Directed only Directed to
A: Sec. 7, Art. IX-A of the Constitution to the any tribunal,
reads, “unless otherwise provided by the judgments, board or
Constitution or by law, any decision, order or final orders or officers
resolutions exercising
ruling of each commission may be brought
(JFR) of the judicial or
to the Supreme Court on certiorari by the COMELEC and quasi-judicial
aggrieved party within 30 days from receipt COA (Sec. 1, functions.
of a copy thereof.” The provision was Rule 64).
interpreted by the Supreme Court to refer to Directed
certiorari under Rule 65 and not appeal by against an
certiorari under Rule 45. To implement the interlocutory
above constitutional provision, the SC order or final
order/judgme
promulgated Rule 64(Aratuc vs. COMELEC,
nt.
G.R. Nos. L-49705-09, February 08, 1979).

Rule 64 governs the review of judgments and

final orders (not interlocutory orders) or Period of Within 30 days Within 60
resolutions of the COMELEC or COA (Sec.1, Rule Filing from notice of days from
64; Riano, Vol. II, p. 175).  the judgment. notice of the
(Rule 64, Sec. 3, judgment.
Parties under Rule 64 Rule 64).

 Petitioner - Aggrieved party Effect of The filing of a The filing of a

 Respondents - Commission concerned Filing a motion for motion for
Motion for reconsideratio reconsideratio
(COMELEC or COA) and the person or
Reconsider n or a motion n or a motion
persons interested in sustaining the
-ation for new trial, if for new trial,
judgment, final order or resolution a quo (MR) or allowed, if allowed,
(Rule 64, Sec. 5). New Trial interrupts the interrupts the
(MNT) period for the period for the
Effect of Filing filing of the filing of the
petition for petition for
The filing of a a petition for certiorari shall not certiorari. certiorari.
stay the execution of the judgment or final order
or resolution sought to be reviewed,unless the Fresh Period Fresh Period
Supreme Court shall direct otherwise upon such Rule does NOT Rule applies.
apply. If the The petition
terms as it may deem just (Sec. 8, Rule 64).
MR or MNT is may be filed
denied, the within 60
Note:The petitioner may avail the remedy under aggrieved days from
Sec. 7 of Rule 65 by obtaining a temporary party may file notice of the
restraining order or a writ of preliminary the petition denial of the
injunction in order to stay the execution of the within the MR or MNT.
judgment (Riano, Civil Procedure Vol. II,2016 ed., P. remaining
180). period, but
which shall
not be less
5.F.1. Distinctions in the application of Rule than 5 days
65 to judgments of theCommission on reckoned from
Elections and Commission on Audit and the notice of
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Commissions 249249
 Purple Notes
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Remedial
denial (Sec. 3, A: Writ of Certiorari is a prerogative writ,
Rule 64). never demandable as a matter of right,
never issued except in the exercise of
Jurisdictio Supreme May befiled jurisdiction (Nuque v. Aquino, G.R. No. 193058,
n Court by with Regional July 8, 2015).
Certiorari Trial Court,CA,
under Rule 65 SC,
(Rule 64, Sec. 2, Sandiganbaya
Purpose of Certiorari
Rule 64). n or Comelec
(Rule 65, Sec.  To correct errors of jurisdiction, which
2, Rule 65). includes commission of grave abuse of
discretion amounting to lack of jurisdiction
(Riano, Vol. II, p. 183).
 To annul or modify the judgment, resolution
5.G. CERTIORARI, PROHIBITION AND or proceeding of public respondent(Rule 65,
MANDAMUS Sec. 1).

Petitions for certiorari, prohibition and mandamus
are not available under the Rules on Summary
Procedure (Sec. 19, Rule on Summary Procedure), in
a petition for Writ of Amparo (Sec. 11, Rule on the
Writ of Amparo) and in a petition for a writ of
habeas data (Sec. 13, Rule on the Writ of Habeas
Data).
5.G.1. Definitions and Distinctions
Certiorari
 Q: What is Certiorari?
A: Certiorari is a writ issued by a superior
court to an inferior court, board, or tribunal
or office exercising judicial or quasijudicial
functions whereby the record of a particular
case is ordered to be elevated for review
and correction in matters of law. (Meralco
Securities Ind. Corp. v. Central Board of
Assessment Appeals, L-46245, May 31, 1982; San
Miguel Bukid Homeowners Assns., Inc. v. The
City of Mandaluyong, et al., G.R. No. 153653,
October 2, 2009).
Prohibition is a legal remedy, provided by
common law, available only when the usual and
ordinary proceedings at law or in equity are
inadequate to afford redress, prerogative in
character to the extent that it is not always
demandable as a right, to prevent courts or other
tribunals, officers or persons, from usurping or
exercising a jurisdiction with which they have not
been vested by law.
It is an original and independentt action and not
merely continuation or part of trial resulting in
redition of judgment or order complained therof.
Since it is an original action, decisions rendered
therefor are appealable (Riano, Vol. II, p. 242)
Prohibition may issue enjoining the judge of court
of improper venue from taking cognizance of the
case (Noche, Civil Procedure Annotated, Volume 2, p.
482, 2001 ed.)
Purpose of Prohibition: To command the
respondent to desist from further proceeding
(Rule 65, Sec. 2)
Mandamus

A petition for certiorari under Rule 65 is a special  Q: What is Mandamus?

civil action. It is not a mode of appeal. It is an
original action independent from the principal A:Mandamus is a command issuing from a
action which resulted in the rendition of the court of law of competent jurisdiction, in the
judgment or order complained of. name of the state or sovereign, directed to
some inferior court, tribunal, or board, or
 Q: Is the issuance of writ of certiorari a some corporation or person, requiring the
matter of right? performance of a particular duty therein
specified, which duty results from the official
Center for Legal Education and
250 250 Research

station of the party to whom the writ is
directed or from operation of law(KiaoEng v.
Lee, G.R. No. 176831,January 15, 2010).
 Q: What is the purpose of Mandamus?
A: To compel the performance, when refused,
of a ministerial duty. It does not require
anyone to fulfill a contractual obligation or to
compel a course of conduct, nor to control or
review the exercise of discretion (Manalo v.
PAIC Savings Bank, G.R. No. 146531. March 18,
2005).
Instances where there is no appeal
1) Law does not provide for an appeal:
a) Not appealable
b) No provision for an appeal (e.g., Labor
Code)
c) Interlocutory order
2) The right to appeal having been lost with or
without the appellant’s negligence(Riano, Civil
Procedure Vol. II, 2016, P. 190).
5.G.2. Requisites; (Rule 65)
Requisites for CERTIORARI (JAJ)
1. Directed against any tribunal, board or officer
exercising Judicial or quasi-judicial functions;
2. Respondents acted without or in excess of its
Jurisdiction or acted with grave abuse of
discretion amounting to lack or excess of
jurisdiction; and
3. There must be no Appeal or other plain,
speedy and adequate remedy(Rule 65, Sec.1).
Requisites for PROHIBITION (JMAJ)
1. The petition is directed against a tribunal,
corporation, board or person exercising
Judicial, quasi-judicial, or Ministerial
functions;
2. The tribunal, corporation, board or person
must have acted without or in excess of
Jurisdiction or with grave abuse of discretion
amounting to lack or excess of jurisdiction;
and
Purple Notes
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3. There is no Appeal or any plain, speedy and
adequate remedy in the ordinary course of
law (Rule 65, Sec.2).
Requisites for MANDAMUS (RMMAN)
1. There must be a clear legal Right to the act
demanded;
2. It must be the duty of the defendant to
perform the act because it is Mandated by
law;
3. The defendant must be exercising a
MINISTERIAL DUTY – a duty which is
absolute and imperative and involves merely
its execution;
4. The defendant unlawfully Neglects the
performance of the duty enjoined by law; and,
5. No Appeal or other plain, speedy and
adequate remedy in the ordinary course of
law (Rule 65, Sec.3).
5.G.3. When petition for Certiorari,
Prohibition and Mandamus Proper
Certiorari is applicable only when what is
sought to be resolved is an error of jurisdiction
and not an error of judgment.
 Q: May certiotari lie against errors of
procedure or mistake in findings or
conclusions of the court?
A: The special civil action for certiorari lies
only to correct acts rendered without
jurisdiction, in excess of jurisdiction, or with
grave abuse of discretion. Certiorari will issue
only to correct errors of jurisdiction, not
errors of procedure or mistakes in the
findings or conclusions of the lower court.
(Reyes vs. Sandiganbayan, G.R. nos. 203707-98,
June 27, 2018)
 Q: May a writ of certiorari lie against an
order granting an execution pending appeal?
A: Yes. Certiorari may lies against an order
granting execution pending appeal when the
same is founded. The fact that the losing
party had also appealed from the judgment
does not bar the certiorari proceedings, as
the appeal could not be an adequate remedy
Bar Operations
Commissions 251251
 Purple Notes
Criminal
from
Remedial
such premature condition (Manocop, et
al. vs. Equitable PCIB, et al., G.R. No. 162814-17,
August 25, 2005).
 Q: May a petition for certiorari be filed
against an error of judgment?
A: No. Where the error is not one of
jurisdiction, but of law or fact which is a
mistake of judgment, the proper remedy
should be appeal. Hence, if there was no
question of jurisdiction involved in the
decision and what was being questioned was
merely the findings in the decision of
whether or not the practice of the other party
constitutes a violation of the agreement, the
matter is a proper subject of appeal and not
certiorari (Centro Escolar University Faculty and
Allied Workers Union vs. CA, G.R. No. 165486,
May 31, 2006).
Prohibition is proper when the petitioner seeks
to command a tribunal, corporation, board or
person, whether exercising judicial, quasi-judicial
or ministerial functions to desist from further
proceedings, when said proceedings are without
or in excess of its jurisdiction or with grave abuse
of discretion, there being no appeal or any other
plain, speedy and adequate remedy in the
ordinary course of law.(Sec.2, Rule 65)
Mandamus is proper when a party is seeking to
compel a tribunal to perform a positive duty
imposed by law.
For mandamus to lie, the act sought to be
enjoined must be a ministerial act or duty (Riano,
Civil Procedure Vol. II, 2016, P. 246).
Mandamus not resorted to compel one to
perform a Discretionary Duty
General Rule: Mandamus applies only to is
applicable only tocompel one to perform a
ministerial duty.
Exception:Mandamus is available to compel the
performance of a discretionary act, when
refused, but not to direct the exercise of
judgment or discretion in a particular way or the
retraction or reversal of an action already taken
in the exercise of either(Jacinto Olan, et al. v. CA, et
Center for Legal Education
252 252 Research
al., supra.; Ongsuco v. Hon. Malones, G.R. No.
182065, October 27, 2009).
 Q: Are contractual obligations compellable by
mandamus?
A: No.Mandamus is not intended to aid a
plaintiff in the performance of a mere
contract right, or to take place of other
remedies provided by law for the adjudication
of disputed claims (Manalo vs. PAIC Savings
Bank, G.R. No. 146531, March 18, 2005; Riano,
Vol. II, page 253).
 Q: Is it necessary that the petitioner hold a
legal right to the thing demanded?
A: Yes.ES.Petitioners should have a clear
legal right to the thing demanded, and there
should be an imperative duty on the part of
respondents to perform the act sought to be
mandated(Cudia vs. Superintendent of PMA, G.R.
no. 211362, February 24, 2015)
General Rule: Mandamus will not be issued
when administrative remedies are available.
Exceptions:
a. Party is in estoppels (Vda. de Tan vs.
Veterans Backpay Commission, GR. No.L-
12944, March 30,1959); and
b. Pure questions of law are raised (Madrigal
vs. Lecaroz, G.R. No. L-46218, October 23,
1990)
c. Pure questions of law are raised(Madrigal vs.
Lecaroz, G.R. No. L-46218, October 23,
1990)
 Q: Must a petition for certiorari be based on
jurisdictional grounds?
A: Yes,ES,because as long as the
respondent acted with jurisdiction, any error
committed by him or it in the exercise
thereof will amount to nothing more than an
error of judgment which may be reviewed or
and
 Purple Notes
Criminal
Remedial
corrected by appeal (Microsoft vs. Best Deal, Raises pure Raises May raise
G.R. No. 148029, September 24, 2002). questions of law. questions of constitutional
jurisdiction issues and to
5.G.4 Injunctive Relief review and/or
prohibit or
nullify the acts
The court in which the petition is filed may issue
of legislative
orders expediting the proceedings, and it may and executive
also grant a temporary restraining order or a writ officials(Kilusang
of preliminary injunction for the preservation of Mayo Uno vs.
the rights of the parties pending such Aquino, G.R. No.
proceedings. The petition shall not interrupt the 210500, April 2,
course of the principal case unless a temporary 2019).
restraining order or a writ of preliminary With respect to the Court, however, the remedies
injunction has been issued against the public of certiorari and prohibition are necessarily
respondent from further proceeding in the case broader in scope and reach, and the writ of
(Rule 65, Sec. 7). certiorari or prohibition may be issued to correct
errors of jurisdiction committed not only by a
The public respondent shall proceed with the tribunal, corporation, board or officer exercising
principal case within ten (10) days from the filing judicial, quasi-judicial or ministerial functions but
of a petition for certiorari with a higher court or also to set right, undo and restrain any act of
tribunal, absent a Temporary Restraining Order grave abuse of discretion amounting to lack or
(TRO) or a Writ of Preliminary Injunction, or excess of jurisdiction by any branch or
upon its expiration. Failure of the public instrumentality of the Government, even if the
respondent to proceed with the principal case latter does not exercise judicial. quasi-judicial or
may be a ground for an administrative charge ministerial functions. This application is expressly
(A.M. 07-7-12-SC, December 12, 2007). authorized by the text of the second paragraph of
Section 1, supra.

Procedural lapses pursuant to the Rules of

Court cannot limit this Court's constitutional
powers, including its duty to determine the
5.G.5. Distinguish: Certiorari, Appeal by existence of "grave abuse of discretion
Certiorari and Article VIII, Section 1 of the amounting to lack or excess of jurisdiction" by
Constitution any governmental branch or
Certiorari (Art. instrumentality(Rappler, Inc., vs. Baustista, G.R.no.
Appeal by 222702, April 5, 2016).
Certiorari VIII, Sec. 1 of
Certiorari (Rule
(Rule 65) the 1987
45)
Constitution)
A mode of appeal A petition filed A petition filed Certiorari vs. Appeal by Certiorari(Riano, Civil
against against any against any Procedure Vol. II, 2016, pPp. 191-193)
ajudgment or tribunal, branch or
final order or board or instrumentality CERTIORARI AS A
CERTIORARI AS A MODE
resolution of the officer of the SPECIAL CIVIL ACTION
OF APPEAL (Rule 45)
Court of Appeals, exercising Government, (Rule 65)
the judicial or even if it does    
Sandiganbayan, quasi-judicial not exercise It is called petition for A special civil action
the Regional Trial functions. judicial, quasi- review on certiorari. It that is an original
Court or other judicial or is a mode of appeal, action and not a
courts whenever ministerial which is but a mode of appeal. It is
authorized by functions(Kilusa continuation of the not a part of the
law. ng Mayo Uno vs. appellate process over appellate process but
Aquino, G.R. No. the original case. an independent
210500, April 2, action.
2019).. Seeks to review final May be directed
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Commissions 253253
 Purple Notes
Criminal
judgments
Remedial
or final against an court or its judge.
orders. interlocutory order Filed only with the May be filed with the
of the court or where Supreme Court. Supreme Court,
there is no appeal or Court of Appeals,
plain or speedy Sandiganbayan, or
remedy available in Regional Trial Court.
the ordinary course SC may deny the  
of law. decision motu propio
Raises only questions Raises questions of on the ground that the
of law. jurisdiction because appeal is without
a tribunal, board or merit, or is prosecuted
officer exercising manifestly for delay, or
judicial or quasi- that the questions
judicial functions has raised therein are too
acted without unsubstantial to
jurisdiction or in require consideration.
excess of jurisdiction
or with grave abuse
5.G.6. Distinguish: Prohibition, Mandamus
of discretion
amounting to lack of and Injunction
jurisdiction.
Filed within 15 days Filed not later than PROHIBITION MANDAMUS INJUNCTION
from notice of 60 days from notice
judgment or final of judgment, order Prohibition is an Mandamus is Main action
order appealed from, or resolution sought extraordinary an for
or of the denial of to be assailed. writ extraordinary injunction
petitioner’s motion for commanding a writ seeks to
reconsideration or new In case a motion for tribunal, commanding enjoin the
trial. reconsideration or corporation, a tribunal, defendant
new trial is timely board or person, corporation, from the
filed, whether such whether board or commission
motion is required or exercising person, to do or
not, the 60-day judicial, quasi- an act continuanc
period is counted judicial or required to e of a
from notice of denial ministerial be done: specific
of said motion. functions, to (a)         act, or to
Extension of 30 days Extension no longer desist from When he compel a
may be granted for allowed. further unlawfully particular
justifiable reasons. proceedings neglects the act in
Does not require a Motion for when said performance violation of
prior motion for Reconsideration is a proceedings are of an act the rights
reconsideration. condition precedent, without or in which the of the
subject to excess of its law applicant.
exceptions. jurisdiction, or specifically Preliminary
Stays the judgment Does not stay the with grave enjoins as a injunction
appealed from. judgment or order abuse of its duty, and is a
subject of the discretion, there there is no provisional
petition unless being no appeal other plain, remedy to
enjoined or or any other speedy and preserve
restrained. plain, speedy adequate the status
Parties are the original The tribunal, board, and adequate remedy in quo and
parties with the or officer exercising remedy in the the ordinary prevent
appealing party as the judicial or quasi- ordinary course course of future
petitioner and the judicial functions is of law (Sec. 2, law; or wrongs in
adverse party as the impleaded as Rule 65). (b)         order to
respondent without respondent. When one preserve
impleading the lower unlawfully and protect
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 Purple Notes
Criminal
Remedial
excludes certain resides. territorial
another from interests or area where
the use and rights respondent
enjoyment of during the resides.
a right or pendency PROHIBITION MANDAMUS INJUNCTION
office to of an Prohibition is an Mandamus is Main action
which the action. extraordinary writ an for
other is commanding a extraordinary injunction
entitled (Sec. tribunal, writ seeks to
3, Rule 65). corporation, commanding a enjoin the
board or person, tribunal, defendant
whether corporation, from the
Special civil Special civil Ordinary exercising board or commission
action action civil action judicial, quasi- person, to do or
To prevent an To compel For the judicial or an act required continuance
encroachment, the defendant ministerial to be done: of a specific
excess, performance either to functions, to (a)         When act, or to
usurpation or of a refrain desist from he unlawfully compel a
assumption of ministerial from an act further neglects the particular act
jurisdiction; and legal or to proceedings performance of in violation
duty; perform when said an act which of the rights
not proceedings are the law of the
necessarily without or in specifically applicant.
a legal and excess of its enjoins as a Preliminary
ministerial jurisdiction, or duty, and there injunction is
duty; with grave abuse is no other a provisional
May be directed May be Directed of its discretion, plain, speedy remedy to
against entities directed against a there being no and adequate preserve the
exercising against party appeal or any remedy in the status quo
judicial or quasi- judicial and other plain, ordinary course and prevent
judicial, or non-judicial speedy and of law; or future
ministerial entities adequate remedy (b)         When wrongs in
functions in the ordinary one unlawfully order to
Extends to Extends only Does not course of law excludes preserve and
discretionary to ministerial necessarily (Sec. 2, Rule 65). another from protect
functions functions extend to the use and certain
ministerial, enjoyment of a interests or
discretionar right or office rights during
y or legal to which the the
functions; other is entitled pendency of
Always the main Always the May be the (Sec. 3, Rule an action.
action main action main action 65).
or just a Special civil Special civil
Ordinary civil
provisional action action action
remedy To prevent an To compel the
For the
May be brought May be May be encroachment, performance of
defendant
in the Supreme brought in brought in excess, a ministerial
either to
Court, Court of the Supreme the usurpation or and legal duty;
refrain from
Appeals, Court, Court Regional assumption of an act or to
Sandiganbayan, of Appeals, Trial Court jurisdiction; perform not
or in the Sandiganbay which has necessarily a
Regional Trial an, or in the jurisdiction legal and
Court which has Regional over the ministerial
jurisdiction over Trial Court territorial duty;
the territorial which has area where May be directed May be directed Directed
area where jurisdiction respondent against entities against judicial against a
respondent over the resides. exercising judicial and non-judicial party
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Commissions 255255
 Purple Notes
Criminal
or
Remedial
quasi-judicial, entities the power is exercised in an arbitrary and
or ministerial despotic manner by reason of passion or personal
functions hostility (Milwaukee Industries Corp. vs. CTA, G.R. No.
Extends to Extends only to Does not 173815, November 24, 2010).
discretionary ministerial necessarily
functions functions extend to
ministerial,
Award of Damages In Mandamus
discretionary Proceeding
or legal
functions; Court of Appeals, can award damages in
Always the main Always the May be the Mandamus Proceedings (Vital-Gozon vs. CA, G.R.
action main action main action No. 101428, August 05, 1992)
or just a
provisional A writ of certiorari cannot be issued by an RTC
remedy against administrative agency exercising quasi-
May be brought May be brought May be judicial functions since the latter is of the same
in the Supreme in the Supreme brought in
rank as the RTC.
Court, Court of Court, Court of the Regional
Appeals, Appeals, Trial Court
Sandiganbayan, Sandiganbayan, which has A writ of prohibition may be issued by the RTC
or in the Regional or in the jurisdiction against administrative agencies only when what
Trial Court which Regional Trial over the is sought to be prohibited is a ministerial function
has jurisdiction Court which has territorial but not quasi-judicial function.
over the jurisdiction over area where
territorial area the territorial respondent Sandiganbayan may likewise issue writs of
where area where resides.
certiorari, prohibition and mandamus only in aid
respondent respondent
resides. resides.
of its appellate jurisdiction.

“In Aid of its Appellate Jurisdiction” – there

An original action for certiorari, prohibition exists a right to appeal the judgment on the
and mandamus is an independent civil merits.
action and as such, it:

 Does not interrupt the course of the principal

action;
 Does not affect the running of the period of
the reglementary periods involved in the 5.G.7. When and Where to File Petition
proceedings;
 Does not stay the execution of the judgment, Petition must be filed within 60 days from
unless a temporary restraining order or writ notice of judgment, order or resolution (Sec. 4,
of preliminary injunction has been issued Rule 65).
(Diaz vs. Diaz, G.R. No. 135885, April 28, 2000).
Subject of Petition Court
Acts or omissions of  Court of Appeals,
Grave abuse of discretion MTC, corporation, whether or not the
board, officer or same is in aid of its
It exists when the act was performed in person appellate
capricious or whimsical exercise of judgment jurisdiction;
 Sandiganbayan,
which is equivalent to lack of jurisdiction.
whether or not in
aid of its appellate
The abuse of discretion must be so patent and jurisdiction;
gross as to amount to an evasion of positive duty  RTC
or to a virtual refusal to perform a duty enjoined Acts or omissions of Gen. Rule: CA
or to act at all in contemplation of law, as where quasi-judicial agency
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EXN: Unless
otherwise provided
by law or the rules
Election case Exclusively COMELEC,
involving an act or in aid of its appellate
omission of MTC/RTC jurisdiction (A.M. No.
07-7-12-SC,
December 12, 2007)
No plain, speedy and adequate remedy
General Rule: A Motion for Reconsideration is
an essential precondition for the filing of a
petition for certiorari, prohibition and mandamus
before invoking the jurisdiction of higher courts.
5.G.8. Exceptions to filing of motion for
reconsideration before filing of petition:
Motion for Reconsideration is not required before
filing a petition:
 Where the order is a patent nullity, as where
the court a quo has no jurisdiction;
 When the questions raised in the certiorari
proceeding, have been duly raised and passed
by the lower court, or are the same as those
raised and passed upon in the lower court;
 Where there is an urgent necessity for the
resolution of the question and any further
delay would prejudice the interests of the
government or of the petitioner;
 Where the subject matter of the action is
perishable;
 Where under the circumstances, a motion for
reconsideration would be useless;
 Where petitioner was deprived of due process
and there is extreme urgency for relief;
 Where in a criminal case, relief from order of
arrest is urgent and the granting of such relief
by the trial court is improbable;
 Where the proceedings in the lower court are
a nullity for lack of due process;
 Where the proceedings was ex parte or in
which the petitioner had no opportunity to
object; and
 Where the issue raised is one purely of law or
where public interest is involved(Riano, Civil
Procedure Vol. II, 2016 ed., pPp. 212-213).
Purple Notes
Criminal
Remedial
Effect of Filing of Motion for
Reconsideration
If a motion for reconsideration is filed, the period
shall not only be interrupted but another 60 days
shall be given to the petitioner within which to
file the appropriate petition for certiorari or
prohibition with the superior court (Supreme Court
Administrative Circular 02-03).
 Q: Are the remedies of appeal and certiorari
mutually exclusive?
A: Yes, the remedies of appeal and certiorari
are mutually exclusive and not alternative
or successive. The antithetic character of
appeal and certiorari has been generally
recognized and observed save only on those
rare instances when appeal is satisfactorily
shown to be an inadequate remedy. Thus, a
petitioner must show valid reasons why the
issues raised in his petition for certiorari could
not have been raised on appeal (Banco Filipino
Savings and Mortgage Bank vs. CA, G.R. No.
132703, June 23, 2000).
Material Date Rule
Dates that must be contained in the
petition:
 Date of receipt of the copy of the assailed
decision, order or resolution;
 Date when Motion for Reconsideration or
Motion for New Trial was filed; and,
 Date of receipt of the denial of said
Motion(Sec. 3, Rule 46).
“Adequate Remedy” – a remedy which is
equally beneficial, speedy and sufficient, not
merely a remedy which at some time in the
future will bring about a revival of judgment of
the lower court complained of in the Certiorari
proceeding, but a remedy which will promptly
relieve the petitioner from the injurious effects of
that judgment and the acts of the inferior court
or tribunal (Pioneer Insurance Surety Corp. vs.
Hontanosas, G.R. No. L-35951, August 31, 1977).
5.G.9. Reliefs petitioner is entitled to:
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The
Remedial
primary relief will be annulment or
modification of the judgment, order or resolution
or proceeding subject of the petition. It may also
include such other incidental reliefs as law and
justice may require (Rule 65, Sec. 1). The court, in
its judgment, may also award damages and the
execution of the award for damages or costs shall
follow the procedure in Sec. 1, Rule 39 (Rule 65,
Sec. 9).
5.G.10. Acts or omissions of
first-level/Regional Trial Courts in Election
Cases
The petition shall be filed with the Commission
on Elections, in aid of its appellate jurisdiction.
(Sec 4, Rule 65 of A.M. no 07-7-12-SC)
5.G.11. Where to file petition
Subject of Petition Court
Acts or omissions of  Court of Appeals,
MTC, corporation, whether or not the
board, officer or person same is in aid of its
appellate jurisdiction;
 Sandiganbayan,
whether or not in aid
of its appellate
jurisdiction;
 RTC
Acts or omissions of Gen. Rule: CA
quasi-judicial agency
EXN: Unless otherwise
provided by law or the
rules
Election case involving Exclusively COMELEC, in
an act or omission of aid of its appellate
MTC/RTC jurisdiction (A.M. No.
07-7-12-SC, December
12, 2007)
Subject of Petition Court
Acts or omissions of  Court of Appeals,
MTC, corporation, whether or not the
board, officer or person same is in aid of its
appellate jurisdiction;
 Sandiganbayan,
whether or not in aid
of its appellate
jurisdiction;
 RTC
Acts or omissions of Gen. Rule: CA
quasi-judicial agency
EXN: Unless otherwise
provided by law or the
rules
Center for Legal Education
258 258 Research
Subject of Petition Court
Acts or omissions of  Court of Appeals,
MTC, corporation, whether or not the
board, officer or person same is in aid of its
appellate jurisdiction;
 Sandiganbayan,
whether or not in aid
of its appellate
jurisdiction;
 RTC
Acts or omissions of Gen. Rule: CA
quasi-judicial agency
EXN: Unless otherwise
provided by law or the
rules
Election case involving Exclusively COMELEC, in
an act or omission of aid of its appellate
MTC/RTC jurisdiction (A.M. No.
07-7-12-SC, December
12, 2007)
Subject of Petition Court
Election case involving Exclusively COMELEC, in
an act or omission of aid of its appellate
MTC/RTC jurisdiction (A.M. No.
07-7-12-SC, December
12, 2007)
5.G.12. Effects of filing of unmeritorious
petition
The Court may impose motu propio, based on res
ipsa loquitur, other disciplinary sanctions or
measures on erring lawyers for patently dilatory
and unmeritorious petition for certiorari (A.M. No.
07-7-12-SC, December 12, 2007).
The court may dismiss the petition if it finds the
same patently without merit or
prosecutedmanifestly for delay, or if the
questions raised therein are too unsubstantial to
require consideration (Rule 65, Sec. 8).
In such event, the court may award in favor of
the respondent treble costs solidarily against the
petitioner and counsel, in addition to subjecting
counsel to administrative sanctions under Rules
139 and 139-B.
5.H. QUO WARRANTO (Rule 66)
Quo Warranto literally means “by what
authority”
and
 Purple Notes
Criminal
Remedial
proclamation of the actually holding office
 Q: What is a Quo Warranto? candidate (Omnibus and action must be
Election Code, Sec. 253). commenced within one
A: It is a proceeding or writ issued by the year from cause of
ouster or right of
court to determine the right to use an office,
petitioner to hold office
position or franchise and to oust the person arose(Rule 66, Sec.
holding or exercising such office, position, or 11).
franchise if his right is unfounded or if a May be filed by any The petitioner must be
person performed acts considered as grounds registered voter for the the government or the
for forfeiture of said exercise of position, same office and who, person entitled to the
office or franchise (Tecson vs. COMELEC, G.R. even if the petition office and who would
No. 161434, March 03, 2004). prospers, would not be assume the same if his
entitled to that office. action succeeds (Rule
Note:Quo Warranto is an action for the (Omnibus Election Code, 66, Sec. 1&5).
Sec. 253)
usurpation of a public (a) office, (b) position, or
Actual or compensatory Person adjudged
(c) franchise (Sec.1, Rule 66; Riano, Vol. II, p. 269). damages are recoverable entitled to the office
in quo warranto under may also bring an
the Omnibus Election action (separate)
Code.(Omnibus Election against the respondent
Code, Sec. 259) to recover damages.
(Rule 66, Sec. 10).
Petition is brought in the Petition is brought in
COMELEC, RTC or MTC, the SC, CA or RTC
as the case may be (Rule 66, Sec. 7).
(Omnibus Election Code,
Sec. 253)
5.H.1. Distinguish: Quo Warranto under the
If the person elected is The court determines
Rules of Court and Quo Warranto under the ineligible, the court who is legally
Omnibus Election Code cannot declare the appointed, and can
candidate occupying the and ought to declare
Quo Warranto in Quo Warranto second place as elected. the person entitled to
Electoral Proceedings (Rule 66) occupy the office(Rule
To contest the right of Prerogative writ which 66, Sec. 9).
an elected public officer can be brought by the Subject of the Petition: Subject of the Petition:
to hold public office. Solicitor General or any An Elective Office An Appointive Office
person who claims Petitioner may be any Petitioner may be the
It is an electoral better title to the voter even if he is not person entitled to the
proceeding under the position, public office entitled to the office office (Rule 66, Sec. 5)
Omnibus Elections Code or franchise being (Omnibus Election Code,
for the exclusive purpose usurped, intruded into Sec. 253)
of impugning the election or unlawfully held. When the tribunal The court has to
of a public officer. declares the candidate- declare who the
Issue is the legality of elect as ineligible, he will person entitled to the
the occupancy of the be unseated but the office is if he is the
office by virtue of a person occupying the petitioner.
legal appointment. second place will not be (Rule 66, Sec. 9).
Grounds: Grounds: declared as the one duly
a. ineligibility or a. Usurpation; elected because the law
disqualification to b. Forfeiture; and, shall consider only the
hold the office; c. Illegal association person who, having duly
b. disloyalty to Republic (Rule 66, Sec.1) filed his certificate of
(Omnibus Election Code, candidacy, received a
Sec. 253) plurality of votes.
Petition must be filed Presupposes that the Quo Warranto in Quo Warranto
within 10 days after the respondent is already Electoral Proceedings (Rule 66)
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Commissions 259259
 Purple Notes
Criminal
To contest
Remedial
the right of Prerogative
an elected public officer
to hold public office.
It is an electoral
proceeding under the
Omnibus Elections Code
for the exclusive purpose
of impugning the election
of a public officer.
Grounds:
c. ineligibility or
disqualification to
hold the office;
d. disloyalty to
Republic
(Omnibus Election
Code, Sec. 253)
Petition must be filed
within 10 days after the
proclamation of the
candidate(Omnibus
Election Code, Sec. 253).
May be filed by any
registered voter for the
same office and who,
even if the petition
prospers, would not be
entitled to that office.
(Omnibus Election Code,
Sec. 253)
Actual or compensatory
damages are recoverable
in quo warranto under
the Omnibus Election
Code.(Omnibus Election
Code, Sec. 259)
Petition is brought in the
COMELEC, RTC or MTC,
as the case may be
(Omnibus Election Code,
Sec. 253)
If the person elected is
ineligible, the court
cannot declare the
candidate occupying the
Center for
260 260 Research
writ which second place as elected. the person entitled to
can be brought by the occupy the office(Rule
Solicitor General or any 66, Sec. 9).
person who claims Subject of the Petition: Subject of the Petition:
better title to the An Elective Office An Appointive Office
position, public office Petitioner may be any Petitioner may be the
or franchise being voter even if he is not person entitled to the
usurped, intruded into entitled to the office office (Rule 66, Sec. 5)
or unlawfully held. (Omnibus Election Code,
Sec. 253)
Issue is the legality of When the tribunal The court has to
the occupancy of the declares the candidate- declare who the
office by virtue of a elect as ineligible, he will person entitled to the
legal appointment. be unseated but the office is if he is the
Grounds: person occupying the petitioner.
d. Usurpation; second place will not be (Rule 66, Sec. 9).
e. Forfeiture; and, declared as the one duly
f. Illegal association elected because the law
(Rule 66, Sec.1) shall consider only the
person who, having duly
filed his certificate of
candidacy, received a
Presupposes that the plurality of votes.
respondent is already
actually holding office
and action must be 5.H.2. When government commences an
commenced within one action against individuals or associations
year from cause of
ouster or right of
Who May Commence Action for Quo
petitioner to hold office
arose(Rule 66, Sec. Warranto:
11).
a. Solicitor Generalor
The petitioner must be b. Public prosecutor;(Rule 66, Sec. 2&3).
the government or the
person entitled to the How is Action Commenced
office and who would
assume the same if his By filing a verified petitionin the name of the
action succeeds (Rule
Republic of the Philippines(Rule 66, Sec. 1)
66, Sec. 1&5).
Against Whom May be Filed(Rule 66, Sec. 1)
Person adjudged
entitled to the office
may also bring an
An action for the usurpation of a public office,
action (separate) position or franchise may be commenced by a
against the respondent verified petition brought in the name of the
to recover damages. Republic of the Philippines against:
(Rule 66, Sec. 10).
Petition is brought in a. A person who usurps, intrudes into, or
the SC, CA or RTC unlawfully holds or exercises a public office,
(Rule 66, Sec. 7). position or franchise;
b. A public officer who does or suffers an act
which, by the provision of law, constitutes a
The court determines
who is legally ground for forfeiture of his office; and,
appointed, and can c. An association which acts as a corporation
and ought to declare within the Philippines without being legally
Legal Education and

incorporated or without lawful authority so to
act.
Classification of quo warranto proceeding:
1) Mandatory – brought by the Solicitor
General or a public prosecutor, when:
a. Directed by the President;
b. Upon a complaint; or
c. He has good reason to believe that the
cases for quo warranto can be established
by proof(Rule 66, Sec. 2).
2) Discretionary - brought by the Solicitor
General or a public prosecutor at the request
or upon the relation of another person
provided there must be:
a. Leave of court;
b. At the request and upon the relation of
another person; and
c. Indemnity bond filed(Rule 66, Sec. 3).
Relator – a person at whose request and upon
whose relation the Solicitor General or public
prosecutor brings an action for quo warranto with
the permission of the court under Sections 3 and
4 of Rule 66.
5.H.3 When Individual may commence an
action
The petition may be commenced by a private
person in his own name where he claims to be
entitled to the public office or position alleged to
have been usurped or unlawfully held or
exercised by another (Rule 66, Sec. 5).
 Q: May a private person commence an action
without the intervention of a Solicitor
General? How?
A(1):Accordingly, the private person may
maintain the action without the intervention
of the Solicitor General and without need for
any leave of court (Navarro vs. Gimenez, G.R.
no. No. 45T6, February 27, 1908; Cui vs. Cui, G.R.
No. 39773, April 09, 1934).
(2).In bringing a petition for quo warranto,
he must show that he has a clear right to the
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office allegedly being held by another (Cuevas
vs. Bacal, G.R. No. 139382, December 06, 2000).
It is not enough that he merely asserts the
right to be appointed to the office.
 Q: Is the one-year period interrupted by the
prosecution of any administrative remedy?
A:The one-year period is not interrupted by
the prosecution of any administrative
remedy. As in quo warranto proceeding, no
one is compelled to resort to administrative
remedies since public interest requires that
the right to public office should be
determined as speedily as possible (Palma-
Fernandez vs. Dela Paz, G.R. No. L-78946, April
15, 1988).
Period to Claim Damages
Within ONE year after the entry of the judgment
establishing the petitioner's right to the office in
question(Rule 66, Sec. 11).
5.H.4 Judgment in Quo Warranto Action
When the respondent is found guilty of usurping,
intruding into, or unlawfully holding or exercising
a public office, position or franchise, judgment
shall be rendered that such respondent be ousted
and altogether excluded therefrom, and that the
petitioner or relator recover his costs. Such
further judgment may be rendered determining
the respective rights in and to the public office,
position or franchise of all the parties to the
action as justice requires(Rule 66, Sec. 9).
5.H.5 Rights of a Person Adjudged Entitled
to Public Office
If judgment is rendered in favor of the person
averred in the complaint to be entitled to the
public office, he may, after taking the oath of
office and executing any official bond required by
law:(BED)
1. Take upon himself the Execution of the office;
2. Immediately thereafter demand of the
respondent all the Books and papers in the
respondent's custody or control appertaining
to the office to which the judgment relates;
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If Respondent refuses or neglects to
deliver any book or paper pursuant to such
demand, he may be punished for contempt as
having disobeyed a lawful order of the court.
3. Bring action against the respondent to recover
the Damages sustained by reason of the
usurpation (Rule 66, Sec. 10).
Quo Warranto Against Corporations
 May only be brought against de facto
corporations
 Must be instituted by the Solicitor General and
not collaterally in a private suit where
corporation is a party
 Scope of inquiry:
a. due incorporation of any corporation
claiming in good faith to be incorporated
under the Corporation Code; and
b. its right to exercise corporate powers
(Revised Corporation Code, Sec.19; Riano, Civil
Procedure Vol. II, pp. 279-280)
5.H.6 Limitations
General Rule: A proceeding for the ouster of a
public officer or employee must be commenced
within 1 year after the right of the petitioner
arose or within 1 year after the cause for such
ouster arose (Rule 66, Sec. 11).
Exceptions:
1. The reason for petitioner’s failure to comply
with the prescribed period to initiate an action
is due to the continued promise from the
Office of the President to comply with its
commitment (Cristobal vs. Melchor, G.R. no. L-
43203, June 29, 1977).
2. An action for quo warranto is imprescriptible if
brought by the state at its own instance
(Republic vs. Sereno, G.R. no. 237428, June 19,
2018).
5.I. EXPROPRIATION(Rule 67)
Eminent Domain is the right of the State to
acquire private property for public use upon the
payment of just compensation.
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Expropriation is the special civil action by which
the state or the sovereign exercises its right of
eminent domain.
In other words, eminent domain is the right while
expropriation is the judicial proceeding for
enforcing said right (Primer-Reviewer on
Remedial Law, Vol. I Civil Procedure, Riguera
2015 Ed., p. 666).
Nature of Expropriation Proceedings
 Q: Is an expropriation proceeding adversarial
in nature?
A: NO. Expropriation proceedings are not
adversarial in the conventional sense, for the
condemning authority is not required to
assert any conflicting interest in the property.
Thus, by filing the action, the condemnor, in
effect, merely serves notice that it is taking
title and possession of the property. On the
other hand, the defendant asserts title or
interest in the property, not to prove a right
to possession, but to prove a right to
compensation for the taking(Apo Fruits Corp. et
al., vs. CA, G.R. No. 164195, December 4, 2009).
Who has the power to expropriate:
a. State, by its inherent power; and,
b. Government instrumentalities (i.e., GOCCs,
LGUs as delegated by the Local Government
Code and other agencies duly authorized by
law).
When expropriation proceedings when
dismissed; exception
 Q: Are expropriation proceedings
automatically dismissed when determined not
in public use absolute?

A: NO. The expropriation case is not
automatically dismissed when the property
ceases to be for public use. The state must
first file the appropriate Motion to Withdraw
before the trial court having jurisdiction over
the proceedings. The grant or denial of any
Motion to Withdraw in an expropriation
and

proceeding is always subject to judicial
discretion.
The rule, therefore, is that expropriation
proceedings must be dismissed when it is
determined that it is not for a public
purpose, except when:
1. 1. Trial court’s order already became final
and executory;
2. The government already took possession
of the property;
3. The expropriation case already caused
prejudice to the landowner.(National
Corporation vs. Posada, GR No. 191945,
March 11, 2015)
Requirements for filing the complaint:
It is commenced by the filing of verified
complaint which shall:
 State with certainty thee right of the plaintiff
to expropriation and the purpose thereof;
 Describe the real or personal property
sought to be expropriated; and
 Join as defendants all persons owning or
claiming to own, or occupying, any part of
the property or interest therein, showing, as
far as practicable, the interest of each
defendant. If the plaintiff cannot identify the
real owners with accuracy, averment to that
effect shall be made in the complaint (Sec. 1,
Rule 67).
Note: If a known owner is not joined as
defendant, he is entitled to intervene in the
proceedings(Republic vs. Mangotara, G.R. No.
170375, July 7, 2010).
If he is joined but not served with the process,
and the proceeding is already closed before he
came to know of the condemnation, he may
maintain an independent suit for damages.
Where to File Complaint
Complaint is filed in the RTC because the subject
of the suit — the State’s exercise of eminent
domain — is a matter incapable of pecuniary
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estimation (San Roque vs. Heirs of Pastor, G.R. No.
138896, June 20, 2000; Riano, Vol. II, p. 292).
Purpose of Expropriation Proceeding
To determine the authority of the government
entity, necessity of the expropriation, and
observance of the process(Brgy. San Roque vs.
Heirs of Pastor, G.R. No. 138896, June 20, 2000).
5.I.1. Matters to Allege in Complaint for
Expropriation
The right of eminent domain shall be exercised
by the filing of a verified complaint, alleging;
(DRJ)
a. The Right of the plaintiff to expropriation and
the purpose thereof, which must be stated
with certainty;
b. Description of the real or personal property
sought to be expropriated; and,
c. The complaint must Join as defendants all
persons owning or claiming to own, or
occupying, any part of the property or interest
therein, showing as far as practicable the
interest of each defendant. If the plaintiff
cannot, with accuracy, identify the real
owners, averment to that effect must be
made in the complaint (Rule 67, Sec. 1)
Note: The commencement of a complaint for
expropriation is necessary only when:
 the owner does not agree to sell his property;
or,
 the owner is willing to sell but does not agree
with the price offered(Riano, Civil Procedure Vol.
II, 2016 Ed., P. 291).
5.I.2. Two Stages in Every Action for
Expropriation
 First Stage: Determination of the
authority of the plaintiff to exercise the
power of eminent domain and the
propriety of its exercise in the context of
the facts involved in the suit. It ends
with an order, if not of dismissal of the
action
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Stage: Determination by the Court b) the value of the improvements and/or
of “the just compensation for property sought structures as determined under Sec. 7 of R.A.
to be taken” with assistance of not more than No. 8974 (R.A. No. 8974, Sec. 7).
three (3) commissioners(National Corporation
vs. Posada, GR No. 191945, March 11, 2015).  Q: Does the R.A. no. 8974 supersede the
system of deposit under Rule 67?
5.I.3. When Plaintiff Can Immediately
Enter into Possession of the Real Property A: YES. R.A. No. 8974, which provides for a
General Rule: Expropriator shall have the right procedure eminently more favorable to the
to take or enter upon the possession of the real property owner than Rule 67, inescapably
property involved if he deposits with the applies in instances when the national
authorized government depositary an amount government expropriates property “for
equivalent to the assessed value of the property national government infrastructure projects.”
for purposes of taxation to be held by such bank Thus, if expropriation is engaged in by the
subject to the orders of the court. national government for purposes other than
national infrastructure projects, the assessed
Deposit shall be in money, UNLESS the court value standard and the deposit mode
authorizes the deposit of a certificate of deposit prescribed in Rule 67 continues to apply. The
of a government bank of the Philippines payable intent of R.A. No. 8974 to supersede the
on demand to the authorized government system of deposit under Rule 67 with the
depositary (Rule 67, Sec. 2). scheme of “immediate payment” in cases
involving national government infrastructure
Exception: If the subject matter involves the projects is indeed very clear (Republic vs.
acquisition of right-of-way, site or location for Gingoyon, G.R. No. 166429, December 19, 2005).
any national government infrastructure project
through expropriation pursuant to Sec. 4 (a) of R.A. No. 8974 amended Sec.2 of Rule 67 (Riano,
RA 8974 (An Act to Facilitate the Acquisition of Vol.II, pp. 296-297).
Right-of-Way, Site or Location for National
Government Infrastructure Projects and For ENTRY OR RULE 67
Other Purposes). POSSESSION UNDER EXPROPRIATION
R.A. No. 8974
5.I.4. New System of Immediate Payment Expropriation is for a
of Initial Just Compensation specific purpose:
 Acquisition of Right-
Requisites Of-Way, site or
location for National Expropriation is done for
1. A complaint is filed; Government public use.
2. Purpose is the acquisition of right-of-way, site Infrastructure
or location for any national government Projects and for
infrastructure project through expropriation; other Purposes
3. There is due notice to the defendant;
To be entitled to a writ
4. Immediate payment is made by the of possession, the Government is required
implementing agency to the owner of the government is required only to make an INITIAL
property (R.A. No. 8974, Sec. 7). to make IMMEDIATE DEPOSIT to
payment DIRECTLY to AUTHORIZED
Note: Amount to be paid shall be equivalent to the owner upon filing of DEPOSITORY.
the sum of: the complaint.
Relevant standard for Initial deposit shall be
a) 100 percent of the value of the property intial compensation equivalent to ASSESSED
based on the current relevant zonal valuation  Land – whichever is VALUE of the property
of the BIR; and, higher of the: for the purpose of
a) market value of taxation.
the property as
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stated in the the property seized.
tax declaration;
or, ENTRY OR RULE 67
b) current zonal POSSESSION UNDER EXPROPRIATION
value R.A. No. 8974
Expropriation is for a Expropriation is done for
specific purpose: public use.
 Improvements or  Acquisition of Right-
structures - Of-Way, site or
Replacement Cost location for National
Method is used. Government
Infrastructure
 No valuation Projects and for
available - proffered other Purposes
value of the
property seized. To be entitled to a writ Government is required
of possession, the only to make an INITIAL
ENTRY OR government is required DEPOSIT to
RULE 67
POSSESSION UNDER to make IMMEDIATE AUTHORIZED
EXPROPRIATION
R.A. No. 8974 payment DIRECTLY to DEPOSITORY.
Expropriation is for a Expropriation is done for the owner upon filing of
specific purpose: public use. the complaint.
 Acquisition of Right- Relevant standard for Initial deposit shall be
Of-Way, site or intial compensation equivalent to ASSESSED
location for National  Land – whichever is VALUE of the property
Government higher of the: for the purpose of
Infrastructure e) market value of taxation.
Projects and for the property as
other Purposes stated in the
tax declaration;
To be entitled to a writ Government is required or,
of possession, the only to make an INITIAL f) current zonal
government is required DEPOSIT to value
to make IMMEDIATE AUTHORIZED
payment DIRECTLY to DEPOSITORY.
the owner upon filing of  Improvements or
the complaint. structures -
Relevant standard for Initial deposit shall be Replacement Cost
intial compensation equivalent to ASSESSED Mehod is used.
 Land – whichever VALUE of the property  No valuation
is higher of the: for the purpose of available - proffered
c) market value of taxation. value of the
the property as property seized.
stated in the
tax declaration;
or,
d) current zonal Purpose of Preliminary Deposit: Provide for
value damages in case the court finds that plaintiff has
no right to expropriate (Rule 67, Sec. 2).
 Improvements or
structures -
Replacement Cost
 Q: What is the nature ofpreliminary deposit?
Method is used.
A: Preliminary Deposit is an advance
 No valuation payment for just compensation (Visayan
available - Refining Co. vs. Camus, G.R. no. No. 15870,
proffered value of December 03, 1919).
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5.I.5. Defenses and Objections (Rule 67, Sec.
3)
If the defendant has no objection or defense to
the action or taking of his property, he may file
and serve a notice of appearance and a
manifestation to that effect.
If a defendant has any objection to the filing of
or the allegations in the complaint, or any
objection or defense to the taking of his property,
he shall serve his answer within the time stated
in the summons.
Prohibited Pleading
No counterclaim, cross claim or third party
complaint shall be alleged or allowed in the
answer or any subsequent pleading.
Waiver of Defenses and Remedy Thereto
A defendant waives all defenses and objections
not so alleged. However, whether or not he has
previously appeared or answered, he may
present evidence as to the amount of
compensation to be paid for his property, and
share in the distribution of the award.
The court, in the interest of justice, may permit
amendments to the answer not later than 10
days from the filing thereof.
5.I.6. Order of Expropriation
An order declaring that the plaintiff has lawful
right to take the property for public use upon
payment of just compensation (Rule 67, Sec. 4).
When court may issue an Order of
Expropriation:
a) Objections of the defendant are overruled; or
b) No party appears to object or defend
against the expropriation (Rule 67, Sec.
4).
5.I.7 Ascertainment of Just Compensation
(Rule 67, Sec. 5)
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Upon rendition of the Order of Expropriation:
1. The court shall appoint not more than 3
commisioners to ascertain and report to the
court just compensation;
2. A hearing is conducted before the
commissioners.
Note: Hearing is mandatory.
The parties must be given:
a. notice of the hearings and the
opportunity to attend them;
b. opportunity to introduce evidence in their
favor during the said hearings; and,
c. opportunity for the parties to argue their
respective causes
 Q: Is the hearing before a commissioner
indispensable?
A: YES. A hearing before the commissioners
is indispensable to allow the parties to
present evidence on the issue of just
compensation. While it is true that the
findings of commissioners may be
disregarded and the trial court may
substitute its own estimate of the value, the
latter may only do so for valid reasons, that
is, where the commissioners have applied
illegal principles to the evidence submitted
to them, where they have disregarded a
clear preponderance of evidence, or where
the amount allowed is either grossly
inadequate or excessive. Thus, "trial with
the aid of the commissioners” is a
substantial right that may not be done away
with capriciously or for no reason at all. The
absence of such trial or hearing constitutes
reversible error on the part of the trial court
because the parties’ right to due process
was violated(National Power Corp.,vs. Sps. Dela
Cruz,G.R. No. 156093, February 2, 2007; Riano,
Vol.II p. 301)
3. The commissioners shall assess
Consequential Damages to property not
taken and deduct from such damages the
and

Consequential Benefits to be derived by
the owner from public use of the property
taken (Sec.6, Rule 67).
Note: Consequential benefit can in NO case
EXCEED Consequential damages as to
deprive the owner of the value of his
property (Riano, Vol. II, p. 302).
5.I.8. Appointment of Commissioners;
Commissioner’s Report; Court Action upon
Commissioner’s Report(Rule 67, Sec. 5)
Upon rendition of Order of Expropriation, the
court shall appoint not more than 3 competent
and disinterested persons as commissioners to
ascertain just compensation.
The appointment of commissioners is
MANDATORY and cannot be dispensed with.
Order of Appointment (Rule 67, Sec. 5)
The Order shall:
a. Designate the time and place of the first
session of the hearing to be held by the
commissioners; and,
b. Specify the time within which the
commissioners’ report shall be submitted to
the court.
c.
Copies of the Order of Appoinment shall be
served on the parties.
Objections to the Appointment of Any
Commissioner (Rule 67, Sec. 5)
All interested parties may file objections to the
commissioners’ report within 10 days upon
being served copies of the same.
The objections shall be resolved 30 days after all
the commissioners shall have received copies of
the objections.
Oath: Before entering upon the performance of
their duties, the commissioners shall take and
subscribe an oath that they will faithfully perform
their duties as commissioners, which oath shall
be filed in court with the other proceedings of the
case (Rule 67, Sec. 6).
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Commissioners’ Report and Judgment
thereupon (Rule 67, Sec. 7)
The court may:
1. Order the commissioners to report when any
particular portion of the real estate shall have
been passed upon by them and render
judgment upon such partial report;
2. Direct the commissioners to proceed with
their work as to subsequent portions of the
property sought to be expropriated; and,
3. Deal with such property, from time to time
The commissioners shall make a full and accurate
report to the court of all their proceedings, and
such proceedings shall not be effectual until the
court shall have accepted their report and
rendered judgment in accordance with their
recommendations.
General Rule: The report shall be filed within
sixty (60) days from the date the commissioners
were notified of their appointment, which time
may be extended in the discretion of the court.
Exception: When otherwise expressly ordered
by the court.
Upon the filing commissioners’ report, the clerk
of court shall serve copies thereof on all
interested parties, with notice that they are
allowed ten (10) days within which to file
objections to the findings of the report, if they so
desire (Rule 67, Sec. 7)
Action upon the report (Rule 67, Sec. 8)
When proper: (ARSPM)
 upon the expiration of the period of ten (10)
days stated in the notice; or,
 before the expiration of such period but after
all the interested parties have filed their
objections to the report or their statement of
agreement therewith; and,
 after hearing
The court may:
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the report and render judgment in
accordance therewith; or,
b) Recommit the report, for cause shown, to
the commissioners for further report of facts;
or
c) Set aside the report and appoint new
commissioners; or
d) Accept the report in Part and reject it in part;
and,
e) Make such order or render such judgment as
shall secure to the plaintiff the property
essential to the exercise of his right of
expropriation, and to the defendant just
compensation for the property so taken.
Uncertain Ownership and Conflicting
Claims (Rule 67, Sec. 9)
The ownership of the property shall be
determined by the court and it may order any
sum awarded to be deposited with the court.
The court shall award any sum representing just
compensation to be deposited with the Clerk of
Court for the benefit of the person to be later
adjudged as lawful owner of the land or the one
entitled to the compensation in the case. There is
no need for an independent action since the
person entitled thereto will be adjudged in the
same proceeding.
5.I.9. Rights of Plaintiff Upon Judgment
and Payment (Rule 67, Sec. 10)
1) Enter the property expropriated and
appropriate it for public use or purpose as
defined in the judgment; or,
2) Retain the property should immediate
possession under Sec. 2 has been exercised
When is Title Vested in Expropriation
 Personal property – Upon payment of just
compensation.
 Real property – Upon payment of just
compensation AND registration.
 Q: What is the reckoning period for the
determination of just compensation?
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A: Just compensation is determined as of the
date of the taking of the property OR the
filing of the complaint, whichever came
first(BPI vs. CA, G.R. NO. 160890, November 10,
2004).
 Q: What is just compensation?
A:Just compensation refers to the sum
equivalent to the market value of the
property, broadly described to be the price
fixed by the seller in open market in the
usual and ordinary course of legal action and
competition, or the fair value of the property
as between one who receives and one who
desires to sell. It is fixed at the time of the
actual taking by the State. Thus, if property
is taken for public use before compensation
is deposited with the court having jurisdiction
over the case, the final compensation must
include interests on its just value, to be
computed from the time the property is taken
up to the time when compensation is actually
paid or deposited with the court (Apo Fruits
Corp., et al., vs. CA, G.R. No. 164195, December
4, 2009).
Formula to determine just compensation
JC = Just Compensation
FMV = Fair Market Value
CD = Consequential Damages
CB = Consequential Benefits
FMV + (CD – CB) = JC
Deduct the consequential benefits from the
consequential damages, then add to the fair
market value. The resulting amount is the just
compensation.
If CB > CD, then JC = FMV
If consequential benefits are greater than the
consequential damages, then just compensation
shall be equal to the fair market value.
and

Rule if payment is refused
If the defendant and his counsel absent
themselves from the court, or decline to receive
the amount tendered, the same shall be ordered
to be deposited in court and such deposit shall
have the same effect as actual payment thereof
to the defendant or the person ultimately
adjudged entitled thereto (Rule 67, Sec. 10).
Effect of Non-Payment of Just
Compensation
General Rule: Non-payment of just
compensation does not automatically entitle the
private owner to recover possession of the
expropriated property.
Exception: Private owners have the right to
recover possession of property if the State fails to
pay within 5 years from finality of judgment
(Riano, Vol.II, p. 305).
Contents of Judgment (Rule 67, Sec. 13)
The judgment entered in expropriation
proceedings shall state definitely, by an adequate
description:
1. the particular property or interest therein
expropriated; and,
2. the nature of the public use or purpose for
which it is expropriated.
5.I.10. Effect of Recording of Judgment
Effect of Judgment When Real Estate is
Expropriated (Rule 67, Sec. 13)
A certified copy of the judgment shall be
recorded in the Registry of Deeds of the place in
which the property is situated.
Such recording vests in the plaintiff the title to
the real estate so described for such public use or
purpose.
Effect of Appeal (Rule 67, Sec. 13)
An appeal from the judgment shall not delay the
right of the plaintiff to enter upon the property
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and appropriate the same for public use or
purpose.
Multiple Appeals Allowed
The Order of Expropriation may be appealed by
the defendant by record on appeal. This is an
instance when multiple appeals are allowed
because they pertain to separate and/or several
judgments on different issues (e.g., such as issue
on the right to expropriate and issue of just
compensation).
Effect of Reversal of the Order of
Expropriation (Rule 67, Sec. 13)
The owner shall repossess the property with the
right to be indemnified for all damages sustained
due to the taking.
GUIDELINES FOR EXPROPRIATION
PROCEEDINGS OF NATIONAL
GOVERNMENT INFRASTRUCTURE
PROJECTS (R.A. No. 8974, Sec. 4)
The court shall immediately issue to the
implementing agency a Writ of Possession upon:
1. presentation to the court of a certificate of
availability of funds from the proper official
concerned; and
2.
3. compliance with the following guidelines:
a) Upon the filing of the complaint, and after
due notice to the defendant, the
implementing agency shall immediately
pay the owner of the property the amount
equivalent to the sum of:
 one hundred percent (100%) of the
value of the property based on the
current relevant zonal valuation of the
Bureau of Internal Revenue (BIR); and,
 the value of the improvements and/or
structures using the replacement cost
method
b) In provinces, cities, municipalities and
other areas where there is no zonal
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valuation, the BIR is mandated within the
period of sixty (60) days from the date of
the expropriation case, to come up with a
zonal valuation for said area; and,
c)
d) In case the completion of a government
infrastructure project is of utmost urgency
and importance, and there is no existing
valuation of the area concerned, the
implementing agency shall immediately
pay the owner of the property its proffered
value.
Court Shall Determine Just Compensation
When Proferred Value is Contested
In the event that the owner of the property
contests the proffered value, the court shall
determine the just compensation to be paid the
owner within sixty (60) days from the date of
filing of the expropriation case.
When the decision of the court becomes
final and executory, the implementing
agency shall pay the owner the difference
between the amount already paid and the
just compensation as determined by the
court.
5.J. FORECLOSURE OF REAL ESTATE
MORTGAGE
Foreclosure of mortgage is the process by which
a property covered may be subjected to sale to
pay demand for which mortgages stand as
security (Pacific Commercial Co. v. Alvarez, 38 OG
758).
Foreclosure is the necessary consequence of non-
payment of mortgage indebtedness. The
mortgage can be foreclosed only when the debt
remains unpaid at the time it is due (Producers
Bank v. CA, GR No. 111584, 17 Sept. 2001) or in case
of default in the payment of obligation (PNB v. CA,
GR No. 126908, January 16, 2003; Chinabank v. CA,
G.R. No. 121158, December 05, 1996)
Default of the Debtor
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General Rule: Default occurs when
payment is not made after a valid demand.
Exception: When stipulated that demand is
not necessary for default to arise (Riano,
Vol.II, p. 309)
5.J.1. Kinds of Foreclosure
a. Judicial foreclosure is done pursuant to
Rule 68 of the Rules of Court; and
b. Extra-judicial foreclosure is effected
pursuant to Act No. 3135, as amended
by Act No. 4118
5.J.1.a. JUDICIAL FORECLOSURE (Rule 68)
Judicial foreclosure of real estate mortgage is
governed by the provisions of Rule 68 of the
Rules of Court. Like any ordinary civil action filed
in court it shall be proven by preponderance of
evidence.
5.J.1.b. EXTRAJUDICIAL FORECLOSURE (Act
No. 3135, as amended)
Extra-judicial foreclosure is the mode to be
used if there is a special power inserted in
or attached to the real estate mortgage
contract allowing an extra-judicial
foreclosure sale (Sec. 1, Act No. 3135, as
amended).
Act no. 3135, as amended prescribes a
procedure which effectively safeguards the
rights of both debtor and creditor. Thus, its
construction (or interpretation) must be
equally and mutually beneficial to both
parties. (Phil. National Bank vs. Cabatingan,
G.R. No. 167058, July 09, 2008)
Where there is no such special power, the
foreclosure shall be done judicially
following the procedure set under Rule 68.
Judicial Foreclosure vs. Extrajudicial
Foreclosure
EXTRA-JUDICIAL JUDICIAL
FORECLOSURE FORECLOSURE
(ACT 3135) (RULE 68)
and
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No complaint is filed; Complaint is filed with
the courts;
There is a right of No right of redemption
redemption. Mortgagor except when
has a right of redemption mortgagee is a
for 1 year from banking institution;
registration of the sale; equity of redemption
only (90 to 120 days,
and any time before
confirmation of
foreclosure sale);
Mortgagee has to file a Mortagagee can move
separate action to recover for deficiency
any deficiency; judgment in the same
action
Buyer at public auction Buyer at public auction
becomes absolute owner becomes absolute
only after finality of an owner only after
action for consolidation of confirmation of the
ownership; sale;
Mortgagee is given a Mortgagee need not
special power of attorney be given a special
in the mortgage contract power of attorney.
to foreclose the
mortgaged property in
case of default.
No court intervention Requires court
necessary. intervention.
Right of redemption There is only an equity
exists. of redemption.
Filed with the office of the filed before the RTC
sheriff of the province where the mortgaged
where the sale is to be property or any part
made thereof is situated
There can be no
There could be a
judgementjudgment for a
deficienty judgment
deficiency because there
rendered by the court
is no judicial proceeding
in the same
although recovery of
proceeding.
deficienty is allowed.
The recovery of the Recovery for the
deficienty is through an deficiency can by done
independent action. mere motion.
EXTRA-JUDICIAL JUDICIAL
FORECLOSURE FORECLOSURE
(ACT 3135) (RULE 68)
Complaint is filed with
No complaint is filed;
the courts;
No right of
redemption except
There is a right of when mortgagee is a
redemption. Mortgagor banking institution;
has a right of redemption equity of redemption
for 1 year from only (90 to 120 days,
registration of the sale; and any time before
confirmation of
foreclosure sale);
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RemedialMortagagee can move In Sps. Baysa v. Sps. Plantilla, G.R. No.
Mortgagee has to file a for deficiency 159271, July 13, 2015, the high court agrees
separate action to judgment in the same withthe lower court that the extrajudicial
recover any deficiency; action foreclosure was not visited with vice for failure of
the mortgagor in the mortgage deed to grant
Buyer at public auction Buyer at public
becomes absolute owner auction becomes
special power to sell the property in favor of the
only after finality of an absolute owner only mortgagee. the Supreme Court declared that
action for consolidation after confirmation of there is authority to foreclose extrajudicially
of ownership; the sale; when It suffices that the mortgagee document
Mortgagee is given a empowers the mortgagee to extrajudicially
special power of attorney foreclose the property. Such authority to
Mortgagee need not
in the mortgage contract extrajudicially foreclose by necessary implication
be given a special
to foreclose the carries with it the grant of power to sell the
power of attorney.
mortgaged property in
property at a public auction. It is only when the
case of default.
deed is silent as to the grant of authority to
No court intervention Requires court
necessary. intervention. extrajudicially foreclose on the mortgage that a
Right of redemption There is only an mortgagee is prevented from availing of such
exists. equity of redemption. remedy(G.R. No. 159271, July 13, 2015).
Filed with the office of filed before the RTC
the sheriff of the where the mortgaged 5.J.4. Procedure
province where the sale property or any part
is to be made thereof is situated Rule 68 is silent to special provisions on thedoes
There can be no There could be a not provide for any special provisions on the
judgment for a deficiency deficienty judgment mechanics of a suit. Hence, a foreclosure suit will
because there is no rendered by the court
proceed like an ordinary civil action in so far as
judicial proceeding in the same
not inconsistent with Rule 68 (Riano, Vol.II, pp.
although recovery of proceeding.
314-315).
deficienty is allowed.
The recovery of the Recovery for the
deficienty is through an deficiency can by 5.J.4.a. Where to File: MTC or RTC, depending
independent action. done mere motion. on jurisdictional amount.the assessed value of
the property in question, or any interest therein.
5.J.2. Need for Special Power of Attorney
An action for foreclosure of mortgage may be
A special power of attorney authorizing another deemed as an action involving interest in real
to mortgage one’s property as security of the property, hence a real action(Riano, Civil Procedure
former’s obligation does not of itself make the Vol. II, 2016 ed., P. 312).
person executing the same a co-mortgagor of the
debtor. (Cerna vs. Court of Appeals, G.R. No. 48359, Parties to Judicial Foreclosure
March 30, 1993) Thus, it has been held that an
accommodation mortgagor as such is not in any 1. Mortgagee
way liable for the payment of the loan or 2. Mortgagor
principal obligation of the debtor/borrower. His 3. Successors in interest
liability extends only up to the loan value of his 4. Junior encumbrancer/s
mortgaged property and not to the entire loan
itself. Hence, he may redeem his mortgaged Parties Defendant; Indispensable Parties
property by paying only the winning bid price
thereof (plus interest and expenses thereon) at 1. Mortgage debtor;
the public auction sale.(Belo vs. Philippine National 2. Owner of property, if not debtor;
Bank, G.R. No. 134330, March 01, 2001). 3. Executor or administrator of deceased
mortgagor;
5.J.3. Authority to foreclose extrajudicially 4. Executor or administrator of the deceased
owner; and,
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5. Heir/s of the deceased owner of the property
Necessary Parties
All persons having claims or claiming an interest
subordinate to the holder of the mortgage, e.g.
second mortgagee, subsequent attaching
creditor, and purchaser of the mortgaged
property(Rule 68, Sec. 1).
Contents of Complaint (Rule 68, Sec. 1)
(DANDOAN)
a. Date and due execution of the mortgage;
b. Its Assignments, if any;
c. Names and residences of the mortgagor and
mortgagee;
d. Description of mortgaged property;
e. Statement of the date of the note or other
documentary evidence of the Obligation
secured by the mortgage;
f. Amount claimed to be unpaid thereon; and,
g. Names and residences of all persons having
or claiming an interest in the property
subordinate in right to that of the holder of
the mortgage, all of whom shall be made
defendants in the action.
5.J.4.b. Where to sell?
The property shall be sold at a public auction to
satisfy the judgment in the event that the
defendant failed to pay theamount due to the
plaintiff upon the mortgage debt or obligation,
including interest and other charges as approved
by the court, and costs(Rule 68, sec. 2).
Judgment on the Foreclosure for Payment
or Sale (Rule 68, Sec. 2)
If upon trial, the court shall find the facts set
forth in the complant to be true, it shall:
1. Ascertain the amount due to the plaintiff upon
the mortgage debt or obligation, including
interest and other charges as approved by the
court and the costs; and,
2. Render judgment for the sum so found due
and order that the same be paid to the court
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or to the judgment obligee within a period of
not less than 90 days but not more than 120
days from entry of judgment.
Period given for the payment of the sum due
is not merely provisional but a SUBSTANTIVE
RIGHT granted to mortgage debtor as last
opportunity for him to pay his debt and save
his mortgaged property from final disposition
at a foreclosure sale (Riano, Vol.II, p. 315).
Effect if the Junior Encumbrancer is Not
Impleaded
 His equity or right of redemption is NOT
affected or barred by the judgment of the
court because he is a mere necessary party,
not an indispensable party (Sunlife Insurance
vs. Diez, G.R. No. 29027, October 25, 1928).
The remedy of the senior encumbrancer is to file
an INDEPENDENT proceeding to foreclose the
right to redeem by requiring the junior
encumbrancer to pay the amount stated in the
order of execution or to redeem the property in a
specified time.
Effect of failure by the defendant to pay the
amount of judgment(Rule 68, Sec. 3)
The court shall order the property to be sold
pursuant to the provisions of Rule 39 and other
relevant regulations.
5.J.4.c. Posting requirements
Before the sale of the real proerty/ies, notice
must be given:
 By posting for 20-days in three (3) public
places. If the assessed value is more than
P50,000.00 (Sec. 15c, Rule 39).
 Written notice to the judgment obligor at least
three (3) days before the sale (Sec. 15d, Rule
39).
The rule is that statutory provisions governing
public notice of foreclosure sales must be strictly
complied with, and even slight deviations
therefrom will invalidate the sale or render it at
least voidable(Tambunting vs. Court of Appeals, G.R.
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No. No. L-48278 , November 08, 1988; Roxas vs. Court
of Appeals, G.R. No. 100480, May 11, 1993).
5.J.4.d. Publication requirement
Before the sale of the real proerty/ies a copy of
the notice must be published once a week for
two (2) consecutive weeks in one newspaper
selected by raffle whether in English, Filipino, or
any major regional language published, edited
and circulated or, in the absence thereof, having
general circulation in the province or city (Sec.
15c, Rule 39).
5.J.d.i. Sufficiency of newspaper
publication
Republic Act 3135 as amended by RA 4118
provides that, :
“Sec. 3. nNotice shall be given by posting notices
of the sale for not less than twenty days in at
least three public places of the municipality or
city where the property is situated, and if such
property is worth more than four hundred pesos,
such notice shall also be published once a week
for at least three consecutive weeks in a
newspaper of general circulation in the
municipality or city(Sec. 3)..”
5.J.4.d.ii. Need for republication in case of
postponement
 Republication in the manner prescribed by
Act No. 3135 is necessary for the validity of
a postponed extrajudicial foreclosure sale.
Another publication is required in case the
auction sale is rescheduled, and the absence
of such republication invalidates the
foreclosure sale(DBP vs. CA, G.R. No. 125838
June 10, 2003).
 Q: Can the posting and publication
requirement be waived?
A: NO. Waiver of posting and publication
requirements of Act No. 3135is void for
Notices are given to secure bidders and
prevent a sacrifice of the property. Clearly,
the statutory requirements of posting and
publication are mandated, not for the
mortgagor's benefit, but for the public or
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274 274 Research
third persons. As such, it is imbued with
public policy considerations and any waiver
thereof would be inconsistent with the intent
and letter of Act No. 3135 (PNB vs.
Nepomuceno Productions, Inc., et al., G.R. No.
139479, Dec. 27, 2002Metropolitan Bank vs.
Nikkon Sources International Corp., G.R. No.
178479, October 23, 2009).
5.J.4.d.iii. Personal notice to the mortgagor
when and when not needed
Settled is the rule that personal notice to the
mortgagor in extra-judicial foreclosure
proceedings is not necessary.
Section 3 of Republic Act  3135 governing extra-
judicial foreclosure of real-estate mortgages, as
amended, requires only the posting of the notice
of sale in three public places and the publication
of that notice in a newspaper of general
circulation. It is pristine clear from the above
provision that the lack of personal notice to the
mortgagor, herein petitioner, is not a ground to
set aside the foreclosure sale.” (Fortune Motors
(Phils.) Inc. vs. Metropolitan Bank and Trust Company,
G.R. No. 115068, November 28, 1996)
On the other hand, if the parties to the real-
estate mortgage agreed that in case of extra-
judicial foreclosure sale, the mortgagor shall be
informed of the same by the mortgagee, this
must be faithfully complied with, otherwise the
sale shall be null and void.This was enunciated by
the Supreme Court in the case of Global Holiday
Ownership Corporation vs. Metropolitan Bank & Trust
Company (Global Holiday Ownership Corporation vs.
Metropolitan Bank & Trust Company,G.R. No. 184081,
June 19, 2009).
5.J.5. Possession by purchaser of
foreclosed property
If the purchaser wants possession during the
redemption period, he may execute a bond in the
amount equivalent to the use of the property for
12 months, to indemnify the debtor in case it be
shown that the sale was made without violating
the mortgage or without complying with the
requirements of the Act. Upon approval, a writ
of possession will be issued in his favor.
and

In case the winning bidder is able to secure
possession, the mortgagor may petition that the
sale is set aside and the writ of possession be
cancelled on the ground that he wasn't in
default or that the sale wasn't made in
accordance with Act 3135. This must be
filed within 30 days from issuance of the writ of
possession.
Until the foreclosure sale of the property in
question is annulled by a court of competent
jurisdiction, the issuance of the writ of possession
remains a ministerial duty of the trial court.
Hence, the trial court would, in denying the
petition for issuance of writ of possession on the
grounds that the loan has not been proven; or
that execution of the mortgage and default have
not been proven, be committing grave abuse of
discretion(Chilease Finance Corp. v. Sps. Ma, G.R. No.
151941, August 15, 2003).
5.J.6. Remedy of debtor if foreclosure is not
proper
The debtor may file a case to annul the mortgage
and/or the extrajudicial foreclosure sale.
Effect of Sale of Mortgaged Property (Rule 68,
Sec. 3)
1. Sale shall not affect the rights of persons
holding prior encumbrances upon the
property or a part thereof;
2. When confirmed by an order of the court
and upon motion, the sale shall operate to:
 Divest the rights in the property of all
parties to the action; and,
 Vest their rights in the purchaser, subject
to such right of redemption.
The import of Sec. 3 includes one vital effect: the
equity of redemption of the mortgagor or
redemptioner is cut-off and there will be no
further redemption, unless allowed by law (as in
the case of banks as mortgagees). The equity of
redemption starts from the ninety-day (90-day)
period set in the judgment of the court up to the
time before the sale is confirmed by an order of
the court. Once confirmed, no equity of
redemption may further be exercised.
Purple Notes
Criminal
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Note: Mortgagee should file a Motion For
Confirmation of Sale after foreclosure sale has
been effected. Such motion requires notice and
hearing.
 Q: What is the effect of confirmation of
sale?
A.The title vests upon the purchaser in the
foreclosure sale, and the confirmation
retroacts to the date of the sale (Villar vs.
Paderanga, G.R. No. L-7687, September 28,
1955.).
Order of Confirmation Appealable
The order of confirmation is appealable. If not
appealed within the period for appeal, it becomes
final(Riano, Civil Procedure Vol. II, 2016 Ed., p P.319).
 Q: Is the mortgagor entitled to notice of
hearing of the confirmation of sale?
A:The mortgagor is entitled to a notice of
hearing of the confirmation of the sale.
Otherwise, the order is void. Due process
requires that said notice be given so that the
mortgagor can resist the motion and be
informed that his right to redeem is cut off
(Tiglao vs. Botones, G.R. No. L-3619, October 29,
1951).
Effect of Finality of Order of Confirmation
General Rule: The purchaser at the auction sale
or last redemptioner shall be entitled to the
possession of property:
1) upon finality of the order of confirmation; or,
2) upon the expiration of the period of
redemption, when allowed by law (Rule 68,
Sec. 3).
Exception: When a third party is actually
holding the same adversely to the judgment
obligor(Rule 68, Sec. 3).
Remedy: Purchaser or last redemptioner may
secure a writ of possession, upon motion (ex-
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parte), from
Remedial
the court which ordered the
foreclosure(Rule 68, Sec. 3). Exception: Mortgagee is a financial institution
(Government Insurance System vs. The CFI of Iloilo,
Motion for issuance of writ of possession is G.R. No. 45322, July 5, 1989).
an exception to the 3-day notice rule for
motions. Equity of Redemption 

RULE 39 RULE 68 Equity of redemption is the right of the

(Execution of (Foreclosure of Real mortgagor to redeem the mortgaged property
Judgments) Estate) after his default in the performance of the
No need to confirm There is a need to conditions of the mortgage but before the sale of
sale. confirm sale.
the property or the confirmation of the sale after
judicial foreclosure thereof (International Services,
Inc. vs. IAC, G.R. Nos. L-67496, No. L-68257, July 07,
Disposition of Proceeds of Sale (Rule 68, Sec. 1986).
4)
This is the right of the defendant mortgagor to
After deducting the costs of the sale, the extinguish the mortgage and retain ownership of
proceeds of the sale of the mortgaged property the property by paying the secured debt within a
shall be paid to the person foreclosing the 90-day period after the judgment becomes final
mortgage. or after the foreclosure sale but prior to its
confirmation (Government Insurance System vs. The
Any balance or residue after paying off the CFI of Iloilo, G.R. No. 45322, July 5, 1989).
mortgage debt due shall be paid to junior
encumbrancers in the order of their priority.
Equity of Redemption vs. Right of
Redemption
If there be any further balance after paying them
or if there be no junior encumbrancers, the same
EQUITY OF RIGHT OF
shall be paid to the mortgagor or any person REDEMPTION REDEMPTION
entitled thereto. (Rule 68) (Secs. 29 – 31 of Rule
39)
Registration of Sale
The right of defendant A right granted to a
A certified copy of the final order of the court mortgagor to debtor mortgagor, his
confirming the sale shall be registered in the extinguish the successor in interest
Registry of Deeds (Rule 68, Sec. 7). mortgage and retain or any judicial creditor
ownership of the or judgment creditor
property by paying the or any person having
5.J.7. Redemption
debt within 90 to 120 a lien on the property
days after the entry of subsequent to the
In general, the concept of redemption is to allow judgment or even after mortgage or deed of
the ownerto repurchase or buy back, within a the foreclosure sale but trust under which the
certain period and for acertain amount, a prior to confirmation. property is sold to
property that has been sold due to debt, tax, or repurchase the
encumbrance(Iligan Bay Manufacturing Corp. vs. Dy, property within one
G.R. Nos. 140836 & 140907, June 08, 2007). year even after the
confirmation of the
Right of Redemption for Judicial sale and even after
the registration of the
Foreclosure
certificate of
foreclosure sale.
General Rule: There is NO right of redemption May be exercised even There is no right of
in a judicial foreclosure of mortgage under Rule after the foreclosure redemption in a
68. sale provided it is made judicial foreclosure of
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 Purple Notes
before the sale is mortgage under Rule
confirmed by order of 68. This right of
the court. redemption exists
only in extrajudicial
foreclosures where
there is always a right
of redemption within
one year from the
date of sale (Sec. 3,
Act 3135), but
interpreted by the
Court to mean one
year from the
registration of the
sale.
May also exist in favor General rule: In
or other encumbrances. judicial foreclosures
If subsequent lien there is only an equity
holders are not of redemption which
impleaded as parties in can be exercised prior
the foreclosure suit, the to the confirmation of
judgment in favor of the foreclosure sale.
the foreclosing This means that after
mortgagee does not the foreclosure sale
bind the other lien but before its
holders. In this case, confirmation, the
their equity of mortgagor may
redemption remains exercise his right of
unforeclosed. A pay the proceeds of
separate foreclosure the sale and prevent
proceeding has to be the confirmation of
brought against them the sale.
to require them to
redeem from the first
mortgagee or from the
party acquiring the title
to the mortgaged
property.
If not by banks, the Exception: there is
mortgagors merely a right of redemption
have an equity of if the foreclosure is in
redemption, which is favor of banks as
simply their right, as mortgagees, whether
mortgagor, to the foreclosure be
extinguish the judicial or
mortgage and retain extrajudicial. This
ownership of the right of redemption is
property by paying the explicitly provided in
secured debt prior to Sec. 47 of the
the confirmation of the General Banking Law
foreclosure sale. of 2000. While the
law mentions the
redemption period to
be one year counted
from the date of
registration of the
Criminal
Remedial
certificate in the
Registry of Property
Is the right of the Right of the
mortgagor to redeem mortgagor to redeem
the mortgaged the mortgaged
property after his property after
default in the registration of the
performance of the foreclosure sale, and
conditions of the even after
mortgage but before confirmation of the
the sale of the property sale.
to clear it from the
encumbrance of the
mortgage.
EQUITY OF RIGHT OF
REDEMPTION REDEMPTION
(Rule 68) (Secs. 29 – 31 of Rule
39)
The right of defendant A right granted to a
mortgagor to debtor mortgagor,
extinguish the his successor in
mortgage and retain interest or any
ownership of the judicial creditor or
property by paying the judgment creditor or
debt within 90 to 120 any person having a
days after the entry of lien on the property
judgment or even after subsequent to the
the foreclosure sale but mortgage or deed of
prior to confirmation. trust under which
the property is sold
to repurchase the
property within one
year even after the
confirmation of the
sale and even after
the registration of
the certificate of
foreclosure sale.
May be exercised even There is no right of
after the foreclosure redemption in a
sale provided it is made judicial foreclosure
before the sale is of mortgage under
confirmed by order of Rule 68. This right of
the court. redemption exists
only in extrajudicial
foreclosures where
there is always a
right of redemption
within one year from
the date of sale
(Sec. 3, Act 3135),
but interpreted by
the Court to mean
one year from the
registration of the
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EQUITY OF RIGHT OF EQUITY OF RIGHT OF
REDEMPTION REDEMPTION REDEMPTION REDEMPTION
(Rule 68) (Secs. 29 – 31 of Rule (Rule 68) (Secs. 29 – 31 of Rule
39) 39)
sale. performance of the the foreclosure
May also exist in favor General rule: In conditions of the sale, and even after
or other judicial foreclosures mortgage but before confirmation of the
encumbrances. If there is only an the sale of the sale.
subsequent lien equity of redemption property to clear it
holders are not which can be from the
impleaded as parties exercised prior to encumbrance of the
in the foreclosure suit, the confirmation of mortgage.
the judgment in favor the foreclosure sale.
of the foreclosing This means that
mortgagee does not after the foreclosure Right of Redemption for Extra-judicial
bind the other lien sale but before its
Foreclosure
holders. In this case, confirmation, the
their equity of mortgagor may
redemption remains exercise his right of  Q. Is there a right of redemption in
unforeclosed. A pay the proceeds of extrajudicial foreclosure?
separate foreclosure the sale and prevent
proceeding has to be the confirmation of A.In extrajudicial foreclosure, there is
brought against them the sale. always a right of redemption within one year
to require them to from the date of sale (Sec. 6, Act No. 3135) but
redeem from the first interpreted by the court to mean one year
mortgagee or from
from registration of the sale (Reyes vs.
the party acquiring
Tolentino, G.R. No. L-29142, November 29, 1971).
the title to the
mortgaged property.
 Q. In case the mortgagee purchased the
If not by banks, the Exception: there is property at the forclosure sale after the
mortgagors merely a right of extrajudicial foreclosure of a real estate
have an equity of redemption if the mortgage, is the mortgagee entitled to a writ
redemption, which is foreclosure is in of possession?
simply their right, as favor of banks as
mortgagor, to mortgagees, A.Where, after extrajudicial foreclosure of a
extinguish the whether the
real estate mortgage, the mortgagee
mortgage and retain foreclosure be
ownership of the judicial or purchased the same at the foreclosure sale,
property by paying extrajudicial. This he shall be entitled to a writ of possession
the secured debt prior right of redemption despite the fact that the premises are in the
to the confirmation of is explicitly provided possession of a lessee whose lease had not
the foreclosure sale. in Sec. 47 of the yet terminated, unless the lease had been
General Banking Law previously registered in the Registry of
of 2000. While the Property or the mortgagee had prior actual
law mentions the knowledge of the existence of the lease.
redemption period to
Under Sec. 7 of Act 3135, as amended, the
be one year counted
from the date of petition for such writ of possession shall be
registration of the made under oath and filed as an ex parte
certificate in the motion in the registration or cadastral
Registry of Property proceedings of the property (Ibasco vs.
Is the right of the Right of the Caguioa, G.R. No. 62619, August 19, 1986).
mortgagor to redeem mortgagor to
the mortgaged redeem the 5.J.7.a. Who may redeem
property after his mortgaged property
default in the after registration of
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(a) The judgment obligor; or his successor in
interest in the whole or any part of the property;
(b) A creditor having a lien by virtue of an
attachment, judgment or mortgage on the
property sold, or on some part thereof,
subsequent to the lien under which the property
was sold. Such redeeming creditor is termed a
redemptioner. (Rule 39, sec. 27)
Note: As a general rule, the mortgagor may
redeem the foreclosed property within one (1)
year from the date of the sale (Act No. 3135, as
amended).
A third party may redeem the mortgaged
property when there is a sale of such by the
mortgagor to a third party during the period for
redemption. Said sale transfers only the right to
redeem the property. (Dizon vs. Gaborro, G.R. No.
L-36821 , June 22, 1978)
If the lien is prior to the judgment, a person is
not considered a redemptioner because the
latter’s interests in his lien are fully protected (see
Rule 39, sec. 12)
5.J.7.b. Amount of Redemption Price
Under Rule 39, sec. 28:
A. Purchase price;
B. 1% interest thereon, up to the time of
redemption;
C. Any amount of assesments or taxes which the
purchaser may have paid thereon after
purchase and interest on such last named
amount at the same rate; and
D. If the urchaser be also a creditor having a
prior lien to that of the redemptioner,other
than the judgment under which such purchase
was made, the amount of such other lien,
with interest.
Note: The redemption priceif the property is
redeemed by a subsequent redemptioners:
a.) Amount paid on the last redemption;
b.) 2% interest thereon;
c.) Any amount of assessments or taxes
which the last redemptioner may have
paid thereon after redemption by him
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with interest on such last-named amount;
and
d.) Amount of any liens held by said last
redemptioner prior to his own, with
interest.
5.J.7.c. Period for redemption
Under Rule 39, Sec. 28, the judgment obligor, or
redemptioner, may redeem the property from the
purchaser, at any time within one (1) year from
the date of the registration of the certificate of
sale.
Note: Provided by Act No. 3135, as amended,
the mortgagor may redeem the foreclosed
property within one (1) year from the date of the
sale.
5.J.7.d. Effect of Pendency of Action For
Annulment of Sale
The periods for redemption are not extendible or
interreputed. However, the parties may agree on
a longer period, but it would be a conventional
redemption. (Lazo v. Republic Surety and Insurance,
Co., Inc., G.R. no. L-27365, January 30, 1970)
Where NO Right of Redemption Exists
The certificate of title in the name of the
mortgagor shall be cancelled, and a new one
issued in the name of the purchaser (Rule 68, Sec.
7).
Where Right of Redemption Exists
The certificate of title in the name of the
mortgagor shall not be cancelled, but the
certificate of sale and the order confirming the
sale shall be registered and a brief memorandum
thereof made by the registrar of deeds upon the
certificate of title (Rule 68, Sec. 7).
If Property is Redeemed
The deed of redemption shall be registered with
the registry of deeds, and a brief memorandum
thereof shall be made by the registrar of deeds
on said certificate of title (Rule 68, Sec. 7).
If Property is NOT Redeemed
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The final deed of sale executed by the sheriff in
favor of the purchaser at the foreclosure sale
shall be registered with the registry of deeds;
whereupon the certificate of title in the name of
the mortgagor shall be cancelled and a new one
issued in the name of the purchaser (Rule 68, Sec.
7).
Deficiency Judgment (Rule 68, Sec. 6)
Deficiency Judgment is rendered by a court
holding defendant liable for any unpaid balance
due to the mortgagee, if the proceeds of the
foreclosure sale does not satisfy the entire debt.
In case of deficiency judgment where the
property was sold less than the amount of the
loan, deficiency may be recovered by filing a
motion pursuant to Rule 39. There is no need for
an independent action to recover said deficiency.
Deficiency JudgementJudgment is a judgment in
itself, thus, APPEALABLE (Riano, Civil Procedure Vol.
II, 2016 ed., P. 322).
Note: Judgment of Foreclosure is an action quasi
in rem, while a Deficiency Judgment is an action
in personam(Riano, Civil Procedure Vol. II, 2016 ed.,
P. 322).
Instances where court cannot render
deficiency judgment (RED-T)
1. Recto Law (see: Art. 1484 of the NCC) –
where the mortgagor is a non-resident,
UNLESS there is attachment
Ratio: Deficiency judgment is an action in
personam and jurisdiction over the person is
mandatory. Since the debtor is outside the
country, jurisdiction over his person cannot
be acquired (Riano, Vol. II, p. 322).
2. When mortgagor Dies - the mortgagee must
file his claim with the probate court (Rule 86,
Sec. 7).
. registration of the certificate of sale with the
3. Mortgagor is a Third person but not solidarily
liable with the debtor.
4.
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5. A mortgagor, who is not a debtor and merely
Executed the mortgage to secure a principal
debtor’s obligation, is not liable for deficiency
UNLESS he assumed liability for the same in
contract (Phil. Trust Company vs. Siua, G.R. no.
No. 29736, February 28, 1929; Riano,Vol. II, p.
322).
THE GENERAL BANKING LAW OF 2000 (R.A.
No. 8791, Sec. 47)
Right of Redemption under R.A. No. 8791
In the event of foreclosure, whether judicially or
extrajudicially, of any mortgage on real estate, the
mortgagor or debtor whose real property has been
sold for the full or partial payment of his obligation
shall have the right within one year after the sale
of the real estate, to redeem the property by
paying the amount due under the mortgage deed,
with interest thereon at the rate specified in the
mortgage, and all the costs and expenses incurred
by the bank or institution from the sale and
custody of said property less the income derived
therefrom.
Effect of Confirmation of Sale
The purchaser at the auction sale concerned,
whether in a judicial or extrajudicial foreclosure,
shall have the right to enter upon and take
possession of such property immediately after
the date of the confirmation of the auction sale
and administer the same in accordance with law.
 Sec. 47, par. 1, of the General Banking Law
of 2000 explicitly provides the right of
redemption under judicial foreclosure of
mortgage.
 The General banking Act of 2000 specifically
Sec. 47, 2nd par.shortens the period of
redemption in extrajudicial foreclosure when the
mortgagor is a juridical person. The period of
redemption is “until but not after” the
Register of Deeds, which in no case shall be
more than three months after foreclosure,
whichever is earlier”. Since the law mandates
that the registration should be effected not
more than 3 months after the foreclosure,
and

the redemption cannot be made after the
lapse of three months from the foreclosure of
the mortgaged property.
5.J.8. Writ of possession
A writ of possession is a writ of execution
employed to enforce a judgment to recover the
possession of land. It commands the sheriff to
enter the land and give its possession to the
person entitled under the judgment(Sps. Reyes vs.
Sps. Chung, G.R. No. 228112, September 13, 2017).  the filing of a civil case for the declaration of
It may be issued under the following instances:
1. 1) in land registration proceedings under
Section 17 of Act 496;
2. 2) in a judicial foreclosure, provided the
debtor is in possession of the mortgaged
realty and no third person, not a party to the
foreclosure suit, had intervened;
3. 3) in an extrajudicial foreclosure of a real
estate mortgage under Section 7 of Act No.
3135, as amended; and
4. 4) in execution sales (last paragraph of
Section 33, Rule 39 of the Rules of Court)
Under Sections 6 and 7 of Act 3135, as amended
by Act 4118, a writ of possession may be issued
in favor of a purchaser in a foreclosure sale of a
real estate mortgage either within the one-year
redemption period, upon the filing of a bond; or
after the lapse of the redemption period, without
need of a bond(Gopiao vs. Metropolitan Bank and
Trust Co., G.R. No. 188931, July 28, 2014).
Note: In an extrajudicial foreclosure of real
property, the purchaser becomes the absolute
owner thereof if no redemption is made within
one year from the registration of the certificate of
sale by those entitled to redeem.
Possession being an essential right of the owner
with which he is able to exercise the other
attendant rights of ownership, after consolidation
of title, the purchaser in a foreclosure sale may
demand possession as a matter of right (Sps.
Reyes vs. Sps. Chung, G.R. No. 228112, September
13, 2017).
5.J.8.a. Ministerial Duty of the Court
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Generally,Section 7 of Act No. 3135, it is a
court’s as amended, imposes upon the RTC a
ministerial duty to issue a writ of possession to
the new owner upon a mere ex
parte motion(Section 7 of Act No. 3135, as
amended)..
It is a well-established rule that the issuance of a
writ of possession to a purchaser in a public
auction is a ministerial function of the court,
which cannot be enjoined or restrained, evenby
nullity of the foreclosure and consequent auction
sale(Gopiao v. Metropolitan Bank and Trust, Co. G.R.
No. 188931, July 28, 2014).
Exceptions:
1. Gross inadequacy of purchase price
2. Third party claiming right adverse to
debtor/mortgagor
3. Failure to pay the surplus proceeds of the sale
to mortgagor (UCPB vs. Nagtalon, G.R. No.
172504, July 31, 2013).
5.J.8.b. Enforcement Against Third Parties
Once title to the property has been consolidated
in the buyer’s name upon failure of the
mortgagor to redeem the property within the
one-year redemption period, the writ of
possession becomes a matter of right belonging
to the buyer.
Its right to possession has then ripened into the
right of a confirmed absolute owner and the
issuance of the writ becomes a ministerial
function that does not admit of the exercise of
the court’s discretion (Gopiao vs. Metropolitan Bank
and Trust Co., G.R. No. 188931, July 28, 2014).
However, it cannot be enforced when a writ of
possession was issued for the ouster of third
parties in possession and/or adversely holding
the subject property.
The ex-parte writ could only be rightfully
recognized against the judgment
debtors/mortgagors but not against third parties
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who assert
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a right adverse to the judgment
debtors/mortgagors(id.).
5.J.8.c. Pendency of Action for Annulment
of Sale
The pendency of that action does not and cannot
bar the issuance of a writ of possession to the
mortgagee who has, in the meantime,
extrajudicially foreclosed the mortgaged property
and acquired it as highest bidder in the
subsequent public auction sale. The law is quite
explicit on this point, and the right of the
mortgagee thereunder unquestionable. And
decisions abound applying the law and declaring
it to be the court's ministerial duty to uphold the
mortgagee's right to possession even during the
redemption period(Sps. Ong v. CA, G.R. No. 121494,
June 8, 2000).
Note: As a rule, any question regarding the
validity of the mortgage or its foreclosure cannot
be a legal ground for refusing the issuance of a
writ of possession. Regardless of whether or not
there is a pending suit for annulment of the
mortgage or the foreclosure itself, the purchaser
is entitled to a writ of possession, without
prejudice of course to the eventual outcome of
said case. Hence, an injunction to prohibit the
issuance of writ of possession is entirely out of
place(Sps. Ong v. CA, G.R. No. 121494, June 8,
2000).
5.J.9. Annulment of Sale
The act of non compliance of procedures
provided under the Rules of Court and RA 3135,
as amended for the foreclosure of the real estate
mortgage is a ground for the annulment of sale.
5.K. PARTITION
It is the process whereby the co-ownership over
real-property is terminated by vesting in each of
the co-owners a specific property or allotment of
the proceeds or value of the property. (Riguera,
Primer-Reviewer on Remedial Law, Vol. I Civil
Procedure, 2015 Ed., p. 692)
Nature of an action for Partition
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An action for partition is once an action for
declaration of co-ownership and for segregation
and conveyance of a determinate portion of the
properties involved. If the defendant asserts
exclusive title over the property, the action for
partition should not be dismissed. But, the court
should resolve the case and if the plaintiff is
unable to sustain his claimed status as a co-
owner, the court should dismiss the action, not
because the wrong remedy was availed of, but
because no basis exists for requiring the
defendant to submit to partition. If, on the other
hand, the court after trial should find the
existence ofco-ownership among the parties, the
court may and should order the partition of the
properties in the same action (Vda. De Daffon v.
CA, et al., G.R. No. 129017, August 20, 2002).
Two modes of Partition:
1. Judicial Partition under Rule 69 - when
parties cannot reach an agreement; or,
2. Extrajudicial partition - by agreement of
the parties.
K.1. Who may file complaint; who should
be made defendants
Person who has a right to compel the partition of
estate; All co-owners must be joined. An action
will not lie without the joinder of all co-ownerrs
and other persons having interest in the property
(Riano, Vol. II, p. 329)
Note: As explained the plaintiff is a person who
is supposed to be a co-owner of the property or
estate sought to be partitioned.
Who should be made defendants?
The defendants are all the co-owners who are
indispensable parties (Sepuveda v. Pelaez, G.R. No.
152195, January 31, 2005).
Effect of Non-inclusion of a co-owner
 Before Judgment – not a ground for motion
to dismiss; remedy is to file a motion to
include the party(Divinagracia vs. Parilla, G.R. No.
196750, March 11, 2015).

and

 After Judgment – judgment is void because
co-owners are indispensable parties(Quilatan
vs. Heirs of Quilatan, G.R. no. 183059, August 28,
2009).
5.K.2. Matters to Alleged in the Complaint
for Partition
1. Nature and extent of the plaintiff’s title
2. Adequate description of real estate of which
partition is demanded
3. Join as defendants all other persons
interested in the property (Secs. 1 and 3, Rule
69)
Note: He must also include a demand for the
accounting of the rents, profits and other income
from the property which he may be entitled to
(Rule 69, Sec. 8).These cannot be demanded in
another action because they are parts of the
cause of action for partition. They will be barred
if not set up in the same action pursuant to the
rule against splitting a single cause of action.
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court after the parties have been accorded
opportunity to be heard thereon, and an
award for the recovery by the party or
parties thereto entitled of their just share in
the rents and profits of the real estate in
question. (Municipality of Binan vs. Garcia, G.R.
No. 69260, December 22, 1989)
5.K.4. Order of partition and partition by
agreement
Issued after the court shall determine:
1. 1. Whether or not the plaintiff is truly a
co-owner of the property;
2.
3. 2. That there is indeed a co-ownership among
the parties;
4.
5. That a partition is not legally proscribed, thus
may be allowed.
3. That a partition is not legally proscribed, thus
may be allowed.

5.K.3. Two Stages in Every Action of A final order decreeing partition in accounting
Partition may be appealed by any party aggrieved thereby
(Riano, Vol II, p. 330).
 First.Determination of whether or not a co-
Partition by Agreement
ownership in fact exists, and a partition is
proper (i.e., not otherwise legally proscribed)
After issuance of Order of Partition and the
and may be made by voluntary agreement of
parties are able to agree, they may make the
all the parties interested in the property. This
partition among themselves by proper
phase may end with a declaration that
instruments of conveyance: (1)confirmed by the
plaintiff is not entitled to have a partition
court; and, (2) recorded in the registry of deeds
either because the co-ownership does not
of the place in which the property is situated
exist, or partition is legally prohibited. It may
(Rule 69, Sec. 2).
end, on the other hand, with an adjudgment
that a co-ownership does in truth exist,
5.K.5. Partition by commissioners;
partition is proper in the premises and an
appointment of commissioners,
accounting of rents and profits received by
commissioner's report; court action upon
the defendant from the real estate in
commissioner's report
question is in order xxx.

Appointment of Commissioners
 Second. Commences when it appears that
"the parties are unable to agree upon the
When parties cannot reach an agreement of
partition" directed by the court. In that
partition:
event, partition shall be done for the parties
by the court with the assistance of not more
The court shall appoint not more than 3
than three (3) commissioners. This second
commissioners of competent and disinterested
stage may well also deal with the rendition of
persons to make or effect the partition. They
the accounting itself and its approval by the
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shall make full and accurate report to the court of
all their proceedings as to the partition for the
parties (Sec. 3, Rule 69).
Duties of the commissioners in action for
partition
a. a. Make a full and accurate report to the court
of all their proceedings as to the partition;
b. b. The assignment of real estate to one of the
parties; or
c. c. Thesale of the same(Rule 69, Sec. 6).
d.
Proceedings before commissioner; no
binding effect
No proceeding had before or conducted by the
commissioners shall pass the title to the property
or bind the parties until the court shall have
accepted the report of the commissioners and
rendered judgment thereon(Rule 69, Sec. 6).
1) Accept the report and render judgment in
accordance therewith; or,
2) Recommit the same to the commissioners
for further report of facts; or
3) Set aside the report and appoint new
commissioners; or
4) Accept the report in Part and reject it in
part; or
5) Make such order and render such judgment
5.K.6. Judgment and Its Effects
The judgment shall have the effect of vesting in
each party to the portion of real estate assigned
ti him (Rule 69, Sec. 11).
If the whole property is assigned to one of the
parties upon his paying to the others the sum/s
ordered by the court, the effect of the judgment
shall be yo vest the whole real estate free from
any interest on the part of the other party to the
action.

If the property is sold and the sale is confirmed

by the court, the effect of the judgment shall be
to vest the real estate in the purchaser/s making
Report of the Commissioner payment free from all the claims of any parties to
the action.
The commissioners shall make a full and accurate
report to the court of all their proceedings as to Judgmen Contents of Effect of
the partition, or the assignment of real estate to t Judgment Judgment
one of the parties, or the sale of the same. The judgment To vest in each
shall state party to the act,
Upon the filing of such report, the clerk of court definitely, by in severalty the
metes and portion of the
shall serve copies thereof on all the interested
If actual bounds and estate assigned
parties with notice that they are allowed ten (10) partition of adequate to him(Rule 69,
days within which to file objections to the property is description, the Sec. 11)..
findings of the report, if they so desire (Rule 69, made. particular portion
Sec. 6). of the estate
assigned to each
party(Rule 69, Sec.
Action of the court upon commissioners’ 11).
report (Rule 69, Sec. 7) If the The judgment To vest in the
whole shall state the party making
property is fact of such the payment
Upon the expiration of the period of ten (10) assigned payment and the the whole of
days to file objections; or,before the expiration of to one of assignment of the the real estate
such period but after all the interested parties the parties real estate to the free from any
have filed their objections to the report or their upon his party making the interest on the
statement of agreement therewith; and, after paying to payment(Rule 69, part of the
hearing, the court may: (ARSPM) the others Sec. 11).. other parties to
the sum or the action(Rule
sums 69, Sec. 11)..
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ordered by 5.K.9. When partition is not allowed?
the court.
The judgment To vest the real When acquisitive prescription sets in.While the
shall state the estate in the action to demand partition of a co-owned
name of the purchaser or
If the property does not prescribe, a co-owner may
purchaser or purchasers
property is
purchasers and a making the
acquire ownership thereof by prescription where
sold and there exists a clear repudiation of the co-
definite payment/s, free
the sale is ownership and the co-owners are apprised of the
description of the from the claims
confirmed
parcels of real of any of the claim of adverse and exclusive ownership.
by the
estate sold to parties to the
court.
each action(Rule 69, Instances when partition may be made but
purchaser(Rule 69, Sec. 11).. not at ANY TIME (2010 Bar)
Sec. 11)..
a. There is an agreement among the co-owners
Note: A case for partition and an action for
to keep the property undividied for a certain
quieting of title have identical causes of action
period of time but not exceeding ten (10)
and can therefore be the subject of res judicata
years;
(Heirs of Gaudine vs. CA, G.R. no. 119879, March 11,
2004).
b.
b. When partition is prohibited by the donor or
Recording of JudgementJudgment testator for a period not exceeding twenty
(20) years (Art. 494 and 1083, NCC);
A certified copy of the judgment shall in either c.
case be recorded in the registry of deeds of the d. When partition is prohibited by law ( Art. 494,
NCC);
place in which the real estate is situated, and the
e.
expenses of such recording shall be taxed as part
f. When property is not subject to physical
of the costs of the action (Sec. 11, Rule 69).
division and to do so would render it
unserviceable for the purpose for which it is
intended (Art. 495, NCC);
g.
h. When the condition imposed upon voluntary
5.K.7. Partition of personal property
heirs before they demand partition has not
yet been fulfilled (Art. 1084, NCC)
The provisions of this Rule shall apply to
partitions of estates composed of personal
5.L. FORCIBLE ENTRY AND UNLAWFUL
property, or of both real and personal property,
DETAINER
in so far as the same may be applicable (Rule 69,
Sec. 13).
5.L.1. . Definitions and Distinctions
5.K.8. Prescription of Action
Three (3) Kinds of Possessory Action on
Prescription of action does not run in favor of a Real Property
co-owner or co-heir against his co-owner or co-
heirs as long as there is a recognition of the co- Accion interdictal which is the summary action
ownership expressly or impliedly (Art. 494, Civil for forcible entry and unlawful detainer. It seeks
Code). the recovery of physical possession only and is
brought within one (1) year in the municipal
 The action for partition cannot be barred by courts.
prescription as long as the co-ownership
exists (Aguirre vs. CA, G.R. No. 122249, January Accion publiciana which is the recovery of the
29, 2004). right to possess and is a plenary action in an
ordinary civil proceeding in the RTC or the MTC in
view of the expanded jurisdiction of the MTC.
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Accion reinvidicatoria which is an action to contract, express or
recover ownership. Normally, it is brought before implied;
the RTC. (Albano, Remedial Law, 2010 Ed., p.755) The law does not Plaintiff must first
require previous make such demand
demand for the which is jurisdictional
Forcible Entry and Unlawful Detainer Action
defendant to vacate; in nature;
under Rule 70 The plaintiff must The plaintiff need not
prove that he was in have been in prior
Nature and Purpose prior physical physical possession;
possession of the
Forcible entry and unlawful detainer actions are premises until he was
summary in nature designed to provide for an deprived by the
expeditious means of protecting actual defendant; and
possession or the right to possession of the The one year period The one-year period is
is generally counted counted from the date
property involved. These actions both fall under
from the date of of last demand.
the coverage of the Rules on Summary Procedure actual entry on the
irrespective of the amount of damages or unpaid property.
rentals sought to be recovered (Rule 70, Sec.3). Defendant’s Defendant’s
Possession was Possession was
Venue acquired by force, acquired by tolerance
intimidation, threat, or contract
Forcible entry and unlawful detainer actions are stealth and strategy
actions affecting possession of real property,
hence, are real actions. The venue of these
actions therefore, is the place where the property AccionInter AccionPublici AccionReinv
subject of the action is situated (Rule 4, Sec. 1). dictal ana indi-catoria
Summary A plenary An action for
Nature of Action: Real and In Personam action for action for the the recovery
recovery of recovery of the of ownership
Forcible entry and unlawful detainer are both real physical real right of which
and in personam actions. It is considered also as possession possession necessarily
in personam because the plaintiff seeks to where dis- when the includes the
enforce a a personal obligation on the defendant possession dispossession recovery of
to vacate the property subject of the action and has not lasted has lasted for possession.
for more than more than one
restore physical possession to plaintiff (Domagas
one year. year.
vs. Jensen, G.R. No. 158407, January 17, 2005; Riano,
Ejectment
Vol. II, p. 347).
proceeding
under Rule
5.L.2.DISTINGUISH: Forcible Entry, 70; either FE
Unlawful Detainer, AccionPubliciana and or UD
AccionReivindicatoria All cases of RTC has RTC has
forcible entry jurisdiction if jurisdiction if
FORCIBLE ENTRY UNLAWFUL DETAINER and unlawful the assessed value of the
The possession of the The possession of the detainer value of the assessed
defendant is unlawful defendant is lawful irrespective or property property
from the beginning; from the beginning the amount of exceeds exceeds
issue is which party becomes illegal by damages or P20,000 P20,000
has prior de facto reason of the unpaid rentals outside Metro outside Metro
possession; expiration or sought to be Mla. P50,000 Mla. P50,00
termination of his recovered within Metro within Metro
right to the should be Mla. MTC has Mla. MTC has
possession of the brought to jurisdiction if jurisdiction if
property under any the MTC. value of the the value of
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The basis for The basis of The basis for
AccionInter AccionPublici AccionReinv
the recovery the recovery of the recovery
dictal ana indi-catoria
of possession possession is of possession
property does property does is the the plaintiff’s is ownership
not exceed the not exceed plaintiff’s right real right of itself.
above amt. above to the possession or
amounts. physical jus
The basis for The basis of The basis possession of possessionis,
the recovery the recovery for the the property which is the
of possession of possession recovery of right to the
is the is the possession possession of
plaintiff’s right plaintiff’s real is ownership the real
to the right of itself. property
physical possession or independent of
possession of jus ownership.
the property possessionis,
which is the  Q: Can the court go beyond the issue of
right to the forcible entry or unlawful detainer action?
possession of
the real
property A: YES. While it is true that the only issue in
independent forcible entry or unlawful detainer action is
of ownership. the physical possession or possession de
AccionInter AccionPublici AccionReinv facto – not possession de jure – yet the court
dictal ana indi-catoria may go beyond that if only to prove the
Summary A plenary An action for nature of possession. The court may receive
action for action for the the recovery evidence upon the question of title solely for
recovery of recovery of the of ownership the purpose of determining the character and
physical real right of which extent of possession and damages for the
possession possession necessarily detention (Consing vs. Jamandre, G.R. No. L-
where dis- when the includes the 27674,May 12, 1975).
possession dispossession recovery of
has not lasted has lasted for possession.
for more than more than one
one year. year.
Ejectment
proceeding
under Rule 5.L.3. Jurisdiction in AccionPubliciana and
70; either FE AccionReivindicatoria
or UD
All cases of RTC has RTC has
forcible entry jurisdiction if jurisdiction if
and unlawful the assessed value of the
detainer value of the assessed
irrespective or property property
the amount of exceeds exceeds
damages or P20,000 P20,000
unpaid rentals outside Metro outside Metro
sought to be Mla. P50,000 Mla. P50,00
recovered within Metro within Metro
should be Mla. MTC has Mla. MTC has
brought to jurisdiction if jurisdiction if
the MTC. value of the the value of
property does property does
not exceed the not exceed
above amt. above
amounts.
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Remedial
AccionInterd AccionPublic AccionReivindic Period to File
ictal iana atoria
Ejectment RTC has RTC has The action may be filed in the proper MTC at any
cases are jurisdiction if jurisdiction if the time withinone (1) year after such unlawful
within the the assessed assessed value of deprivation or withholding of possession (Rule 70,
exclusive and value of the the property Sec. 1).
original property exceeds P20,000
jurisdiction of exceeds outside Metro Against whom is the action made
the MTC, P20,000 Manila; or,
MeTC and outside Metro P50,000 within Against the person or persons unlawfully
MCTC (Sec. Manila; or, Metro Manila. withholding or depriving possession, or any
33[2], BP 129; exceeds person or persons claiming under them, for the
RA 7691) and P50,000 MTC has restitution of such possession, together with
shall be within Metro jurisdiction if
damages and costs (Rule 70, Sec. 1).
governed by Manila. value of the
the rules on property does not
summary MTC has exceed the When the right to commenceaction for
procedure jurisdiction if amount above. unlawful detainer arises (Rule 70, Sec. 2).
irrespective of value of the
the amount of property does General Rule: When the lessee fails to comply
damages or not exceed with the demand after fifteen (15) days in the
rental sought the amount case of land or five (5) days in the case of
to be above. buildings.
recovered
(Rule 70, Sec. Exception: Unless otherwise stipulated.
3).
5.L.5. Pleadings Allowed

The only pleadings allowed to be filed are the

5.L.4. Who May Institute the Action and
When; Against Whom the Action May be
Maintained (Rule 70, Sec. 1)
The action for forcible entry or unlawful detainer
may be filed by:
1. A person (natural or juridical) deprived of the
possession of any land or building by force,
intimidation, threat, strategy, or stealth
(FORCIBLE ENTRY);
2. A lessor, vendor, vendee, or other person
against whom the possession of any land or
building is unlawfully withheld after the
expiration or termination of the right to hold
possession, by virtue of any contract, express
or implied (UNLAWFUL DETAINER); or,
3. The legal representatives or assigns of any
such lessor, vendor, vendee, or other person
(UNLAWFUL DETAINER)
complaint, compulsory counterclaim and cross-
claim pleaded in the answer, and the answers
thereto. All pleadings shall be verified (Rule 70,
Sec. 4).
5.L.6. Action on the Complaint
The court may, from an examination of the
allegations in the complaint and such evidence as
may be attached thereto:
1) Dismiss the case outright on any of the
grounds for the dismissal of a civil action
which are apparent therein; or,
2) If no ground for dismissal is found, it shall
forthwith issue summons (Rule 70, Sec. 5).
5.L.7. When Demand is Necessary
In forcible entry, a demand to vacate is NOT
required before the filing of the action because
the occupancy is illegal from the very beginning.
In unlawful detainer,as a rule, demand to
vacate is necessary.

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Exception: Demand, however, shall NOT be
required in unlawful detainers when:
 There is a stipulation dispensing with a
demand (Art. 1169, Civil Code); or,
 When the ground for the suit is based on the
expiration of the lease.
Ratio: When the lease expires, the cause of
action for unlawful detainer immediately arises.
The lessor can now file an action for ejectment.
As a rule, demand is required only when the
ground for ejectment is failure to pay rent or to
comply with the condition of the lease.
 Q: Is demand to vacate required in case of a
lease on a month-to-month basis?
A: YES. Demand to vacate isrequired when
the lease is on a month-to-month basis to
terminate the lease upon the expiration of
the month in order to prevent the application
of the rule of tacita reconduction or implied
new lease.The acceptance of rentals in
arrears does not constitute WAIVER of
default in payment of rentals (Clutario vs. CA,
G.R. No. 70481, December 11, 1992).
Note:The term VACATE need not be stated if
there are other terms definitively implying that
the tenant should vacate (Golden Gate Realty Corp.
vs. CA, G.R. No. 74289, July 31, 1987) .However, this
will not apply incase the term of the demand is
ambiguous (La Campana vs. CA, GR No. L-88246,
une 4, 1993).
Demand, How Made
1. Upon the lessee, by demanding him to pay
or comply with the conditions of the lease
and to vacate;
2. By serving written notice of such demand
upon the person found on the premises;
3. By posting such notice on the premises if no
person be found thereon (Viray vs. CA, G.R.
No. 12076, February 24, 1998); or,
4. By registered mail (Co Keng Kian vs. CA, G.R.
No. 75676, August 29, 1990).
Purple Notes
Criminal
Remedial
Answer to Complaint
A. Defendant filed an Answer (Sec. 8, Rule 70)
1. Preliminary Conference
Not later than 30 days from the last answer is
filed, a preliminary conference shall be held.
Effect of Failure of the plaintiff to appear
on the preliminary conference
This is a cause for the dismissal of the case. The
defendant who appeared in the absence of the
plaintiff shall be entitled to judgment on his
counterclaim. All cross-claims shall be dismissed
(Rule 70, Sec. 8).
2. Issuance of Pre-trial Order
Within five (5) days after the preliminary
conference has been terminated, the court shall
issue a pre-trial order (Rule 70, Sec. 9)
3. Submission of Affidavits
Within ten (10) days from receipt of the order,
parties shall submit affidavits of their witnesses
and their respective position papers (Rule 70, Sec.
10)
4. Rendition of JudgementJudgment
Within thirty (30) days from receipt of the
affidavits and position papers, or the expiration of
the period for filing the same, the court shall
render judgment.
During said period, there may be a clarificatory
hearing as the court deems necessary. It may
also require the parties to submit affidavits or
other evidence on the matters to be clarified
within ten (10) days from receipt of an order for
such purpose. In this case, judgment shall be
rendered within fifteen (15) days after the receipt
of the last affidavit or the expiration of the period
for filing the same (Rule 70, Sec. 11)
Defendant failed to file an Answer
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If the defendant fails to file an answer after the
lapse of ten (10) days, the court, motu propio or
on motion of the plaintiff, shall render judgment
based on the complaint filed and limited to what
is prayed for therein (Rule 70, Sec. 7).
Judgment
The judgment rendered shall be conclusive only
with rescpect to possession and shalle not bind
the title or affect ownership of the land or
building.(Sec. 18, Rule 70)
5.L.8. Preliminary Injunction and
Preliminary Mandatory Injunction
Preliminary Injunction to prevent further
acts of disposition
The court may grant preliminary injunction in
accordance with Rule 58 of the Rules of Court, to
prevent the defendant from committing further
acts of dispossession against the plaintiff (Rule 70,
Sec. 15).
Preliminary Mandatory Injunction when
case is pending in the MTC
A possessor deprived of his possession through
forcible entry or unlawful detainer may, within
five (5) days from the filing of the complaint,
present a motion for the issuance of a writ of
preliminary mandatory injunction to restore him
in his possession (Rule 70, Sec. 15).
Preliminary Mandatory Injunction when
case is on appeal to the RTC
Upon motion of the plaintiff, within ten (10) days
from the perfection of appeal to the RTC, the
latter may issue a writ of preliminary mandatory
injunction to restore the plaintiff in possession.
Grant of writ of preliminary mandatory injuction
is predicated on court’s finding that:
1) the defendant’s appeal is frivolous or dilatory;
or,
2) the appeal of plaintiff is meritorious ( Rule 70,
Sec. 20)
5.L.9. Resolving Defense of Ownership
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General Rule: Only issues regarding possession
should be resolved in an ejectment case.
Exception: Question of ownership is necessary
for a proper and complete adjudication of the
issue of possession (Refugia vs. CA, G.R. No.
118284, July 5, 1996)(Sec. 3, R.A. No. 7691).
Binding Effect of Judgment in an Ejectment
Case
General Rule: Third persons are bound by a
judgment in an ejectment case, provided his
possession can be traced from the title of the
defendant, e.g. sublessee.
Exceptions:
 The property was acquired before the action;
or,
 The property is covered by a Torrens Title and
the certificate does not state that the property
is subject to a pending action and he bought
the same in good faith.
 Q: Does the assertion of ownership of
disputed property divest the inferior court of
its jurisdiction?
A: NO. The assertion by the defendant of
ownership over the disputed property does
not serve to divest the inferior court of its
jurisdiction. The defendant cannot deprive
the court of jurisdiction by merely claiming
ownership of the property involved (Rural
Bank of Sta. Ignacia vs. Dimatulac, , G.R. No.
142015, April 29, 2003; Perez vs. Cruz,G.R. No.
142503, June 20, 2003).
5.L.10. How to stay the immediate
execution of judgment
Immediate Execution of Judgment (MTC)
General Rule: A judgment rendered by MTC
against the defendant is immediately
executory(Rule 70, Section 21).
Exceptions:
a) Where delay in the deposit is due to fraud,
accident, mistake, or excusable negligence;
and

b) Where supervening events occur subsequent
to the judgment bringing about a material
change in the situation of the parties which
makes execution inequitable; and,
c) Where there is no compelling urgency for the
execution because it is not justified by the
circumstances(Puncia vs. Gerona, G.R. No.
107640, January 29, 1996).
The defendant must take the following
steps to stay the execution:
1. Perfect an appeal;
2. File a supersedeas bond to pay for the rents,
damages and costs accruing down to the
time of the judgment appealed from; and,
3. Deposit periodically with the RTC, during the
pendency of the appeal, the adjudged
amount of rent due under the contract or if
there be no contract, the reasonable value of
the use and occupation of the premises (Rule
70, Sec. 19).
Note: All the above items must concur.
Immediate execution of Judgment (RTC)
The judgment rendered by RTC on appeal,
against the defendant, is immediately executory,
without prejudice to a further appeal that may be
taken therefrom (Rule 70, Sec. 2).
 Q. Is the stay of execution under Rule 70,
Sec. 19 applicable to judgment rendered by
MTC? By RTC?
A.From the foregoing, it is clear that it is only
execution of the Metropolitan or Municipal
Trial Courts’ judgment pending appeal with
the Regional Trial Court which may be stayed
by a compliance with the requisites provided
in Rule 70, Section 19 of the 1997 Rules on
Civil Procedure. On the other hand, once the
Regional Trial Court has rendered a decision
in its appellate jurisdiction, such decision
shall, under Rule 70, Section 21 of the 1997
Rules on Civil Procedure, be immediately
executory, without prejudice to an
appeal, via a Petition for Review, before the
Court of Appeals and/or Supreme Court (Uy
et al., vs. Santiago et.al., G.R. No. 131237, July
31, 2000).
Purple Notes
Criminal
Remedial
When to appeal
The mode of appeal is the same as in ordinary
civil action under Rule 40 of the Rules of Court
where a notice of appeal is filed with and docket
fee paid in court of origin, MTC (Riano, Vol. II, p.
364).
5.L.11. Prohibited pleadings and motion
under Rule 70(DBN-REM-PD2IRT)
1. Motion to Dismiss the complaint except on
the ground of lack of jurlsdiction over the
subject matter, or failure to comply with a
referral to the LuponTagapamayapa in cases
covered by the LGC;
2. Motion for a Bill of particulars;
3. Motion for New trial, or for reconsideration of
a judgment, or foli reopening of trial;
4. Petition for Relief from judgment;
5. Motion for Extension of time to file
pleadings, affidavits or any other paper;
6. Memoranda;
7. Petition for. certiorari, mandamus, or
prohibition against any interlocutory order
issued by the court;
8. Motion to declare the defendant in Default;
9. Dilatory motions for postponement;
10. Reply;
11. Third-party complaints; and
12. Interventions
5.M. CONTEMPT
Contemptis the disobedience to the court by
acting in opposition to its authority, justice, and
dignity (Regalado vs. Go, GR No. 167988, February 6,
2007).
Purpose and nature of power
 Q. What is the purpose and nature of
Contempt?
A.The power to punish for contempt is
inherent in all courts; its existence is
essential to the preservation of order in
judicial proceedings and to the enforcement
of judgments, orders, and mandates of the
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courts,
Remedial
and consequently, to the due unlawfully assailing or discrediting the
administration of justice. authority and dignity of the court or judge, or
in doing a duly forbidden act(Burgos vs.
The exercise of the power to punish for Macapagal-Arroyo, G.R. No. 183711, July 5,
contempt has dual aspect, primarily, the 2011).
proper punishment of guilty party for his
disrespect to the courts; and secondarily, his 5.M.2. Purpose and Nature of Each
compulsory performance of some act or duty
required of him by the court and which he According to Nature (Riano, Civil Procedure Vol.
refuses to perform. II, 2016 ed., P.383)

Contempt of court has been distinctly CRIMINAL CIVIL

described as an offense against the State and Directed against the An offense against the
authority and dignity party in whose behalf
not against the judge personally. To
of the court or a judge the violated order was
reiterate, a judge must always remember acting judicially made
that the power of the court to punish for Purpose is to punish Purpose is to
contempt should be exercised for purposes compensate
that are not personal, because that power is Criminal prosecution Remedial and civil in
intended as a safeguard, not for judges as rules is strictly applied nature
persons, but for the functions they exercise
(Rodriguez vs. Bonifacio, A.M. No. RTJ-99-1510, It was ruled that all contempt proceedings
November 6, 2000). partake of criminal nature. As such, rule on
double jeopardy applies (Yasay, Jr. vs. Recto, G.R.
5.M.1. Kinds of Contempt No. 129521, September 7, 1999).

As to MANNER OF COMMISSION: Note: NO contemptlies in judgments for money

(Sec. 9)and judgments for specific act (Sec.
1. Direct contempt in general is committed in 10)under Rule 39.
the presence of or so near the court or judge
as to obstruct or interrupt the proceedings, As to Manner of Commission:
before the same(Siy vs. NLRC, G.R. NO.
158971 : August 25, 2005). DIRECT INDIRECT
Done in the presence of Committed not in the
2. Indirect contempt is one committed out of or so near the court or presence of the court or
the presence of the court. It is an act done at judge done at a distance which
a distance which tends to belittle, degrade, tends to belittle ,
obstruct or embarrass the court and justice. degrade, obstruct or
embarrass the court or
Intent is necessary (Delima vs. Gallardo, G.R.
justice (Siy v. NLRC, G.R.
Nos. L-41281-82. May 31, 1977). No. 158971, August
25,2005)
Summary in nature Punished only after
As to NATURE: written charge and/or
due hearing.
1. Civil Contempt consists in failing to do If committed against: If committed against:
RTC or court of RTC or court of
something ordered to be done by a court or a
equivalent or higher equivalent or higher rank
judge in a civil case for the benefit of the rank – fine not – fine not exceeding
opposing party therein(Burgos vs. Macapagal- exceeding P2,000 or P30,000 or imprisonment
Arroyo, G.R. No. 183711, July 5, 2011). imprisonment not not exceeding 6 months
exceeding (10) days or or both
2. Criminal Contempt is a conduct that is both. MTC – fine not exceeding
directed against the authority and dignity of a MTC – fine not P5,000 or imprisonment
court or of a judge acting judicially, as in exceeding P200 or not exceeding (1) month
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 Purple Notes
Criminal
Remedial
imprisonment not or both. petition, provided such filed by the person
exceeding (1) day, or person files a bond and adjudged in contempt.
both. conditioned that he will
Remedy: Remedy: abide by and perform
(1) Certiorari or (1) The person adjudged the judgment should
prohibition directed for indirect contempt the petition be decided
against the court which may appeal such against him (Sec. 2,
adjudged him in direct judgment or final order Rule 71)
contempt to the proper court as in
(2) The execution of criminal cases.
the judgment shall be (2) The execution of the Note: The distinction is only for the purpose of
suspended pending judgment shall NOT be
imposable penalty.
resolution of the suspended until a bond is
petition, provided such filed by the person
person files a bond and adjudged in contempt. The judgment against a person adjudged to be in
conditioned that he will contempt is immediately executory and can be
abide by and perform stopped only by filing a bond.
the judgment should
the petition be decided Acts deemed punishable as direct contempt
against him (Sec. 2, Rule
71)
1. Misbehavior in the presence of or so near a
DIRECT INDIRECT
court as to obstruct or interrupt the
Done in the presence of Committed not in the proceedings;
or so near the court or presence of the court or
2. Disrespect towards the court;
judge. done at a distance which
tends to belittle ,
3. Offensive personalities towards others; and,
degrade, obstruct or 4. Refusal to be sworn or to answer as witness
embarrass the court or or to subscribe an affidavit or deposition
justice (Siy v. NLRC, G.R. when lawfully required doing so (Rule 71, Sec.
No. 158971, August 1)
25,2005)
Summary in nature. Punished only after  Pleadings containing derogatory, offensive or
written charge and/or malicious statements when submitted before
due hearing. a court or judge in which the proceedings are
If committed against: If committed against: pending is direct contempt (Dantes vs.
RTC or court of RTC or court of Caguioa, A.M. NO. RTJ-05-1919, June 27, 2005).
equivalent or higher equivalent or higher rank
rank – fine not – fine not exceeding
exceeding P2,000 or P30,000 or imprisonment 5.M.3. Remedy Against Direct Contempt;
imprisonment not not exceeding 6 months Penalty
exceeding (10) days or or both
both. MTC – fine not exceeding The remedy is not an appeal but a petition for
MTC – fine not P5,000 or imprisonment certiorari or prohibition directed against the court
exceeding P200 or not exceeding (1) month which adjudged a person in direct contempt.
imprisonment not or both. Pending the resolution of such petition, the
exceeding (1) day, or
execution of the judgment for direct contempt
both.
may be performance of the judgment should the
Remedy: Remedy:
(1) Certiorari or (1) The person adjudged petition be denied.
prohibition directed for indirect contempt
against the court which may appeal such Penalty for Direct Contempt
adjudged him in direct judgment or final order
contempt to the proper court as in h. a) Where act was committed against the RTC
(2) The execution of criminal cases. or an equivalent, or higher rank- Fine not
the judgment shall be (2) The execution of the exceeding two thousand pesos (P2,000.00) or
suspended pending judgment shall NOT be imprisonment not exceeding ten (10) days, or
resolution of the suspended until a bond is
both.
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b) Where the act was committed against a lower
court, the penalty is a fine not exceeding two
hundred pesos (P200.00) or imprisonment not
exceeding one (1) day, or both.
5.M.4. Remedy Against Indirect Contempt;
Penalty
Appeal from the judgment or final order in the
same manner as in criminal cases.
Penalty for Indirect Contempt
a) Where act was committed against the RTC or
an equivalent, or higher rank- Fine not
exceeding Thirty Thousand Pesos
(P30,000.00) or imprisonment not exceeding
six (6) months, or both.
b) Where the act was committed against the
lower court- Fine not exceeding five thousand
pesos (P5,000.00) or imprisonment not
exceeding one (1) month, or both .
c) Where contempt in violation of writ of
injunction, TRO, or status quo order-
Complete restitution tp party injured, as
alleged and proved.
d) Where contempt against person or entity
exercising quasi-judicial functions- Penalty will
depend on the provisions of the law
authorizing penalty of contempt for such
entities.
Appeal from Contempt
The judgment or final order of a court in a case
of indirect contempt may be appealed to the
proper court as in criminal cases. But execution
of the judgment or final order shall not be
suspended until a bond is filed by the person
adjudged in contempt, in an amount fixed by the
court from which the appeal is taken, conditioned
that if the appeal be decided against him he will
abide by and perform the judgment or final order
(Rule 71, Sec. 11).
5.M.5. How Contempt Proceedings are
Commenced
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Direct Contempt
No formal proceeding is required to cite a person
in direct contempt. The court may summarily
adjudge one in direct contempt (Encianas vs.
National Bookstore, Inc. G.R. No. 162704, July 28,
2005).
Indirect Contempt
Indirect contempt is to be punished only after a
charge in writing and a hearing (Rule 71, Sec. 3).
However, the requirement of a written charge
and a hearing shall not prevent the Court from
issuing process to bring the respondent into court
or from holding him in custody pending the
proceedings(Rule 71, Sec. 3).
Jurisdiction and Venue for Indirect
contempt(Rule 71, Sec. 5)
The determination where charge for indirect
contempt is to be filed depends upon the LEVEL
of court against which contemptuous act was
committed.
a. When the act is committed against RTC or of
equivalent or higher rank, or officer
appointed by it - File with the said court
b.
c. When the act is commited against a lower
court - File with the RTC of place where
lower court is sitting or to the same lower
court subject to appeal to RTC.
Procedural requisites before the accused
may be punished for indirect contempt:
1. A charge in writing to be field;
2. An opportunity for the person charged to
appear and explain his conduct;
3. To be heard by himself or counsel(Regalado vs.
Go, G.R. No. 167988, February 6, 2007).
Two ways by which a person can be
charged of indirect contempt:
1. Through verified petition; or,
2. By order or formal charge initiated by the
court motu proprio (Rule 71, Sec. 4).
and

If the charge is initiated motu proprio
It is commenced by an order of the same court
or any formal charge requiring the respondent to
show cause why he should not be punished for
contempt (Riano, Civil Procedure Vol. II, 2016 Ed., p.
376).
If initiated by someone other than the
court
The charge is commenced by verified petition.
The petition shall be accompanied by supporting
particulars and certified true copies of documents
or papers involved therein. It shall likewise
comply with the requirements for the filing of
initiatory pleadings for civil actions in the court
concerned (Rule 71, Sec. 4).
Since it is considered an initiatory pleading and
must comply with the requirements for the filing
of initiatory pleadings, the petition must contain a
certification against forum shopping described
under Sec. 5 of Rule 7 (Rule 71, Sec. 4).
NOTE: Procedural requirements are
MANDATORY as contempt proceedings are
treated as criminal in nature (OCA vs. Lerma, A.M.
No. RTJ-07-2076, October 12, 2010, 717-718; Riano,
Vol. II, p. 377).
If the contempt charges arose out of or are
related to a principal action pending in the
court
General Rule: The petition for contempt shall
allege such fact but the petition shall be
docketed, heard and decided separately from the
principal action.
Exception: The court, however, in the exercise
of its discretion, may order the consolidation of
the contempt charge and the principal action for
joint hearing and decision (Rule 71, Sec. 4).
5.M.6. Acts Deemed Punishable as Indirect
Contempt
Purple Notes
Criminal
Remedial
1) Misbehavior of an officer of a court in the
performance of his official duties or in his
official transactions;
2) Disobedience of or resistance to a lawful writ,
process, order, or judgment of a court;
3) Unauthorized intrusion to any real property
after being dispossessed or ejected by
judgment;
4) Any abuse of or any unlawful interference
with the proceedings of a court not
constituting direct contempt;
5) Any improper conduct tending to degrade the
administration of justice;
6) Assuming to be an attorney or an officer of
the court without authority;
7) Failure to obey a subpoena duly served; and
8) Rescue, or attempted rescue, of a person or
property in the custody of an officer. (Rule 71,
Sec. 3)
5.M.7. When Imprisonment Shall be
Imposed
When the contempt consists in the refusal or
omission to do an act which is yet in the power of
the respondent to perform, he may be
imprisoned by order of the court until he
performs it (Rule 71, Sec. 8).
The punishment is imposed for the benefit of a
complainant or a party to a suit who has been
injured. This is aside from the need to compel
performance of the orders or decrees of the
court, which the contemnor refuses to obey
although able to do so (Riano, Civil Procedure Vol II,
2016 ed. p. 381).
It is only the judge who orders the confinement
of a person for contempt of court who could
issue the Oder of Release (Inoturan vs. Limsiaco Jr.,
A.M. No. MTJ-01-1362, May 06, 2005).
5.M.8. Contempt Against Quasi Judicial
Entities
The rules on contempt under Rule 71 apply to
contempt committed against persons, entities,
bodies or agencies exercising quasi judicial
functions. In case there are rules for contempt
adopted by such bodies or entities pursuant to
law, Rule 71 shall also apply suppletorily (Rule 71,
Sec. 12)
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Remedial
Jurisdiction and Venue For Indirect
Contempt against Quasi Judicial Bodies
The Regional Trial Court of the place wherein the
contempt has been committed shall have
jurisdiction over the charges for indirect
contempt that may be filed (Rule 71, Sec. 12).
Quasi judicial bodies that have the power to cite
the persons for indirect contempt pursuant to
Rule 71 of the Rules of Court can only do so by
initiating them in the proper Regional Trial Court.
It is not within their jurisdiction and competence
to decide the indirect contempt cases. These
matters are still within the province of Regional
Trial Courts.

Summary: Jurisdiction and Venue of Special Civil Actions

SPECIAL CIVIL
JURISDICTION VENUE
ACTION
MTC – where the value of the claim or Where the plaintiff or any of the
the personal property does not exceed principal plaintiff resides or where the
P200,000 or P400,000 in Metro Manila defendant or any of the principal
or where the value of the real property defendants resides at the option of the
does not exceed P20,000 or P50,000 in plaintiff
Metro Manila.
Interpleader
Note: The venue of special civil actions
RTC – if the value exceeds the above is governed by the general rules on
amounts or if the subject matter is venue, except as otherwise indicated
exclusively within the jurisdiction of the in the particular rule for said special
RTC (e.g. specific performance, recovery civil action.
of title)
General Rule: Where the petitioner or the respondent
RTC (Declaratory Relief, Reformation of resides
instrument and Consolidation of
Ownership)

Exception: An action for QUIETING

TITLE (Jurisdiction depends on assessed
Declaratory value of property)
Relief and
Similar MTC – where the value of the claim or
Remedies the personal property does not exceed
P200,000 or P400,000 in Metro Manila
or where the value of the real property
does not exceed P20,000 or P50,000 in
Metro Manila.

RTC – if the value exceeds the above

amounts
RTC, CA, SC, Sandiganbayan whether or RTC of the place where the respondent
not in aid of its appellate jurisdiction court, corporation, officer or person is
situated;
Certiorari,
Prohibition,
If petition is filed in the CA, SC or
Mandamus
Sandiganbayan, in which case the
location of the respondent is
immaterial (Sec. 4, Rule 65)
Quo Warranto RTC, CA, SC If filed with the SC, or CA, the location
of respondent is immaterial or;
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Remedial
SPECIAL CIVIL
JURISDICTION VENUE
ACTION

RTC of place where the respondent

resides or where any of the
respondents resides;

However, if the Solicitor General

commences the action, it may be
brought in the RTC in Manila
RTC (Incapable of pecuniary Where the property is located in case
estimation) (Barangay San Roque vs. the subject is a land.
Heirs of Pastor, GR No. 138896, June
Expropriation 20, 2000) In cases where the subject of
expropriation is personal property,
venue is the place where the plaintiff
or defendant resides
MTC – where the value of the claim or Where the land or any part thereof is
the personal property does not exceed located
P200,000 or P400,000 in Metro Manila
or where the value of the real property
Foreclosure does not exceed P20,000 or P50,000 in
Metro Manila.

RTC – if the value exceeds the above

amounts
RTC (Incapable of pecuniary estimation) Where the real property or a portion thereof
is located
Partition
If the subject matter is personal property
(Sec. 13 Rule 69), in the place where the
plaintiff or the defendant resides
Forcible Entry / MTC Where the property is located
Unlawful
Detainer
MTC, RTC, CA, SC Where the contemptuous act was
committed.
Depends on where the contemptuous act was
made:
 Against RTC or of court wth
equivalent rank or higher rank or
against officer appointed by said
Indirect
court—Filed on said Court
Contempt
 Against lower court (MTC)—Filed
either
1) MTC, appealable to RTC or
2) RTC

If contemptuous act was against QUASI-

JUDICIAL BODIES: RTC

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6. SPECIAL PROCEEDINGS
DEFINITION [Rule 1, Sec. 3(c)]
A special proceeding is a remedy by which
a party seeks to establish a status, a right,
or a particular fact.
SUBJECT MATTER (Rule 72, Sec. 1)
1. Settlement of estate of deceased persons;
2. Escheat;
3. Guardianship and custody of children;
4. Trustees;
5. Adoption;
6. Rescission and revocation of adoption;
7. Hospitalization of insane persons;
8. Habeas corpus;
9. Change of name;
10. Voluntary dissolution of corporation
11. Judicial approval of voluntary recognition
of minor natural children;
12. Constitution of family home;
13. Declaration of absence and death; and,
14. Cancellation or correction of entries in the
civil registry.
15.
a. If only one heir: Affidavit of Self-
adjudication
b. If two or more heirs: Deed of
Extrajudicial Settlement or Partition (Rule
1, Sec.1)
Judicial
a. Partition (Rule 69)
b. Summary Settlement of Estate of Small
Value (Rule 74, Sec. 2)
c. Petition for Letters of Administration
(Rule 79)
d. Probate of a Will (Rules 75-79)
(i) Petition for Letters Testamentary; or
(ii) (ii) Petition for Letters of
Administration with the will annexed
(if no executor named in the will)
6.A.1. Which court has jurisdiction(B.P. Blg.
129, as amended by Sec. 3, R.A. No. 7691)
VENUE AND PROCESS
Which court has jurisdiction (B.P. Blg. 129, as
amended by Sec. 3, R.A. No. 7691)
The Court which has jurisdiction may either
be the Municipal Trial Court or the Regional
Trial Court (Effective April 15, 2004 by virtue of Sec.
5, R.A. 7691):

MTC RTC
Note: The list is not exclusive. As long as Value of the personal Gross value of the
the remedy seeks the establishment of a property, estate, or estate
amount of the
right, status, or a particular fact, then such
demand
may be called a special proceeding,
irrespective of whether it is included in the does NOT exceed
foregoing enumeration. Php. 300,000.00 exceeds
outside Metro Php. 300,000.00
Applicability of rules of civil actions. Manila; or, outside Metro Manila;
or,
- In the absence of special provisions, the does NOT exceed
rules provided for in ordinary actions shall Php. 400,000.00 exceeds
within Metro Manila Php. 400,000.00
be, as far as practicable, applicable in
within Metro Manila
special proceedings(Sec. 2, Rule 72).
The values indicated in MTC’s jurisdiction are
6.A. SETTLEMENT OF ESTATE OF DECEASED
exclusive of:
PERSONS
a) interest
Extrajudicial
b) damages of whatever kind
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 Purple Notes
c) attorney's fees
d) litigation expenses
e) costs
Note: The amount of the above items must be
specifically alleged. They shall also be included in
the determination of the filing fees(Sec. 33(1),
B.P. Blg. 129, as amended by Sec. 3, R.A. No. 7691).
Where there are several claims or causes of
actions between the same or different parties,
embodied in the same complaint, the amount of
the demand shall be the totality of the claims in
all the causes of action, irrespective of whether
the causes of action arose out of the same or
different transactions (Sec. 33(1), B.P. Blg. 129, as
amended by Sec. 3, R.A. No. 7691).
The determination of which court exercises
jurisdiction over matters of probate depends
upon the GROSS VALUE of the estate of the
decedent. Rule 73, Section 1 is deemed amended
by BP 129, as amended by R.A. 7691 (Lim vs. CA,
G.R. No. 124715, January 24, 2000).
Exclusionary Rule/Principle of Preferential
Jurisdiction (Rule 73, Sec. 1)
The court first taking cognizance of the
settlement of estate of a decedent shall exercise
jurisdiction to the exclusion of all other courts.
Preference, however, is given in favor of the
court where the estate proceedings, as compared
to intestate proceedings, are held.
6.A.2. Venue in Judicial Settlement of
Estate(Rule 73, Sec. 1)
Decedent is a In the proper Court in
resident of PH at the the province in which
time of his death he resides at the time
of his death.
Decedent is a non- In the proper Court of
resident of PH at the any province in which
time of his death he had estate.
Citizenship of the decedent is immaterial in
determining the venue where the estate of
decedent is settled.
"Residence" in the context of venue provisions,
means nothing more than a person’s actual
residence or place of abode, provided he resides
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therein with continuity and consistency (Garcia-
Quiazon vs. Belen, G.R. No. 189121, July 31, 2013).
The term residence should be viewed in its
popular sense. In this popular sense, the term
means merely residence, that is, personal
residence, not legal residence or domicile.
Residence simply requires bodily presence as an
inhabitant in a given place, while domicile
requires bodily presence in that place and also an
intention to make it one’s domicile. No particular
length of time of residence is required though.
However, the residence must be more than
temporary (San Luis vs. San Luis, G.R. No. 133743,
February 6, 2007).
The question of residence is determinative only
of the venue and does not affect the jurisdiction
of the court. Hence, the institution of the
proceeding in the province wherein the decedent
neither had residence nor estate does not vitiate
the action of the probate court(Cuenco vs. CA, G.R.
No. L-24742, October 26, 1979).
6.A.3. Extent of jurisdiction of probate
court
The main function of a probate court is to settle
and liquidate the estates of deceased persons
either summarily or through the process of
administration (Uy vs. CA, G.R. No. 167979, March
15, 2006).
Limited and Special Jurisdiction
The Court, in citing the case of Coca vs.
Borromeo held that the question of whether a
particular matter should be resolved by the CFI in
the exercise of its general jurisdiction or of its
limited probate jurisdiction is in reality not a
jurisdictional question. In essence, it is a
procedural question involving a mode of practice
"which may be waived." (Romero vs. CA, G.R. No.
188921, April 18, 2012).
General Rule: Questions of title may be passed
on provisionally, but the final determination of
the ownership of the property must be threshed
out in a separate civil action and not in the
probate court (Aranas vs. Mercado, G.R. No. 156407,
January 12, 2014).
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The general rule is that the jurisdiction of the trial
court, either as a probate or an intestate court,
relates only to matters having to do with the
probate of the will and/or settlement of the
estate of deceased persons, but does not extend
to the determination of questions of ownership
that arise during the proceedings. The patent
rationale for this rule is that such court merely
exercises special and limited jurisdiction (Agtarap
vs. Agtarap, G.R. No. 177099, June 8, 2011).
Exceptions:
1. In an intestate or a testate proceeding, the
probate court may provisionally pass upon
the question of inclusion in, or exclusion
from, the inventory of a piece of property
without prejudice to the final determination
of ownership in a separate action (Agtarap vs.
Agtarap, G.R. No. 177099, June 8, 2011).
2. If the interested parties are all heirs to the
estate, or the question is one of collation or
advancement, or the parties consent to the
assumption of jurisdiction by the probate
court and the rights of third parties are not
impaired, then the probate court is
competent to resolve issues on ownership.
Verily, its jurisdiction extends to matters
incidental or collateral to the settlement and
distribution of the estate, such as the
determination of the status of each heir and
whether the property in the inventory is
conjugal or exclusive property of the
deceased spouse (Agtarap vs. Agtarap, G.R. No.
177099, June 8, 2011).
Exclusive
Once a special proceeding for the settlement of
the estate of a decedent is filed in one of such
courts, that court has exclusive jurisdiction over
said estate and no other special proceedings
involving the same subject matter may be filed
before any other court (Romero vs. CA, G.R. No.
188921, April 18, 2012).
6.A.4. Powers and Duties of Probate Court:
1. Order the probate of the will of the decedent
(Rule 77, Sec. 3);
2. Determine heirs (Solivio vs. CA,G.R. No. 83484,
February 12, 1990);
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3. Distribute estate;
4. Grant letters of administration of the party
best entitled thereto to any qualified
applicant (Rule 79, Sec. 5);
5. Supervise and controls all acts of
administration;
6. Hear and approve claims against the estate
of the deceased (Rule 86, Sec. 11);
7. Order payment of lawful debts (Rule 77, Sec.
3);
8. Authorize sale, mortgage or any
encumbrance of real estate (Rule 89, Sec. 2);
9. Directs the delivery of the estate to those
entitled thereto (Rule 90, Sec. 1);
10. Issue warrants and processes necessary to
compel the attendance of witnesses or to
carry into effect their orders and judgments,
and other powers granted them by law (Rule
73, Sec. 3);
11. Issue a warrant for the apprehension and
imprisonment of a person who defies a
probate order, until he performs such order
or judgment, or is released (Rule 73, Sec. 3);
12. Act as a trustee and guard the estate, and
see to it that it is wisely and economically
administered, not dissipated (Timbol vs.
Cano,G.R. No. L-15445, April 29, 1961)
6.B. .2. SUMMARY SETTLEMENT OF
ESTATES
Kinds of Summary Settlement of Estates
a) Extrajudicial Settlement - Parties may,
without securing letters of administration
from the court, divide the estate among
themselves as they see fit(Rule 74, Sec. 1).
b) Judicial Settlement
6.B.1a) 6.B.2a. Extrajudicial Settlement
(ES)
Modes:
(Rule 74, Sec. 1)
a) a)If sole heir: Affidavit of Self-adjudication
(of the whole estate)
b) b) If more than one heir: Deed of
Extrajudicial Settlement or Partition
How executed:
and
 Purple Notes
a) By means of a public instrument – If there
are two or more heirs.
b) By means of an affidavit – If there is only
one heir
c) By a stipulation in an ordinary action for
partition – If there are disagreements
between heirs.
The form of the extrajudicial settlement depends
on the number of heirs (Vda. de Dela Rosa vs. Heirs
of Vda. de Damian, G.R. No. 155733, January 27,
2006).
Requisites (Rule 74, Sec. 1)
1. Decedent left no will;
2. Left no outstanding debts at the time of the
settlement;
3. Heirs are all of legal age or the minors are
represented by their judicial guardians or
legal representatives duly authorized for the
purpose;
4. The settlement, whether by public
instrument, or by stipulation in a pending
action for partition or affidavit, is duly filed
with the Register of Deeds;
5. Publication in newspaper of general
circulation in the province once a week for
three (3) consecutive weeks;
6. Filing of bond equivalent to value of personal
property posted with the Register of Deeds.
Note: A bond is required only when personal
property is involved (Rule 74, Sec. 3). Real estate
is subject to lien in favor of creditors, heirs or
other persons for two (2) years from distribution
of estate, notwithstanding any transfer of real
estate that may have been made (Rule 74, Sec. 4).
Rule 74, Section 1 is an exception to the general
rule that when a person dies leaving a property,
it should be judicially administered and the
competent court should appoint a qualified
administrator, in the order established in Sec. 6,
Rule 78 in case the deceased left no will, or in
case he did, if he failed to name an executor
therein (Portugal vs. Portugal-Beltran, G.R. No.
155555, Aug. 16, 2005).
The Rules provide that only in cases where the
decedent left no will that his estate may be
extrajudicially settled. Thus, it is incorrect to say
that the estate of a decedent who died intestate
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may be extrajudicially settled, since intestacy
may arise even if there is a will.
6.B.2 Two-year prescriptive period
Heirs or persons deprived of lawful participation
in the estate may compel settlement of estate
within 2 years from settlement and distribution.
A lien shall be constituted on the real property of
the estate and together with the bond, it shall be
liable to creditors, heirs or other persons for a full
period of 2 years after such distribution. Such lien
will not be cancelled before the lapse of two
years even if a distributee offers to post bond to
answer for contingent claims (Rebong v. Ibanez,
G.R. No. L-1578, September 30, 1947).
Effect of lack of registration when there are
no creditors
Lack of registration of extrajudicial settlement
does not affect its validity when there are no
creditors or when the rights of creditors are not
involved (Vda. De Reyes vs. CA, G.R. 92436, July 26,
1991).
Rationale: The object of registration is to serve
as constructive notice, and this means notice to
others. It must follow that the instrinsic validity of
partition not executed with the prescribed
formalities does not come into play when there
are no creditors or the rights of creditors are not
affected (Hernandez vs. Andal, G.R. No. L-273, March
29, 1947).
Oral partition allowed
There is nothing in Section 1, Rule 74 from which
it can be inferred that a written instrument or
other formality is an essential requisite to the
validity of the partition. Accordingly, on oral
partition is valid (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, p.33, 2015
ed.).
Decedent left no debts, when presumed
It is presumed that the decedent left no debts if
no creditor filed a petition for letters of
administration within two (2) years after the
death of the decedent (Rule 74, Sec.1).
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6.B.3 Affidavit of Self-adjudication by Sole 2. Notice which shall be published once a week
Heir for three (3) consecutive weeks in a
(Rule 74, Sec.1) newspaper of general circulation in the
The provision is clear that an affidavit of self- province and such other notice to interested
adjudication is allowed only where the decedent persons as the court may direct;
left a sole heir (Vda. de Dela Rosa vs. Heirs of Vda. 3. Hearing which shall be held not less than one
de Damian, G.R. No. 155733, Jan. 27, 2006). (1) month nor more than three (3) months
from the date of the last publication of the
6.B.2b. Judicial Settlement notice;
4. The complaint must allege that the gross
Types of Judicial Settlement value of the estate of the deceased does not
exceed Php. 10,000.00; and,
1. Summary settlement of estates of small value 5. A bond duly filed in an amount fixed by the
2. By petition court.(De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, p.35-
Summary settlement of estates of small 36, 2015 ed.).
value is a judicial proceeding wherein, without
the appointment of executor or administrator,
and without delay, the competent court
summarily proceeds to value the estate of the Distinction between extrajudicial
decedent; ascertain his debts and order payment settlement (ES) and summary settlement of
thereof; allow his will if any; declare his heirs, estates of small value (SS):
devisee and legatees; and distribute his net
estate among his known heirs, devisees, and Extrajudicial Summary Settlement
legatees, who shall thereupon be entitled to Settlement
receive and enter into the possession of the parts No court Judicial adjudication
of the estate so awarded by them respectively intervention is necessary although
(Rule 74, Sec. 2). the nature of the
proceeding is
summary
Value of estate Gross value of the
6.B.4 Summary settlement of estate of immaterial estate must not
small value, when allowed exceed
Php.10,000.00
Allowed whenever the gross value of the estate Allowed only when Allowed in both
of a deceased person, whether he died testate or there is no will testate and intestate
intestate, does not exceed ten thousand succession
There must be no Available even if
pesos(Rule 74, Sec. 2).
outstanding debts at there are debts
the time of the
Unlike extrajudicial settlement, summary settlement of the
settlement of estate may be chosen by the heirs estate
whether the decedent died testate or intestate Resorted to at the May be instituted by
(De Leon and Wilwayco, Special Proceedings Essentials instance of and by any interested party,
for Bench and Bar, p.35, 2015 ed.). agreement of all even a creditor of the
heirs estate without the
Summary settlement is allowed even if there are consent of all the
debts. This is jurisdictional (Del Rosario vs. heirs
Conanan, L-37903, March 30, 1977). Amount of bond is Amount of bond is to
equivalent to the be determined by the
value of the personal court
Requisites: property
(De Leon and Wilwayco, Special Proceedings Essentials
1. Petition filed by an interested person; for Bench and Bar, p.37, 2015 ed.)

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6.B.5 Remedies of aggrieved parties after
extrajudicial settlement of estate
1. Compel settlement of the claim and execute
against the bond or real estate - If it shall
appear at any time within 2 years after the
settlement and distribution that an heir or
other person has been unduly deprived of his
lawful participation in the estate, he may
compel the settlement of the estate in the
court having jurisdiction of the estate. Such
court may issue an order to settle the
amount of such debts or lawful participation
and order how much and in what manner
each distributee shall contribute in the
payment thereof, and may issue execution, if
circumstances require, against the bond
provided in the preceding section or against
the real estate belonging to the deceased, or
both (Rule 74, Sec. 4).
2. Action for Rescission - A partition may be
rescinded or annulled for the same causes as
contracts (Art. 1097, NCC). A partition, judicial
or extra-judicial, may also be rescinded on
account of lesion, when any one of the co-
heirs received things whose value is less, by
at least one-fourth, than the share to which
he is entitled, considering the value of the
things at the time they were adjudicated (Art.
1098, NCC).
3. The creditor may ask for administration of
enough property of the estate sufficient to
pay the debt, but the heirs cannot prevent
such administration by paying the obligation
(McMicking vs. SyConbieng, G.R. No. L-6871,
January 15, 1912).
4. After the lapse of the two–year period, an
ordinary action may be instituted against the
distributees within the statute of limitations,
but not against the bond.
5. The action to annul a deed of extrajudicial
settlement on the ground of fraud should be
filed within four years from the discovery of
the fraud (Gerona vs. De Guzman, L-19060, May
29, 1964).
6. Action for reconveyance
General Rule: The prescriptive period for non-
participants is 10 years from the date of
registration or from date of actual discovery if
registration was made in bad faith, because it is
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Remedial
based on implied constructive trust. Being an
obligation created by law, it prescribes in 10
years (Art. 1144, par. 2, Civil Code).
Exception: Action for reconveyance is
imprescriptible if plaintiff is in possession of the
property. When the party seeking reconveyance
based on implied or constructive trust is in actual,
continuous and peaceful possession of the
property involved, prescription does not
commence to run against him because the action
would be in the nature of a suit for quieting of
title, an action that is imprescriptible (Uy vs. Court
of Appeals, 173186, September 16, 2015).
When plaintiff (legal owner) is in possession of
the land to be reconveyed and not the defendant
registered owner, the action based on fraud is
imprescriptible as long as the land has not passed
to an innocent purchaser for value (Heirs of
Saludares vs. CA, G.R. No. 128254, January 16, 2004).
7. Petition for Relief (Rule 38)
6.C.3. PRODUCTION AND PROBATE OF
WILLS
Before any will can have force or validity, it
must be probated. Until admitted to
probate, a will has no effect whatsoever
and no right can be claimed
thereunder(SpsPascual vs. CA, G.R. No. 115925,
August 15, 2003).
6.C.1. Nature of probate proceeding
1. It is a proceeding in rem. It cannot be
dispensed with and substituted by another
proceeding, judicial or extrajudicial, without
offending public policy.
2. It is mandatory.No will shall pass either real or
personal property unless proved and allowed
in accordance with the Rules(Guevara vs.
Guevara,G.R. No. 48840, December 29, 1943).
3. It is imprescriptible, because it is required by
public policy.
4. Doctrine of Estoppel does not apply. The State
could not have intended to defeat the same
by applying thereto the statute of limitation of
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actions(Fernandez v. Dimagiba, G.R. No. L23638,
1967).
6.C.2. Who may petition for probate;
persons entitled to notice
The following are the persons who may petition
for probate under Sec. 1, Rule 76 (DELTA)
a) Devisee – need not be a relative of the
decedent
b) Executor
c) Legatee – need not be a relative of the
decedent
d) Any other interested person – heir; creditor
An "interested person" has been defined as
one who would be benefited by the estate,
such as an heir, or one who has a claim
against the estate, such as a creditor. The
interest must be material and direct, and not
merely indirect or contingent (San Luis vs. San
Luis, G.R. No. 133743, February 6, 2007).
a. Person named as executor (if he is not
petitioner)
b. Person named as co-executor not
petitioning
Notice to designated heirs, legatees and devisees
is jurisdictional when they are known AND their
place of residence are known (De Arranz vs. Galing,
G.R. No. 77047, May 28, 1988).
Notice is required to be personally given to
known heirs, legatees, and devisees of the
testator (Rule 76, Sec. 4). A perusal of the will
shows that respondent was instituted as the sole
heir of the decedent. Petitioners, as nephews and
nieces of the decedent, are neither compulsory
nor testate heirs who are entitled to be notified
of the probate proceedings under the Rules.
Respondent had no legal obligation to mention
petitioners in the petition for probate, or to
personally notify them of the same (Alaban vs. CA,
G.R. No. 156021, September 23, 2005).

e) Testator – during his lifetime

General Rule: Petition for probate is filed after

the testator’s death.

Exception: The will may be admitted to probate 6.D.4 ALLOWANCE OR DISALLOWANCE OF

during the testator’s lifetime. WILLS
6.D.1. Contents of petition for allowance of
Note: The petition for probate filed during the
will
testator’s lifetime may only be initiated by the
testator himself (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, p.60, 2015 a. The jurisdictional facts, as follows:
ed.).
i. Testator’s death
The following are the persons entitled to ii. Testator’s residence at the time of death
personal notice: iii. The place where the testator left estate,
if he is a non-resident
1. Heirs
iv. That the will has been delivered to the
2. Legatees
court and is in the possession thereof,
3. Devisees
unless not yet delivered
v. The value of the estate to determine the
The following are the persons which may
court with jurisdiction(De Leon and
be notified by mail or personally: Wilwayco, Special Proceedings Essentials for
1. Heirs Bench and Bar, p. 60-61, 2015 ed.).
2. Legatees
3. Devisees b. The names, ages, and residences of the
4. Executor heirs, legatees, and devisees of the testator
or decedent;
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c. The probable value and character of the
property of the estate;
d. The name of the person for whom letters are
prayed;
e. If the will has not been delivered to the
court, the name of the person having custody
of it.

But no defect in the petition shall render void the

allowance of the will, or the issuance of letters
testamentary or of administration with the will
annexed (Rule 76, Sec. 2).

6.D.2. Grounds for disallowing a will

a) The will was not executed and attested as

required by law;
b) The testator was insane, or otherwise
mentally incapable to make a will, at the time
of execution;
c) The will was executed under duress, or the
influence of fear, or threats;
d) The will was procured by undue and
improper pressure and influence, on the part
of the beneficiary, or of some other person
for his benefit;
e) The signature of the testator was procured
by fraud or trick, and he did not intend that
the instrument should be his will at the time
of fixing signature thereto (Rule 76, Sec. 9).
f)
No-Witness Rule Application is filed by
the testator of the
holographic will
himself.
One-Witness Rule Uncontested notarial
will.
The witness shall
establish that the will
is entirely dated and
signed by the hand of
the testator (Rule 76,
Sec.6).
Two-Witness Rule Lost or destroyed
will.
When a will is lost or
destroyed, two
credible witnesses
must establish is
existence and
execution.
Three-Witness Rule Contested
holographic will.
At least three (3)
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the handwriting of
the testator shall
explicitly declare that
the will and the
signature are in the
handwriting of the
testator (Rule 76,
Sec.11).

Four-Witness Rule Contested notarial

will.
The four witnesses
include the three
instrumental
witnesses and the
notary public who
subscribed the
execution of the will.

6.D.3. Reprobate; requisites before will

proved outside allowed in the Philippines;
effects of probate

Reprobate / Re-authentication

Wills proved and allowed in a foreign country,

according to the laws of such country, may be
allowed, filed and recorded by the proper court in
the Philippines (Rule 77, Sec. 1).

Doctrine of processual presumption

Where a foreign law is not pleaded or, even

if pleaded, is not proved, the presumption
is that the foreign law is the same as
Philippine law (ATCI Overseas Corporation vs.
Etchin, G.R. No. 139868, June 8, 2006)

Requisites before a will proved abroad

would be allowed in the Philippines

1. Due execution of the will in accordance with

the foreign laws;
2. The testator has his domicile in the foreign
country and not in the Philippines;
3. The will has been admitted to probate in
such foreign country;
4. The fact that the foreign tribunal is a probate
court; and
5. The laws of a foreign country on procedure
and allowance of wills (Vda. de Perez vs. Tolete,
G.R. No. 76714, June 2, 1994).

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Effects of Probate debts or to be distributed among his heirs
(Johannes vs. Harvey,G.R. No. 18600, March 9,
a) If it appears at the hearing that the will 1922).
should be allowed in the Philippines, the
court shall so allow it, and a certificate of its 6.E. LETTERS TESTAMENTARY AND OF
allowance, signed by the judge, and attested ADMINISTRATION
by the seal of the court, to which shall be
attached a copy of the will, shall be filed and 6.E.1. When and to whom letters of
recorded by the clerk, and the will shall have administration granted
the same effect as if originally proved and
allowed in such court (Rule 77, Sec. 3). Who may administer the estate of a deceased
b) When a will is thus allowed, the court shall person?
grant letters testamentary, or letters of
administration with the will annexed, and a) Executor
such letters testamentary or of administration b) Administrator
shall extend to all the estate of the testator in
the Philippines (Rule 77, Sec. 4).
c) If the will was duly executed, a certificate of
its allowance, signed by the judge, and Executor Administrator
When Appointed
attested by the seal of the court, shall be
A person was a. If no executor is
attached to it. The will and certificate shall be
expressly named by named in the will;
filed and recorded by the clerk. Attested the deceased in b. The person named in
copies of the will devising real estate and of his/her will, who is the will:
certificate of allowance thereof, shall be competent, accept i. Incompetent;
recorded in the register of deeds of the the trust, and gives ii. Refuse the trust;
province in which the lands lie (Rule 76, Sec. bond, and or
13). subsequently iii. Fail to give
appointed by the bond.
� The general rule universally recognized is that court. (Sec. 4, Rule
78) c. The will was
administration extends only to the assets of disallowed or void.
the decedent found within the state or country d. A person died
where it was granted, so that an administrator intestate. (Rule 78, Sec.
appointed in one state or country has no 6)
power over the property in another state or BOND
country (Leon &Ghezzi vs. Manufacturer’s Life The testator may Required to give a bond.
Ins., G.R. No. L-3677, November 29, 1951). direct in his will (Sec. 1, Rule 81)
that the executor
Principal administration vs. Principal will serve without
administration bond, but the court
shall direct him to
post a bond
� When a person dies intestate owning property conditioned only to
in the country of his domicile as well as in pay debts. (Rule
foreign country, administration shall be had in 81, Sec. 2)
both countries. That which is granted in the DUTY TO PRESENT THE WILL
jurisdiction of the decedent’s domicile is Has duty to present No such duty.
termed the principal administration, while the will to court
any other administration is termed ancillary within 30 days.
administration. The ancillary administration
is proper whenever a person dies leaving in a Who may serve as executor or
country, other than that of his domicile, administrator:
property to be administered in the nature of
assets of the decedent liable for his individual
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Any competent person may serve as executor or issued by a issued by issued by a
administrator.(Rule 78, Sec.1) probate a court to a court to an
court, after competent administrator
May a married woman serve as the will has person to to administer
been administer the the estate if
administrator?
admitted to estate if: the decedent
probate, to i. No executor died intestate.
Yes. A married woman may serve as executrix or the executor named in the
administratrix, and the marriage of a single named in the will;
woman shall not affect her authority so to serve will to ii. executor or
under a previous appointment (Rule 78, Sec.3). administer executors
the estate of named are
The following are incompetent to serve as the deceased incompetent,
testator, refuse the
executor or administrator:
provided the trust, or fail to
executor give bond;
1. Minor; named in the (Rule 78, Sec.
2. Not a resident of the Philippines; and will is 6)
3. A person who is in the opinion of the court competent, a.
unfit to execute the duties of the trust by accepts the
reason of: trust and
gives a bond.
a. Drunkenness (Rule 78,
Sec. 4)
b. Improvidence
c. Want of understanding or integrity; or
d. Conviction of an offense involving moral Letters of Administration with the will
turpitude. (Rule 78, Sec.1) annexed:
It is the appointment issued by the probate court
4. Executor of an executor cannot, as such, to a person, other than the executor named in
administer estate of the first testator (Rule the will, to administer the estate of the deceased
78, Sec. 2)
testator if the executor named in the will is
incompetent, refuses the trust, or fails to give a
Other grounds for incompetence: bond, or when the will does not contain a
designation of an executor. (Rule 76, Sec. 6;Rule
79, Sec. 1)
In this jurisdiction, one is considered to be
unsuitable for appointment as administrator when
6.E.2. Order of preference (Rule 78, Rule 6)
he has adverse interest of some kind or hostility
to those immediately interested in the estate (Lim
1. Surviving spouse, or next of kin, or both, in
vs. Diaz-Millarez, G.R. No. L-17633, October 19, 1966).
the discretion of the court, or to such person
as the surviving spouse, or next of kin
requests to have appointed, if competent and
willing to serve.
2. If those previously enumerated be
incompetent or unwilling, or if the husband or
widow, or next of kin, neglects for thirty (30)
days after the death of the person to apply for
Letters Testamentary and Letters of
administration or to request that
Administration
administration be granted to some other
person, one or more of the principal creditors,
Letters Letters of Letters of
Testamentar Administration Administration if competent and willing to serve.
y with will 3. If there is no such creditor, such other person
Annexed as the court may select (Rule 78, Rule 6).
When issued
Appointment Authority Appointment Definition of “Next of Kin”
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When the law speaks of "next of kin", the
reference is to those who are entitled, under the
statute of distribution, to the decedent’s
property; one whose relationship is such that he
is entitled to share in the estate as distributed,
or, in short, an heir.
In resolving, therefore, the issue of whether an
applicant for letters of administration is a next of
kin or an heir of the decedent, the probate court
perforce has to determine and pass upon the
issue of filiation. A separate action will only result
in a multiplicity of suits(Angeles vs. Maglaya,G.R.
No. 153798,September 2, 2005).
Note:
The paramount consideration in the appointment
of an administrator over the estate of a decedent
is the prospective administrator’s interest in the
estate. This is the same consideration which
Section 6, Rule 78 takes into account in
establishing the order of preference in the
appointment of administrator for the estate. The
rationale behind the rule is that those who will
reap the benefit of a wise, speedy and
economical administration of the estate, or, in the
alternative, suffer the consequences of waste,
improvidence or mismanagement, have the
highest interest and most influential motive to
administer the estate correctly. In all, given that
the rule speaks of an order of preference, the
person to be appointed administrator of a
decedent’s estate must demonstrate not only an
interest in the estate, but an interest therein
greater than any other candidate (Suntay vs.
Cojuangco-Suntay, G.R. No. 183053, October 10,
2012).The order of preference in the appointment
of a regular administrator as provided in the
afore-quoted provision does not apply to the
selection of a special administrator (Tan vs.
Gedorio, Jr., G.R. No. 166520, March 14, 2008).
Does the order of preference apply in the
appointment of a Special Administrator?
No. The preference under Section 6, Rule 78 of
the Rules of Court for the next of kin refers to the
appointment of a regular administrator, and not
of a special administrator, as the appointment of
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the latter lies entirely in the discretion of the
court, and is not appealable. Not being
appealable, the only remedy against the
appointment of a special administrator is
Certiorari under Rule 65 of the Rules of Court (Tan
vs. Gedorio, Jr., G.R. No. 166520, March 14, 2008).
Court may disregard the order of
preference
General Rule: It is well settled that a probate
court cannot arbitrarily and without sufficient
reason disregard the preferential rights of the
surviving spouse to the administration of the
estate of the deceased spouse.
Exception:But, if the person enjoying such
preferential rights is unsuitable, the court may
appoint another person. The determination of a
person’s suitability for the office of administrator
rests, to a great extent, in the sound judgment of
the court exercising the power of appointment
and such judgment will not be interfered with on
appeal unless it appears affirmatively that the
court below was in error (Uy v. CA, et al., G.R. No.
167979, March 16, 2006).
When can Co-Administrators be appointed?
Jurisprudence allows the appointment of co-
administrators under certain circumstances, to
wit:
a. a) to have the benefit of their judgment and
perhaps at all times to have different interests
represented;
b. b)where justice and equity demand that
opposing parties or factions be represented in
the management of the estate of the
deceased;
c. c) where the estate is large or, from any
cause, an intricate and perplexing one to
settle;
d. d) to have all interested persons satisfied and
the representatives to work in harmony for
the best interests of the estate; and
e. e) when a person entitled to the
administration of an estate desires to have
another competent person associated with
him in the office(Suntay vs. Cojuangco-Suntay,
G.R. No. 183053, October 10, 2012).
(Gabriel v. CA, G.R. No. 101512, August 7,1992).
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6.E.3. Opposition to issuance of letters
testamentary; simultaneous filing of
petition for administration
Person allowed to oppose the issuance of
letters testamentary
Any person interested in a willmay state in
writing the grounds why letters testamentary
should not issue to the persons named therein as
executors, or any of them, and the court, after
hearing upon notice, shall pass upon the
sufficiency of such grounds (Rule 79, Sec. 1)
Meaning of “Interested Person”
One who would be benefited by the estate, such
as an heir, or one who has a claim against the
estate, such as a creditor, and whose interest is
material and direct, not merely incidental or
contingent (Maloles vs. Phillips, G.R. Nos. 129505 &
133359, January 31, 2000).
Grounds
a.) a)  Incompetency of the person/s for whom
letters are prayed, or
b.) b)  Contestant’s own right to the
administration(Sec. 4, Rule 79)
(ex. preferential right under Rule 78, Sec 6)
Contents of Petition for Letters of
Administration
1. 1. The jurisdictional facts;
2. 2. The names, ages, and residences of the
heirs, and the names and residences of the
creditors, of the decedent;
3. 3. The probable value and character of the
property of the estate;
4. 4. The name of the person for whom letters of
administration are prayed. (Rule 79, Sec. 2)
Note: No defect in the petition shall render void
the issuance of letters of administration (Rule 79,
Sec. 2)
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The Court shall fix the time and place for hearing
and shall cause notice thereof to be given to the
known heirs and creditors of the decedent and to
any other persons believed to have an interest in
the estate. (Rule 79, Sec. 3)
Where no notice as required by Section 3, Rule
79 of the Rules of Court has been given to
persons believed to have an interest in the estate
of the deceased person; the proceeding for the
settlement of the estate is void and should be
annulled. The requirement as to notice is
essential to the validity of the proceeding in that
no person may be deprived of his right to
property without due process of law (De Guzman
vs. Angeles, G.R. No. 78590, June 20, 1988).
Simultaneous Filing of Petition for
Administration
The person opposing to petition for
administration may pray that the letters issue to
himself, or to any competent person or persons
named in the opposition (Rule 39, Sec. 4).
Hearing and order for letters to issue
It must be first shown that notice has been given
to interested persons, and thereafter the court
shall hear the proofs of the parties in support of
their respective allegations, and if satisfied that
the decedent left no will, or that there is no
competent and willing executor, it shall order the
issuance of letters of administration to the party
best entitled thereto (Rule 79, Sec. 5).
Letters of Administration granted to
applicant
Letters of administration may be granted to any
qualified applicant, though it appears that there
are other competent persons having a better
right to the administration, if such persons fail to
appear when notified and claim the issuance of
letters to themselves (Rule 79, Sec. 6).
6.E.4. Powers and duties of executor and
administrators; restrictions on the powers
Duty to Post a Bond
and
 Purple Notes
Before an executor or administrator enters upon
the execution of his trust, and letters
testamentary or of administration issue, he shall
give a bond in such sum as the court directs (Rule
81, Sec. 1).
Purpose of the Bond
The administration bond is for the benefit of the
creditors and the heirs, as it compels the
administrator, whether regular or special, to
perform the trust reposed in, and discharge the
obligations incumbent upon, him. Its object and
purpose is to safeguard the properties of the
decedent. Moreover, the ability to post the bond
is in the nature of a qualification for the office of
administration(Ocampo vs. Ocampo, G.R. No.
187879, July 5, 2010).
Conditions of the Executor’s or
Administrator’s Bond:
1. To make and return to the court, within three
(3) months, a true and complete inventoryof
the estate of the deceased which shall come
to his possession or knowledge or to the
possession of another person for him;
2. To administer according to the Rules of Court,
and, if an executor, according to the will of
the testator, the estate which shall at any
time come to his possession or to the
possession of any person for him; and
3. Pay and discharge all debts, legacies, and
charges on the same, or such dividends
thereon as shall be decreed by the court;
4. To render a true and just account of his
administration to the court within one (1)
year, and at any time required by the court;
and
5. To perform all orders of the court by him to
be performed. (Rule 81, Sec. 1).
Circumstances where the executor or
administrator may enter upon his trust
without a bond or be required to post
additional bond
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If the testator in his will directs that the executor
serve without bond, or with only his individual
bond, he may be allowed by the court to give
bond in such sum and with such surety as the
court approves conditioned only to pay the debts
of the testator; but the court may require of the
executor a further bond in case of a change in his
circumstances, or for other sufficient cause, with
the conditions named in the last preceding
section. (Rule 81, Sec. 2).
Bond of joint executors and administrators
When two or more persons are appointed
executors or administrators the court may take a
separate bond from each, or a joint bond from
all. (Rule 81, Sec. 3)
Conditions of the bond of a Special
Administrator
1. That he will make and return a true inventory
of the goods, chattels, rights, credits, and
estate of the deceased which come to his
possession or knowledge;
2. That he will truly account for such as are
received by him when required by the court;
3. That he will deliver the same to the person
appointed executor or administrator, or to
such other person as may be authorized to
receive them. (Rule 81, Sec. 4)
General Powers and Duties of Executors
and Administrators (Rule 84)
Powers and Duties of Executor and
Administrator
1. Administration
2. Liquidation
3. Distribution (Albano, Remedial Law, p. 850, 2010
ed.)
Power to have access to partnership books
and property:
The executor or administratior of the estate of a
deceased partner shall at all times:
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a) Have access to, and may examine and take
copes of, books and papers relating to the
partnership business; and
b) May Examine and make invoices of the
property belonging to such partnership; and
c) On request, the surviving partner or partners
shall exhibit to him all such books, papers,
and property in their hands or control (Rule
84,Sec. 1).
Note: On the written application of executor or
administrator, the court may order any such
surviving partner or partners to freely permit the
exercise of these rights, and to exhibit the books,
papers, and property, and may punish any
partner failing to do so for contempt (Rule 84, Sec.
1).
Duty to keep buildings in repair
An executor or administrator shall:
1. Maintain in tenantable repair the houses and
other structures and fences belonging to the
estate, and
2. Deliver the same in such repair to the heirs or
devisees when directed so to do by the court
(Rule 84, Sec.2).
Right to possession and management of
the real and personal estate
An executor or administrator shall have the right
to possession and management of the real and
personal property of the deceased so long as it is
necessary for the payment of the debts and the
expenses of administration (Rule 84, Sec. 3).
Restriction on the powers of executors and
administrators
Accountabilities of an executor or
administrator
1. The executor or administrator shall be
accountable for the whole of the estate of the
deceased which has come into his possession,
at the value of the appraisement contained in
the inventory; with all the interest, profit, and
income of such estate; and with the proceeds
of so much of the estate as is sold by him, at
the price at which it was sold (Rule 85, Sec. 1);
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2. He shall not profit by the increase or lose by
the decrease in value, without his fault, of any
part of the estate (Rule 85, Sec. 2);
3. He must account for the excess when he sells
any part of the estate for more than its
appraisement, he is not responsible for the
loss if the sale has been justly made (Ibid.);
4. If he settles any claim against the estate for
less than its nominal value, he is entitled to
charge in his account only the amount he
actually paid on the settlement (Ibid.);
5. He shall not be accountable for debts due the
deceased which remain uncollected without
his fault (Rule 85, Sec. 3);
6. He shall account for the income from the
realty used by him (Rule 85, Sec. 4);
7. He shall be accountable for waste. This means
that if the value of the estate decreases, or
unnecessary costs and expenses accrue, or
the person interested in the estate suffer loss
as a result of his neglect or unreasonable
delay to raise money, by collecting the debts
or selling the real or personal estate, or of his
neglect to pay over the money in his hands,
he shall be answerable for the same(Rule 85,
Sec. 5).
8.
Executor or administrator chargeable with
all estate and income
Every executor or administrator is chargeable in
his account with the whole of the estate of the
deceased which has come into his possession, at
the value of the appraisement contained in the
inventory; with all the interest, profit, and income
of such estate; and with the proceeds of so much
of the estate as is sold by him, at the price at
which it was sold (Rule 85, Sec. 1).
Not to profit by increase or lose by
decrease in value
No executor or administrator shall profit by the
increase or suffer loss by the decrease or
destruction, without his fault, or any part of the
estate.
1. He must account for the excess when he
sells any part of the estate for more than
the appraisement;
2. If sold for less, he is not responsible for the
loss – if the sale has been justly made;
and
 Purple Notes
3. If he settles any claim against the estate
for less than its nominal value – he is
entitled to charge in his account only the
amount actually paid on the settlement
(Rule 85, Sec. 2).
Note: No executor or administrator shall be
accountable for debts due the deceased which
remain uncollected without his fault (Rule 85, Sec.
3).
Accountable for income from realty used by
him
If the executor or administrator uses or occupies
any part of the real estate himself, he shall
account for it as may be:
a) Agreed upon between him and the parties
interested, or
b) Adjusted by the court with their assent; and
c) If the parties do not agree upon the sum to
be allowed - the same may be ascertained by
the court,whose determination in this respect
shall be final (Rule 85, Sec. 4).
Accountable if he neglects or delays to
raise or pay money
When an executor or administrator neglects or
unreasonably delays to raise money, by:
a. Collecting the debts or selling real or personal
estate of the estate, or
b. Neglects to pay over the money he has in his
hands, and
c. The value of the estate is thereby lessened or
unnecessary cost or interest accrues, or the
persons interested suffer loss.
Effect: the same shall be deemed waste and the
damage sustained may be charged and allowed
against him in his account, and he shall be liable
therefor on his bond(Rule 85, Sec. 5).
Allowed money paid as costs
Amount paid by executor/administrator for costs
awarded against him shall be allowed in his
administration account, unless it appears that the
action or proceeding in which the costs are taxed
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was prosecuted or resisted without just cause,
and not in good faith(Rule 85, Sec. 6).
Expenses and fees allowed the executor or
administrator
d) a) The executor or administrator shall be
allowed the necessary expenses in the
care, management and settlement of the
estate; and
a) The executor or administrator shall be allowed
the necessary expenses in the care,
management and settlement of the estate;
and
b) b) For his services, he shall be allowed four
pesos (P4.00) a day for the time actually and
necessarily employed, or a commission upon
the value of the estate as comes into his
possession and is finally disposed of by him in
the payment of debts, expenses, legacies, or
distributive shares, or by delivery to heirs or
devises, of —
a. a. 2% of the first P5,000;
b. b. 1% of so much of the value of the
estate in excess of P5,000 but does not
exceed P30,000;
c. c. 1/2% of so much of the value of the
estate in excess ofP30,000 but does not
exceed P100,000;
d. d. 1/4% of so much of the value of the
estate in excess of P100,000;
c) c)When the estate is large and the settlement
has been attended with great difficulty, and
has required a high degree of capacity on the
part of the executor of administrator, a
greater sum may be allowed;
d) When the deceased by will makes some other
provision for the compensation of his
executor, that provision shall be a full
satisfaction for his services unless by a written
instrument filed in court he renounces all
claims to the compensation provided by the
will(Rule 85, Sec. 7).
Note: When the executor is an attorney, he shall
not charge against estate any professional fees
for legal services rendered(Rule 85, Sec. 7).
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The Administration bond should not be
considered as part of the necessary expenses
chargeable against the estate, not being included
among the acts constituting the care,
management, and settlement of the
estate(Ocampo v. Ocampo, G.R. No. 187879, July 5,
2010).
Nature of Attorney’s Fees
It is a personal liability of the executor or
administrator. However, if it is beneficial to the
estate and it is reasonable,he is entitled to
reimbursement. Such payment should be
included in his account and reimbursement
therefor should be settled upon notice(Sato v.
Ratios, L-17194, September 30, 1954).
Allowance to widow and family
The widow and minor or incapacitated children,
during the settlement of the estate, shall
receivetherefrom, under the direction of the
court, such allowance as are provided by law
(Rule 83, Sec. 3)
Allowances for support under Section 3, rule 83
should not be limited to the “minor or
incapacitated” children of the deceased. Article
188 of the Civil Code provides that during the
liquidation of the conjugal partnership, the
deceased’s legitimate spouse and children,
regardless of their age, civil status or gainful
employment, are entitled to provisional support
from the funds of the estate. The right and duty
to support subsist even beyond the age of
majority. Be that as it may, grandchildren are not
entitled to provisional support from the
decedent’s estate. The law clearly limits the
allowance to “widow and children” and does not
extend to grandchildren, regardless of their
minority or incapacity (Estate of Ruiz v. CA, G.R. No.
118671, January 29, 1996).
Executor or administrator to render
accounting of his administration
1. 1. The executor or administrator shall render
an account of his administration within one
(1) year from the time of receiving letters
testamentary or of administration (Rule 85,Sec.
8).
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2. b. He shall render such further
accounting as the court may require
until the estate is wholly settled. (Rule
85, Sec. 8).
3. 2. The court may examine him upon oath with
respect to every matter relating to any
account rendered by him and shall so examine
him as to the correctness of his account
before the same is allowed(Rule 85, Sec. 9,).
Certain articles not to be inventoried
s
1. The wearing apparel of the surviving spouse
and minor children,
2. The marriage bed and bedding, and
3. Such provisions and other articles as will
4. necessarily be consumed in the subsistence of
the family of the deceased. (Rule 83, Sec. 2)
Examination on oath with respect to
account
General Rule: The court may examine the
executor or administrator upon oath with respect
to every matter relating to any account rendered
by him, and shall so examine him as to the
correctness of his account before the same is
allowed,
Exception:When no objection is made to the
allowance of the account, and its correctedness is
satisfactorily established by competent proof (Rule
85, Sec. 9).
6.E.5 APPOINTMENT OF SPECIAL
ADMINISTRATOR
When is a Special Administrator Appointed:
a) When there is delay in granting letters
testamentary or of administration by any
cause including an appeal from the allowance
or disallowance of a will, until the questions
causing the delay are decided and executors
or administrators appointed. (Rule 80, Sec. 1).
b) When the executor or regular administrator
has a claim against the estate, with respect to
the settlement or adjustment of that claim
(Rule 86, Sec. 8).
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Distinction between Regular and Special appealable. Not being appealable, the only
Administrator remedy against the appointment of a special
administrator is certiorari under Rule 65 (Tan v.
Regular Special Administrator Gedorio, G.R. No. 166520, 2008)
Administrator
When Appointed
Authority issued by a. If there is delay in Powers and Duties of Special Administrator
a court to a granting letters (Rule 81, Sec.2)
competent person to testamentary or
administer the estate administration by any 1. 1. To take possession and charge of goods,
if: cause, or chattels, rights, credits, and estate of
i. i. No executor
deceased, and
named in the
will; b. b. The executor is a 2. 2. Preserve the same for executor or
ii. ii. executor or claimant of the administrator afterwards appointed, and
executors estate 3. 3. for that purpose may commence and
named are (Rule 86, Sec. 8) maintain suits as administrator
incompetent, 4. 4. Sell only such perishable and other
refuse the trust, property as the court orders sold.
or fail to give
bond;
Note: A Special Administrator is not liable to pay
iii. The will was
disallowed
any debts of the deceased unless so ordered by
(Rule 78, Sec. 6) the court(Rule 81, Sec. 2).

d. decedent left no  Q: When shall a court appoint a Special

will. Administrator?
Liability to pay the debts
Shall be liable to pay Shall not be liable to A: When the executor or administrator has a
the debts of the pay any debts of the claim before the estate. The executor or
estate deceased unless administrator having a claim against the
(Rule 81, Sec. 1, par. b) ordered by the court estate cannot simply pay himself from the
(Rule 80, Sec. 2)
estate (Sison vs. Azarraga, G.R. No. 8470, March
Order of Appointment
19, 1915).
Order of Appointment Order of Appointment
is final and is interlocutory and is
appealable generally not If the executor or administrator has a claim
(Rule 109, Sec. 1) appealable. against the estate he represents, he shall
Except when there is give notice thereof, in writing, to the court,
a grave abuse of and the court shall appoint a special
discretion. administrator, who shall, in the adjustment
[Rule 109, Sec. 1(e)] of such claim, have the same power and be
subject to the same liability as the general
A special administrator is an officer of the court administrator or executor in the settlement
who is subject to its supervision and control, of other claims. The court may order the
expected to work for the best interest of the executor or administrator to pay to the
entire estate, with a view to its smooth special administrator necessary funds to
administration and speedy settlement (Co v. defend such claim (Rule 86, Sec. 8).
Rosario, G.R. No. 160671, April 30, 2008).

Appointment of special administrator is Powers of Special Administrator cease

interlocutory and is not appealable [Rule 109, Sec.
1(e)] Power of Special Administrator cease when
letters testamentary or administration are
The appointment of a special administrator lies granted on the estate of the deceased.
entirely in the discretion of the court, and is not
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The Special Administrator is required to:
Deliver to the executor or administrator goods,
chattels, money, and estate of the deceased in
his hands.
The executor or administrator may prosecute to
final judgementjudgment suits commenced by
such special administrator (Rule 80, Sec. 3)
6.E.6 GROUNDS FOR REMOVAL OF
ADMINISTRATOR
Grounds for Removal of an Executor or
Administrator
1. a. If he neglects to render his account and
settle the estate according to law;
2. b. If he neglects to perform an order or
judgment of the court;
3. c. If he neglects a duty expressly provided by
the Rules of Court; and
4. d. If he absconds, becomes insane, or
otherwise incapable or unsuitable to discharge
the trust.
(Rule 82, Sec. 2).
The grounds are not exclusive since the removal
is dependent upon the sound discretion of the
court. He may be removed on the ground of
unfitness or unsuitability.(Lira v. Diaz-Millares, G.R.
No. L-17633, October 19, 1966).
Effects of Revocation, Resignation or
Removal of the Executor or Administrator
on his previous acts.
The lawful acts of an executor or administrator
before his resignation or removal, shall have the
same validity as if there had been no such
revocation, resignation, or removal. (Rule 82, Sec.
3).
Removal of Special Administrator
The probate court may appoint or remove special
administrators based on grounds other than
those enumerated in the Rules at its discretion,
such that the need to first pass upon and resolve
the issues of fitness or unfitnessand the
application of the order of preference under
Section 6 of Rule 78, as would be proper in the
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case of a regular administrator, do not obtain. As
long as the discretion is exercised without grave
abuse, and is based on reason, equity, justice,
and legal principles, interference by higher courts
is unwarranted (Ocampo v. Ocampo, G.R. No.
187879, July 5, 2010).
Complaints against the general competence of
the administrator, the proper remedy is to seek
the removal of the administrator in accordance
with Sec. 2, Rule 82. While the provision is silent
as to who may seek with the court the removal of
the administrator, a creditor, even a contingent
SALES, MORTGAGES AND OTHER
ENCUMBRANCES OF PROPERTY OF
DECEDENT
Note: All actions must be done through an
ADMINISTRATOR or EXECUTOR.
Sale of decedent’s personal property
without court order prohibited
An executor or administrator may be held
answerable for selling the decedent’s property
without a court order. The assent of the heirs is
insufficient to vest in him the power to dispose of
the decedent’s property (De Leon and Wilwayco,
Special Proceedings Essentials for Bench and Bar,
p.171, 2015 ed.).
Court cannot motuproprio order the sale of
personal property
It is essential that the executor or administrator
applies for such sale with the court and gives
written notice to the heirs and other persons
interested. It must also be shown that the sale is
necessary for the payment of the debts,
expensesof administration or legacies, or the
preservation of the property (De Leon and
Wilwayco, Special Proceedings Essentials for Bench
and Bar, p.171, 2015 ed.)
Order of sale of personalty, when proper
The court may order the whole or part of the
personal estate to be sold if it appears necessary
for:
a) paying debts, expenses of administration or
legacies; or,
b) preservation of the property(Rule 89, Sec. 1)
and
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Sale, mortgage, or other encumbrance
(SME) of realty through personalty NOT
exhausted (Rule 89, Sec. 2)
When may be authorized by the court
a. When personal property is not sufficient to
cover the debts, expenses of administration
and legacies; OR
b. When sale of personal estate may injure the
business interests of those interested in the
estate; AND
c. Testator has not made sufficient provision
for the payment of debts, expenses, and
legacies
Requisites
1) Court application of executor or
administrator;
2) Written notice to the heirs, devisees and
legatees residing in the Philippines
3) SME clearly appears beneficial to persons
interested
General Rule: Only so much as may be
necessary of the real estate need be sold,
mortgaged or encumbered.
Exception: When whole property may be sold:
1. If the SME of a part will injure those
interested in the remainder; and
2. If it is necessary under the circumstances
Any person interested in the estate may prevent
the sale, mortgage or encumbrance of real or
personal property part of the estate by giving a
bond in an amount fixed by the court,
conditioned on the payment of debts, expenses
of administration and legacies, as well as security
of the creditors, executor or administrator (Rule
89, Sec. 3)
Sale of estate as beneficial to interested
persons (Rule 89, Sec. 4)
The primary consideration of the court for
authorizing the sale under this provision is the
interest and benefit to the heirs, devisees,
legatees and other interested persons.
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General Rule: Purpose of the sale of estate
under Rule 89 must be for the payment of debts,
expenses of administration or legacies, or for
preservation of property.
Exception: Sale of estate may be authorized by
the court even if not necessary for the
abovementioned purposes, provided such sale is
beneficial to interested persons.
Any proceeds derived from the sale shall be
assigned to the persons entitled to the estate in
the proper proportions.
Exception to the Exception: Authority to sell
estate as beneficial to interested persons shall
NOT be granted if inconsistent with the
provisions of a will.
Sale, mortgage or other encumbrance of
estate to pay debts and legacies in other
countries
The court in the Philippines may authorize the
executor or administrator to sell the personal
estate or to sell, mortgage or encumber the real
estate for the payment of debts or legacies in
another country if it appears from the records
and proceedings of a probate court in another
country that the estate of the deceased in such
other country is insufficient to pay the debts,
expenses of administration, and legacies there
(Rule 89, Sec. 5).
Sale, mortgage, or other encumbrance of
realty acquired on execution or foreclosure
This is allowed under the same circumstances
and under the same regulations prescribed for
the sale, mortgage or other encumbrance of
other real estate (Rule 89, Sec. 6).
Regulations for granting authority to sell,
mortgage, or encumber estate (Rule 89, Sec.
7).
The court having jurisdiction of the estate of the
deceased may authorize the executor or
administrator to sell personal estate or to sell,
mortgage, or otherwise encumber real estate:
1) In cases provided by these rules; and,
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2) When it appears necessary or beneficial
under the following regulations:
a. The executor or administrator
shall file a written petition setting forth
the following:
 Debts due from the deceased
 Expense of Administration
 Legacies
 Value of the personal estate
 Situation of the estate to be sold,
mortgaged or encumbered
 Other facts showing that the SME is
necessary or beneficial [Rule 89, Sec.
7(a)].
b. The court shall fix the time and
place for hearing the petition, with notice
to the persons interested.
The notice shall state the following:
 nature of the petition
 reasons for the petition
 time and place of the hearing
Note: The notice must be given
personally or by mail to the persons
interested. The court may also cause
such further notice to be given by
publication or otherwise as it shall deem
proper [Rule 89, Sec. 7(b)].
c. The executor or administrator
shall give an additional bond if so
required by the court.
The bond must be in such sum as the court
directs, and conditioned that the executor or
administrator will account for the proceeds of the
sale, mortgage or other encumbrance [Rule 89,
Sec. 7(c)].
Effect of compliance with the foregoing
regulations
The court, by order stating such compliance, may
authorize the executor or administrator to sell,
mortgage or encumber such part of the estate as
is deemed necessary. The executor or
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administrator shall be furnished with a certified
copy of such order [Rule 89, Sec. 7(d)].
In case of sale, the court may authorize it to be
in public or private, as would be most beneficial
to all parties concerned [Rule 89, Sec. 7(d)].
In case of sale at auction, the mode of giving
notice of the time and place of the sale shall be
governed by the provisions on notice of execution
sale [Rule 89, Sec. 7(e)].
Record in the Registry of Deeds
A certified true copy of the order of the court,
together with the deed of the executor or
administrator for such real estate, shall be
recorded in the registry of deeds of the
province where the real estate is situated. The
deed shall be as valid as if it had been executed
by the deceased in his lifetime [Rule 89, Sec.
7(f)].
Conveyance of realty which deceased
contracted to convey (Rule 89, Sec. 8)
Requisites
1. The deceased, during his lifetime, was under
a contract to deed real property or an
interest therein;
2. The contract is valid and binding;
3. Application to authorize the executor or
administrator to convey the property
according to the contract;
4. If there be modifications in the contract, the
same should be agreed upon by the parties
and approved by the court;
5. Notice of the application given personally or
by mail to all persons interested;
6. Further notice given by publication or
otherwise, as the court deems proper; and,
7. The conveyance must not reduce the value
of the estate to the extent of depriving
creditors payment of their claims
Note: If the contract is to convey real property
to the executor or administrator, the clerk of
court shall execute the deed.
The deed executed by the executor,
administrator or the clerk of court, as the case
and
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may be, shall be as effectual as if executed by
the deceased in his lifetime.
Conveyance of lands which deceased held
in trust (Rule 89, Sec. 9)
Requisites
1. The deceased, during his lifetime, held real
property in trust for another person;
2. Application to authorize the executor or
administrator to convey the property;
3. Notice of the application given personally or
by mail to all persons interested;
4. Further notice given by publication or
otherwise, as the court deems proper;
The court may order the execution of such trust,
whether created by deed or by law.
Note: The fact that creditors would be affected
would not prevent the conveyance since the
property does not form part of the estate.(MBTC
vs. S.F. Naguiat Enterprises, G.R. No. 178407, March
18, 2015),
6.F. CLAIMS AGAINST THE ESTATE
Claim - any debt or pecuniary demand against
the decedent’s estate.
Absolute claim - one which, if contested
between living persons, would be the proper
subject of immediate legal action and would
supply a basis of judgment for a sum certain.
Contingent claim - conditional claim which is
subject to the happening of a future, uncertain
event.
Money claims – expenses contracted prior to
the death of the decedent.
Expenses of administration – claims incurred
after the decedent’s death EXCEPT claims for
funeral expenses.(Gabin vs. Melliza, G.R. No.L-1849,
October 25, 1949).
Note: Expenses of administration may be
collected from the administrator or executor
personally or by motion in the testate or intestate
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proceedings without the formality and limitations
for money claims against the decedent (De Leon
and Wilwayco, Special Proceedings Essentials for
Bench and Bar, 2015, p.128)., 2015 ed.).
Also, claims for taxes, whether assessed before
or after the death of the deceased, can be
collected from the heirs even after the
distribution of the properties of the decedent.
They are exempted from the application of the
statute of non-claims. The heirs shall be liable
therefor, in proportion to their share in the
inheritance (Marcos II vs. CA, G.R. No. 120880, June
5, 1997).
Purpose of Filing a Claim
The purpose of presentation of claims against
decedents of the estate in the probate court is to
protect the estate of deceased persons. That
way, the executor or administrator will be able to
examine each claim and determine whether it is a
proper one which should be allowed. Further, the
primary object of the provisions requiring
presentation is to apprise the administrator and
the probate court of the existence of the claim so
that a proper and timely arrangement may be
made for its payment in full or by pro-rata
portion in the due course of the administration
(Estate of Olave vs. Reyes, G.R. No. L-29407, July 29,
1983).
6.F.1 Time within which claims shall be
filed; Exceptions
General Rule: The court shall state in the notice
the time for the filing of claims against the
estate, which shall not be more than twelve (12)
nor less than six (6) months after the date of the
first publication of the notice.
Exceptions: Belated Claims
1. At any time before order of distribution is
entered, a creditor who failed to file his claim
within the time set may move to be allowed to
file such claim. The court may, for good cause
shown and on such terms as are just, allow
such claim to be filed within a period not
exceeding one (1) month (Rule 86, Sec. 2).
The one-month extension does not commence
from expiration of the original period for filing
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claims. It begins from the date of the order of
the court allowing said filing (Barredo vs. CA,
(Barredo vs. CA, G.R. No. No. 17863, November
28, 1962).
Rule 86, Section 2 does not state what cause
shall be considered sufficient for the purpose.
It is left to the discretion of the court to
determine the sufficiency thereof and the
appellate court cannot reverse or set aside the
action of the lower court UNLESS the latter
has abused its discretion (Quisumbing vs.
Guison, G.R. No. 49022, May 31, 1946).
2. Claims which may be set up as counterclaims
by the creditor in any action that the executor
or administrator may bring against said
creditor (Rule 86, Sec. 5).
Claims which must be filed under the notice
1. All claims for money against the decedent,
arising from contract, express or implied,
whether the same be due, not due, or
contingent;
2. All claims for funeral expenses;
3. Expenses for the last sickness of the
decedent; and,
4. Judgment for money against the
decedent(Rule 86, Sec. 5).
Note: The judgment referred to above must be
presented as a claim against the estate where
the judgment debtor dies before levy on
execution of his properties (Evangelista vs. La
Proveedora, .(Evangelista vs. La Proveedora, G.R.
No.No. L-32824, March 31, 1971).
It is clear that Section 1 of Rule 74 does not
apply to the partition in question which was null
and void as far as the plaintiffs were concerned.
Under the Rules, "no extrajudicial settlement
shall be binding upon any person who has not
participated therein or had no notice thereof." As
the partition was a total nullity and did not affect
the excluded heirs, it was not correct for the trial
court to hold that their right to challenge the
partition had prescribed after two years from its
execution (Neri vs. Heirs of YusopUy and Uy, G.R. No.
194366, October 10, 2012).
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On the issue of prescription, the Court agrees
with petitioners that the present action has not
prescribed in so far as it seeks to annul the
extrajudicial settlement of the estate. Contrary to
the ruling of the CA, the prescriptive period of 2
years provided in Section 1, Rule 74 of the Rules
of Court reckoned from the execution of the
extrajudicial settlement finds no application to
petitioners Eutropia, Victoria and Douglas, who
were deprived of their lawful participation in the
subject estate. Besides, an "action or defense for
the declaration of the inexistence of a contract
does not prescribe" in accordance with Article
1410 of the Civil Code (Neri vs. Heirs of YusopUy
and Uy, G.R. No. 194366, October 10, 2012).
The filing of a money claim against the
decedent’s estate in the probate court is
mandatory. The law strictly requires the prompt
presentation and disposition of the claims against
the decedent's estate in order to settle the affairs
of the estate as soon as possible, pay off its
debts and distribute the residue (Union Bank of the
Philippines vs. Santibañez, G.R. No. 149926, February
23, 2005).
6.F.2 Statute of Non-claims
It is the period fixed for the filing of claims
against the estate, such that claims not filed
within the said period are barred forever.(Rule 86,
Secs. 2 and 5).
Guidelines:
1. The period fixed by the probate court must
not be less than six (6) months nor more than
12 months from the date of first publication of
the notice.
2. Such period once fixed by the court is
mandatory and it cannot be shortened.
3. The statute of non-claims supersedes the
statute of limitations.(Sikat vs. Villanueva, G.R.
No. L-35925, November 10, 1932).
Statute of Non-claims supersedes Statute
of Limitations
Even if a claim has not yet prescribed under the
statute of limitations, if such claim is not made
with the probate court within the time set forth in
the notice, the creditor may no longer collect
because of the statute of non-claims. In other
and
 Purple Notes
words, the statute of non-claims effectively
shortens the statute of limitations as regards the
right of action to pursue the debtor is concerned.
The statute of limitations and non-claims must
both concur before a creditor may collect against
the estate (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, 2015,
p.131)., 2015 ed.).
The rule requires certain creditors of a deceased
person to present their claims for examination
and allowance within a specified period, the
purpose thereof being to settle the estate with
dispatch, so that the residue may be delivered to
the persons entitled thereto without their being
afterwards called upon to respond in actions for
claims, which, under the ordinary statute of
limitations, have not yet prescribed (Santos vs.
Manarang, G.R. No. L-8235, March 19, 1914).
A claim filed two days after the period fixed by
the order of the probate court could still prosper.
In deciding in favor of the creditor, the Court
declared that the administratrix was estopped
and that laches had already set in considering
that the issue of the timeliness of the claim was
made after seven (7) years (Danan vs. Buencamino,
G.R. No. L-57205, December 14, 1981).
Waiver of Statute of Non-claims
Though presentment of probate claims is
imperative, it is generally understood that it may
be waived by the estate’s representative. Such
waiver is to be determined from the
administrator’s “acts and conduct”. Certainly, the
administrator’s failure to plead the statute of non-
claims, his active participation and resistance to
plaintiff’s claim in the civil suit amount to such
waiver (Ignacio vs. Pampanga Bus Company, Inc.,
G.R. No. L-18936, May 23, 1967).
6.F.3 Claim of executor or administrator
Procedure to follow if the executor or
administrator has a claim against the
estate he represents
1. 1.Executor/Administrator shall give notice
thereof, in writing, to the court;
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2. 2. The court shall appoint a special administra
3. istrator who shall have the same powers and
liabilities as the general
executor/administrator in the adjustment of
such claim.
4. 3.The court may order the executor or
administrator to pay to the special
administrator necessary funds to defend such
claim .(Rule 86, Sec. 8, Rule 86).
Claims which survive death
Claims for civil liability survive notwithstanding
the death of the accused if the same may also be
based on a source of obligation other than delict,
such as contract, law, quasi-contract and quasi-
delict.
A separate civil action may be enforced either
against:
1. The estate of the accused - in case of a
contract; or,
2. The executor or administrator - in case of law,
quasi-contract and quasi-delict(Ruiz vs. CA,
G.R. No. 116909, February 25, 1999).
6.F.4 PAYMENT OF DEBTS OF THE ESTATE
Requisites before a claim against the estate
may be paid
1. Hearing is conducted;
2. Amounts of claims are ascertained; and,
3. There are sufficient assets to pay the claims
The provision in a will for the payment of a
specific debt does not dispense with the
requirement that a claim should be filed against
the estate (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, 2015,
p.163)., 2015 ed.).
In any case where the provision in the will is
insufficient to cover the entire debt, that part of
the decedent’s estate not disposed of by will shall
answer for such deficiency (Rule 88, Sec. 2).
How should the debts of the estate be paid
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General Rule: The payment of the debts of the
estate must be taken, by order of preference:
1. From the portion or property designated in
the will;
2. From the personal property; and,
3. From the real property
In case of a deficiency after the exhaustion
of the decedent’s estate, the debts shall be
satisfied from the contribution of devisees,
legatees or heirs who have been in
possession of portions of the estate before
the debts and expenses have been settled
and paid (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar,
2015, p.164, 2015 ed.).).For this purpose, the
court having jurisdiction may, by order and
after hearing, settle the amount of their
several liabilities and order how much and in
what manner each person shall contribute.
The court may also issue execution as
circumstances require (Rule 88, Sec. 6).
Applicable provisions if the decedent is
insolvent
If the assets of the estate of a decedent
which can be applied to the payment of debts
are not sufficient for that purpose, the
provisions of Articles 2239 to 2251 of the
Civil Code on Preference of Credits shall
be observed, provided that the expenses
referred to in Article 2244, No. 8, shall be
those involved in the administration of the
decedent's estate (Art. 1059, Civil Code).
Exceptions: Instances when realty can be
charged first, on application by executor or
administrator, with written notice to persons
interested and after hearing:
1. When the personal property is not sufficient
(Rule 88, Sec. 3);
2. When the sale of personal property would be
detrimental to the participants of the estate
(Rule 88, Sec. 3);
3. When sale of personal property may injure
the business or interests of those interested
in the estate (Rule 88, Sec. 2);
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4. When the testator has not made sufficient
provision for payment of such debts,
expenses and legacies (Rule 88, Sec. 2);
5. When the decedent was, in his lifetime,
under contract, binding in law, to deed real
property to beneficiary (Rule 88, Sec. 8); and,
6. When the decedent during his lifetime held
real property in trust for another (Rule 88, Sec.
9)
Requisites for Exceptions to Apply
(a) Application by executor/administrator;
(b) Written notice to persons interested;
(c) Hearing
The same principles apply if the debt of the
estate is in another country (Special Proceeding Bar
Review, Justice Magdangal De Leon).
When Writ of Execution May Issue
Execution may issue only where the devisees,
legatees or heirs have entered into possession of
their respective portions in the estate PRIOR to
the settlement and payment of the debts and
expenses of administration and it is later
ascertained that there are such debts and
expenses to be paid (Domingo vs. Garlitos, G.R. No.
L-18994, June 29, 1963).
Several Creditors of the Same Preference
Where there are several creditors entitled to the
same preference and the assets are insufficient
to pay all of them, the proceeds shall be prorated
among the creditors of the same preference.
This, of course, assumes that the claim of other
creditors entitled to a higher preference have
been satisfied (Rule 88, Sec. 8).
Time for Paying Debts(Rule 88, Sec. 15 and 16)
1. Initial period. The executor or
administrator has one (1) year from the
issuance of letters testamentary or
administration to dispose of the estate; and,
to pay the debts and legacies of the
deceased.
2. Extension. After hearing and notice to all
persons interested, the executor or
and
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administrator may apply for an extension not
exceeding six (6) months for a single
extension.
3. Whole period allowed to original
executor/administrator shall not exceed
two (2) years.
4. Extension by Successor. The successor of
an executor/administrator who dies may have
the time extended on notice, not exceeding
six (6) months at a time and not exceeding
six (6) months beyond the time allowed to
original executor/administrator.
5. The total allowable period if the
executor/administrator dies is two and a half
years (2.5 years).
Sale of property levied for satisfaction of
decedent’s debts
If judgment debtor dies after such levy, property
may be sold. If judgment debtor dies before levy,
the property may not be sold but must be
presented as money claim against the estate of
deceased judgment debtor.
6.G. ACTIONS BY AND AGAINST
EXECUTORS AND ADMINISTRATORS
6.G.1 Actions that may be brought against
Executors and Administrators:
a) For the recovery or protection of the property
or rights of deceased(real and personal
property or interest therein) (Rule 87, Sec. 2)
b) Action to enforce a lien damages for an injury
to a person or property (Aguas v. Llenos, G.R.
No. L-18107, 1962)
c) Actions to recover damages for an injury to a
person or property (Sec. 1, Rule 87)
The aforementioned instances are deemed
actions that survive the death of the
decedent(Aguas v. Llenos, G.R. No. L-18107,1962 ).
Actions which may NOT be brought against
Administrators
Claim for the recovery of money or debt or
interest cannot be brought against executors or
administrators. [(Aguas v. Llenos, G.R. No. L-18107,
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Executor or Administrator May Bring or
Defend Actions Which Survive Death
For the recovery or protection of the property or
rights of the deceased (Sec. 2, Rule 87).
Covers injury to property i.e. n o t only limited to
injuries to specific property, but extends to other
wrongs by which personal estate is injured or
diminished. (Aguas v. Llenos, G.R. No.L-18107,
1962).
A mortgage belonging to the estate may be
foreclosed by the executor or administrator. (Sec.
5, Rule 87)
General Rule: Heirs may not sue for the recovery
of property of the estate against the executor or
administrator during the pendency of the
administration proceedings. (Sec. 3, Rule 87)
Exceptions:
a) a) If executor or administrator is unwilling to
bring a suit;
b) b) When the executor or administrator is
made a party defendant where he is alleged
to have participated in the act complained of;
c) c) Where there is no appointed administrator
(Atty. GemyLinoFestin, Special Proceedings: A
Foresight to the Bar Exam, 2011 ed.)
6.G.2 Requisites before Creditor may bring
an Action for Recovery of Property
Fraudulently Conveyed by the Deceased:
For the creditor to file an action to recover
property fraudulently conveyed by the deceased,
the following requisites must be present:
1. There is a deficiency of assets in the hands of
an executor or administrator for the payment
of debts and expenses of administration (Rule
87 Sec. 9);
2.
3. The deceased in his lifetime had made or
attempted to make a fraudulent conveyance
of his real or personal property, or a right or
interest therein, or a debt or credit, with
intent to defraud his creditors or to avoid any
right, debt or duty; or had so conveyed such
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property, right, debt, or credit that by law the
conveyance would be void as against his
creditors (Rule 87, Sec. 9);
4.
5. The subject of the attempted conveyance
would be liable to attachment by any of them
in his lifetime (Rule 87, Sec. 9);
6.
7. The executor or administrator has shown to
have no desire to file the action or failed to
institute the same within a reasonable time;
8.
9. Leave is granted by the court to the creditor
to file the action;
10.
11. A bond is filed by the creditor as prescribed
in the Rules; and
12.
13. The action by the creditor is in the name of
the executor or administrator (Rule 87, Sec.
10).

NoteOTE:

The last three requisites are unnecessary where

the grantee is the executor or administrator
himself, in which case the action should be in the
name of all the creditors(Rule 87, Sec. 10).

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How To File A Claim

(Rule 86, Sec. 9 to 14)

Form of Claim

Claim founded on a
bond, bill, note or any
other instrument.

Original need not On demand of the

be filed, but a copy executor or
thereof with all administrator, or
indorsements shall by order of the
be attached to the court or judge.
claim and filed
therewith.

If not lost or If lost or

destroyed destroyed

Original shall be Claimant must

exhibited accompany his
claim with
affidavit or
affidavits
containing a copy
or particular
description of the
instrument and
stating its loss or
destruction

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How to File a Claim

Filing of a Claim Delivering the same with the necessary

vouchers to the clerk of court

Serve a copy on the

executor or administrator

Claim is due Claim not due/Contingent

Must be supported by affidavit Supported by affidavit

stating: stating the particulars
The amount justly due; thereof
That no payments have been made
thereon which are not credited;
That there are no offsets to the
same, to the knowledge of the affiant

Claim one filed shall be attached to the record

of the case in which the letters testamentary or
of administration were issued
The court in
its discretion
Within fifteen (15) days after service of a copy
may extend
of the claim on the executor or administrator
the time for
on the claimant
filing such
answer
A copy of the answer shall be served by the
executor or administrator on the claimant

Admitted Claim Contested Claim

With notice to
both parties
Clerk submits to The Court, in its Trial
the court and discretion, before Court may refer
approved without approving the claim, may the claim to a
hearing order that known heirs, Judgment filed with the commissioner
legatees, or devisees be record of the
notified and heard. administration
proceedings with notice
to both parties.
If an heir, legatee, or devisee
opposes the claim, the court may, Appeal: Record on Appeal filed within
in its discretion, allow him fifteen 30 days from notice of judgment
(15) days to file an answer to the
claim

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Note: When the affidavit is made by a person
other than the claimant, he must state the reason
why it is not made by the claimant.
SALES, MORTGAGES AND OTHER
ENCUMBRANCES OF PROPERTY OF
DECEDENT
Note: All actions must be done through an
ADMINISTRATOR or EXECUTOR.
Sale of decedent’s personal property
without court order prohibited
An executor or administrator may be held
answerable for selling the decedent’s property
without a court order. The assent of the heirs is
insufficient to vest in him the power to dispose of
the decedent’s property (De Leon and Wilwayco,
Special Proceedings Essentials for Bench and Bar,
p.171, 2015 ed.).
Court cannot motuproprio order the sale of
personal property
It is essential that the executor or administrator
applies for such sale with the court and gives
written notice to the heirs and other persons
interested. It must also be shown that the sale is
necessary for the payment of the debts,
expensesof administration or legacies, or the
preservation of the property (De Leon and
Wilwayco, Special Proceedings Essentials for Bench
and Bar, p.171, 2015 ed.)
Order of sale of personalty, when proper
The court may order the whole or part of the
personal estate to be sold if it appears necessary
for:
c) paying debts, expenses of administration or
legacies; or,
d) preservation of the property(Rule 89, Sec. 1)
Sale, mortgage, or other encumbrance
(SME) of realty through personalty NOT
exhausted (Rule 89, Sec. 2)
When may be authorized by the court
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d. When personal property is not sufficient to
cover the debts, expenses of administration
and legacies; OR
e. When sale of personal estate may injure the
business interests of those interested in the
estate; AND
f. Testator has not made sufficient provision for
the payment of debts, expenses, and legacies
Requisites
4) Court application of executor or administrator;
5) Written notice to the heirs, devisees and
legatees residing in the Philippines
6) SME clearly appears beneficial to persons
interested
General Rule: Only so much as may be
necessary of the real estate need be sold,
mortgaged or encumbered.
Exception: When whole property may be sold:
3. If the SME of a part will injure those
interested in the remainder; and
4. If it is necessary under the circumstances
Any person interested in the estate may prevent
the sale, mortgage or encumbrance of real or
personal property part of the estate by giving a
bond in an amount fixed by the court,
conditioned on the payment of debts, expenses
of administration and legacies, as well as security
of the creditors, executor or administrator (Rule
89, Sec. 3)
Sale of estate as beneficial to interested
persons (Rule 89, Sec. 4)
The primary consideration of the court for
authorizing the sale under this provision is the
interest and benefit to the heirs, devisees,
legatees and other interested persons.
General Rule: Purpose of the sale of estate
under Rule 89 must be for the payment of debts,
expenses of administration or legacies, or for
preservation of property.
Exception: Sale of estate may be authorized by
the court even if not necessary for the
and
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abovementioned purposes, provided such sale is
beneficial to interested persons.
Any proceeds derived from the sale shall be
assigned to the persons entitled to the estate in
the proper proportions.
Exception to the Exception: Authority to sell
estate as beneficial to interested persons shall
NOT be granted if inconsistent with the
provisions of a will.
Sale, mortgage or other encumbrance of
estate to pay debts and legacies in other
countries
The court in the Philippines may authorize the
executor or administrator to sell the personal
estate or to sell, mortgage or encumber the real
estate for the payment of debts or legacies in
another country if it appears from the records
and proceedings of a probate court in another
country that the estate of the deceased in such
other country is insufficient to pay the debts,
expenses of administration, and legacies there
(Rule 89, Sec. 5).
Sale, mortgage, or other encumbrance of
realty acquired on execution or foreclosure
This is allowed under the same circumstances
and under the same regulations prescribed for
the sale, mortgage or other encumbrance of
other real estate (Rule 89, Sec. 6).
Regulations for granting authority to sell,
mortgage, or encumber estate (Rule 89, Sec.
7).
The court having jurisdiction of the estate of the
deceased may authorize the executor or
administrator to sell personal estate or to sell,
mortgage, or otherwise encumber real estate:
3) In cases provided by these rules; and,
4) When it appears necessary or beneficial
under the following regulations:
d. The executor or administrator shall file a
written petition setting forth the
following:
 Debts due from the deceased
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 Expense of Administration
 Legacies
 Value of the personal estate
 Situation of the estate to be sold,
mortgaged or encumbered
 Other facts showing that the SME is
necessary or beneficial [Rule 89, Sec.
7(a)].
e. The court shall fix the time and place for
hearing the petition, with notice to the
persons interested.
The notice shall state the following:
 nature of the petition
 reasons for the petition
 time and place of the hearing
Note: The notice must be given
personally or by mail to the persons
interested. The court may also cause
such further notice to be given by
publication or otherwise as it shall deem
proper [Rule 89, Sec. 7(b)].
f. The executor or administrator shall give
an additional bond if so required by the
court.
The bond must be in such sum as the court
directs, and conditioned that the executor or
administrator will account for the proceeds of the
sale, mortgage or other encumbrance [Rule 89,
Sec. 7(c)].
Effect of compliance with the foregoing
regulations
The court, by order stating such compliance, may
authorize the executor or administrator to sell,
mortgage or encumber such part of the estate as
is deemed necessary. The executor or
administrator shall be furnished with a certified
copy of such order [Rule 89, Sec. 7(d)].
In case of sale, the court may authorize it to be
in public or private, as would be most beneficial
to all parties concerned [Rule 89, Sec. 7(d)].
In case of sale at auction, the mode of giving
notice of the time and place of the sale shall be
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governed by the provisions on notice of execution
sale [Rule 89, Sec. 7(e)].
Record in the Registry of Deeds
A certified true copy of the order of the court,
together with the deed of the executor or
administrator for such real estate, shall be
recorded in the registry of deeds of the
province where the real estate is situated. The
deed shall be as valid as if it had been executed
by the deceased in his lifetime [Rule 89, Sec.
7(f)].
Conveyance of realty which deceased
contracted to convey (Rule 89, Sec. 8)
Requisites
8. The deceased, during his lifetime, was under
a contract to deed real property or an
interest therein;
9. The contract is valid and binding;
10.Application to authorize the executor or
administrator to convey the property
according to the contract;
11.If there be modifications in the contract, the
same should be agreed upon by the parties
and approved by the court;
12.Notice of the application given personally or
by mail to all persons interested;
13.Further notice given by publication or
otherwise, as the court deems proper; and,
14.The conveyance must not reduce the value
of the estate to the extent of depriving
creditors payment of their claims
Note: If the contract is to convey real property
to the executor or administrator, the clerk of
court shall execute the deed.
The deed executed by the executor,
administrator or the clerk of court, as the case
may be, shall be as effectual as if executed by
the deceased in his lifetime.
Conveyance of lands which deceased held
in trust (Rule 89, Sec. 9)
Requisites
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5. The deceased, during his lifetime, held real
property in trust for another person;
6. Application to authorize the executor or
administrator to convey the property;
7. Notice of the application given personally or
by mail to all persons interested;
8. Further notice given by publication or
otherwise, as the court deems proper;
The court may order the execution of such trust,
whether created by deed or by law.
Note: The fact that creditors would be affected
would not prevent the conveyance since the
property does not form part of the estate.(MBTC
vs. S.F. Naguiat Enterprises, G.R. No. 178407, March
18, 2015),
6.HA10. DISTRIBUTION AND PARTITION
OF THE ESTATE
The settlement of a decedent’s estate is a
proceeding in rem which is binding against
the whole world. All persons having
interest in the subject matter involved,
whether they were notified or not, are
equally bound (DBP vs. Labor Arbiter Santos,
G.R. No. 78261-62, March 8, 1989).
When order for distribution of residue
made (Rule 90, Sec. 1)
An order for distribution of the residue
shall be made after payment of all:
1. Funeral expenses
2. Inheritance Tax
3. Debts
4. Expenses for administration
5. Allowance of the widow
General Rule: No distribution shall be
allowed until the payment of the
obligations above mentioned has been
made or provided for.
Exception:Distributees, or any of them, give a
bond, in a sum to be fixed by the court,
conditioned for the payment of said obligations
within such time as the court directs.
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Note: What the court is enjoined from doing is
the distribution of the residue of the estate
before its obligations are first paid. The court is
not enjoined from making the declaration of heirs
(Ngo ThaHua vs. Chung KiatHua, G.R. No. L-17091,
September 30, 1963).
The widow and minor or incapacitated children of
a deceased person, during the settlement of the
estate, shall receive therefrom under the
direction of the court, such allowance as are
provided by law (Section 3, Rule 83, Special
Proceedings, 1964 Rules on Civil Procedure).
It is settled that allowances for support under
Section 3 of Rule 83 should not be limited to the
"minor or incapacitated" children of the
deceased. Article 188 of the Civil Code of the
Philippines, the substantive law in force at the
time of the testator's death, provides that during
the liquidation of the conjugal partnership, the
deceased's legitimate spouse and children,
regardless of their age, civil status or gainful
employment, are entitled to provisional support
from the funds of the estate. The law is rooted
on the fact that the right and duty to support,
especially the right to education, subsist even
beyond the age of majority (Pilapil vs. Heirs of
Briones, G.R. No. 150175, February 5, 2007).
Be that as it may, grandchildren are not entitled
to provisional support from the funds of the
decedent's estate. The law clearly limits the
allowance to "widow and children" and does not
extend it to the deceased's grandchildren,
regardless of their minority or incapacity. It was
error, therefore, for the appellate court to sustain
the probate court's order granting an allowance
to the grandchildren of the testator pending
settlement of his estate (Ruiz vs. CA, G.R. No.
118671, January 29, 1996).
Two (2) requisites before distribution of
Estate:
1. Liquidation - determination of all assets of
the estate and payment of all debts and
expenses.
2.
3. Declaration of heirs - undertaken to
determine to whom the residue of the estate
should be distributed.
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A separate action for the declaration of heirs is
not proper. It is made in the same
proceeding(Vda. de Kilayko vs. Tengco, G.R. No.
45425, April 29, 1939).
The net estate of the decedent must be
ascertained by deducting all payable obligations
and charges from the value of the property
owned by the deceased at the time of his death;
then, all donations subject to collation would be
added to it. With the partible estate thus
determined, the legitime of the compulsory heir
or heirs can be established; and only then can it
be ascertained whether or not a donation had
prejudiced the legitimes(Heirs of Doronio vs. Heirs
of Doronio, G.R. No. 169454, December 27, 2007).
Payment of obligations, liquidation of estate and
distribution of a decedent’s assets may only be
ordered under any of the following three
circumstances:
a) when the inheritance tax, among others, is
paid;
b) when a sufficient bond is given to meet the
payment of the inheritance tax and all other
obligations; and
c) when the payment of the said tax and all
other obligations has been provided for (Rule
90 Sec. 1).
Other matters that may be determined by
the probate court in the declaration of
heirs:
1. Whether or not a person is acknowledged
natural child of decedent (Conde vs. Abaya, G.R.
No 4725, March 23,1909)
2. Validity of disinheritance effected by the
testator (Hilado vs. Ponce De Leon, G.R. No. 8020,
October 27, 1953)
3. Status of a woman who claims to be the
lawful wife of the decedent (Torres vs. Javier,
GR No. L-10560, March 24, 1916)
An adoption decree cannot be assailed collaterally
in settlement proceedings (Santos vs. Aranzanso
G.R. No. L-26940, August 21, 1982).
Note: when a petitioner’s claim is anchored on a
sale of the property to her predecessor-in-
interest and not on any filiation with the original
owner, no judicial declaration of heirship is
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necessary (Pas Capablanca vs.Heirs of Pedro Bas,
G.R. No. 224144, June 28, 2017).
Conditions precedent for the issuance of an
order for distribution of residue (Rule 90, Sec.
1)
1. Application by the executor, administrator or
person interested in the estate; and
2. Fulfilment of notice and hearing upon such
application.
The court acquires jurisdiction over all persons
interested through publication of notice and any
order that may have been entered thereafter
shall be binding against all of them (Manalo vs.
Paredes GR No 24168 September 22, 1925).
6.H.1 Liquidation
General Rule: Before an order of distribution or
assignment, it must be shown that the “debts,
funeral expenses and expenses of administration,
allowances, taxes, etc., chargeable to the estate”
have been paid.
Exception: If the distributees give a bond
conditioned on the payment of above obligations
(Rule 90, Sec. 1). Thepart distributed must not be
subject to any controversy or appeal. (Rule
109.Sec. 2)
6.H.2 Project of partitionn
It iisa document prepared by the executor or
administrator setting forth the manner in which
the estate of the deceased is to be distributed
among the heirs. It is a proposal for distribution
of the hereditary estimates and determines the
persons entitled thereto (Moran, Comments on the
Rules of Court, 1997 ed., Vol. 3, pp. 688-689).
The probate court, in the exercise of its
jurisdiction to distribute the estate, has the
power to determine the proportion or parts to
which each distributee is entitled (Vda. de Kilayko
vs. Tengco G.R. No. 45425 March 27, 1992).
Towards the end of the proceedings in a
settlement of estate petition, a project of
partition is usually prepared and presented to the
court.
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If the estate is a testate estate, the project of
partition must conform to the terms of the will; if
intestate, the project of partition must be in
accordance with the provisions of the Civil Code
(Camia de Reyes vs. Reyes de Ilano, G.R. No.
42092, October 28, 1936)
Finality of the approval of project of partition, by
itself, does not terminate probate proceeding
(Timbol vs. Cano, G.R. No. L-15445, April 29, 1961).
As long as the order of the distribution of the
estate has not been complied with, the probate
proceedings cannot be deemed closed and
terminated (Lee vs. CA, G.R. No. L-37135, December
28, 1973).
Probate court loses jurisdiction of an estate under
administration only after payment of all debts
and remaining estate delivered to heirs entitled
to receive the same (Guilas vs. Judge of CFI of
Pampanga, G.R. No. L-26695, January 31, 1972).
A judicial partition is not final and conclusive and
does not prevent the heir from bringing an action
to obtain his share, provided the prescriptive
period has not closed (Mari vs. Bonilla, G.R. No. L-
852, March 19, 1949).
A probate court has the power to enforce an
accounting as a necessary means to its authority
to determine the properties included in the
inventory of the estate to be administered,
divided up, and distributed. Beyond this, the
determination of title or ownership over the
subject shares may be conclusively settled by the
probate court as a question of collation or
advancement (Reyes vs. RTC Makati, Branch 142,
G.R. No. 165744, August 11, 2008).
Partial distribution of the estate should not have
been allowed. There was no determination on
sufficiency of assets or absence of any
outstanding obligations of the estate of the late
Raymond Triviere made by the RTC in this case.
In fact, there is a pending claim by LCN against
the estate, and the amount thereof exceeds the
value of the entire estate (Peña and Nolasco Law
Office vs. LCN Construction Corp., G.R. No. 174873,
August 26, 2008).
Although the right of an heir over the property of
the decedent is inchoate as long as the estate
has not been fully settled and partitioned, the law
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 Purple Notes
allows a co-owner to exercise rights of ownership
over such inchoate right.
Once an action for the settlement of an estate is
filed with the court, the properties included
therein are under the control of the intestate
court. And not even the administrator may take
possession of any property that is part of the
estate without the prior authority of the Court
(Silverio, Jr. vs. CA, G.R. No. 178933, September 16,
2009).
6.H.3 Remedy of an heir entitled to residue
but not given his share
If there is a controversy before the court as to
who are the lawful heirs of the deceased person
or as to the distributive shares to which each
person is entitled under the law, the controversy
shall be heard and decided as in ordinary
cases (Rule 90, Sec. 1).
Remedies available, when proper
1. Motion for Reconsideration or Appeal.
Where an heir who has been duly notified of
the proceedings is not included or not given
any share in the order of distribution, he must
move for reconsideration or appeal therefrom
within 30 days from notice. Otherwise, the
order becomes final.
It has been held that an order which
determines the distributive share of the heirs
of a deceased person is appealable. If not
appealed within the reglementary period, it
becomes final (Imperial vs. Muñoz, G.R. No. L-
30787, August 29, 1974).
2. Action to Annul the Judgment. Where the
heir and his address is known to the
petitioner, but no notice was given to him, the
heir can file an action to annul the judgment.
The failure to notify him deprives the probate
court of jurisdiction to render a valid
judgment(Pinausukan Seafood House vs. FEBTC,
G.R. No. 159926, January 20, 2014).
3. Motion for Delivery of Share or to Re-
Open the Proceedings. Where the heir or
his address is unknown and no notice was
given to him, he can file a motion with the
probate court for the delivery of his share or
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to re-open the proceedings if the order of
closure is not yet final.
Where the heir is given a share in the order of
distribution, he may move for the delivery of
the same to him, even after the closure of the
proceedings. The provisions of Rule 39, Sec. 6
do not apply to special proceedings.(Jerez vs.
Nietes, G. R. No.L-26876, December 27, 1969).
4. Action for Reconveyance. If the order of
closure has become final, the remedy of the
heir is to file an action for reconveyance
against the distributees, subject to acquisitive
prescription (Rodil vs. Benedicto, G.R. No. L-
28616, January 22, 1980).
The heir may demand his share through:
a. A proper motion in the same probate or
administration proceedings, or
b. Motion to reopen if it had already been closed,
and not through an independent action which
would be tried by another court or judge
which might reverse a decision or order of the
probate court already final and executed and
reshuffle properties long ago distributed and
disposed of (Guilas vs. Judge of CFI of Pampanga,
G.R. No. L-26695, January 31, 1972).
The better practice for the heir who has not
received his share is to demand his share
through a proper motion in the same probate
or administration proceedings, or for
reopening of the probate or administrative
proceedings if it had already been closed, and
not through an independent action, which
would be tried by another court or judge
(Ramos vs. Ortuzar, G.R. No. L-3299, August 29,
1951).
Four cases illustrate the proper remedy:
1. Vda. de Lopez vs. Lopez (35 SCRA 81)
2. Divinagracia vs. Rovira(72 SCRA 307)
Both involved the issue of the reglementary
period within which non-parties to the
partition, heir, devisee or any person
interested in the estate, can reopen the case.
Conclusion: If proceeding already closed,
motion to reopen may be filed by a non-party
deprived of his lawful participation, as long as
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it is within 30 days (now 15 days) or before
order closing the proceedings becomes final. It is not supposed to issue a writ of execution
because its orders usually refer to the
3. Guillas vs. Judge of CFI of Pampanga (43 adjudication of claims against the estate which
SCRA 111) the executor or administrator may satisfy without
4. Heirs of Jesus Fran vs. Salas (210 SCRA the necessity of resorting to a writ of execution.
303) The probate court, as such, does not render any
judgment enforceable by execution (De Valera vs.
Both involved parties who have not received their Ofilada, G.R. No. L-26, September 12, 1974)
shares.

Conclusion: Parties to partition agreement who Exceptions:

have not received their shares can file a motion
for execution within 5 YEARS. But if other 1. Partition Expenses - to enforce payment of
grounds such as forgery of will are raised, final expenses of partition (Rule 90, Sec. 3)
judgment cannot be attacked EXCEPT through a 2. Examination Costs - to satisfy the costs when
separate action. The validity of a final judgment a person is cited for examination in probate
can be assailed through a petition for relief under proceedings (Rule 132, Sec. 13)
Rule 38, annulment of judgment under Rule 47, 3. Contributive Shares - to satisfy the
and petition for certiorari under Rule 65, contributive shares of devisees, legatees and
assuming the judgment is void for want of heirs in possession of the decedent’s
jurisdiction (Special Proceeding Bar Review, Justice assets (Rule 88, Sec. 6)
MagdangalDe Leon). 4. Surety’s liability on bonds - to enforce liability
of sureties under bonds filed with the probate
Remedy of a Preterited Heir court (De Mendoza v. Pacheco,G.R. No. 43351,
February 26, 1937).
The intestate proceedings, although closed and
terminated, can still be opened within the Seven Stages in Settlement of Estate
prescriptive period upon petition by the preterited
heir (Solivio vs. CA, G.R. No. 83484, February 12, 1. Petition
1990). 2. Hearing
3. Court Order
Action upon an obligation created by law must be 4. Claims Against Estate
brought within 10 years from the time the right 5. Payment of Debts of Estate
of action accrues (Art. 1144, Civil Code). 6. Distribution and Partition of Estate(Rule 90,
Secs. 1 and 3)
� After the decision became final and 7. Closing
executory, the trial judge lost jurisdiction
over the case. Any modification that he Questions as to advancement to be
would make, i.e., the inclusion of Mary Lyon determined
Martin would be in excess of his authority.
The remedy of Mary is to file an independent Questions as to advancements made, or alleged
suit against the parties and all other heirs for to have been made, by the deceased to any heir
her share in the subject property, in order may be heard and determined by the court
that all the parties in interest can prove their having jurisdiction of the estate proceedings (Rule
respective claims (Nunal vs. CA, G.R. No. 94005, 90 Section 2).
April 6, 1993).
Final order thereon shall be binding on:
6.H.4 Instances when probate court may
issue Writ of Execution 1. The person raising the questions; and
2. Heirs (Gregorio vs. Madarang, G.R. No. 185226,
General Rule: As a general rule, a probate court February 11, 2010)
cannot issue a writ of execution.
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By whom expenses for partition paid (Rule legatees, or devisees.
90 Section 3) Order of Sale
No time limit. No time limit.
1. Executor or Administrator, if he has sufficient
effects in his hands and when equitable and When Appointment made
not inconsistent with the testator’s intention; For the settlement of the To carry into effect the
otherwise, decedent’s estate. provision of a will or a
written instrument.
2. Parties, in proportion to their respective
Bond
shares or interest in the premises.
Executor administrator is General rule: Trustee
exempted from filing a must file a bond. Failure
Recording the order of partition of estate bond even if the will to file a bond shall be
(Rule 90 Section 4) provides for exemption. deemed a refusal or
Where the will exempts resignation from the
Certified copies of final orders and judgments of the executor from filing a trust
the court relating to the real estate or the bond, a bond shall Exemptions:
partition thereof shall be recorded in the registry nevertheless be filed Trustee under a will may
of deeds of the province where the property is conditioned on the be exempted from giving
situated. payment of the decedent’s a bond when the testator
debts has directed or
requested such
6.I TRUSTEES exemption
When all persons
6.I.1 Distinction Between a Trustee and an beneficially interested in
Executor/Administrator the trust, being of full
age, request the
Executor/ Trustee exemption
Administrator Termination
Accounts Upon payment of the Upon turning over the
Accounts are filed only at Accounts must be filed debts of the estate and the property to the
such times as may be annually and must be distribution of the property beneficiary after the trust
required by the court. Only under oath. to the heirs has expired.
the initial and final Obligation to pay debts
accounts are required to Required to pay debts of No obligation to pay the
be made under oath. estate debts of the beneficiaries
or the trustor
Venue
Municipal Trial Court or Will: Regional Trial Court Executor/ Trustee
Regional Trial Court, which admitted the will Administrator
depending on the gross to probate Accounts
value of the estate. Written instrument:
Accounts are filed Accounts must be filed
Regional Trial Court of
the province where the only at such times as annually and must be
property is situated may be required by under oath.
Acts of Administration the court. Only the
Upon application to the On petition and after due initial and final
court with written notice to notice and hearing, the accounts are required
the heirs, the executor court may order the sale to be made under
may sell, encumber or or encumbrance of the oath.
mortgage the property if it property held in trust if it Venue
is (1) necessary for the is necessary or
purpose of paying: (a) expedient. The proceeds
debts (b) expenses of shall be reinvested or
administration (c) legacies applied in such a manner
or (2) for the preservation as will best effect the
of the property, or (3) objects of the trust.
beneficial to the heirs,
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Municipal Trial Court Will: Regional Trial Executor General rule: Trustee
or Regional Trial Court which admitted administrator is must file a bond.
Court, depending on the will to probate exempted from filing Failure to file a bond
the gross value of the Written instrument: a bond even if the shall be deemed a
estate Regional Trial Court of will provides for refusal or resignation
the province where exemption. Where from the trust
the property is the will exempts the Exemptions:
situated executor from filing a Trustee under a will
bond, a bond shall may be exempted
Acts of Administration nevertheless be filed from giving a bond
Upon application to On petition and after conditioned on the when the testator has
the court with written due notice and payment of the directed or requested
notice to the heirs, hearing, the court may decedent’s debts such exemption
the executor may order the sale or When all persons
sell, encumber or encumbrance of the beneficially interested
mortgage the property held in trust in the trust, being of
property if it is (1) if it is necessary or full age, request the
necessary for the expedient. The exemption
purpose of paying: proceeds shall be
(a) debts (b) reinvested or applied
expenses of in such a manner as
Termination
administration (c) will best effect the
Upon payment of the Upon turning over the
legacies or (2) for the objects of the trust
debts of the estate property to the
preservation of the
and the distribution beneficiary after the
property, or (3)
of the property to the trust has expired.
beneficial to the
heirs
heirs, legatees, or
Obligation to pay debts
devisees
Required to pay No obligation to pay
Order of Sale
debts of estate the debts of the
No time limit No time limit
beneficiaries or the
When Appointment made
trustor
For the settlement of To carry into effect
(De Leon and Wilwayco, Special Proceedings Essentials
the decedent’s estate the provision of a will
for Bench and Bar, pp.254-261, 2015 ed.)
or a written
instrument
Bond
NOTE:

A trustee, like an executor/administrator, holds

an office of trust, particularly when the trustee
acts as such under judicial authority (Trusteeship
of the Minors Benigno, Angela and Antonio Perez y
Tuazon, G.R. Nos. L- 16185-86, 1962).

The duties of executor/administrator are

however, fixed and/or limited by law whereas
those of the trustee of an express trust are,
usually governed by the intention of the trustor
or the parties, if established by contract. Besides,
the duties of trustees may cover a wider range
than those of executor/administrator of the
estate of deceased persons (Araneta v. Perez, G.R.
No. L-16962, 1962).
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6.I.2 Conditions of the Bond
General Rule: Before entering the duties of his
trust a trustee shall file with the clerk of court
having jurisdiction of the trust a bond in the
amount fixed by court.
Exception: The trustee may be exempted from
giving a bond when requested by:
a) Testator;
b) All persons beneficially interested in the
trust(Sec. 5, Rule 98).
CONDITIONS
1. Inventory
Make and return to the court a true inventory of
all real and personal estate that at the time of
the inventory shall have come to his possession
or knowledge;
2. Faithful Management
Manage and dispose of all such estate according
to law and the will of the testator or provisions of
the instrument or order under which he was
appointed;
3. Accounting
Render a true account of the property in his
hands; and
4. Settlement of account and delivery of
estate.
At the expiration of the trust, settle his accounts
in court and pay over and deliver all the estate
remaining in his hands, or due from him on such
settlement, to the person or persons entitled
thereto
6.I.3 Requisites for the Removal
Resignation of a Trustee
The proper Court of Instance may remove a
Trustee:
Purple Notes
Criminal
Remedial
1. Upon petition of the parties beneficially
interested
2. Due notice to the trustee
3. Hearing(Sec.8, Rule 98).
6.I.4 Grounds for Removal and Resignation
of a Trustee
Removal
a) The removal appears essential in the interest
of the petitioners
b) The trustee is insane
c) The trustee is otherwise incapable of
discharging the trust or is evidently unsuitable
to act as one
Resignation
A trustee may resign his trust if it appears to the
court proper to allow such resignation (Sec.8 Rule
98,).
6.I.5 Extent of Authority of Trustee
Nature of Possession
The possession of the property by the trustee is
not an adverse possession, but only a possession
in the name and in behalf of the owner of the
same.
A trustee may acquire the trust estate by
prescription provided there is a repudiation of the
trust, such repudiation being open, clear and
unequivocal, known to the cestuique trust. In
that case, prescription will commence to run from
and after said repudiation and the knowledge
thereof by the cestui (Salinas v. TuazonG.R. No. L-
33626, March 2, 1931).
or
Territoriality of Authority of Trustee
The powers of a trustee appointed by a Philippine
court cannot extend beyond the confines of the
territory of the Republic of the Philippines.
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In the execution of trusts, the trustee is bound to
comply with the directions contained in the trust
instrument defining the extent and limits of his
authority, and the nature of his power and duties
(De Leon and Wilwayco, Special Proceedings Essentials
for Bench and Bar, pp.254-261, 2015).
6.JC. ESCHEAT
Escheat is a proceeding whereby the real and
personal property of a deceased person in the
Philippines become the property of the state
upon his death, without leaving any will or legal
heirs (21 CJS, Sec. 1, p. 848).
Escheat is an incident or attribute of sovereignty,
and rests on the principle of the ultimate
ownership by the state of all property within its
jurisdiction (30 C.J.S., 1164.).
KINDS OF ESCHEAT
a) Unclaimed Balances Act -Unclaimed/Dormant
balances in banks (Act No. 3936)
b) Reversion Proceedings - A petition for
reversion of property alienated in violation of
the Constitution or statute (Rule 91, Sec. 5)
c) Intestate leaving no heir - A petition may be
filed when a person dies intestate, with real
properties within the Philippines, leaving no
heir entitled to the same (Rule 91, Sec. 1)
PARTIES IN ESCHEATPROCEEDINGS
The action must be initiated by the Solicitor
General or officer acting in his stead, in behalf of
Republic of the Philippines since it is the real
party in interest in the escheat proceedings.
(Manese vs. Spouses Velasco, G.R. No. 164024
January 29, 2009)
All interested parties, especially the actual
occupant and the adjacent lot owners shall be
personally notified of the proceedings and given
the opportunity to present their valid claims.
Otherwise, the property will be reverted to the
State (Tan vs. City of Davao, G.R. No. L-44347,
September 26, 1988).
“Interested party” is any person alleging to
have a direct right or interest in the property
sought to be escheated (Republic vs. CA and
Solano, G.R. No. 143483, January 31, 2002).
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6.J.1 When to file
When a person dies intestate, seized of real or
personal property in the Philippines, leaving no
heir or person by law entitled to the same, the
Solicitor General or his representative in behalf of
the Republic of the Philippines, may file a petition
in the Court of First Instance of the province
where the deceased last resided or in which he
had estate, if he resided out of the Philippines,
setting forth the facts, and praying that the
estate of the deceased be declared
escheated (Rule 91, Sec. 1).
6.J.2 Requisites for filing of petition
1. That a person died intestate;
2. That he left no heirs or person by law entitled
to the same; and
3. That the deceased left properties in the
Philippines (City of Manila vs. Archbishop of
Manila, G.R. No. 10033, August 30, 1917).
6.J.2.a. Escheat of Estates
Where to File
Regional Trial Court of the place where the
deceased was resident, or in which he had
estate, if he was a nonresident. (Rule 91, Sec 1)
Notice and Publication (Rule 91, Sec. 2)
1. entry of order.
2. Publication of order at least once a week for 6
consecutive weeks in a newspaper of general
circulation in the province.
3. Date of hearing not more than 6 months after
publication
4. Publication ofof the notice of hearing is a
jurisdictional requisite, non-compliance
with which affects the validity of the
proceedings (Divino v. Hilario, 62 Phil. 926).
Escheat proceedings cannot be converted to
settlement of the estate because the court
acquired jurisdiction to hear petition for escheat
by virtue of publication of the petition for
and
 Purple Notes
escheat. The jurisdiction acquired cannot be
converted into one for the distribution of the
properties of the said decedents. For such
proceedings (distribution of the estate of the
decedent) to be instituted, the proper parties
must be presented and the proceedings should
comply with the requirements of the Rule (In the
Matter of Escheat Proceedings of the Estate of the
Deceased Anne Fallon Murphy vs. Bezore, L-14157,
October 26, 1960).
General Rule: A judgment in escheat
proceedings, when rendered by a court of
competent jurisdiction, is conclusive against all
persons with actual or constructive notice.
Exception: Those who are not parties or
privies thereto are not bound by such judgment
(Republic vs. CA and Solano, G.R. No. 143483, January
31, 2002).
6.J.2.b. Escheat oOf Unclaimed Balances
Unclaimed balances which include credits or
deposits of money, bullion, security or other
evidence of indebtedness of any kind, and
interest thereon with banks in favor of any
person unheard from for a period of ten (10)
years or more, together with the interest and
proceeds thereof shall be deposited with the
Insular Government of the Philippines as the
Philippine Legislature may direct (Act No. 3936,
Unclaimed Balances Act, Sec. 1)
Action to recover unclaimed balances shall be
commenced by the Solicitor General in an action
for escheat in the name of the People of the
Philippines in the Regional Trial Court of the
province where the bank is located, in which shall
be joined as parties the bank and such creditors
or depositors. All or any member of such
creditors or depositors or banks, may be included
in one action (Republic vs. CFI of Manila and Pres.
Roxas Rural Bank, Inc., G.R. No. L-30381, August 30,
1988).
6.J.3 REMEDY AGAINST PETITIONRemedy
of respondent against petition; period for
filing a claim
Motion to Dismiss
Criminal
Remedial
When a petition for escheat does not state facts
which entitle the petitioner to the remedy prayed
for, and even admitting them hypothetically, it is
clear that there is no ground for the court to
proceed to the inquisition provided by law, an
interested party should not be disallowed from
filing a motion to dismiss the petition which is
untenable from all standpoints. And when the
motion to dismiss is entertained upon this
ground, the petition may be dismissed
unconditionally and the petitioner is not entitled
to be afforded an opportunity to amend his
petition (Go Poco Grocery vs. Pacific Biscuit Co., 65
Phil. 443)
Motion to Dismiss as Demurrer
While the Rules do not in fact authorize the filing
of a motion to dismiss the petition presented for
that purpose, and the Rules permitting the
interposition of a motion to dismiss to the
complaint and answer, respectively, are not
applicable to special proceedings, nevertheless,
there is no reason of a procedural nature which
prevents the filing of a motion to dismiss based
upon any of the grounds provided for by law for
a motion to dismiss the complaint. In such a
case, the motion to dismiss plays the role of a
demurrer and the court should resolve the legal
questions raised therein (Municipal Council of San
Pedro, Laguna vs. Colegio de San Jose, 65 Phil. 318).
6.J.4PERIOD FOR FILING OF CLAIM
If a devisee, legatee, heir, widow, widower, or
other person entitled to such estate appears and
files a claim thereto with the court within five (5)
years from the date of such judgment, such
person shall have possession of and title to the
same, or if sold, the municipality or city shall be
accountable to him for the proceeds after
deducting reasonable charges for the care of the
estate; but a claim not made within the said time
shall be forever barred (Rule 91, Sec 4).
Note: Five-year period is prescribed to
encourage would-be claimants to be punctilious
in asserting their claims; otherwise, they may
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lose them forever in a final judgment (Republic vs. 6.K. GUARDIANSHIP
CA, G.R. No. 143483, January 31, 2002)
A guardianship is a trust relation of the most
DISTRIBUTION OF PROPERTIES sacred character, in which one person, called a
"guardian" acts for another called the "ward"
Resident of the Non-resident of the whom the law regards as incapable of managing
Philippines Philippines his own affairs (Oropesa vs. Oropesa, G.R. No.
184528, April 25, 2012).
Personal Property Respective
 municipality or city municipalities or cities
Governing Law
where the decedent where the properties
last resided in the are located.
Philippines. A.M. No. 03-02-05- Rule 92 to Rule 97 of
SC (May 1, 2003) the Rules of Court
Governs guardianship Governs guardianship of
Real Property over the person, incompetents who are
 municipality or city in property or both of not minors.
which the property is minors.
situated.

WHEN ESCHEAT PROCEEDINGS Other rules in relation to Minors:

WILL NOT PROSPER
The Municipality based their claims to escheat a
certain Hacienda de San Pedro Tunasan on the
fact that certain properties including the
Hacienda were confiscated by the Crown of
Spain, which later passed on title to the property
to the Government of the Philippines. The Court
ruled that the petition for escheat cannot prosper
because it is no longer the case of real property
owned by a deceased person who has not left
any heirs or person who may legally claim it
(Municipal Council of San Pedro, Laguna vs. Colegio de
San Jose, G.R. No. L-45460, February 25, 1938).
Rule 91 does not cover properties taken from
enemy nationals as a result of World War II and
required to be transferred to the Republic of the
Philippines by the United States in accordance
with the Philippine Property Act of 1946. Such
properties belong to the Philippine government
not by virtue of the escheat proceedings but on
the strength of the transfer authorized and
required by the said Act (Republic vs. IAC, G.R. No.
73831, February 27, 1987).
The right to escheat may be waived, either
expressly or impliedly (Roman Catholic Archbishop of
Manila vs. Monte de Piedad, G.R. No. L-45496, May 5,
1939).
1. Rule on Examination of a Child
Witness(A.M. No. 00-4-07-SC), effective
December 15, 2000.
2. Rule on Juveniles in Conflict with the
Law(A.M. No. 02-1-18-SC), effective April 15,
2002.
3. Rule on Commitment of Children(A.M. No.
02-1-19-SC), effective April 15, 2002.
4. Rule on Domestic and Inter-Country
Adoption (A.M. No. 02-6-02-SC), effective
August 22, 2002.
5. Rule on Declaration of Absolute Nullity
of Void Marriages and Annulment of
Voidable(A.M. No. 02-11-10-SC), effective
March 15, 2003.
6. Rule on Legal Separation(A.M. No. 02-11-
11-SC), effective March 15, 2003.
7. Rule on Provisional Orders (A.M. No. 02-
11-12-SC), effective March 15, 2003.
8. Rule on Custody of Minors and Writ of
Habeas Corpus in Relation to Minors (A.M.
No. 03-04-04-SC), effective May 15, 2003.
9. Rule on Violence against Women and
Their Children(A.M. No. 04-10-11-SC),
effective November 15, 2004 (following the
enactment of R.A. No. 9262, An Act Defining
Violence against Women and their Children,
Providing for Protective Measures for Victims,
Prescribing Penalties Therefor, and for Other

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 Purple Notes
Purposes, or Anti-VAWCI Law, effective March
27, 2004).
Basis of Guardianship
Where minors are involved, the State acts as
parenspatriae. It is the duty of protecting the
rights of persons or individuals who because of
age or incapability are in an unfavorable position
vis-à-vis other parties (Nery vs. Lorenzo, G.R. No. L-
23096, April 27, 1972).
Purpose of Guardianship
It is intended to preserve the ward’s property, as
well as to render any assistance that the ward
may personally require. It has been stated that
while custody involves immediate care and
control, guardianship indicates not only those
responsibilities, but those of one in loco parentis
as well (Oropesa vs. Oropesa, G.R. No. 184528, April
25, 2012).
Kinds of Guardian
1. Legal guardian - a guardian by provision of
law, without the need for judicial
appointment.
Parents are the the legal guardian over the
persons of their minor children or in respect of
their minor children’s property where the
value does not exceed Php.50,000.00.
When the market value of the property or the
annual income of the child exceeds
Php.50,000.00, the parent concerned shall be
required to furnish a bond in such amount as
the court may determine to guarantee the
performance of the obligations prescribed for
general guardians.
The amount of the bond shall in no case be
less than 10% of the value of the property or
annual income of the child (Rule on
Guardianship of Minors, Sec. 16).
2. Guardian ad litem - a competent person
appointed by the court for purposes of a
particular action or proceeding involving a
minor.
Criminal
Remedial
In resolving whether to appoint a guardian ad
litem for the respondent, the court only
needed to make a finding that based on clear
and convincing evidence, the respondent is
incompetent and that it is more likely than not
that his welfare requires the immediate
appointment of a temporary guardian (Rivero
vs. CA, G.R. No. 141273, May 17, 2005).
3. Judicial guardian - a person appointed by
the court for the person, property or both of
the ward to represent the latter in all acts and
litigations.
6.KD.1. VENUE
Where to institute guardianship
proceedings (Rule 92, Sec. 1)
1. Guardianship over incompetent -– it is
filed with theRTC of the place where the
incompetent resides. If the incompetent is
anon-resident, it is filed with the RTC of the
place where the incompetent’s property or
part thereof is situated.
“Incompetent” includes:
a. Those suffering the penalty of civil
interdiction;
b. Hospitalized lepers;
c. Prodigal;
d. Deaf and dumb who is unable to read and
write;
e. Those of unsound mind though they may
have lucid intervals;
f. Those not of unsound mind, but by reason of
weak mind, age, disease and other similar
causes, cannot, without outside aid, take care
of themselves and manage their own property
(Rule 92, Sec. 2)
2. Guardianship over a minor – it is fFiled
with the Family Court of the place where the
minor actuallyresides. If a non-resident, with
the Family Court of the place where the
minor’s property or part thereof is situated.
Note: In the City of Manila, the proceedings shall
be instituted in the Juvenile and Domestic
Relations Court (Rule 92, Sec. 1).
Transfer of Venue
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The court taking cognizance of a guardianship
proceeding may transfer the same to the court of 1. Any relative; 1. Any relative; 1. Any relative;
another province or municipality wherein the
ward has acquired real property, if he has 2. Friend; 2. Other person 2. Friend; or
transferred thereto his bona fide residence. The on behalf of
3. Other person the minor; 3. Interested
latter court shall have full jurisdiction to continue
on behalf of person in the
the proceedings without requiring payment of the resident 3. The minor estate.
additional court fees (Rule 92, Sec. 3). incompetent himself, if 14
who has no years of age Note: Notice
6.KD.2. APPOINTMENT OF GUARDIANS
parents or or over; shall be given
lawful through
A creditor and mortgagee of the estate of a
guardian; 4. Secretary of publication.
minor cannot be appointed as guardian of the
DSWD and
person as well as the property of the latter. No 4. Director of Secretary of
man can serve two masters (Garchitorena vs. Health in DOH in case
Sotelo G.R. No. L-47867, November 13, 1942). favor of of an insane
insane minor who
Factors in selecting guardian person who should be
should be hospitalized or
1. Financial situation; hospitalized in favor of
2. Physical condition; or in favor of isolated leper;
3. Sound judgment, prudence and isolated or,
trustworthiness; leper; or,
4. Moral character and conduct; 5. Any one
5. Present and past history of a prospective 5. Any one interested in
appointee; and interested in the estate of a
6. Probability of his being able to exercise the estate non-resident
minor
the powers and duties of guardian for the
full period during which guardianship will
be necessary (Francisco vs. CA, G.R. No. L- Guardianship Guardianship Over a non-
57438, January 31, 1984) over an over a Minor resident
Incompetent incompetent
Who may file (Rule 93, Sec. 1) or minor (Rule
93 Sec. 6)
Guardianship Guardianship Over a non-
over an over a Minor resident
Incompetent incompetent or
minor (Rule 93
Sec. 6)

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 Purple Notes
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6. Any 6. Any 4. Any Guardianship over Guardianship over
relative; relative; relative; an Incompetent a Minor
7. Friend; 7. Other 5. Friend; or
1. Jurisdictional 1. Jurisdictional
8. Other person on 6. Interested
facts; facts;
person on behalf of person in
behalf of the the 2. Incompetency 2. Name, age and
the minor; estate. rendering such residence of the
resident 8. The appointment prospective ward;
incompeten minor Note: Notice necessary or
t who has himself, if shall be given convenient; 3. Ground rendering
no parents 14 years through the appointment
3. Names, ages and necessary or
or lawful of age or publication.
residences of convenient;
guardian; over;
relatives of the
9. Director of 9. Secretary incompetent, and 4. Death of the
Health in of DSWD of persons having parents of the
favor of and him in their care; minor or the
insane Secretary termination,
person who of DOH in 4. Probable value deprivation or
should be case of and character of suspension of
hospitalized an insane estate; and, parental authority;
or in favor minor
5. Name of the 5. Remarriage of the
of isolated who person for whom minor’s surviving
leper; or, should be letters of parent;
10. Any one hospitaliz guardianship are
interested ed or in prayed. 6. Names, ages and
in the favor of residences of
estate isolated relatives within
leper; or, the 4th civil degree
10. Any one of the minor and
of persons having
interested
him in their care
in the and custody;
estate of
a non- 7. Probable value,
resident character and
minor location of the
property of the
minor; and,
Source: (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, p.216, 8. Name, age and
2015 ed.) residence of the
person for whom
letters of
guardianship are
prayed.

Source: De Leon and Wilwayco, Special Proceedings

Essentials for Bench and Bar, p.217, 2015 ed.

Contents of verified petition (Rule 93 Sec. 2)

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Notes
Criminal
Remedial The rules do not necessitate that creditors of the
minor or incompetent be identified and notified.

Note: Jurisdictional Facts that must be alleged:
 Incompetency or minority of person for
whom for whom
 guardianship is sought; and
 Fact of residence of ward where the court has
jurisdiction.
has
jurisdiction
Opposition to petition (Rule 93, Sec. 4)
The petition shall be verified but no defect in the
petition or verification shall render void the
issuance of letters of guardianship (Rule 93, Sec.
2).
Procedure after the filing of the petition
1. The court shall fix a time and place for
hearing the petition (Rule 93, Sec. 3)
2. The court shall cause reasonable notice to be
given and may direct other general or special
notice thereof (Rule 93, Sec. 3)
3. Any opposing party may file a written
opposition (Rule 93, Sec. 4)
4. The court shall hear the evidence of the
parties in support of their respective
allegations (Rule 93, Sec. 5)
5. Final orders or judgment shall be served (Rule
93, Sec. 8)
Court to set the petition for hearing notice
(Rule 93, Sec. 3)
General Rule: Publication is not required, only
notice.
Exception: In case of non-resident incompetent.
To whom notice served
1. Persons residing in the Philippines mentioned
in the petition; and
2. Incompetent or minor if 14 years of age or
over.
Creditors need not be identified and
notified
Rationale: Presence of creditors is not essential
to the proceedings for appointment of a guardian
because they will only insist that the supposed
minor or incompetent is actually capacitated to
enter into contracts, so as to preserve the validity
of said contracts and keep the supposed minor or
incompetent obligated to comply therewith
(Alamayri vs. Pabale, G.R. No. 151243, April 30, 2008).
Note: The written opposition need not be
verified.
Grounds
1. Competency of alleged incompetent or
majority of the alleged minor; or
2. Incompetency of person for whom letters are
prayed.
In addition, oppositor may likewise pray for
the dismissal of the petition; or that letters of
guardianship be issued in his favor or any
person suitable named in the opposition.
The ground of majority of the alleged minor
can only be raised before the Family Court
which has exclusive jurisdiction over
guardianship of minors (Rule on Guardianship of
Minors, Sec. 10).
Hearing and order for issuance of letters of
guardianship (Rule 93 Sec. 5)
During the hearing:
1. Alleged incompetent must be present, if able
to attend;
2. Required notice must be shown to have been
given; and
3. Court shall receive evidence.
If person is indeed incompetent, the court shall
appoint a suitable guardian and issue letters of
guardianship.
Parents as guardians (Rule 93, Sec. 7)

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 Purple Notes
1. If the value of the property or the annual
income of the child is Php. 50,000 or less -
joint exercise of legal guardianship by the
father and mother
In case of disagreement, the father’s decision
prevails, unless there is judicial order to the
contrary.
2. If the value of the property or the annual
income of the child exceeds Php.50,000 pesos
- verified petition must be filed for approval of
bond by the concerned parent
The amount of such bond, which must not be
less than 10% of the value of the property or the
annual income of the child, is to be determined
by the court (Rule on Guardianship of Minors, Sec.
16).
Service of judgment
Final orders or judgments shall be served upon
the civil registrar of the municipality or city where
the minor or incompetent person resides or
where his property or part thereof is situated
(Rule 93, Sec. 8).
6.KD.3. GENERAL POWERS AND DUTIES OF
GUARDIANS
1. To have the care and custody of the person of
his ward, and the management of his estate,
or the management of the estate only, as the
case may be (Rule 96, Sec. 1).
Note: That right to manage the ward's
estate carries with it the right to take
possession thereof and recover it from
anyone who retains it, 36 and bring and
defend such actions as may be needful
for this purpose (Caniza vs CA, G.R. No.
110427 February 24, 1997).
2. To pay the ward's just debts (Rule 96, Sec. 2).
3.
4. To settle accounts, collect debts, and appear
in actions for the ward (Rule 96, Sec. 3).
5.
6. To manage the estate of his ward frugally and
without waste, and apply the income and
Criminal
Remedial
profits thereon to the maintenance of the
ward (Rule 96, Sec. 4).
7.
8. To join in an assent to a partition of real or
personal estate held by the ward jointly or in
common with others when authorized by the
court (Rule 96, Sec. 5).
9.
10. To initiate a complaint when anyone is
suspected of having embezzled, concealed or
conveyed away any money, goods or interest,
or a written instrument belonging to the ward
or his estate so that the court may cite the
suspected person to appear for examination
and make such orders as will secure the
estate (Rule 96, Sec. 6).
11.
12. To render to the court an inventory of the
estate of his ward within three (3) months
after his appointment, and annually after such
appointment an inventory and account, the
rendition of any of which may be compelled
upon the application of an interested person
(Rule 96, Sec. 7).
13.
14. To initiate proceedings for securing an
inventory and appraisement whenever any
property of the ward not included in an
inventory already rendered is discovered, or
succeeded to, or acquired by the ward within
three (3) months after such discovery,
succession, or acquisition(Rule 96, Sec. 7).
15.
16.To present his account to the court for
settlement and allowance upon the expiration
of a year from the time of his appointment,
and as often thereafter as may be required
(Rule 96, Sec. 8).
6.DK.4. TERMINATION OF GUARDIANSHIP
Over an Incompetent Over a Minor
1. Ward has been 1. Ward attains the
determined to be age of majority.
competent by the 2. Ward has died.
guardianship
court.
2. Guardianship is no
longer necessary.
3.
Source: De Leon and Wilwayco, Special Proceedings
Essentials for Bench and Bar, 2015, p.231, 2015 ed.
Bar Operations
Commissions 345
345
 Purple
Notes
Criminal
Remedial
Proceedings for the Determination of 2. Resignation of guardian
Present Competency of the Ward
A guardian may resign when it appears proper
1. Filing by the ward, his guardian, relative or to allow the same (Rule 97, Sec. 2).
friend of a petition that competency of the
ward be judicially determined. Upon the guardian’s resignation or removal, the
court may appoint another in his place (Rule 97,
The petition shall be verified by oath and shall Sec. 2).
state that such person is then competent.

2. Upon receipt of the petition, the court shall fix

a time for hearing the questions raised
thereby and cause reasonable notice thereof
to be given to the guardian of the person so
declared incompetent, or to the ward.
3.

4. On the trial, the right to the relief demanded

may be contested by the guardian or relatives
of the ward and, in the discretion of the court, Amendments to Provisions of Rules of
by any other person. Witnesses may also be Court
called and examined by the parties or by the
court on its own motion. Rules of A.M. NO. 03-02-
5. Court 05

6. If it be found that the person is no longer Scope Minors and Minors.

incompetent, his competency shall be Incom-petents
adjudged and the guardianship shall cease.
Venue RTC or MTC Family Court of
Note: The guardian or the ward need not the province or
city where the
institute another proceeding for the declaration of
minor actually
the ward’s competency. The petition for such resides or if non-
declaration is merely a continuation of the resident, of the
guardianship proceedings. province or city
where his property
Other grounds or any part
thereof is situated.
1. Removal of incompetent guardian

A guardian, once appointed, may be removed

in case he:
Legal When the The father and the
guardian- property of the mother shall
a. Becomes physically disabled or ship of child under jointly exercise
incapacitated; parents parental legal guardianship
b. Becomes insane or mentally incapacitated; authority is over the person
c. Mismanaged or wasted the estate; worth and property of
d. Failed to render account or make return for Php.2,000 or their
30 days after it is due; less, the father unemancipated
e. Convicted of crime; or, or the mother, common child
without the without the
f. Becomes moral delinquent (Francisco vs. CA,
necessity of necessity of a
G.R. No. L-57438 January 31, 1984)
court appoint- court

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 Purple Notes
Criminal
Remedial
creates between two persons a relationship
ment, shall be appointment.
his legal similar to that which results from legitimate
guardian. paternity and filiation(Atty. Elmer Rabuya, Civil Law
Reviewer Vol. 1, p.231, 2017 ed.).
When the
property of the
6.L.1. Distinguish domestic adoption from
child is worth
more than
inter-country adoption(Atty. Elmer Rabuya, Civil
Php.2,000, the
Law Reviewer Vol. 1, p.232, 2017 ed.)
father or the
mother shall Domestic Adoption Inter-Country
be considered Adoption
guardian of
Applicability
the child's
property Entire adoption Petition for adoption
process takes place in is filed, supervised
Case Not required Required the Philippines custody is undertaken
Study and decree of
adoption is issued
outside the
Manner of No express At the discretion Philippines
Hearing provision. of the court, the
Adopter is a Filipino Adopter is a Filipino
hearing on
citizen permanently citizen permanently
guardianship may
residing in the residing abroad
be closed to the
Philippines
public and the
records of the Applies to a foreigner Applies to a foreigner
case shall not be who has been residing who does not satisfy
released without in the Philippines for the residency
its approval. at least 3 continuous requirement under
years prior to the R.A. 8552
Order of No order of Section 6 provides filing of the petition
preferenc preference. for order of for adoption and
e preference which maintained such
may be observed residency until the
as far as adoption decree has
practicable. been issued

Qualificat No express Section 5 provides

Residency requirement may be waived if:
ions of provision. for qualifications
Guardian of guardians.
a.) a) Adopter is a former Filipino who seeks to
Grounds Minority or Section 4 provides adopt a relative within the fourth civil degree
for incompetency for specific of consanguinity or affinity;
petition grounds for the
b.) b) Adopter seeks to adopt the legitimate
appointment of a
guardian over the son/daughter of his or her Filipino spouse;
person or or
property, or both, c.) c) Adopter is married to a Filipino citizen
of a minor and seeks to adopt jointly with his/her
spouse a relative of the latter within the 4 th
civil degree of consanguinity or affinity.
6.L. ADOPTION
d.) (Sec. 7(b), R.A. 8552)

Adoption is the process of making a child,

whether related or not to the adopter, possess in State policy prefers adoption by the child’s
general, the rights accorded to a legitimate child. extended family over adoption by an unrelated
It is a juridical act, a proceeding in rem which personSec. 2(a), R.A. 8552).
Bar Operations
Commissions 347
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 Purple
Notes
Criminal
Remedial Domestic Adoption
Domestic adoption is likewise preferred to Act)
preserve the child’s identity and culture(Sec. 2(c)
(iv), R.A. 8552). A child whose
biological parents
have died(Sec. 8 (f),
WHO MAY BE ADOPTED Domestic Adoption
Domestic Adoption Inter-Country Act)
Adoption
(a) (a) A child legally (a) (a) A child legally
available for available for
adoption; or adoption; or (b) a “Certification Declaring a Child Legally
(b) (b) a child in child in whose Available for Adoption” applies only to
whose favor a favor a DSWD surrendered, abandoned, neglected and
DSWD certification to be dependent children as mentioned in R.A.
certification to be legally available 9523(Sec. 4, IRR of R.A. 9523).
legally available for adoption has
for adoption has been issued; or Under Sec. 8 of R.A. 9523, the certification that a
been issued; or (c) one who has
child is legally available for adoption shall be
(c) (c) one who has voluntarily
voluntarily committed by his
issued by the DSWD in lieu of a judicial order,
committed by his or her parents or thus making the entire process administrative in
or her parents or legal guardian. nature.(Sec. 8, R.A. 9523).
legal guardian. (Sec.7 (a),
Domestic The law does not prohibit relatives, either by
Adoption Act) blood or consanguinity, to adopt each
other(Santos, Jr. vs. Republic, G.R. No. L-22523,
The legitimate September 29, 1967).
son/daughter of one
of the spouse by the
other spouse (Sec.8
(b), Domestic WHO MAY ADOPT
Adoption Act) Filipino citizens Filipino citizens

i. Of legal age; i. Permanent resident

Illegitimate ii. In possession of full of a foreign country;
son/daughter by a civil capacity and legal ii. Has the capacity to
qualified adopter to rights; act and assume all the
improve status to rights and
legitimate (Sec. 8 (c), iii. Of good moral
character; responsibilities of
Domestic Adoption parental authority
Act) iv. Not convicted for
under Philippine laws;
any crime involving
moral turpitude; iii. Has undergone the
A person of age, if appropriate
v. Emotionally and
consistently counselling from an
psychologically
considered and accredited counselor
capable of caring for
treated by the in the country of
children;
adopter(s) as his/her domicile;
own child since vi. In a position to
iv. Not convicted for
minority(Sec. 8 (d), support and care
any crime involving
Domestic Adoption his/her children in
moral turpitude;
Act) keeping with the
means of the family; v. Eligible to adopt
under Philippine laws;
vii. At least 16 years
A child whose vi. In a position to
older than the
adoption has been provide proper care
adoptee but this may
rescinded(Sec. 8 (e), and support and give
be waived if:
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 Purple Notes
Criminal
-Adopter is the necessary moral maintained
Remedial
such iv. . Has undergone
biological parent of values and example to residency until the the appropriate
all his children, issuance of the counselling from an
adoptee; or
including the child to adoption decree; and accredited counselor
-Adopter is the be adopted; in the country of
iv. Certified by his/her
spouse of the vii. Residing in a diplomatic or consula domicile;
adoptee’s parents country with whom office or any iv. Not convicted for
viii. Permanently the Philippines has appropriate agency any crime involving
residing in the diplomatic relation that he(s)he has the moral turpitude;
Philippines and whose legal capacity to adopt v. Eligible to adopt
government maintains in his/her country(Sec. under his/her national
a similarly authorized 7(b), Domestic Adoption law; (Sec. 9, Inter-
and accredited agency Act) Country Adoption Act)
and that adoption is
vi. Comes from a
allowed by that
country with whom
country;
the Philippines has
viii. Possesses all the diplomatic relations
qualifications and and whose
none of the government maintains
disqualifications a similarly authorized
provided in ICAA and and accredited agency
other applicable and that adoption is
Philippine laws; allowed under his/her
ix. At least 27 years of national law; and
age at the time of vii. Possesses all the
application; and qualifications and
x. At least 16 years none of the
older than the disqualifications
adoptee but this may provided in ICAA and
be waived if: other applicable
-Adopter is the Philippine laws.
biological parent of
adoptee; or Requirement for joint adoption of spouses
-Adopter is the GR: Husband and wife If adopter is married.
spouse of the shall jointly adopt. His/her spouse must
Exception: jointly file for the
adoptee’s parents
adoption.(Sec. 9 (b),
1. If one spouse seeks
Inter-Country
to adopt the
Aliens Aliens Adoption Act)
legitimate
Same qualifications i. At least 27 years old son/daughter of the
for Filipinos;and in at the time of other;
addition: application; 2. If one spouse seeks
i. His/her country has ii. At least 16 years to adopt his/her own
diplomatic relations older than the illegitimate
with the Philippines; adoptee unless son/daughter but the
adopter is the other spouse must
ii. His/her government give his/her consent;
allows the adoptee to biological parent or
enter his/her country spouse of such 3. If the spouses are
as his/her adopted parent; legally separated from
son/daughter; iii. Has the capacity to each other.(Sec. 7,
act and assume all Domestic Adoption
iii. Living in the Act)
Philippines for at least the rights and
3 consecutive years responsibilities of Consent required
prior to the parental authority 1. Adoptee, if 10 years 1. Adopter’s biological
application and under Philippine laws; of age or over; or adopted children
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Commissions 349
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adopted children, 10
Purple
Notes
Criminal
Remedial
2. Biological parent(s)
of the child, if known,
or legal guardian, or
the
government
proper

instrumentality which
has custody over the
child;
3. Legitimate and

years of age or over, if

any;
4. Illegitimate
children, 10 years of
age or over, if living
with said adopter and
the latter’s spouse;
and
5. Spouse.
above 10 years old
(Sec.
Country
Act); and
2.
successful
10,

DSWD,
Inter-
Adoption

if

adoptive relationship
is formed between the
applicant and
child.(Sec. 48, IRR of
Inter-Counrty
Adoption Act)
a
pre-

the

(Atty. Elmer Rabuya, Civil Law Reviewer Vol. 1, p.236-

246, 2017 ed.)

6.EL.2. Domestic Adoption

The governing law is R.A. 8552 or the Domestic

Adoption Act of 1998. The procedure is governed
the Rule on Adoption (A.M. 02-06-02-SC), which
took effect on August 22, 2002.

In domestic adoption, the entire adoption process

beginning from the filing of the petition up to the
issuance of the adoption decree takes place in
the Philippines(Atty. Elmer Rabuya, Civil Law
Reviewer Vol. 1, p.232, 2017 ed.).

Procedure
(Atty. Elmer Rabuya, Civil Law Reviewer Vol. 1, p.242-
245, 2017 ed.)

350
350
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Research
Legal
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1. Administrative Proceedings

The process declaring a child legally available for

adoption is entirely administrative and under the
present law, only DSWD has the authority to
issue such certification.

The following are exempted from the

requirement of a Certification Declaring a
child legally available for adoption:

a) a) Adoption of a illegitimate child by any of

his/her biological parents;
b) b) Adoption of the child by his/her step-
parent; and
c) c) Adoption of a child by a relative within the
4th degree of consanguinity or affinity. (Sec. 4,
IRR of R.A. 9523)

2. Judicial Proceedings

Venue of Filing the Application

In the Family Court of the province or city where
the prospective parents reside.(Sec. 6, Rule on
Adoption)

Education and
 Purple Notes
After filing
The petition shall not be set for hearing without a
case study report by a licensed social worker.
(Sec. 11, R.A. 8552)
Supervised Trial Custody
1. 1. Temporary parental authority is
vested in prospective adopter for atleast
6 months.
2. 2. If adopter is an alien, the completion
of the six-month mandatory trial
custody is mandatory except:
a. a. Former Filipino who seeks to adopt
a relative within the fourth civil
degree of consanguinity or affinity;
b. b. One seeks to adopt the legitimate
son/daughter of his or her Filipino
spouse; or
c. c. One is married to a Filipino citizen
and seeks to adopt jointly with
his/her spouse a relative of the latter
within the 4th civil degree of
consanguinity or affinity.
3. 3. Under the R.A. 10165, in case the
adoption of a foster child by the
designated foster parents, trial custody
may be partially waived(Atty. Elmer
Rabuya, Civil Law Reviewer Vol. 1, 2017,
p.242-245)., 2017 ed.).
6.L.2.a Effects of adoption
1. Transfer of Parental authority
All legal ties between the biological parent(s) and
the adoptees shall be severed and the same shall
be vested to the adopters, except when the
biological parent is the spouse of the adopter (Sec.
16, R.A. 8552).
However, when the adopter dies during the time
the adopted is still a minor or incapacitated; the
parental authority of the biological parent is
deemed to have been restored (Bartolome vs. SSS,
740 SCRA 78, 2014).
Criminal
Remedial
2. Legitimacy
The adoptee shall be considered the legitimate
son/daughter of the adopter(s) for all intents and
purposes and as such is entitled to all the rights
and obligations provided by law to legitimate
children born to them without discrimination.
(Bartolome vs. SSS, 740 SCRA 78, 2014)
But the relationship established is by the
adoption is only limited to the adopting
parents and does not extend to their other
relatives, except as expressly provided by
law(Santos, Jr. vs. Republic, G.R. No. L-22523 ;
September 29, 1967
).
3. Successional Rights
In legal and instestate succession, the adopter(s)
and adoptee shall have reciprocal rights of
succession without distinction from legitimate
filiation.However, if the adoptee and his/her
biological parent(s) had left a will, the law on
testamentary succession shall govern.(Sec. 18,
DAA)
Article 189 (3) of the Family and Section 18,
Article V of R.A. 8552 provide that the adoptee
remains an intestate heir of his/her biological
parent. Likewise, the biological parents retain
their rights of succession to the estate of the
adopted child pursuant to Art. 190 (2) of the
Family Code.
4. Right to use surname of adopter
The adopted child has the right to use the
surname of the adopter(s). But such surname
refers to the adopter’s own surnmane and not to
her surname acquired by virtue of marriage
because adoption created a personal relationship
only between the adopter and the adopted. [Art.
189(1), Family Code]
5. Issuance of new certificate and First
Name and Surname of the Adoptee (Sec. 14,
R.A. 8552)
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Commissions 351
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 Purple
Notes
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Remedial
The adoption decree shall state the name by
which the child is to be known. An amended
certificate of birth shall be issued by the Civil
Registry attesting to the fact that the adoptee is
the child of the adopter(s) by being registered
with his/her surname(Sec. 13, R.A. 8552).
The original certificate of birth shall be stamped
“cancelled” with the annotation of the issuance of
an amended birth certificate in its place and shall
be sealed in the civil registry records. The new
birth certificate to be issued to the adoptee shall
not bear any annotation that it is an amended
issue(Sec. 14, R.A. 8552).
Retroactive effects of Adoption Decree (Sec.
13, R.A. 8552)
The adoption decree “shall be effective as of the
date the original petition was filed” and that this
rule “shall also apply in case the petitioner(s) dies
before the issuance of the decree of adoption to
protect the interest of the adoptee.
However, no retroactive effect may be given to
the granting of the petition for adoption for the
purpose of imposing a liability upon the adopting
parents accruing at a time when adopting parents
had no actual or physical custody over the
adopted child. (Tamargo vs. CA, 209 SCRA 518,
1992)
6.L.2.b Instances when adoption may be
rescinded
Grounds: (Committed by the adopter)
a) Repeated physical and verbal maltreatment
by the adopter(s) despite having undergone
counselling;
b) Attempt on the life of the adoptee;
c) Sexual assault or violence; and
d) Abandonment and failure to comply with
parental obligations(Sec 19, R.A. 8552).
Who may rescind?
The adopted child has the sole right to severe the
legal ties created by the adoption. (Sec. 19, R.A.
8552)
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Who may file?
a) Adoptee who is over 18 years of age;
b) If the adoptee is a minor, with the assistance
of the DSWD;
c) If the adoptee is over 18 years of age but
incapacitated, by his guardian or counsel.
(Sec. 19, RA 8552)
d)
The remedy of annulment of judgment could be
resorted to if the adoption was found to have
been obtained fraudulently, which action must be
brought within four (4) years from discovery of
the fraud(Castro vs. Gregorio, 738 SCRA 415, 2014).
6.L.2.c Effects of rescission of adoption
1. Restoration of Parental authority of the
adoptee’s biological parent(s), if known, or the
legal custody of the DSWD if the adoptee is
still a minor or incapacitated;
2. Reciprocal rights and obligations of the
adopter(s) and the adoptee to each other
shall be extinguished;
3. Cancellation of the amended certificate of
birth of the adoptee and restoration of his/her
original birth certificate; and
4. Succession rights shall revert to its status prior
to adoption but only as of the date of
judgment of judicial rescission. Vested rights
acquired prior to judicial rescission shall be
respected.
6.L.3. Inter-country adoption
The governing law is R.A. No. 8043 or the Inter-
Country Adoption Act of 1995 (ICAA). Its
procedure is governed by the Amended
Implementing Rules and Regulations on ICAA.
Procedure
1. Administrative Proceedings
a. The process declaring a child legally available
for adoption is entirely administrative and under
the present law, only DSWD has the authority to
issue such certification. (Sec. 2(1), R.A. 9523)(Atty.
and
 Purple Notes
Elmer Rabuya, Civil Law Reviewer Vol. 1, p.242-245,
2017 ed.)
2. The following are exempted from the
requirement of a Certification Declaring a child
legally available for adoption:
i. i. Adoption of a illegitimate child by any of
his/her biological parents;
ii. ii. Adoption of the child by his/her step-
parent; and
iii. iii. Adoption of a child by a relative within the
4th degree of consanguinity or affinity.
Judicial Proceedings
Venue of Filing the Application
The application may be filed either in –
a) The family court having jurisdiction over the
place where the child resides or may be
found;
b) Inter-Country Adoption Board (ICAB),
through an intermediate agency in the
country of the prospective adopters (Sec. 10,
R.A. 8043).
After filing
1. 1. If filed in the Family Court, it will
determine the sufficiency of the petition,
after which the petition is transferred to
ICAB.
2. 2. If petition is already with ICAB, matching of
the applicant with an adoptee is conducted.
3. 3. After matching, the child is personally
fetched by the applicant for the trial custody
which will take place outside of the
Philippines(Sec. 40-42, Implementing Rules on
ICAA).
Trial Custody
1. 1. It takes place outside of the country and
under supervision of the foreign adoption
agency for six months.
2. 2. If unsuccessful, ICAB shall look for another
prospective applicant. Repatriation of the child
is to be resorted only as a last resort.
Criminal
Remedial
3. 4. If unsuccessful, ICAB transmits a written
consent for the adoption to be executed by
the DSWD and the applicant then files a
petition for adoption in his/her country.
4. (Sec. 49, Implementing Rules on ICAA)
Inter-Country Adoption Act 6.L.3.a When
allowed
Inter-Country Adoption Act (ICAA) is applicable if:
a) Adopter is a Filipino citizen permanently
resides abroad; and
b) A foreigner who does not satisfy the
residency requirement under DAA but is
qualified to adopt under ICAA. (See
discussion under the distinction of Domestic
and Inter-Country Adoption)
6.L.3.b Functions of the Regional Trial
Court
An application to adopt a Filipino child shall be
filed with the Regional Trial Court having
jurisdiction over the child(Sec. 10, R.A. 8043).
6.L.3.c “Best interest of the child” standard
In choosing the parent to whom custody is given,
the welfare of the minors should always be the
paramount consideration. Courts are mandated
to take into account all relevant circumstances
that would have a bearing on the children’s well-
being and development. Aside from the material
resources and moral and social situations of each
parent, other factors may also be considered to
ascertain which one has the capability to attend
to the physical, educational, social and moral
welfare of the children. Among these factors are
the previous care and devotion shown by each of
the parents; their religious background, moral
uprightness, home environment and time
availability; as well as the children’s emotional
and educational needs(Pablo-Gualberto vs.
Gualberto, G.R. No. 154994, June 28, 2005).
Simulation of birth records
Tampering of the civil registry to make it appear
in the record of birth that a child was born to
person who is not such child’s biological mother,
Bar Operations
Commissions 353
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 Purple
Notes
Criminal
Remedial
causing the loss of the true identity and status of
such child(Sec. 3(f), R.A. 11222).
When is administrative adoption allowed
1. In cases of adoption for the purpose of
rectifying a simulated birth within ten years
from the effectivity of R.A. 11222, provided
that:
2. Reason for adoption is to rectify a simulated
birth;
3. Simulation was done for the best interest of
the child and the child is treated as a child of
the person responsible;
4. Adoption is filed within ten years from the
effectivity of R.A. 11222;
5. The child is declared legally available for
adoption by DSWS; and
6. The child is living with the person who
simulated the birth certificate for atleast
three years before the effectivity of R.A.
11222.(Sec. 4-5, R.A. 11222)
6.M. WRIT OF HABEAS CORPUS
WRIT OF HABEAS CORPUS UNDER RULE
102
Habeas corpus is a writ directed to the person
detaining another, commanding him to produce
the body of the prisoner at a designated time and
place, with the day and cause of his capture and
detention, to do, submit to, and receive
whatsoever the court or judge awarding the writ
shall consider in that behalf (Ilusorio vs. Bildner,
G.R. No. 139789, May 12, 2000).
To what cases the writ extends (Rule 102, Sec.
1)
General Rule: The writ of habeas corpus
extends to all cases of illegal confinement or
detention, involving either of two things:
a) the deprivation of liberty; or,
b) the rightful custody of any person is withheld
from the person entitled thereto
Exception: When otherwise expressly provided
by law.
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Purpose
Specifically, the writ is availed of to:
a) obtain immediate relief from illegal
confinement;
b) liberate those who may be imprisoned without
sufficient cause;
c) deliver them from unlawful custody (De Leon
and Wilwayco, Special Proceedings Essentials for
Bench and Bar, p.283, 2015 ed.)
A writ of habeas corpus is essentially a writ of
inquiry and is granted to test the right under
which a person is detained (Velasco vs. CA, G.R.
No. 118644, July 7, 1995).
The writ is not issued when the person is in
custody because of a judicial process or a valid
judgment (Adonis vs. Tesoro, G.R. No. 182855, June
5, 2013).
Nature
Proceedings in habeas corpus are separate and
distinct from the main case from which the
proceedings spring (Ching vs. Insular Collector of
Customs, G.R. No. L-10972, January 28, 1916).
� A petition for the issuance of a writ of habeas
corpus is a special proceeding governed by
Rule 102 of the Rules of Court, as amended.
In Ex Parte Billings, it was held that habeas
corpus is that of a civil proceeding in
character. It seeks the enforcement of civil
rights. Resorting to the writ is not to inquire
into the criminal act of which the complaint is
made, but into the right of liberty,
notwithstanding that the act and the
immediate purpose to be served is relief from
illegal restraint (Mangila vs. Pangilinan, G.R. No.
160739, July 17, 2013)
� Habeas corpus is not in the nature of a writ of
error; nor intended as substitute for the trial
court’s function. It cannot take the place of
appeal, certiorari or writ of error. The writ
cannot be used to investigate and consider
questions of error that might be raised
relating to procedure or on the merits. The
inquiry in a habeas corpus proceeding is
addressed to the question of whether the
proceedings and the assailed order are, for
any reason, null and void. The writ is not
and
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ordinarily granted where the law provides for a. That the person in whose behalf the
other remedies in the regular course, a nd in the application is made is imprisoned or
absence of exceptional circumstances. restrained of his liberty;
Moreover, habeas corpus should not be b. The officer or name of the person by whom
granted in advance of trial (Mangila vs. he is so imprisoned or restrained; or, if both
Pangilinan, G.R. No. 160739, July 17, 2013) are unknown or uncertain, such officer or
� person may be described by an assumed
� Habeas corpus is a summary remedy. It is appellation, and the person who is served with
analogous to a proceeding in rem when the writ shall be deemed the person
instituted for the sole purpose of having the intended;
person of restraint presented before the judge c. The place where he is so imprisoned or
in order that the cause of his detention may restrained, if known;
be inquired into and his statements final. The d. A copy of the commitment or cause of
writ of habeas corpus does not act upon the detention of such person, if it can be
prisoner who seeks relief, but upon the person procured without impairing the efficiency of
who holds him in what is alleged to be the the remedy; or, if the imprisonment or
unlawful authority. Hence, the only parties restraint is without any legal authority, such
before the court are the petitioner (prisoner) fact shall appear (Rule 102, Sec. 3).
and the person holding the petitioner in  
custody, and the only question to be resolved Return
is whether the custodian has authority to
deprive the petitioner of his liberty. The writ When return is made: when the person to be
may be denied if the petitioner fails to show produced is imprisoned or restrained by an officer
facts that he is entitled thereto ex
meritojusticias(Mangila vs. Pangilinan, G.R. No. Who shall make the return:
160739, July 17, 2013).
� a. the officer or person by whom another
� person is so imprisoned or restrained; and,
b. in other cases, the person in whose custody
Who may grant the writ (Rule 102, Sec. 2) the prisoner is found (Rule 102, Sec.10)

Court When Enforceability 6.M.2 Contents of the Return

Petition may
be Filed The return must be in writing, addressed to the
SC or any On any day Anywhere in court or judge before whom the writ is
Justice and at any the Philippines returnable, and stating plainly and
thereof time unequivocably:
CA or any Instances Anywhere in
Justice authorized the Philippines a. Whether one has or has not the party in his
thereof by law custody or power, or under restraint;
RTC or any On any day Only within the b. If he has the party in his custody or power, or
judge and at any court’s judicial
under restraint — the authority and the true
thereof time district
and whole cause thereof, set forth at large,
with a copy of the writ, order, execution, or
6.M.1 Contents of Petition
other process, if any, upon which the party is
held;
Application for the writ shall be by petition signed
c. If the party is in his custody or power or is
and verified either by the party for whose relief it
restrained by him, and is not produced — the
is intended, or by some person on his behalf, and
nature and gravity of the sickness or infirmity
shall set forth:
of such party by reason of which he cannot,
without danger, be brought before the court
or judge;

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d. If he has had the party in his custody or
power, or under restraint, and has transferred
such custody or restraint to another — to
whom, at what time, for what cause, and by
what authority such transfer was made (Rule
102, Sec. 10).
6.M.3 Peremptory Writ and Preliminary
Citation
The writ of habeas corpus may be classified
as:
a. Preliminary citation
If the person is detained under
governmental authority and the illegality of
his detention is not patent from the petition
for the writ, the court issues the citation to
the government officer having custody to
show cause why the habeas corpus writ
should not issue(Lee Yick Hon v. The Insular
Collector of Customs, G.R. No. L-16779, March
30, 1921);
b. Peremptory writ
If the cause of the detention appears to be
patently illegal, the court issues the habeas
corpus writ noncompliance with which is
punishable (Lee Yick Hon v. Insular Collector of
Customs, GR L-16779. Mar. 30, 1921 ).It is a
written document unconditionally
commanding the respondent to have the
body detained person before the court at a
time and place specified therein (De Leon and
Wilwayco, Special Proceedings Essentials for
Bench and Bar, 2015, p.399).
When writ disallowed or discharge
authorized (Rule 102, Sec. 4)
The writ of habeas corpus shall NOT be allowed
when the person alleged to be restrained of his
liberty is in the custody of an officer:
a) under process issued by a court or judge; or,
b) by virtue of a judgment or order of a court
of record; and,
c) the court or judge had jurisdiction to issue
the process, render the judgment or make
the order
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In addition, the discharge of the writ of habeas
corpus shall NOT be authorized upon showing
that a person is:
a) charged with an offense;
b) convicted of an offense; or
c) suffering imprisonment under lawful judgment
6.M.4 Instances Wwhen the writ of habeas
corpus is not NOT proper or available:
a. For asserting or vindicating denial of right to
bail (Galvez vs. CA,GR No. 1140406, Oct. 24,
1994));
b. For correcting errors in appreciation of facts
or appreciation of law. Where the trial court
had no jurisdiction over the cause, over the
person of the accused, and to impose the
penalty provided for by law, the mistake
committed by the trial court, in the
appreciation of the facts and/or in the
appreciation of the law cannot be corrected
by habeas corpus (Sotto vs. Director of Prisons,
May 30, 1962);
c. Once a person detained is duly charged in
court, he may no longer file a petition
for habeas corpus. His remedy would be to
quash the information or warrant (Rodriguez
vs. Judge Bonifacio, A.M. No. RTJ-99-1510,
November 26, 2000).
6.M.5 When writ disallowed or discharged
(Rule 102, Sec. 4)
The writ of habeas corpus shall NOT be allowed
when the person alleged to be restrained of his
liberty is in the custody of an officer:
d) under process issued by a court or judge; or,
e) by virtue of a judgment or order of a court
of record; and,
f) the court or judge had jurisdiction to issue
the process, render the judgment or make
the order
In addition, the discharge of the writ of habeas
corpus shall NOT be authorized upon showing
that a person is:
d) charged with an offense;
e) convicted of an offense; or
f) suffering imprisonment under lawful judgment
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Sandiganbayan, G.R. No. 148468, 396 SCRA 443,
6.M.6 Distinguish Writ of Habeas Corpus, January 28, 2003).
ed fromWrit of Amparo and Writ of Habeas �
Data � A release that renders a petition for a writ of
habeas corpus moot and academic must be
Habeas Habeas Data Writ of Amparo
one which is free from involuntary restraints.
Corpus
Extends to Covers Designed to
Where a person continues to be unlawfully
all cases of extralegal protect the image, denied one or more of his constitutional
illegal killings and privacy, honor, freedoms, where there is present a denial of
confinemen t enforced information, and due process, where the restraints are not
or detention disappearances freedom of merely involuntary but appear to be
(deprivation or threats information of an unnecessary, and where a deprivation of
of liberty), or thereof individual, and to freedom originally valid has, in the light of
where provide a forum to subsequent developments, become arbitrary,
rightful enforce one’s right
the person concerned or those applying in his
custody is to the truth and to
withheld informational behalf may still avail themselves of the
from person privacy (Vivares v. privilege of the writ (Moncupa vs. Enrile, G.R.
entitled St. Theresa’s No. L-63345, January 30, 1986).
thereto College, G.R. No. �
202666, 2014) � And, lastly, it was clear that under Section
(See Annexes for a more detailed comparison) 5,16 Rule 112 of the Revised Rules of
Criminal Procedure, the resolution of the
When Habeas Corpus is not Available: investigating judge was not final but was still
subject to the review by the public
� As a general rule, the writ of habeas corpus prosecutor who had the power to order the
will not issue where the person alleged to be release of the detainee if no probable cause
restrained of his liberty in custody of an should beultimately found against her. In the
officer under a process issued by the court context of the rule, Mangilahad no need to
which jurisdiction to do so (Serapio vs. seek the issuance of the writ of habeas
Sandiganbayan, G.R. No. 148468, 396 SCRA 443, corpus to secure her release from detention.
January 28, 2003). Her proper recourse was to bring the
� supposed irregularities attending the conduct
� Restraint that is lawful and pursuant to a of the preliminary investigation and the
court process cannot be inquired into through issuance of the warrant for her arrest to the
habeas corpus (Mangila vs. Pangilinan, 701 attention of the City Prosecutor, who had
SCRA 355, G.R. No. 160739, July 17, 2013). been meanwhile given the most direct access
� to the entire records of the case, including
� In exceptional circumstances, habeas corpus the warrant of arrest, following Judge
may be granted by the courts even when the Pangilinan’s transmittal of them to the City
person concerned is detained pursuant to a Prosecutor for appropriate action. We agree
valid arrest or his voluntary surrender, for with the CA, therefore, that the writ of
this writ of liberty is recognized as "the habeas corpus could not be used as a
fundamental instrument for safeguarding substitute for another available remedy
individual freedom against arbitrary and (Mangila vs. Pangilinan, G.R. No. 160739, 701
lawless state action" due to "its ability to cut SCRA 355, July 17, 2013).
through barriers of form and procedural �
mazes." Thus, in previous cases, we issued � Moreover, a petition for habeas corpus is not
the writ where the deprivation of liberty, the appropriate remedy for asserting one's
while initially valid under the law, had later right to bail. It cannot be availed of where
become invalid, and even though the persons accused is entitled to bail not as a matter of
praying for its issuance were not completely right but on the discretion of the court and
deprived of their liberty (Serapio vs. the latter has not abused such discretion in
refusing to grant bail, or has not even
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exercised said discretion. The proper
recourse is to file an application for bail with
the court where the criminal case is pending
and to allow hearings thereon to proceed
(Serapio vs. Sandiganbayan, G.R. No. 148468, 396
SCRA 443, January 28, 2003).
� 136149-51, September 19, 2000).
� No court is empowered as a judicial authority
to compel a husband to live with his wife.
Coverture cannot be enforced by compulsion
of a writ of habeas corpus carried out by
sheriffs or by any other mesne process. That
is a matter beyond judicial authority and is
best left to the man and woman’s free choice
(Ilusorio vs. Bildner, G.R. No. 139789, 332 SCRA
169, May 12, 2000).
As a Post-Conviction Remedy
� The writ of habeas corpus applies to all cases
of illegal confinement or detention in which
individuals are deprived of liberty. The writ
may not be availed of when the person in
custody is under judicial process or by virtue
of a valid judgment.
However, as a post-conviction remedy, it may
be allowed when, as a consequence of a
judicial proceeding, any of the following
exceptional circumstances is attendant: (1)
there has been a deprivation of a
constitutional right resulting in the restraint
of a person; (2) the court had no jurisdiction
to impose the sentence; or (3) the imposed
penalty has been excessive, thus voiding the
sentence as to such excess. (Go vs.
Dimagiba, G.R. No. 151876, June 21, 2005;
Andal vs. People,G.R. Nos. 138268-69. May 26,
1999)
� In Evangelista vs. Sistoza (G.R. No. 143881,
August 9, 2001), the accused filed a petition
for habeas corpus to secure his release from
prison, due to the amendment of PD 1866 by
RA 8249, reducing the penalty for illegal
possession of low powered firearms -- from
reclusion temporal in its maximum period to
reclusion perpetua, to prisioncorrecccional in
its maximum period.The court granted the
petition, as he has already served 9 years in
prison, more than the maximum term of his
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imprisonment for robbery. He need not serve
anymore his sentence of 18 years of
reclusion temporal as minimum to reclusion
perpetua as maximum for illegal possession
of firearm, in view of said amendment and
the ruling in People vs. Ladjaalam (G.R. Nos.
6.M.72.WRIT OF HABEAS CORPUS IN
RELATION TO CUSTODY OF MINORS (A.M. No.
03-04-04-SC)
A verified petition for the rightful custody of a
minor may be filed by any person claiming such
right.
The petition shall be filed with the Family Court
of the province or city where the petitioner
resides or where the minor may be found.
In custody cases involving minors, the writ of
habeas corpus is prosecuted for the purpose of
determining the right of custody over a child.
The grant of the writ depends on the
concurrence of the following requisites:
1. that the petitioner has the right of custody
over the minor;
2. that the rightful custody of the minor is being
withheld from the petitioner by the
respondents; and
3. that it is to the best interest of the minor
concerned to be in the custody of petitioner
and not that of the respondents (Masbate vs.
Relucio, G.R. No. 253498, July 30, 2018).
General Rule: After trial, the court shall render
judgment awarding custody of the minor to the
proper party considering the best interests of the
minor.
Under present rules, A.M. No. 03-04-04-SC
explicitly states that "in awarding custody, the
court shall consider the best interests of the
minor and shall give paramount consideration to
the minor’s material and moral welfare.
The best interests of the minor refer to the
totality of the circumstances and conditions as
are most congenial to the survival, protection,
and feelings of security of the minor encouraging
and
 Purple Notes
to her physical, psychological and emotional
development. It also means the least detrimental
available alternative for safeguarding the growth
and development of the minor." (Masbate vs.
Relucio, G.R. No. 253498, July 30, 2018).
Exception: If it appears that both parties are
unfit to have the care and custody of the minor,
the court may designate any of the following to
take charge of such minor, or commit him to any
suitable home for children:
a) the paternal or maternal grandparent of the
minor;
b) his oldest brother or sister; or,
c) any reputable person
Order of Preference (A.M. No. 03-04-04-SC, Sec.
13)
As far as practicable, the following order of
preference shall be observed in the award of
custody:
1. Both parents jointly;
2. Either parent, taking into account all relevant
considerations, especially the choice of the
minor over seven years of age and of
sufficient discernment, unless the parent
chosen is unfit;
3. The grandparent, or if there are several
grandparents, the grandparent chosen by the
minor over seven years of age and of
sufficient discernment, unless the grandparent
chosen is unfit or disqualified;
4. The eldest brother or sister over twenty-one
years of age, unless he or she is unfit or
disqualified;
5. The actual custodian of the minor over
twenty-one years of age, unless the former is
unfit or disqualified; or
6. Any other person or institution the court may
deem suitable to provide proper care and
guidance for the minor
The court may issue any order that is just and
reasonable permitting the parent who is deprived
of the care and custody of the minor to visit or
have temporary custody (De Leon and Wilwayco,
Special Proceedings Essentials for Bench and Bar,
p.419, 2015 ed.).
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It is only after trial, when the court renders its
judgment in awarding the custody of the minor to
the proper party considering the best interests of
the minor, that the court may likewise issue "any
order that is just and reasonable permitting the
parent who is deprived of the care and custody of
the minor to visit or have temporary custody"
(A.M. No. 03-04-04-SC, Sec. 18)
In its judgment, the court may order either or
both parents to give an amount necessary for the
support, maintenance and education of the
minor, irrespective of who may be its custodian.
Factors to consider in determining the
amount of support:
1. financial resources of the custodial and non-
custodial parent and those of the minor;
2. physical and emotional health, special needs,
and aptitude of the minor;
3. standard of living the minor has been
accustomed to; and,
4. the non-monetary contributions that the
parents would make toward the care and well-
being of the minor (A.M. No. 03-04-04-SC, Sec.
18)
Note: Section 15 of A.M. No. 03-04-04-SC
provides for temporary visitation rights, not
temporary custody.
The court shall provide in its order awarding
provisional custody appropriate visitation rights to
the non-custodial parent or parents, unless the
court finds said parent or parents unfit or
disqualified.
The temporary custodian shall give the court and
non-custodial parent or parents at least five (5)
days' notice of any plan to change the residence
of the minor or take him out of his residence for
more than three (3) days provided it does not
prejudice the visitation rights of the non-custodial
parent or parents(A.M. No. 03-04-04-SC, Sec. 15)
Note: JudgementJudgment on the issue of
custody in the nullity of marriage, regardless of
which party would prevail, would constitute res
judicata on the subsequent petition for habeas
corpus of minors since the former has jurisdiction
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over the parties and the subject matter (Yu vs. Yu,
G.R. No. 164915, March 10, 2006).
Jurisdiction of the Court of Appeals
� There is nothing in R.A. 8369 which revoked
the Court of Appeals’ jurisdiction to issue
writs of habeas corpus involving the custody
of minors (In the Matter of Application for the
Issuance of a Writ of Habeas Corpus: Thornton vs.
Thornton, G.R. No. 154598, August 16, 2004) . In
fact, the Court of Appeals and Supreme Court
have concurrent jurisdiction with family
courts in habeas corpus cases where the
custody of minors is involved (Madriñan vs.
Madriñan, G.R. No. 159374, July 12, 2007).
6.N NWRIT OF AMPARO
(A.M. No. 07-9-12-SC)
6.N.1 Coverage
The petition for a writ of Amparo is a remedy
available to any person whose right to life, liberty
and security is violated or threatened with
violation by an unlawful act or omission of a
public official or employee, or of a private
individual or entity. The writ shall cover extralegal
killings and enforced disappearances or threats
thereof. (Section 1, A.M. No. 07-9-12-SC).
The writ shall cover:
1. EXTRALEGAL KILLINGS which are killings
committed without due process of law.
2.
3. ENFORCED DISAPPEARANCES which are
attended by the following circumstances:
a. arrest/detention/abduction of a person by
a government official or organized groups
or private individuals acting within or with
direct acquiescence of the State;
b. refusal of the State to disclose the fate or
whereabouts of the person concerned, or
refusal to acknowledge the deprivation of
liberty, which places such person or
persons outside the protection of law.
(Declaration on the Protection of All Persons
from Enforced Disappearances; Secretary of
National Defense vs. Manalo| G.R. No. 180906,
October 7, 2008).
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c.
Note: In our jurisdiction, the contextual genesis,
at least, for the present Amparo Rule has limited
the remedy as a response to extrajudicial killings
and enforced disappearances, or threats thereof.
While the foregoing rule, as per Section 1 of A.M.
No. 07-9-12-SC's first paragraph, does state that
the writ is a remedy to protect the right to life,
liberty, and security of the person desiring to
avail of it, the same section's second paragraph
qualifies that the protection of such rights
specifically pertain to extralegal killings and
enforced disappearances or threats thereof,
which are more concrete cases that involve
protection to the rights to life, liberty and security
(Santiago vs. Tulfo, G.R. No. 205039, October 21,
2015)
What is the nature of Writ of Amparo?
It partakes of the nature of a prerogative writ as
it is not criminal, civil or administrative in nature.
It does not suspend the filing of criminal, civil or
administrative actions (Judge Ed Vincent S. Albano
(Ret.), Remedial Law Reviewer, pp. 1313, 2010 ed.).
6.N.2 Difference between Writ of Amparo
and Search Warrant
Writ of Amparo Search Warrant
As to its source
A.M. No. 07-9-12-SC Section 2, Article
 Supreme Court III, 1987
exercising its Constitution
enhanced power to
promulgate rules to
protect and enforce
constitutional
rights. (Section 5(5),
Article VIII, 1987
Constitution).
As to its coverage of its protection
Amparo production order Protection of the
may be likened to the people from the
production of documents unreasonable
or things under Section intrusion of the
1, Rule 27 of the Rules of government to the
Civil Procedure(Secretary right of the people
of National Defense v. to be secure in their
Manalo |G.R. No. 180906, person, houses,
October 7, 2008). papers, and effects.
and
 Purple Notes
(Secretary of National
Defense v. Manalo |
G.R. No. 180906,
October 7, 2008;
Section 2, Article III,
1987 Constitution).
As to whom it may be invoked against
 Public official or Government
employee intrusion (Secretary
 Private individual or of National Defense v.
entity (Section 1, A.M. Manalo |G.R. No.
07-9-12-SC). 180906, October 7,
2008).
6.N.3 Who may file Writ of Amparo
a.) a) The aggrieved party himself.
b.) b) In the absence thereof, any qualified
person or entity in the following manner:
1. Any member of the immediate family,
namely: the spouse, children, and parents
of the aggrieved party;
2. Any ascendant, descendant, or collateral
relative of the aggrieved party within the
fourth civil degree of consanguinity or
affinity, in default of those mentioned in
the preceding paragraph; or
3. c. Any concerned citizen, organizaation,
association, or institution, if there is no
known member of the immediate family or
relative of the aggrieved party. (Section 2,
A.M. No. 07-9-12-SC).
Where may the petition be filed
It may be filed with the Regional Trial Court of
the place where the threat, act, or omission was
committed or any of its elements occurred; with
the Sandiganbayan, or Court of Appeals, or
Supreme Court, or any justice of such courts.
(Section 3, A.M. No. 07-9-12-SC).
6.N.4 Contents of petition for the writ of
Amparo
The petition shall be signed and verified and shall
allege the following:
1. Personal circumstances of the petitioner;
2. Personal circumstances of the respondent, or
if the name is unknown or uncertain, the
respondent may be described by an assumed
appellation;
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3. Right violated or threatened to be violated,
and how violated or threatened;
4. Investigation conducted, if any;
5. Actions and recourses taken by the petitioner
to determine the fate or whereabouts of the
aggrieved party and the identity of the
violator; and
6. Relief prayed for (Section 5, A.M. No. 07-9-12-
SC).
Contents of Return
Within five (5) working days after service of the
writ, the respondent shall file a verified written
return together with supporting affidavits which
shall, among other things, contain the following:
a. Lawful defenses of the respondent;
b. Steps or actions taken to determine the fate
or whereabouts of the aggrieved party and
the violator;
c. All relevant information in the possession of
the respondent; and
d. If the respondent is a public official or
employee, the return shall further state the
actions that have been or will still be taken:
1. to verify the identity of the aggrieved
party;
2. to recover and preserve evidence related
to the death or disappearance of the
person identified in the petition;
3. to identify witnesses and obtain statements
from them concerning the death or
disappearance;
4. to determine the cause, manner, location,
and time of death or disappearance as well
as any pattern or practice that may have
brought about the death or disappearance;
5. to identify and apprehend the person or
persons involved in the death or
disappearance; and
6. to bring the suspected offenders before a
competent court(Section 9, A.M. No. 07-
9-12-SC).
The return itself is the comment or answer of the
respondent to the petition(Albano, Remidial Law
Reviewer, p.1316, 2010 ed.).
When to file a return?
Respondent must file a verified written return
within 72 hours after service of writ, together
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with supporting affidavits. (Sec.9, A.M. No.07-9-12- When a criminal action is filed subsequent to the
SC). filing of a petition for the writ, the latter shall be
consolidated with the criminal action.
6.N.5 Effects of failure to file a return
When a criminal action and a separate civil action
The court, justice or judge shall proceed to hear are filed subsequent to a petition for a writ of
the petition ex parte. (Section 13, A.M. No. 07-9-12- habeas data, the petition shall be consolidated
SC). with the criminal action. (Sec. 21, A.M. No. 08-1-16-
SC).
6.N.6 Omnibus Waiver Rule
6.N.9 Effect of filing a criminal action
All defenses shall be raised in the return,
otherwise, they shall be deemed waived. (Section When a criminal action has been commenced, no
10, A.M. No. 07-9-12-SC). separate petition for the writ shall be filed. The
reliefs under the writ shall be available by motion
in the criminal case.

6.N.7 Procedure for hearing
The hearing on the petition shall be summary.
The court, justice or judge may call for a
preliminary conference to simplify issues and
determine possibility of obtaining stipulations and
admissions.
Hearing will be day to day until completed, and
has the same priority as habeas corpus petitions.
(Section 13, A.M. No. 07-9-12-SC).
Judgment
The court shall render the judgment within ten
(10) days from the time the pretition is submitted
for decision.
Archiving and Revival of Cases
The procedure under this Rule shall govern the
disposition of the reliefs available under the writ
of amparo(Section 22, A.M. No. 07-9-12-SC).
6.N.10 Consolidation
When a criminal action is filled subsequently to
the filing of a petition for the writ, the petition for
the writ shall be consolidated with the criminal
action.
When a criminal action and a separate civil action
are filed subsequent to a petition for the writ of
Amparo, the petition for the writ shall be
consolidated with the criminal action.
After consolidation, the procedure under this Rule
shall continue to apply to the disposition of the
reliefs in the petition(Section 23, A.M. No. 07-9-12-
SC).

If the case cannot proceed for valid cause, the 6.N.11 Interim reliefs available to
court shall not dismiss the petition but shall petitioner and respondent
archive it. If after the lapse of two (2) years from
the notice of archiving, the petition shall be Petitioner Respondent
dismissed for failure to prosecute. (Section 13, (Section 14, A.M. No. (Section 15, A.M. No. 07-
A.M. No. 07-9-12-SC). 07-9-12-SC) 9-12-SC)
a. Temporary a. Inspection Order
6.N.8 Institution of Separate Action Restraining
Order. The court, justice or
judge, upon verified
This Rule shall not preclude the institution of
The court, justice or motion and after due
separate criminal, civil or administrative actions. judge, upon motion hearing, may order
(Section 21, A.M. No. 07-9-12-SC). or motuproprio, may any person in
order that the possession or control
Consolidation petitioner or of a designated land
aggrieved and any or other propter, to
member of the permit entry for the
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immediate family be purpose of inspection, return, to
Remedial
produce
protected in a measuring, surveying, and permit their
government agency or photographing the inspection, copying
or by any accredited property or any or photographing by
person or private relevant object or or on behalf of the
institution capable of operation thereon. movant.
keeping and
securing their safety. NOTE: A motion for d. Witness
If the petitioner is an inspection order shall Protection Order.
organization, be supported by
affidavits or The court, justice or
association, or
testimonies of judge, upon motion
institution referred
witnesses having or motuproprio, may
to in Section 3 ©of
personal knowledge refer the witnesses
this Rule, the
of the defenses of the to the Department of
protection may be
respondent. Justice for admission
extended to the
to the Witness
officers involved.
b. Production Order. Protection, Security
b. Inspection Order. and Benefit Program,
The court, justice or pursuant to Republic
The court, justice or judge, upon verified Act No. 6981.
judge, upon verified motion and after due
motion and after due hearing, may order
hearing, may order any person in
any person in possession, custody,
possession or control or control of any
of a designated land designated
or other propter, to documents, papers,
6.N.12 Quantum of proof in application for
permit entry for the books, accounts,
purpose of letters, photographs,
issuance of writ of Amparo
inspection, objects or tangible
measuring, things, or objects in The parties shall establish their claims by
surveying, or digitized or electronic substantial evidence(Section 17, A.M. No. 07-9-12-
photographing the form, which SC).
property or any constitute or contain
relevant object or evidence relevant to If the respondent is a public official or
operation thereon. the petition or the employee:
return, to produce
c. Production Order. and permit their
1. Must prove that extraordinary diligence as
inspection, copying or
The court, justice or required as required by the applicable laws,
photographing by or
judge, upon verified rules and regulations was observed in the
on behalf of the
motion and after due performance of duty.
movant.
hearing, may order
2. Cannot invoke the presumption that official
any person in
possession, custody, duty has been regularly performed to evade
or control of any responsibility or liability.
designated
documents, papers, If respondent is a private individual or
books, accounts, entity:
letters, photographs,
objects or tangible 1. 1. Must prove that ordinary diligence as
things, or objects in required by applicable laws, rules and
digitized or
regulations was observed in the performance
electronic form,
which constitute or of duty. (Section 17, A.M. No. 07-9-12-SC).
contain evidence
relevant to the 6.O WRIT OF HABEAS DATA
petition or the (A.M. No. 08-1-16- SC)
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6.O.1 Scope of Writ
A remedy available to any person whose
right to privacy in life, liberty or security is
violated or threatened by an unlawful act
or omission of a public official or employee,
or of a private individual or entity engaged
in the gathering, collecting or storing of
data or information regarding the person,
family, home and correspondence of the
aggrieved party.(Sec. 1, A.M. No. 08-1-16-SC).
It is an independent and summary remedy
designed to protect the image, privacy, honor,
information, and freedom of information of an
individual, and to provide a forum to enforce
one’s right to the truth and to informational
privacy. It seeks to protect a person’s right to
control information regarding oneself, particularly
in instances in which such information is being
collected through unlawful means in order to
achieve unlawful ends. There must be a nexus
between the right to privacy, as well as the
violation or threatened violation of the rights to
life, liberty, and security, for the writ to issue.
(Gamboa v. Chan, G.R. No. 193636, July 4, 2012).
6.O.2 Availability of Writ
The writ of habeas data can be availed of
as an independent remedy to enforce one‘s
right to privacy, more specifically the right
to informational privacy. The court still
found that the remedy is wrong in this
case. The Supreme Court found that there
was no reasonable expectation of privacy
in cases of Facebook photos being posted
specially if there is no evidence to prove that
there are only a handful of people who may view
the same. Since there is no informational privacy
that may be expected on social media, the Court
found the petition to be without merit (Vivares v.
St. Theresa‘s College, GR No. 202666, September
29,2014).
6.O.3. Who may file
a) By any aggrieved party; or
b)
c) by the following, in cases of extralegal killings
and enforced disappearances:
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1. Any member of the immediate family:
spouse, children and parents of the
aggrieved party;
2.
3. Any ascendant, descendant or collateral
relative of aggrieved party within the
4th civil degree of consanguinity or affinity,
in default of those mentioned in the
preceding paragraph.
(Sec. 2, A.M. No. 08-1-16-SC).
Where to file the petition
a.) a) RTC, at the option of the petitioner
(a) Where petitioner resides;or
(b) Where respondent resides;or
(c)Which has jurisdiction over the place where
the data or information is gathered,
collected or stored.
b.) b)  SC, CA, SB (when action concerns public
data files of government offices). (Sec. 3, A.M.
No. 08-1-16-SC).
Writ is enforceable anywhere in the Philippines.
(Sec. 4, A.M. No. 08-1-16-SC).
6.O.4 Contents of the petition
A verified written petition for a writ of habeas
data should contain:
a. Personal circumstances of petitioner and
respondent;
b. The manner the right to privacy is violated or
threatened and how it affects the right to life,
liberty or security of aggrieved party;
c. Actions and recourses taken by petitioner to
secure the data or information;
d. Location of files, registers or databases,
government office, and the person in charge,
in possession or in control of the data or
information, if known;
e. Reliefs prayed for, which may include the
updating, rectification, suppression or
destruction of the database or information or
files kept by respondent;
f. In case of threats, relief may include a prayer
for an order enjoining the act complained of;
and
and
 Purple Notes
g. Such other reliefs as are just and equitable.
(Sec. 6, A.M. No. 08-1-16-SC).
Note: A Habeas Data Petition is dismissible if it
fails to adequately show that there exists a nexus
between the right to privacy on the one hand,
and the right to life, liberty or security on the
other. Moreover, it is equally dismissible if it is
not supported by substantial evidence showing
an actual or threatened violation of the right to
privacy in life, liberty or security of the victim.
(Margate Lee v. Ilagan, GR No. 203254, October 8,
2014).
6.O.5 Contents of return
a. Lawful defenses such as national security,
state secrets, privileged communications,
confidentiality of source of information;
b.
c. If respondent is in charge, in possession or in
control of the data or information subject of
the petition:
1. Disclosure of data/info about petitioner,
nature of data/info, purpose of collection;
2. Steps or actions taken by respondent to
ensure security and confidentiality of data
or information;
3.
4. Currency and accuracy of data or
information;
d. Other allegations relevant to resolution of the
proceedings.
e. A general denial of the allegations in the
petition is not allowed. (Sec. 10, A.M. No. 08-1-
16-SC).
When to file the return
Respondent must file a verified written return
within five (5) work days from service of the writ,
together with supporting affidavits. The 5-day
period may be reasonably extended by the Court
for justifiable reasons. (Sec. 10, A.M. No. 08-1-16-
SC).
6.O.6 Instances when petition be heard in
chambers
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1. When respondent invokes the defense that
the release of the data or information in
question shall compromise national security or
state secrets,;
2. or when the data or information cannot be
divulged to the public due to its nature or
privileged character. (Sec. 12, A.M. No. 08-1-16-
SC).
6.O.7 Consolidation
When a criminal action is filed subsequent
to the filing of a petition for the writ, the
latter shall be consolidated with the
criminal action.
When a criminal action and a separate civil
action are filed subsequent to a petition for
a writ of habeas data, the petition shall be
consolidated with the criminal action. (Sec.
21, A.M. No. 08-1-16-SC)
6.O.8 Effects of filing of a criminal action
When a criminal action has been commenced, no
separate petition for the writ shall be filed. The
relief under the writ shall be available to an
aggrieved party by motion in the criminal case.
The procedure under this Rule shall govern the
disposition of the reliefs available under the writ
of habeas data. (Sec. 22, A.M. No. 08-1-16-SC).
6.O.9 Institution of separate action
The filing of a petition for the writ of habeas data
shall not preclude the filing of separate criminal,
civil or administrative actions. (Sec. 20, A.M. No.
08-1-16-SC).
The reason for the rule is that, the writ partakes
of the nature of a prerogative writ. It is not a
criminal, civil or administrative suit. It does not
suspend the filing of a criminal, civil or
administrative action.
6.O.10 Quantum of proof in application for
issuance of writ of habeas data
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The allegations in the petition must be proven by
Substantial Evidence. (Sec. 16, A.M. No. 08-1-16-
SC).

Justifiable Causes for Change of Name:

The name is ridiculous, dishonorable, or is

extremely difficult to write or pronounce.
1. The change results as a legal consequence, as
in legitimation.
2. The change is necessary to avoid confusion
(not confusion caused by petitioner's own use
of unauthorized alias).
3. Having continuously used and been known
since childhood by a Filipino name, unaware of
his alien parentage;
4. Sincere desire to adopt a Filipino name to erase
signs of former alienage, all in good faith,
without prejudice to public interest and not for
a fraudulent purpose(Republic v. Hernandez, G.R.
No. 117209, 9 February 1996).

Insufficient Grounds for The Change of

Name:

a) Separation of spouses;
b) No proof of prejudice by use of official
name(Republic vs. Hernandez, G.R. No. 117209,
February 9, 1996);
6.P. CHANGE OF NAME
(Rule 103)
c) Mere use and known by different name
(Republic vs. Gallo,G.R. No. 207074, January
6.P.1 Differences under
6.P.1 Rule 103, R.A.
Differences 9048
under and103, R.A.17,
Rule
2018);
9048 and Rule 108
Rule 108 d) No proof that the true name evokes derisive
laughter.(Giao vs. Republic, G.R. No. L-18669.
November 29, 1965)

A change of name is not a matter of right but of

judicial discretion, to be exercised in the light of
the reasons adduced and the consequences that
will follow. The Supreme Court considers the
compassionate calls for recognition of the various
degrees of intersex as variations which should
not be subject to outright denial. "It has been
suggested that there is some middle ground
between the sexes, a `no-man's land' for those
individuals who are neither truly `male' nor truly
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 Purple Notes
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`female'." The current state of Philippine statutes
apparently compels that a person be classified
either as a male or as a female, but this Court is
not controlled by mere appearances when nature
itself fundamentally negates such rigid
classification (Republic vs. Cagandahan G.R. No.
166676, September 12, 2008).

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RULE 103 RULE 108 R.A. No. 9048, as amended

by R.A. No. 10172
Rule or Change of Name Cancellation/ Correction Clerical Error Act
Law of Entries in the Civil
Registry

Subject Change of full name or Cancellation or correction Change of:

Matter family name (substantial
corrections)
Who may A person desiring to change
File his name. (Section 1)
Venue RTC of the province in
which petitioner resided for
3 years prior to filing.
Contents (a) That petitioner has been
of a bona fide resident of
Petition the province where the
petition is filed for at
least three (3) years
prior to the date of
such filing;
of civil registry entries  first name or nickname
(substantial corrections)  the day and month in the
date of birth or
 sex of a personand correction
of civil registry entries (only
typographical or clerical
errors)

Any person interested in Any person having direct and
any act, event, order or personal interest in the correction
decree concerning the of a clerical or typographical error
civil status of persons in an entry and/or change of first
which has been recorded name or nickname. (Section 3)
in the civil register.
(Section 1)
RTC of city or province 1. Local civil registry office of
where the corresponding the city or municipality
civil registry is located. where the record being
sought to be corrected or
changed is kept;
2.
ii.
1. Local civil registrar of the
place where the interested
party is presently residing or
domiciled;
2.
iii.
1. Philippine Consulate.
2.
-- a.) Facts necessary to establish
the merits of petition;
b.)
c.) Particular erroneous entry or
entries, which are sought to
be corrected and/or the
change sought to be made.

(b) The cause for which the Petition shall be supported by the
change of petitioner's following documents:
name is sought; a.) A certified true machine
copy of the certificate or of
(c) The name asked for.
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(Section 2)
Remedial
the page of the registry book
containing the entry or
entries sought to be
corrected or changed;
b.)
c.) At least two (2) public or
private documents showing
the correct entry or entries
upon which the correction or
change shall be based; and
d.)
e.) Other documents which
petitioner or the city or
municipal civil registrar or
the consul general may
consider relevant and
necessary for the approval of
petition. (Section 5)
f.) For petitions for correction of
date of birth: it shall be
accompanied by earliest
school record or earliest
school documents such as,
but not limited to, medical
records, baptismal certificate
and other documents issued
by religious authorities;
g.) For petitions for correction of
entries involving change of
gender: it shall accompanied
by a certification issued by
an accredited government
physician attesting to the
fact that the petitioner has
not undergone sex change
or sex transplant (Sec. 5, as
amended).
h.)

i.)
Grounds 1. Name is ridiculous, Upon good and valid 1. Petitioner finds the first name
tainted with dishonor grounds. or nickname to be ridiculous,
and extremely difficult tainted with dishonor or
to write or pronounce; extremely difficult to write or
2. pronounce;
3. Consequence of change 2.
of status; 3. The new first name or
4. nickname has been habitually
5. Necessity to avoid and continuously used by
confusion; petitioner and he has been
6. publicly known by that first
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7. Having continuously name or nickname in the
used and been known community; or
since childhood by a 4.
Filipino name, unaware 5. The change will avoid
of her alien parentage; confusion. (Section 4)
8.
9. A sincere desire to
adopt a Filipino name to
erase signs of former
alienage all in good faith
and without prejudicing
anybody.
10.
Kind of Judicial Proceeding Judicial Proceeding Administrative Proceeding
Proceedin
g Adversarial in nature
because it involves
substantial changes and
affects the status of an
individual.

What to File a signed and verified File a verified petition for File an affidavit.
File petition. the cancellation or
correction of any entry.

Notice At least once a week for At least once a week for At least once a week for two
and three consecutive weeks in three consecutive weeks consecutive weeks (publish the
Publicatio a newspaper of general in a newspaper of general whole affidavit) – in change of
n circulation (notice of circulation (notice of first name or nickname
hearing) hearing)
The petition for change of first
name or nickname, or for
correction of erroneous entry
concerning the day and month in
the date of birth or the sex of a
person, as the case may be, shall
be published at least once a week
for two (2) consecutive weeks in
a newspaper of general
circulation (R.A. No. 9048, as
amended by R.A. No. 10172, Sec. 5).
Posting No posting No posting Duty of the civil registrar or
Consul to post petition in a
conspicuous place for 10
consecutive days.

Who The Solicitor General or the The Civil Registrar. The Civil Registrar or Consul.
Participate proper provincial or city
s on the fiscal shall appear on behalf
part of the
of the Government of the
Governme
nt
Republic.
Where to Appeal decision to the Court Appeal decision to the Appeal decision to the Civil
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 Purple Notes
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Appeal of Appeals. Court of Appeals. Registrar General (Head of
Philippine Statistics Authority).

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Justifiable Causes for Change of
Name:6.P.2 Grounds for change of name

5. The name is ridiculous, dishonorable, or is

extremely difficult to write or pronounce.
6. The change results as a legal consequence, as
in legitimation.
7. The change is necessary to avoid confusion
(not confusion caused by petitioner's own use
of unauthorized alias).
8. Having continuously used and been known
since childhood by a Filipino name, unaware of
his alien parentage;
9. Sincere desire to adopt a Filipino name to erase
signs of former alienage, all in good faith,
without prejudice to public interest and not for
a fraudulent purpose(Republic v. Hernandez, G.R.
No. 117209, 9 February 1996).

Insufficient Grounds for The Change of

Name:

e) Separation of spouses;
f) No proof of prejudice by use of official
name(Republic vs. Hernandez, G.R. No. 117209,
February 9, 1996);
g) Mere use and known by different name
(Republic vs. Gallo,G.R. No. 207074, January
17, 2018);
h) No proof that the true name evokes derisive
laughter.(Giao vs. Republic, G.R. No. L-18669.
November 29, 1965)

A change of name is not a matter of right but of

judicial discretion, to be exercised in the light of
the reasons adduced and the consequences that
will follow. The Supreme Court considers the
compassionate calls for recognition of the various
degrees of intersex as variations which should
not be subject to outright denial. "It has been
suggested that there is some middle ground
between the sexes, a `no-man's land' for those
individuals who are neither truly `male' nor truly
`female'." The current state of Philippine statutes
apparently compels that a person be classified
either as a male or as a female, but this Court is
not controlled by mere appearances when nature
itself fundamentally negates such rigid
classification (Republic vs. Cagandahan G.R. No.
166676, September 12, 2008).

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 Purple Notes
6.Q. ABSENTEES
6.Q.1 Purpose of the Rule
For the administration of the properties of an
absentee. (De Leon and Wilwayco, Special
Proceedings Essentials for Bench and Bar, pp.541-559,
2015).
General Rule: No independent action for
declaration of presumption of death (In Re:
Petition for the Presumption of Death of Nicolai V.
Szatraw, G.R. No. L-1780, 1948).
Under prevailing case law, courts are
without any authority to take cognizance of
a petition that-like the one filed by the
petitioner in the case at bench-only seeks
to have a person declared presumptively
dead under the Civil Code. Such a petition
is not authorized by law (Tadeo-Matia vs
Republic, GR No. 230751, April 25, 2018).
Exception: For purpose of contracting a second
marriage (Art. 41, Family Code).
6.O.2 2. Who may file; When to file
Who may file a petition for the
appointment of an absentee’s
representative?
1. Any interested party;
2. Absentee’s relative; or
3. Absentee’s friend(Sec. 1, Rule 107).
Who may file a petition for declaration of
absence?
1. Spouse present;
2. Heirs instituted in a will, who may
present an authentic copy of the same;
3. Relative who would succeed by the law
of intestacy; and
4. Those who have over the property of the
absentee some right subordinated to the
condition of his death.(Sec.2, Rule 107).
When to file the petition?
1. After the lapse of two years from:
Criminal
Remedial
a. the absentee’s disappearance and
without any news about the
absentee, or
b. since the receipt of the last news
about him.
2. After five years in case the absentee has
left a person in charge of the
administration of his property(Sec.2, Rule
107).
3. Who may be appointed?
4.
(1)  Spouse present shall be preferred when
there is no legal separation;
(1.) Spouse present shall be preferred when
there is no legal separation
(2.) (2)  Any competent person – if
absentee left no spouse, or spouse is
incompetent. (Sec. 7, Rule 107).
Effects of Reappearance
If the absentee appears, or without appearing his
existence is proved, he shall recover his property
in the condition in which it may be found, and
the price of any property that may have been
alienated or the property acquired therewith; but
he cannot claim either fruits or rents. (Art. 392,
New Civil Code).
The subsequent marriage referred to in the
preceding Article shall be automatically
terminated by the recording of the affidavit of
reappearance of the absent spouse, unless there
is a judgment annulling the previous marriage or
declaring it void ab initio. (Art. 42, Family Code).
6.R. CANCELLATION OR CORRECTION OF
ENTRIES IN THE CIVIL REGISTRY (Rule 108)
Proceedings for cancellation or correction of
entries in the Civil Registry may be:
a) Summary – when the correction sought to
be made is a mere clerical error (now
governed by RA 9048)
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b) Adversarial – where the rectification affects
civil status, citizenship or nationality of a
party or any other substantial change.
Note: This Rule is modified accordingly by R.A.
No. 9048 (Clerical Error Law) and its
Implementing Rules, allowing corrections in the
civil register without the need of judicial order.
R.A. No. 9048 removed from the ambit of Rule
108 the correction of clerical or typographical
errors. However, R.A. No. 9048 applies only to
substantial changes and corrections of entries in
the civil register. Thus, it is opined that it is more
precise to say that Rule 108 is still available for
correction of clerical or typographical errors,
albeit as secondary recourse (Republic vs.
Cagandahan, G.R. No 166676, September 12, 2008).
6.R.1 Entries Subject to Correction and
Cancellation (Substantial changes in the
Civil Registry)
a) Births
b) Marriages
c) Deaths
d) Legal separations
e) Judgments of annulments of marriage
f) Judgments declaring marriages void from
the beginning.
g) Legitimations
h) Adoptions
i) Acknowledgments of natural children
j) Naturalization
k) Election, loss or recovery of citizenship
l) Civil interdiction
m) Judicial determination of filiation
n) Voluntary emancipation of minor; and
o) Change of name.
General rule: No entry in a civil register shall be
changed or corrected without a judicial order.
Exception: Judicial order is not necessary for
clerical or typographical errors or mistakes
committed in the performance of clerical work in
writing, copying, transcribing or typing an entry
in the civil register.
The errors must be:
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 Harmless and innocuous (inoffensive), such as
the following: misspelled name, misspelled
place of birth or the like, mistake in the entry
of day and month in the date of birth, sex of
the person or the like where it is patently clear
that there was a clerical or typographical error
or mistake in the entry
Note: In case of year, judicial order is
necessary.
 Visible to the eyes or obvious to the
understanding.

 Can be corrected or changed only by
reference to other existing record or records.
Change of First Name or Nickname
First name - a name or nickname given to a
person which may consist of one or more names
in addition to the middle and last names
Grounds for Change
a) The petitioner finds the first name or
nickname to be ridiculous, tainted with
dishonor or extremely difficult to write or
pronounce;
b) The new first name or nickname has been
habitually and continuously used by the
petitioner and he has been publicly known by
that by that first name or nickname in the
community; or,
c) The change will avoid confusion.
Parties to be impleaded
1. The Civil Registrar concerned; and,
2. All persons who have or claim any interest
which would be affected thereby.
Note: Failure to implead the civil registrar and
the parties who would naturally and legally be
affected by that grant of the petition would
render the proceedings and the judgment void.
Non-impleading, however, as a respondent of
one who is inadvertently left out or is not
established to be known by the petitioner to be
affected by the grant of the petition would not
nullify the proceedings and judgment as they are
deemed notified through publication (Republic vs.
and
 Purple Notes
Coseteng-Magpayo, G.R. No. 189476, February 2,
2011).
Notice of the time and place for the hearing shall
be given to all persons named in the petition.
Publication is for three (3) consecutive weeks in a
newspaper of general circulation.
A reading of Sections 3 and 4 of Rule 108 readily
shows that the rule mandates two sets of notices
to different potential oppositors. The first notice
is that given to the persons “named in the
petition” made by impleading them and giving
them personal notice. The second (which is
through publication) is that given to the other
persons not named in the petition but
nonetheless may be considered interested or
affected parties, such as creditors (Republic vs.
Coseteng-Magpayo, G.R. No. 189476, February 2,
2011).
When opposition to the petition is filed:
 15 days counted from the notice of the
petition; or,
 15 days counted from the last publication of
the notice.
Petition for change of name and petition for
cancellation or correction of entries are distinct
proceedings. Hence, a party cannot change name
and correct an entry in a single petition without
satisfying the jurisdictional requirement.
A petition for correction is an action in rem. It is
the publication of such notice that brings in the
whole world as party in the case and vests the
court with jurisdiction to hear and decide (Barco
Criminal
vs. CA,
Remedial
G.R. No. 120587, January 20, 2004,420
SCRA 162).
If the correction sought to be made in the civil
register is clerical, then the procedure to be
adopted is summary. If the rectification affects
the civil status, citizenship or nationality of a
party, it is deemed substantial, and the
procedure to be adopted is adversary (Republic vs.
Valencia, G.R. No.L-32181 March 5, 1986).
An appropriate adversary suit or proceeding is
one where the trial court has conducted
proceedings where all relevant facts have been
fully and properly developed, where opposing
counsel have been given opportunity to demolish
the opposite party’s case, and where the
evidence has been thoroughly weighed and
considered (Eleosida vs. Local Civil Registrar of
Quezon City, G.R. No. 130277, May 9, 2002).
R.A. No. 9048 does not sanction a change of first
name on the ground of sex reassignment. Rather
than avoiding confusion, changing petitioner’s
first name for his declared purpose may only
create grave complications in the civil registry
and the public interest (Silverio vs. Republic, G.R.
No. 174689, October 22, 2007).
CLERICAL ERROR LAW (R.A. No. 9048)
A surname cannot be the subject of a petition for
change of name under this procedure.
Correction of clerical or typographical error shall
be availed only once with respect to particular
entry or entries in the same civil registry of
record.
This procedure is summary and administrative.
66.SS APPEALS IN SPECIAL PROCEEDINGS
6.S.1 JUDGMENTS AND ORDERS FOR
WHICH APPEAL MAY BE TAKEN
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6.S.2 When to Appeal
a. a. If it allows or disallows a will;
b.
c. b. If it wholly determines who are the lawful In certain special proceedings, appeal may be
heirs or distributive shares; lawful taken from one aspect of the case while the court
d. heirs or the distributive shares; proceeds to hear another aspect of the same.
e. c. If it wholly or partially allows or disallows E.g. An appeal may be taken from an order
f. a claim against a decedent’s estate, or any admitting the probate of a will, while the court
g. claim presented on the decedent’s estate, proceeds to resolve its intrinsic validity. (De Leon
and Wilwayco, Special Proceedings Essentials for
h. or any claim presented on the estate’s Bench and Bar, Page 561, 2019).
i. behalf in offset to claim against it;
j. d. If it settles the account of an
executor/administrator/trustee/guardian;
k. If it constitutes a final determination in the
Periods to appeal
lower court of the rights of the party
appealing in proceedings relating to estate
settlement or administration of a Proceeding Deadline to file an
trustee/guardian. an appeal
l. executor/administrator/trustee/guardian; Special proceedings  Fifteen (15) days
m. e.If it constitutes a final determination in the from notice of the
lower court of the rights of the party order or judgment
appealing in proceedings relating to appealed from
estate settlement or administration of a  Thirty (30) days
trustee/guardian from notice of the
order or judgment
Exception: Appointment of a special appealed from if
administrator is not appealable. the case involves
multi-appeals.
Remedy: Petition for certiorari under Writ of habeas Forty-eight (48) hours
Rule 65, if there is grave abuse of corpus from the service of
discretion. judgment.
n. f. If it is the final order/judgment rendered Writ of Amparo Five (5) working days
o. in the case, and affects the substantial from notice of
p. rights of the person appealing. judgment.
Writ of Habeas Data Five (5) working days
Exception: Orders granting/denying a from notice of
MFR/MNT (Sec. 1, Rule 109) judgment.
Writ of Kalikasan Fifteen (15) days from
While some of the items in Sec. 1, Rule 109 notice of judgment or
may be considered as interlocutory under denial of motion for
ordinary special actions, the nature of special reconsideration.
proceedings declares them as appealable as (De Leon and Wilwayco, Special Proceedings Essentials
exceptions to Sec. 1, Rule 41. for Bench and Bar, p.561, 2019)

Rationale: To enable the rest of the case to

6.S.3 Modes of appeal (De Leon and Wilwayco,
proceed in the event that a separate and
Special Proceedings Essentials for Bench and Bar, Page
distinct issue is resolved by the court and 561-563, 2019)
held to be final.(Marinduque Mining and
Industrial Corporation v. CA, G.R. No. 161219, Oct. 6,
2008)
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Rule 40 (Appeal From Municipal Trial Courts to
the Regional Trial Courts), 41(Appeal From The
Regional Trial Courts), 42 (Petition for Review
From the Regional Trial Courts to the Court of
Appeals) and 45 (Appeal by Certiorari to the
Supreme Court) of the Revised Rules of Court
apply in conformity with Rule 72, Sec. 2 on the
applicability of rules of civil actions.
If it is an ordinary appeal under Rule 40 or 41
and the special proceedings are subject to
multiple appeals, like settlement of estate, then
appeal period is 30 days, a notice of appeal and
record on appeal being required.
 Q: Is multiple appeals allowed in
special proceedings?
A: Yes. It is permitted as it is a practical
recognition of the possibility that material
issues may be finally determined at various
stages of the special proceedings.
In this multiple-appeal mode, the probate court
loses jurisdiction only over the subject matter of
the appeal but retains jurisdiction over the special
proceedings from which the appeal was taken for
purposes of further remedies the parties may
avail of. (Briones vs. Henson-Cruz, G.R. No. 159130,
August 22, 2008).
A record on appeal – in addition to the notice of
appeal – is required to be filed as the original
records of the case should remain with the trial
court to enable the rest of the case to proceed in
Criminal
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the event that a separate and distinct issue is
resolved by said court and held to be final.
Sec. 1 of Rule 109 underscores the multi-part
nature of special proceedings by enumerating the
particular judgments and final orders already
subject of appeal by any interested party despite
other part of the proceedings being still untried
or unresolved. In order to elevate a part of the
records sufficient for appellate review, with the
RTC being deprived of the original records, the
remedy was to file a record on appeal to be
approved by the RTC. (Lebin vs. Mirasol, G.R. No.
164255, Sept. 7, 2011).
6.S.4 Rule on advance distribution
Distribution of the estate prior to the payment of
its obligations provided that “the distributes, or
any of them, gives a bond, in sum to be fixed by
the court, conditioned for the payment of said
obligations within such time as the court directs”.
(Sec.2, Rule 109).
Although it is within the discretion of RTC
whether or not to permit the advance distribution
of the estate, its exercise of such discretion
should be qualified by the following:
1. only part of the estate that is not affected by
any pending controversy or appeal may be the
subject of advance distribution; and
2. the distributes must post a bond, fixed by the
court, conditioned for the payment of
outstanding obligations of the estate. (Sec.2,
Rule 109).
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ANNEX A - SPECIAL PROCEEDINGS, FLOW CHARTS

1. SETTLEMENT OF ESTATE

Source: De Leon and Wilwayco, Special Proceedings Essentials for Bench and Bar, p.191, 2015 ed.

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2. EXTRAJUDICIAL SETTLEMENT OF ESTATE

Source: De Leon and Wilwayco, Special Proceedings Essentials for Bench and Bar, p.194, 2015 ed.

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3. JUDICIAL SETTLEMENT OF ESTATE

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Source: De Leon and Wilwayco, Special Proceedings Essentials for Bench and Bar, p.192, 2015 ed.

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4. CLAIMS AGAINST THE ESTATE

Source: De Leon and Wilwayco, Special Proceedings Essentials for Bench and Bar, p.196, 2015 ed.

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5. DISTRIBUTION OF RESIDUE OF ESTATE

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Source: De Leon and Wilwayco, Special Proceedings Essentials for Bench and Bar, p.197, 2015 ed.

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ANNEX B – SPECIAL PROCEEDINGS, COMPARATIVE TABLES

1. DISTINCTIONS BETWEEN WRIT OF HABEAS CORPUS, WRIT OF AMPARO AND WRIT OF

HABEAS DATA

Writ of Habeas Corpus Writ of Amparo Writ of Habeas Data

Purpose A remedy available to any
person which covers cases
of illegal confinement or
detention by which any
person is deprived of his
liberty, or by which the
rightful custody of any
person is withheld from
the person entitled
thereto.
A remedy available to any
person whose right to life,
liberty and security is
violated or threatened with
violation by an unlawful act
or omission of a public
official or employee, or of a
private individual or entity.
The writ covers
extrajudicial killings and
enforced disappearances or
threats thereof.
A remedy available to
any person whose right
to privacy in life, liberty
or security is violated
or threatened by an
unlawful act or
omission of a public
official or employee, or
of a private individual
or entity engaged in the
gathering, collecting or
storing of data or
information regarding
the person, family,
home and
correspondence of the
aggrieved party.

Who may file By the party for whose By the aggrieved party or By any aggrieved party
relief it is intended, or by any qualified person or or by the following, in
some person on his behalf. entity in the following cases of extralegal
order: killings and enforced
disappearances:
1. Any member of the
immediate family: 1. Any member of the
spouse, children and immediate family:
parents of the spouse, children
aggrieved party; and parents of the
2. aggrieved party;
3. Any ascendant, 2.
descendant or 3. Any ascendant,
collateral relative of descendant or
aggrieved party within collateral relative of
the 4th civil degree of aggrieved party
consanguinity or within the 4th civil
affinity; degree of
4. consanguinity or
5. Any concerned citizen, affinity.
orgnization,
association or
institution, if no known
member of immediate
family.

Where to file RTC, enforceable within its RTC, Sandiganbayan, CA, RTC, SC, CA,
area of jurisdiction. SC; Sandiganbayan;

CA or SC, enforceable Writ is enforceable Writ is also enforceable

anywhere in the anywhere in the anywhere in the
Philippines. Philippines. Philippines.
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Fees  -- Petitioner is exempted to Indigent petitioner is
pay docket and other exempted to pay
lawful fees. docket and other lawful
fees.

When issued When a petition therefor is
presented and it appears
that the writ ought to
issue.
Immediately if on its face it
ought to be issued;
Served immediately.
Summary hearing set not
later than seven (7) days
from date of issuance.
Immediately if on its
face it ought to be
issued;
Served within 3 days
from issuance;
Summary hearing set
not later than ten (10)
working days from date
of issuance.

Contents of a. That the person in a. Personal circumstances a. Personal

verified whose behalf the of petitioner and of circumstances of
petition application is made is respondent responsible petitioner and
imprisoned or for the threat, act or respondent;
restrained of his omission; b.
liberty; b. c. The manner the
b. c. Violated or threatened right to privacy is
c. The officer or name of right to life, liberty and violated or
the person by whom security of aggrieved threatened and
he is so imprisoned or party, and how how it affects the
restrained; or, if both committed with right to life, liberty
are unknown or attendance or security of
uncertain, such officer circumstances detailed aggrieved party;
or person may be d. d.
described by an e. in supporting e. Actions and
assumed appellation, affidavits; recourses taken by
and the person who is f. petitioner to secure
served with the writ g. Investigation the data or
shall be deemed the conducted, specifying information;
person intended; names, personal f.
d. circumstances and g. Location of files,
e. The place where he is addresses of registers or
so imprisoned or investigating authority databases,
restrained, if known; or individuals, as well government office,
f. as manner and conduct and the person in
g. A copy of the of investigation charge, in
commitment or cause together with any possession or in
of detention of such report; control of the data
person, if it can be h. or information, if
procured without i. Actions and recourses known;
impairing the taken by petitioner to h.
efficiency of the determine the fate or i. Reliefs prayed for,
remedy; or, if the whereabouts of which may include
imprisonment or aggrieved party and the updating,
restraint is without identity of person rectification,
any legal authority, responsible for the suppression or
such fact shall appear. threat, act or omission; destruction of the
and database or
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k. The relief prayed for. kept by respondent;
l. j.
m. May include general k. In case of threats,
prayer for other just relief may include a
and equitable reliefs. prayer for an order
enjoining the act
complained of; and
l.
m. Such other reliefs
as are just and
equitable.
n.

Contents of a. Whether the a. Lawful defenses; a. Lawful defenses

return respondent has or has b. such as national
not the party in his c. Steps or actions taken security, state
custody or power, or to determine secrets, privileged
under restraint; whereabouts of communications,
b. aggrieved party; confidentiality of
c. If he has the party in d. source of
his custody or power, e. All relevant information information;
or under restraint, the pertaining to threat,
authority and the true act or omission against b. If respondent is in
and whole cause aggrieved party; charge, in
thereof, set forth at possession or in
large, with a copy of f. If respondent is a control of the data
the writ, order, public official or or information
execution, or other employee, further subject of the
process, if any, upon state: petition:
which the party is
held; 1. verify the identity 1. Disclosure of
d. of aggrieved; data/info about
e. If the party is in his 2. recover and petitioner,
custody or power or is preserve evidence nature of
restrained by him, and related to death or data/info,
is not produced, disappearance of purpose of
particularly the nature person identified in collection;
and gravity of the petition; 2.
sickness or infirmity of 3. 3. Steps or actions
such party by reason 4. identify witnesses taken by
of which he cannot, and their respondent to
without danger, be statements; ensure security
brought before the 5. and
court or judge; 6. determine cause, confidentiality
f. manner, location of data or
g. If he has had the party and time of death information;
in his custody or or disappearance 4.
power, or under as well as pattern 5. Currency and
restraint, and has or practice; accuracy of data
transferred such 7. or information;
custody or restraint to 8. identify and
another, particularly to apprehend c. Other allegations
whom, at what time, person/s involved relevant to
for what cause, and by in the resolution of the
what authority such death/disappearan proceedings.
transfer was made. ce; d.
9. e. A general denial of
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10. bring
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suspected the allegations in
offenders before a the petition is not
competent court. allowed.
11.
12. A general denial of
the allegations in
the petition is not
allowed.
13.
Effects of  -- The court, justice or judge The court, justice or
failure to file shall proceed to hear the judge shall proceed to
return petition ex parte. hear the petition ex
  parte, granting the
petitioner such relief as
the petition may
warrant unless the
court in its discretion
requires petitioner to
submit evidence.

Procedure for  -- The hearing on the petition The hearing on the
hearing shall be summary. However petition shall be
the court, justice or judge summary. However the
may call for a preliminary court, justice or judge
conference to simplify the may call for a
issues and determine the preliminary conference
possibility of obtaining to simplify the issues
stipulations and admissions and determine the
from the parties. possibility of obtaining
stipulations and
The hearing shall be from admissions from the
day to day until completed parties.
and given the same priority  
as petitions for habeas
corpus.

Interim reliefs  -- Temporary Protection --

available Order – protected in a
before final government agency of by
judgment an accredited person or
private institution capable
of keeping and securing
their safety;

Inspection Order – with a

lifetime of 5 days which
may be extended, may be
opposed on the ground of
national security or
privileged information,
allows entry into and
inspect, measure, survey or
photograph the property;

Production Order – to
require respondents to
produce and permit
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photographing of
documents, papers, books,
accounts, letters,
photographs, objects or
tangible things that contain
evidence.

Effect of filing  -- A criminal action first filed A criminal action first
criminal excludes the filing of the filed excludes the filing
action writ; relief shall be by of the writ; relief shall
motion in the criminal case. be by motion in the
A criminal case filed criminal case; A
subsequently shall be criminal case filed
consolidated with the subsequently shall be
petition for the writ consolidated with the
of amparo. petition for the writ of
habeas data.

Appeal � To the SC under Rule To the SC under Rule 45, To the SC under Rule
45, within 48 hours within5 days from notice of 45, within 5 days from
from notice of adverse judgment, to be notice of judgment or
judgment (Tan Chin Hui given the same priority as final order, to be given
vs. Rodriguez, G.R. No. habeas corpus cases. the same priority
137571, Sept. 21, 2000). as habeas corpus
and amparo cases.
� A writ of habeas corpus
does not lie where
petitioner has the
remedy of appeal
or certiorari because it
will not be permitted to
perform the functions
of a writ of error or
appeal for the purpose
of reviewing mere
errors or irregularities
in the proceedings of a
court having
jurisdiction over the
person and the subject
matter (Galvez vs. CA,
G.R. No. 114046, Oct. 24,
1994).

Quantum of -- By substantial evidence. Private --

proof respondent to prove ordinary
diligence was observed in the
performance of duty.

Public official/employee
respondent to prove
extraordinary diligence was
observed, and cannot invoke
the presumption that official
duty has been regularly
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evade
responsibility or liability.

Quantum of  -- By substantial evidence. Private  --

proof respondent to prove ordinary
diligence was observed in the
performance of duty.
Public official/employee
respondent to prove
extraordinary diligence was
observed, and cannot invoke
the presumption that official
duty has been regularly
performed to evade
responsibility or liability.

2. DIFFERENCES UNDER RULE 103 AND RULE 108 IN RELATION TO R.A. NO. 9048:

RULE 103 RULE 108 R.A. No. 9048

Rule or Law Change of Name Cancellation/ Correction Clerical Error Act
of Entries in the Civil
Registry

Subject Matter Change of full name or Cancellation or correction Change of first

family name (substantial
corrections)
of civil registry entries
(substantial corrections)
name or nickname
and correction of
civil registry entries
(only typographical
or clerical errors)

Who may File A person desiring to change Any person interested in Any person having
his name. (Section 1) any act, event, order or direct and personal
decree concerning the interest in the
civil status of persons correction of a
which has been recorded clerical or
in the civil register. typographical error
(Section 1) in an entry and/or
change of first
name or nickname.
(Section 3)

Venue RTC of the province in RTC of city or province 3. Local civil

which petitioner resided for where the corresponding registry office
3 years prior to filing. civil registry is located. of the city or
municipality
where the
record being
sought to be
corrected or
changed is
kept;
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4. Local civil
registrar of the
place where the
interested party
is presently
residing or
domiciled;

5. Philippine
Consulate

Contents of (a) That petitioner has been -- d.) Facts

Petition a bona fide resident of necessary to
the province where the establish the
petition is filed for at merits of
least three (3) years petition;
prior to the date of
such filing; e.) Particular
erroneous
(b) The cause for which the entry or
change of petitioner's entries, which
name is sought; are sought to
be corrected
(c) The name asked for. and/or the
(Section 2) change sought
to be made.

Petition shall be
supported by the
following
documents:

j.)A certified true

machine copy
of the
certificate or of
the page of the
registry book
containing the
entry or entries
sought to be
corrected or
changed;

k.) At least two

(2) public or
private
documents
showing the
correct entry
or entries upon
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which the
correction or
change shall
be based; and

l.) Other
documents
which
petitioner or
the city or
municipal civil
registrar or the
consul general
may consider
relevant and
necessary for
the approval of
petition.
(Section 5)

Grounds 11. Name is ridiculous, Upon good and valid 6. Petitioner finds
tainted with dishonor grounds. the first name
and extremely difficult or nickname to
to write or pronounce; be ridiculous,
tainted with
12. Consequence of change dishonor or
of status; extremely
difficult to write
13. Necessity to avoid or pronounce;
confusion;
7. The new first
14. Having continuously name or
used and been known nickname has
since childhood by a been habitually
Filipino name, unaware and
of her alien parentage; continuously
used by
15. A sincere desire to petitioner and
adopt a Filipino name to he has been
erase signs of former publicly known
alienage all in good faith by that first
and without prejudicing name or
anybody. nickname in the
community; or

8. The change will

avoid
confusion.
(Section 4)
Kind of Judicial Proceeding Judicial Proceeding Administrative
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Proceeding Proceeding
Adversarial in nature
because it involves
substantial changes and
affects the status of an
individual.

What to File File a signed and verified File a verified petition for File an affidavit.
petition. the cancellation or
correction of any entry.

Notice and At least once a week for At least once a week for At least once a
Publication three consecutive weeks in three consecutive weeks week for two
a newspaper of general in a newspaper of general consecutive weeks
circulation (notice of circulation (notice of (publish the whole
hearing) hearing) affidavit) – in
change of first
name or nickname

The petition for

change of first
name or nickname,
or for correction of
erroneous entry
concerning the day
and month in the
date of birth or the
sex of a person, as
the case may be,
shall be published
at least once a
week for two (2)
consecutive weeks
in a newspaper of
general circulation
(R.A. No. 9048, as
amended by R.A. No.
10172, Sec. 5).
Posting No posting No posting Duty of the civil
registrar or Consul
to post petition in a
conspicuous place
for 10 consecutive
days.

Who Participates The Solicitor General or the The Civil Registrar. The Civil Registrar
on the part of proper provincial or city or Consul.
the Government fiscal shall appear on behalf
of the Government of the
Republic.
Where to Appeal decision to the Court Appeal decision to the Appeal decision to
Appeal of Appeals. Court of Appeals. the Civil Registrar
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General (Head of
Philippine Statistics
Authority).

23. RULE 103 VS. RULE 108

CANCELLATION OR CORRECTION OF
CHANGE OF NAME
ENTRIES
Involves substantial changes. Involves clerical or typographical errors such as
those which are visible to eye or obvious to the
understanding and involves a harmless or
innocuous change.

An appropriate adversary proceeding. An appropriate summary proceeding.

Requires judicial order. Directed or changed by the city or municipal civil

registrar or consul general without a judicial
order.

34. PETITION FOR CHANGE OF NAME VS. PETITION FOR THE CORRECTION OR CANCELLATION
OF ENTRIES

PETITION FOR PETITION FOR THE CORRECTION OR

CHANGE OF NAME CANCELLATION OF ENTRIES
Petition should be filed in the RTC where the Verified petition filed in the RTC where the
petitioner resides. corresponding Civil Registry is located.

Civil Registrar is not a party. Civil Registrar is an indispensable party. If not

made a party, proceedings are null and void.

Reason: He is an interested party in protecting

the integrity of the public documents.

Petition is filed by the person desiring to change his Filed by any person interested in any ACT,
name. EVENT, ORDER or DECREE.

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Change of name only. All cancellation or correction of entries.

Involves substantial changes. Generally involves clerical or typographical errors

such as those which are visible to eye or obvious
to the understanding and involves a harmless or
innocuous change.

An appropriate adversary proceeding. Generally an appropriate summary proceeding.

Entry is correct but petitioner desires to change the All cancellation or correction of entries.
entry.

Requires judicial order. Generally directed or changed by the city or

municipal civil registrar or consul general without
a judicial order.

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12. RULES OF PROCEDURE FOR Law Description
ENVIRONMENTAL CASES RA 8749 Clean Air Act;
(A.M. No. 09-6-8-SC, effective April 13, 2010) RA 9003 Ecological Solid Waste Management
Act;
12.A.SCOPE AND APPLICABILITY OF THE RA 9072 National Caves and Cave Resource
RULE Management Act
RA 9147 Wildlife Conservation and Protection
These Rules shall govern the procedure in civil, Act
criminal and special civil actions before the RA 9175 Chainsaw Act
Regional Trial Courts, Metropolitan Trial Courts, RA 9275 Clean Water Act
Municipal Trial Courts in Cities, Municipal Trial RA 9483 Oil Spill Compensation Act of 2007
Courts and Municipal Circuit Trial Courts CA 141 The Public Land Act (some
involving enforcement or violations of provisions)
environmental and other related laws, rules and R.A. 6657 Comprehensive Agrarian Reform Law
regulations such as, but not limited to, the of 1988
following: RA 7160 Local Government Code of 1991
RA 7161 Tax Laws Incorporated in the Revised
Law Description Forestry Code and Other
Act 3572 Prohibition Against Cutting of Tindalo, Environmental Laws (Amending the
Akli, and Molave Trees; NIRC);
PD 705 Revised Forestry Code; RA 7308 Seed Industry Development Act of
PD 856 Sanitation Code; 1992;
PD 979 Marine Pollution Decree; RA 7900 High-Value Crops Development Act
PD 1067 Water Code; RA 8048 Coconut Preservation Act
PD1151 Philippine Environmental Policy of RA 8435 Agriculture and Fisheries
1977; Modernization Act of 1997
PD 1433 Plant Quarantine Law of 1978; RA 9522 The Philippine Archipelagic Baselines
PD 1586 Establishing an Environmental Impact Law
Statement System Including Other RA 9593 Renewable Energy Act of 2008
Environmental Management Related RA 9637 Philippine Biofuels Act; and Other
Measures and for Other Purposes; existing laws that relate to the
RA 3571 Prohibition Against the Cutting, conservation, development,
Destroying or Injuring of Planted or preservation, protection and
Growing Trees, Flowering Plants and utilization of the environment and
Shrubs or Plants of Scenic Value natural resources.
along Public Roads, in Plazas, Parks,
School Premises or in any Other
Objectives of the Rules (Sec. 3, Rule 1, Rules of
Public Ground;
Procedure for Environmental Cases)
RA 4850 Laguna Lake Development Authority
Act;
RA 6969 Toxic Substances and Hazardous a) To protect and advance the constitutional
Waste Act; right of the people to a balanced and
RA 7076 People‘s Small-Scale Mining Act; healthful ecology;
RA 7586 National Integrated Protected Areas b) To provide a simplified, speedy and
System Act including all laws, inexpensive procedure for the enforcement
decrees, orders, proclamations and of environmental rights and duties
issuances establishing protected recognized under the Constitution, existing
areas; laws, rules and regulations, and international
RA 7611 Strategic Environmental Plan for agreements;
Palawan Act;
c) To introduce and adopt innovations and best
RA 7942 Philippine Mining Act;
practices ensuring the effective enforcement
RA 8371 Indigenous Peoples Rights Act; of remedies and redress for violation of
RA 8550 Philippine Fisheries Code; environmental laws; and
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397
d) To enable the courts to monitor and exact
compliance with orders and judgments in
environmental cases.
Definition of Terms (Sec. 4, Rule 1, Rules of
Procedure for Environmental Cases)
(a) By-product or derivatives means any
part taken or substance extracted from
wildlife, in raw or in processed form including
stuffed animals and herbarium specimens.
(b) Consent decree refers to a judicially-
approved settlement between concerned
parties based on public interest and public
policy to protect and preserve the
environment.
(c) Continuing mandamus is a writ issued by
a court in an environmental case directing
any agency or instrumentality of the
government or officer thereof to perform an
act or series of acts decreed by final
judgment which shall remain effective until
judgment is fully satisfied.
(d) Environmental protection order (EPO)
refers to an order issued by the court
directing or enjoining any person or
government agency to perform or desist
from performing an act in order to protect,
preserve or rehabilitate the environment.
(e) Mineral refers to all naturally occurring
inorganic substance in solid, gas, liquid, or
any intermediate state excluding energy
materials such as coal, petroleum, natural
gas, radioactive materials and geothermal
energy.
(f) Precautionary principle states that when
human activities may lead to threats of
serious and irreversible damage to the
environment that is scientifically plausible but
uncertain, actions shall be taken to avoid or
diminish that threat.
(g) Strategic lawsuit against public
participation (SLAPP) refers to an action
whether civil, criminal or administrative,
brought against any person, institution or
any government agency or local government
unit or its officials and employees, with the
398
intent to harass, vex, exert undue pressure
or stifle any legal recourse that such person,
institution or government agency has taken
or may take in the enforcement of
environmental laws, protection of the
environment or assertion of environmental
rights.
(h) Wildlife means wild forms and varieties of
flora and fauna, in all developmental stages
including those which are in captivity or are
being bred or propagated.
12.B. CIVIL PROCEDURE(Part 2)
Who may file (Sec. 4, Rule 2, Part 2)
Any real party in interest, including the
government and juridical entities authorized by
law, may file a civil action involving the
enforcement or violation of any environmental
law.
Citizen suit (Sec. 5, Rule 2, Part 2)
Any Filipino citizen in representation of others,
including minors or generations yet unborn, may
file an action to enforce rights or obligations
under environmental laws.
Upon the filing of a citizen suit, the court shall
issue an order which shall contain a brief
description of the cause of action and the reliefs
prayed for, requiring all interested parties to
manifest their interest to intervene in the case
within fifteen (15) days from notice thereof.
The plaintiff may publish the order once in a
newspaper of a general circulation in the
Philippines or furnish all affected barangays
copies of said order.
Contents of the Verified Complaint (Sec. 3,
Rule 2, Part 2)
a) names and addresses of the parties;
b) the cause of action;
c) the reliefs prayed for;
d) a statement that it is an environmental case;
e) the law involved; and,
f) the complaint shall include a certification
against forum shopping.
The plaintiff shall attach to the verified
complaint all evidence proving or supporting the
 Purple Notes
cause of action consisting of the affidavits of
witnesses, documentary evidence and if
possible, object evidence.
The affidavits shall be in question and answer
form and shall comply with the rules of
admissibility of evidence.
If the complaint is not an environmental
complaint, the presiding judge shall refer it to
the executive judge for re-raffle.
Prohibited Pleadings and Motions
The following pleadings or motions shall not be
allowed:
1) Motion for a bill of particulars;
2) Motion for extension of time to file pleadings,
except to file answer, the extension not to
exceed fifteen (15) days;
3) Motion to dismiss the complaint;
4) Motion to declare the defendant in default;
5) Reply and rejoinder; and
6) 3rd party complaint.
While the enumeration have been adopted in
part from the Rule on Summary Procedure in
response to the question of delay which often
accompanies regular cases, summary procedure
is not adopted in its entirety given the complex
and wide range of environmental cases. (Sec. 19,
Revised Rules on Summary Procedure)
Procedural safeguards have been introduced for
truly complex cases which may necessitate
further evaluation from the court. Among these
is the exclusion of the motions for
postponement, new trial and reconsideration, as
well as the petition for relief from the
prohibition.
Motion for postponement, motion for new trial
and petition for relief from judgment shall only
be allowed in certain conditions of highly
meritorious cases or to prevent a manifest
miscarriage of justice. The satisfaction of these
conditions is required since these motions are
prone to abuse during litigation.
Motion for intervention is permitted in order to
allow the public to participate in the filing and
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prosecution of environmental cases, which are
imbued with public interest. Petitions for
certiorari are likewise permitted since these
raise fundamentally questions of jurisdiction.
Under the Constitution, the SC may not be
deprived of its certiorari jurisdiction (Annotation
to the Rules of Procedure for Environmental Cases,
pp. 108)
Service of the complaint upon the
government or its agencies (Sec. 6, Rule 2,
Part 2)
Upon the filing of the complaint, the plaintiff is
required to furnish the government or the
appropriate agency, although not a party, a
copy of the complaint. Proof of service upon
the government or the appropriate agency shall
be attached to the complaint.
Assignment by Raffle (Sec. 7, Rule 2, Part 2)
 If there is only one (1) designated branch in
a multiple-sala court, the executive judge
shall immediately refer the case to said
branch.
 If there are two (2) or more designated
branches, the executive judge shall conduct
a special raffle on the day the complaint is
filed.
Prohibition against Temporary
Restraining Order and Preliminary
Injunction (Sec. 10, Rule 2, Part 2)
No court can issue a TRO or writ of preliminary
injunction against lawful actions of government
agencies that enforce environmental laws or
prevent violations thereof, EXCEPT the
Supreme Court.(Sec. 10, OCA Circular No. 87-
2016,)
Payment of Filing and Other Legal Fees
(Sec. 12, Rule 2, Part 2)
General Rule: The payment of filing and other
legal fees by the plaintiff shall be deferred until
after judgment.
Exception: When the plaintiff is allowed to
litigate as an indigent. It shall constitute a first
lien on the judgment award.
Note: For a citizen suit, the court shall defer the
payment of filing and other legal fees that shall
serve
Baras first lien on the judgment award.
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Service of Summons, Orders and Other
Court Processes (Rule 2, Part 2, Sec. 13,)
 The summons shall be served on the
defendant, together with a copy of an order
informing all parties that they have fifteen
(15) days from the filing of an answer, within
which to avail of the modes of discovery.
 Should personal and substituted service fail,
summons by publication shall be allowed.
 In the case of juridical entities, summons by
publication shall be done by indicating the
names of the officers or their duly authorized
representatives.
Verified Answer; Cross-claims and
Counterclaims (Rule 2, Part 2,Sec. 14)
 Within fifteen (15) days from receipt of
summons, the defendant shall file a verified
answer to the complaint and serve a copy
thereof on the plaintiff.
 The defendant shall attach affidavits of
witnesses, reports, studies of experts and all
evidence in support of the defense.
General Rule: Affirmative and special defenses
not pleaded shall be deemed waived.
Exception: Lack of jurisdiction.
Cross-claims and compulsory counterclaims not
asserted shall be considered barred. The answer
to counterclaims or cross-claims shall be filed
and served within ten (10) days from service of
the answer in which they are pleaded.
Effect of Failure to Answer (Rule 2, Part 2,Sec.
15,)
The court shall declare defendant in default and
upon motion of the plaintiff, shall receive
evidence ex parte and render judgment based
thereon and the reliefs prayed for.
Pre-Trial (Rule 3, Part 2)
Within two (2) days from the filing of the
answer to the counterclaim or cross-claim, if
any, the branch clerk of court shall issue a
notice of the pre-trial.
400
The pre-trial shall be held not later than one (1)
month from the filing of the last pleading.
The court shall schedule the pre-trial and set as
many pre-trial conferences as may be necessary
within a period of two (2) months counted from
the date of the first pre-trial conference.
The judge shall put the parties and their
counsels under oath, and they shall remain
under oath in all pre-trial conferences.
The judge shall exert best efforts to persuade
the parties to arrive at a settlement of the
dispute. The judge may issue a consent decree
approving the agreement between the parties in
accordance with law, morals, public order and
public policy to protect the right of the people to
a balanced and healthful ecology.
General Rule: Evidence not presented during
the pre-trial shall be deemed waived.
Exception: Newly-discovered evidence
Sec. 5, Rule 3 encourages parties to reach an
agreement regarding settlement through a
consent decree, which gives emphasis to the
public interest aspect in the assertion of the
right to a balances and healthful ecology.
Contents of the Pre-Trial Brief
1. A statement of their willingness to enter into
an amicable settlement indicating the
desired terms thereof or to submit the case
to any of the alternative modes of dispute
resolution;
2. A summary of admitted facts and proposed
stipulation of facts;
3. The legal and factual issues to be tried or
resolved. For each factual issue, the parties
shall state all evidence to support their
positions thereon. For each legal issue,
parties shall state the applicable law and
jurisprudence supporting their respective
positions thereon;
4. The documents or exhibits to be presented,
including depositions, answers to
interrogatories and answers to written
request for admission by adverse party,
stating the purpose thereof;

5. A manifestation of their having availed of
discovery procedures or their intention to
avail themselves of referral to a
commissioner or panel of experts;
6. The number and names of the witnesses
and the substance of their affidavits;
7. Clarificatory questions from the parties; and,
8. List of cases arising out of the same facts
pending before other courts or
administrative agencies. Failure to comply
with the required contents of a pre-trial
brief may be a ground for contempt.
Note: Failure to file the pre-trial brief shall have
the same effect as failure to appear at the pre-
trial.
Referral to Mediation (Rule 3, Part 2,Sec. 3)
At the start of the pre-trial conference, the court
shall inquire from the parties if they have settled
the dispute; otherwise, the court shall
immediately refer the parties or their counsel, if
authorized by their clients, to the Philippine
Mediation Center (PMC) unit for purposes of
mediation.
If not available, the court shall refer the case to
the clerk of court or legal researcher for
mediation.
Mediation must be conducted within a non-
extendible period of thirty (30) days from
receipt of notice of referral to mediation.
The mediation report must be submitted within
ten (10) days from the expiration of the 30-day
period.
If mediation fails, the court will schedule the
continuance of the pre-trial.
Before the scheduled date of continuance, the
court may refer the case to the branch clerk of
court for a preliminary conference.
Purposes of Preliminary Conference
a) To assist the parties in reaching
settlement;
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b) To mark the documents or exhibits to be
presented by the parties and copies thereof
to be attached to the records after
comparison with the originals;
c) To ascertain from the parties the undisputed
facts and admissions on the genuineness and
due execution of the documents marked as
exhibits;
d) To require the parties to submit the
depositions taken under Rule 23 of the Rules
of Court, the answers to written
interrogatories under Rule 25, and the
answers to request for admissions by the
adverse party under Rule 26;
e) To require the production of documents or
things requested by a party under Rule 27
and the results of the physical and mental
examination of persons under Rule 28;
f) To consider such other matters as may aid in
its prompt disposition;
g) To record the proceedings in the "Minutes of
Preliminary Conference" to be signed by both
parties or their counsels;
h) To mark the affidavits of witnesses which
shall be in question and answer form and
shall constitute the direct examination of the
witnesses; and,
i) To attach the minutes together with the
marked exhibits before the pre-trial proper.
When there is NO full settlement (Rule 3,
Part 2,Sec. 6)
The judge shall:
(a) Adopt the minutes of the preliminary
conference as part of the pre-trial
proceedings and confirm the markings of
exhibits or substituted photocopies and
admissions on the genuineness and due
execution of documents;
(b) Determine if there are cases arising out of
the same facts pending before other courts
and order its consolidation if warranted;
(c) Determine if the pleadings are in order and if
not, order the amendments if necessary;
(d) Determine if interlocutory issues are involved
and resolve the same;
a (e) Consider the adding or dropping of parties;
(f) Scrutinize every single allegation of the
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complaint, Operations
answer and other
Commissions 401
401
 pleadings and attachments thereto, and the
contents of documents and all other
evidence identified and pre-marked during
pre-trial in determining further admissions;
(g) Obtain admissions based on the affidavits of
witnesses and evidence attached to the
pleadings or submitted during pre-trial;
(h)Define and simplify the factual and legal
issues arising from the pleadings and
evidence. Uncontroverted issues and
frivolous claims or defenses should be
eliminated;
(i) Discuss the propriety of rendering a
summary judgment or a judgment based on
the pleadings, evidence and admissions
made during pre-trial;
(j) Observe the Most Important Witness Rule in
limiting the number of witnesses,
determining the facts to be proved by each
witness and fixing the approximate number
of hours per witness;
(k) Encourage referral of the case to a trial by
commissioner under Rule 32 of the Rules of
Court or to a mediator or arbitrator under
any of the alternative modes of dispute
resolution governed by the Special Rules of
Court on Alternative Dispute Resolution;
(l) Determine the necessity of engaging the
services of a qualified expert as a friend of
the court (amicus curiae); and
(m) Ask parties to agree on the specific trial
dates for continuous trial, comply with the
one-day examination of witness rule, adhere
to the case flow chart determined by the
court which shall contain the different stages
of the proceedings up to the promulgation of
the decision and use the time frame for each
stage in setting the trial dates.
Trial (Rule 3, Part 2)
 The judge shall conduct continuous trial and
may ask the Supreme Court for the
extension of the trial period for justifiable
cause.
 In lieu of direct examination, affidavits
marked during the pre-trial shall be
presented as direct examination of affiants
subject to cross-examination by the adverse
party.
402
 After the presentation of the last witness,
only oral offer of evidence shall be allowed,
and the opposing party shall immediately
interpose his objections. The judge shall
forthwith rule on the offer of evidence in
open court.
 After the last party has rested its case, the
court shall issue an order submitting the case
for decision. The court may require the
parties to submit their respective
memoranda, if possible in electronic form,
within a non-extendible period of thirty (30)
days from the date the case is submitted for
decision.
 The court shall have a period of sixty (60)
days to decide the case from the date the
case is submitted for decision.
 The court shall have a period of one (1) year
from the filing of the complaint to try and
decide the case. Before the expiration of the
one-year period, the court may petition the
Supreme Court for the extension of the
period for justifiable cause.
 The court shall prioritize the adjudication of
environmental cases.
One-day Examination of Witness Rule (,
Rule 4, Part 2,Sec. 3)
A witness has to be fully examined in one (1)
day, subject to the court’s discretion of
extending the examination for justifiable reason.
The court shall strictly adhere to this rule.
TEMPORARY ENVIRONMENTAL
PROTECTION ORDER (TEPO) (Rule 2, Sec. 8)
Issuance of Temporary Environmental
Protection Order
If it appears from the verified complaint with a
prayer for the issuance of an Environmental
Protection Order (EPO) that the matter is of
extreme urgency and the applicant will suffer
grave injustice and irreparable injury:
1) The executive judge of the multiple sala
court before raffle or the presiding judge of a
single-sala court as the case may be, may
issue ex parte a TEPO effective for only
 Purple Notes
seventy-two (72) hours from date of the
receipt of the TEPO by the party or person
enjoined.
2) Within said period, the court where the case
is assigned, shall conduct a summary hearing
to determine whether the TEPO may be
extended until the termination of the case.
3) The court where the case is assigned shall
periodically monitor the existence of acts
that are the subject matter of the TEPO even
if issued by the executive judge, and may lift
the same at any time as circumstances may
warrant.
4) The applicant shall be exempted from the
posting of a bond for the issuance of a TEPO.
The Rules provide that an applicant who files for
the issuance of a TEPO is exempt from the
posting of a bond, but the Rules also provide for
safeguards for the possible pernicious effects
upon the party or person sought to be enjoined
by the TEPO:
1) A TEPO may only be issued in matters of
extreme urgency and the applicant will suffer
grave injustice and irreparable injury,
2) the TEPO is effective for only 72 hours; and
3) The court should periodically monitor the
existence of acts which are the subject
matter of the TEPO. The TEPO can also be
lifted anytime as the circumstances may
warrant.
Note: While the TEPO may be issued ex parte,
this is more of the exception. The general rule
on the conduct of a hearing pursuant to due
process remains.
Judgment and Execution (Rule 5, Part 2)
 Any judgment directing the performance of
acts for the protection, preservation or
rehabilitation of the environment shall be
executory pending appeal unless restrained
by the appellate court.
 A judgment rendered pursuant to these
Rules is immediately executory. It may not
be stayed by the posting of a bond under
Rule 39 of the Rules of Court and the sole
remedy lies with the appellate court. The
appellate court can issue a TRO to restrain
Criminal
Remedial
the execution of the judgment. Should the
appellate court act with grave abuse of
discretion in refusing to act on the
application for a TRO, a petition for certiorari
under Rule 65 can be brought before the
Supreme Court.
 The court may, motuproprio, or upon motion
of the prevailing party, order that the
enforcement of the judgment or order be
referred to a commissioner to be appointed
by the court. The commissioner shall file with
the court written progress reports on a
quarterly basis or more frequently when
necessary.
 The process of execution shall terminate
upon a sufficient showing that the decision
or order has been implemented to the
satisfaction of the court in accordance with
Section 14, Rule 39 of the Rules of Court.
Reliefs in a Citizen’s Suit (Rule 5,Sec. 1)
If warranted, the court may grant to the plaintiff
proper reliefs which shall include the protection,
preservation or rehabilitation of the environment
and the payment of attorney’s fees, costs of suit
and other litigation expenses.
It may also require the violator to submit a
program of rehabilitation or restoration of the
environment, the costs of which shall be borne
by the violator, or to contribute to a special trust
fund for that purpose subject to the control of
the court.
Permanent Environmental Protection
Order; Writ of Continuing Mandamus (, Rule
5, Part 2,Sec. 3)
1) In the judgment, the court may convert the
TEPO to a permanent EPO or issue a writ of
continuing mandamus directing the
performance of acts which shall be effective
until the judgment is fully satisfied.
2) The court may, by itself or through the
appropriate government agency, monitor the
execution of the judgment and require the
party concerned to submit written reports on
a quarterly basis or sooner as may be
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necessary, detailing the progress of
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403
 the execution and satisfaction of the
judgment. The other party may, at its option,
submit its comments or observations on the
execution of the judgment.
3) In this provision, continuing mandamus is
made available as a final relief. As a remedy,
continuing mandamus is decidedly an
attractive relief. Nevertheless, the monitoring
function attached to the writ is decidedly
taxing upon the court. Thus, it is meant to
be an exceptional remedy.
WRIT OF CONTINUING MANDAMUS
Continuing mandamus is a writ issued by a
court in an environmental case directing any
agency or instrumentality of the government or
officer thereof to perform an act or series of
acts decreed by final judgment which shall
remain effective until judgment is fully satisfied
(Sec. 4[c], Rule 1, Part 1).
The concept of continuing mandamus was
originally enunciated in the case of Concerned
Residents of Manila Bay vs. MMDA (G.R. No.
171947-98, December 18, 2008).
The Rules now codify the Writ of Continuing
Mandamus as one of the principal remedies
which may be availed of in environmental cases.
Availability
1. When any agency or instrumentality of the
government or officer thereof:
a) unlawfully neglects the performance of an
act which the law specifically enjoins as a
duty resulting from an office, trust or
station in connection with the
enforcement or violation of an
environmental law rule or regulation or a
right therein; or,
b) unlawfully excludes another from the use
or enjoyment of such right; and
2. There is no other plain, speedy and adequate
remedy in the ordinary course of law.
How to Avail
The person aggrieved may file a verified petition
in the proper court.
404
Contents and Form of Verified Petition
The petition must:
 Allege the facts with certainty;
 Be supported by evidence attached thereto;
 Specify that the petition concerns an
environmental law, rule or regulation;
 Contain a prayer that judgment be rendered
commanding the respondent to do an act or
series of acts until the judgment is fully
satisfied and to pay damages sustained by
the petitioner by reason of the malicious
neglect to perform the duties of the
respondent, under the law, rules or
regulations; and,
 Contain a sworn certification of non-forum
shopping.
Where to File the Petition
The petition shall be filed with the Regional Trial
Court exercising jurisdiction over the territory
where the actionable neglect or omission
occurred or with the Court of Appeals or the
Supreme Court.
The petitioner shall be exempt from the
payment of docket fees.
Order to Comment
If the petition is sufficient in form and
substance, the court shall issue the writ and
require the respondent to comment on the
petition within ten (10) days from receipt of a
copy thereof.
Such order shall be served on the respondents
in such manner as the court may direct,
together with a copy of the petition and any
annexes thereto.
Expediting Proceedings
The court in which the petition is filed may issue
such orders to expedite the proceedings, and it
may also grant a TEPO for the preservation of
the rights of the parties pending such
proceedings.
 Purple Notes
Proceedings after the comment is filed
After the comment is filed or the time for the
filing thereof has expired, the court may hear
the case which shall be summary in nature or
require the parties to submit memoranda.
The petition shall be resolved without delay
within sixty (60) days from the date of the
submission of the petition for resolution.
Judgment
If warranted, the court shall grant the privilege
of the writ of continuing mandamus requiring
respondent to perform an act or series of acts
until the judgment is fully satisfied and to grant
such other reliefs as may be warranted
resulting from the wrongful or illegal acts of the
respondent.
The court shall require the respondent to
submit periodic reports detailing the progress
and execution of the judgment, and may, by
itself or through a commissioner or the
appropriate government agency, evaluate and
monitor compliance.
The petitioner may submit its comments or
observations on the execution of the judgment.
Return of the Writ
 Partial returns. The periodic reports
submitted by the respondent detailing
compliance with the judgment shall be
contained in partial returns of the writ.
 Final return. Upon full satisfaction of the
judgment, a final return of the writ shall be
made to the court by the respondent. If the
court finds that the judgment has been fully
implemented, the satisfaction of judgment
shall be entered in the court docket.
Notes:
 Procedurally, the filing before the courts of a
petition for the issuance of a writ of
continuing madamus is similar to the filing
of an ordinary writ of mandamus. However,
the issuance of a TEPO is made available as
Criminal
Remedial
an auxiliary remedy prior to the issuance of
the writ itself.
 As a special civil action, the Writ of
Continuing Mandamus may be availed of to
compel the performance of an act specifically
enjoined by law. It permits the court to
retain jurisdiction after judgment, in order to
ensure the successful implementation of the
reliefs mandated under the court’s decision.
For this purpose, the court may compel the
submission of compliance reports from the
respondent government agencies as well as
avail of other means to monitor compliance
with its decision. Its availability as a special
civil action likewise complements its role as a
final relief in environmental civil cases and in
the Writ of Kalikasan, where continuing
mandamus may likewise be issued should
the facts merit such relief.
Strategic Lawsuit Against Public
Participation or SLAPP (Rule 6, Part 2)
Definition
SLAPP refers to an action, whether civil, criminal
or administrative, brought against any person,
institution or any government agency or local
government unit or its officials and employees,
with the intent to harass, vex, exert undue
pressure or stifle any legal recourse that such
person, institution or government agency has
taken or may take in the enforcement of
environmental laws, protection of the
environment or assertion of environmental
rights (Sec. 4[g], Rule 1).
 How alleged as a defense. In a SLAPP
filed against a person involved in the
enforcement of environmental laws,
protection of the environment, or assertion
of environmental rights, the defendant may
file an answer interposing as a defense that
the case is a SLAPP and shall be supported
by documents, affidavits, papers and other
evidence; and, by way of counterclaim, pray
for damages, attorney‘s fees and costs of
suit.
 When alleged. Since a motion to dismiss is
a prohibited pleading, SLAPP as an
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affirmative defense should be
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405
 raised in an answer along with other
defenses that may be raised in the case
alleged to be a SLAPP.
 Opposition. The court shall direct the
plaintiff or adverse party to file an
opposition showing the suit is not a SLAPP,
attaching evidence in support thereof,
within a non-extendible period of five (5)
days from receipt of notice that an answer
has been filed.
 Hearing; summary in nature. The
defense of a SLAPP shall be set for hearing
by the court after issuance of the order to
file an opposition within fifteen (15) days
from filing of the comment or the lapse of
the period.
 Evidence. The parties must submit all
available evidence in support of their
respective positions. The party seeking the
dismissal of the case must prove by
substantial evidence that his acts for the
enforcement of environmental law is a
legitimate action for the protection,
preservation and rehabilitation of the
environment. The party filing the action
assailed as a SLAPP shall prove by
preponderance of evidence that the action is
not a SLAPP and is a valid claim.
 Court action. The defense of a SLAPP shall
be resolved within thirty (30) days after the
summary hearing. If the court dismisses the
action, the court may award damages,
attorney‘s fees and costs of suit under a
counterclaim if such has been filed. The
dismissal shall be with prejudice. If the
court rejects the defense of a SLAPP, the
evidence adduced during the summary
hearing shall be treated as evidence of the
parties on the merits of the case. The action
shall proceed in accordance with the Rules
of Court.
WRIT OF KALIKASAN (Rule 7, Part 3)
The Writ of Kalikasan is a remedy.
Who may avail of the writ
406
a) natural or juridical person;
b) entity authorized by law;
c) people’s organization;
d) non-governmental organization; or,
e) any public interest group accredited by or
registered with any government agency
For whose behalf: on behalf of persons whose
constitutional right to a balanced and healthful
ecology is violated, or threatened with violation.
Threat or violation, how committed: by an
unlawful act or omission involving environmental
damage of such magnitude as to prejudice the
life, health or property of inhabitants in two or
more cities or provinces.
Where to file: To the SC or any stations of the
CA. (Sec. 3, Rule 7)
Writ of Kalikasan, an extraordinary
remedy
The underlying emphasis in the Writ of
Kalikasan is magnitude as it deals with damage
that transcends political and territorial
boundaries.
Magnitude is thus measured according to the
qualification set forth in this Rule—when there is
environmental damage that prejudices the life,
health or property of inhabitants in two or more
cities or provinces.
Those who may file for this remedy must
represent the inhabitants prejudiced by the
environmental damage subject of the writ. The
requirement of accreditation of a group or
organization is for the purpose of verifying its
existence. The accreditation is a mechanism to
prevent fly by night groups from abusing the
writ.
Exemption from Payment of Docket Fees
(Rule 7,Sec. 4,)
The exemption from payment of docket fees is
consistent with the character of the reliefs
available under the writ, which excludes
damages for personal injuries. This exemption
also encourages public participation in availing
of the remedy.
 Purple Notes
Criminal
Remedial
or other expert studies, and if possible,
Issuance of the Writ (Rule 7, Sec. 5 object evidence, in support of the defense of
the respondent.
Within three (3) days from the date of filing of
the petition, if the petition is sufficient in form Note: A general denial of allegations in the
and substance, the court shall give an order: petition shall be considered as an admission
thereof.
a) issuing the writ; and,
b) requiring the respondent to file a verified Effect of Failure to File Return (Rule 7, Sec.
10)
return as provided in Section 8 of this Rule.
The clerk of court shall forthwith issue the writ
The court shall proceed to hear the petition ex
under the seal of the court including the
parte.
issuance of a cease and desist order and other
temporary reliefs effective until further order.
Hearing (Rule 7, Sec. 11)
The writ shall be served upon the respondent by
Upon receipt of the return of the respondent,
a court officer or any person deputized by the
the court may call a preliminary conference to
court, who shall retain a copy on which to make
simplify the issues, determine the possibility of
a return of service. In case the writ cannot be
obtaining stipulations or admissions from the
served personally, the rule on substituted
parties, and set the petition for hearing.
service shall apply (Rule 7, Sec. 6).
After hearing, the court may punish the
respondent who refuses or unduly delays the
A clerk of court who unduly delays or refuses to
filing of a return, or who makes a false return,
issue the writ after its allowance, or a court
or any person who disobeys or resists a lawful
officer or deputized person who unduly delays
process or order of the court for indirect
or refuses to serve the same shall be punished
contempt under Rule 71 of the Rules of Court
by the court for contempt without prejudice to
(Rule 7, Sec. 13).
other civil, criminal or administrative actions
(Rule 7, Sec. 7).
Prohibited Pleadings and Motions (Rule 7,
Sec. 9)
Return of the Respondent (Rule 7, Sec. 8)
1) Motion to dismiss
 Within a non-extendible period of ten (10)
2) Motion for extension of time to file return
days after service of the writ, the respondent
3) Motion for postponement
shall file a verified return.
4) Motion for a bill of particulars
 The return shall contain all defenses to show 5) Counterclaim or cross-claim
that respondent did NOT: 6) Third-party complaint
7) Reply; and
a) violate or threaten to violate, or allow the 8) Motion to declare respondent in default.
violation of any environmental law, rule or
regulation; or, Discovery Measures (Rule 7, Sec. 12,)
b) commit any act resulting to environmental
1. Ocular Inspection
damage of such magnitude as to
prejudice the life, health or property of
 A party may file a verified motion that
inhabitants in two or more cities or
must show that an ocular inspection order
provinces.
is necessary to establish the magnitude of
 All defenses not raised in the return shall be the violation or the threat as to prejudice
deemed waived. the life, health or property of inhabitants
in two or more cities or provinces.
 The return shall include affidavits of
witnesses, documentary evidence, scientific Bar Operations
Commissions 407
407
  It shall state in detail the place or places
to be inspected and shall be supported by
affidavits of witnesses having personal
knowledge of the violation or threatened
violation of environmental law.
Order for Ocular Inspection
After hearing, the court may order any person in
possession or control of a designated land or
other property to permit entry for the purpose
of inspecting or photographing the property or
any relevant object or operation thereon.
The order shall:
a) specify the person or persons authorized
to make the inspection;
b) specify the date, time, place and manner
of making the inspection;
c) it may prescribe other conditions to
protect the constitutional rights of all
parties.
2. Production or Inspection of documents
or things
 The motion must show that a production
order is necessary to establish the magnitude
of the violation or the threat as to prejudice
the life, health or property of inhabitants in
two or more cities or provinces.
Production Order
After hearing, the court may order any person in
possession, custody or control of any designated
documents, papers, books, accounts, letters,
photographs, objects or tangible things, or
objects in digitized or electronic form, which
constitute or contain evidence relevant to the
petition or the return, to produce and permit
their inspection, copying or photographing by or
on behalf of the movant.
The order shall:
a) specify the person or persons authorized
to make the production;
b) specify the date, time, place and manner
of making the inspection or production;
c) it may prescribe other conditions to
protect the constitutional rights of all
parties.
408
 It is claimed that the Environmental
Compliance Certificate (ECC) was issued in
violation of rules. The Court ruled that the
allegation cannot come within the coverage
of the writ of kalikasan because no causal
link or reasonable connection was shown
between the defects in the issuances of ECC
and the actual violation of constitutional
right to balanced and healthful ecology (Paje
vs. Casiño, G.R. No. 207257, February 3, 2015).
 Petitioners sought directive from Court in
connection with the grounding of the USS
Guardian on Tubbataha Reefs. The Court
ruled that since the US were sued in their
official capacity, the principle of state
immunity bars the exercise of jurisdiction by
Court. For recovery of damages, it should
not be raised in a writ of kalikasan petition
but through a separate civil suit (Arigo vs.
Swift, G.R. No. 206510, September 16, 2014).
 Court ordered to cease and desist from
operating the leaking pipeline until further
orders of the court. TEPO was based on a
petition filed by the residents who claimed
to have suffered health and environmental
hazards (West Tower Condominium Corp. vs.
First Phil. Industrial Corp., G.R. No. 194239, June
16, 2015).
Judgment (Rule 7, Sec. 15)
Within sixty (60) days from the time the petition
is submitted for decision, the court shall render
judgment granting or denying the privilege of
the writ of kalikasan.
Reliefs that may be granted under the
Writ of Kalikasan(Rule 7,Sec. 15)
(a) Directing respondent to permanently cease
and desist from committing acts or
neglecting the performance of a duty in
violation of environmental laws resulting in
environmental destruction or damage;
(b) Directing the respondent public official,
government agency, private person or entity
to protect, preserve, rehabilitate or restore
the environment;
 Purple Notes
Criminal
Remedial
(c) Directing the respondent public official, Who Aggrieved party Broad range
government agency, private person or entity may file
to monitor strict compliance with the decision Respond Government and Even private
and orders of the court; ent its officers individual may
be made
respondent
(d) Directing the respondent public official, Venue RTC/CA/SC SC/CA
government agency, or private person or Discover No provision With specific
entity to make periodic reports on the y provision
execution of the final judgment; and, measure
s
(e) Such other reliefs which relate to the right of Payment Allowed Not allowed
of
the people to a balanced and healthful
damages
ecology or to the protection, preservation,
rehabilitation or restoration of the
environment, EXCEPT the award of damages
to individual petitioners.

Appeal (Rule 7,Sec. 16)

To the Supreme Court under Rule 45 of the

Rules of Court, within fifteen (15) days from the
date of notice of the adverse judgment or denial
of motion for reconsideration. The appeal may
raise questions of fact.

Institution of Separate Actions (Rule 7, Sec.

17,)

The filing of a petition for the issuance of the

writ of kalikasan shall not preclude the filing of
separate civil, criminal or administrative actions.

Writ of Kalikasan vs.

Writ of Continuing Mandamus

Writ of
Writ of
Continuing
Kalikasan
Mandamus
Subject Unlawful neglect Unlawful act
Matter in performance of or omission
ministerial act involving
environmental
damage of
such
magnitude as
to prejudice
the life, health
or property of
inhabitants in
two or more
cities or
provinces
Bar Operations
Commissions 409
409
CRIMINAL PROCEDURE (Part 4)
Who may file (Rule 9,Sec. 1)
Any offended party, peace officer or any
public officer charged with the enforcement
of an environmental law
Institution of Criminal and Civil
actions (Rule 10,Sec. 1)
When a criminal action is instituted, the civil
action for the recovery of civil liability
arising from the offense charged, shall be
deemed instituted with the criminal action
unless the complainant waives the civil
action, reserves the right to institute it
separately or institutes the civil action prior
to the criminal action.
Arrest Without Warrant; When Lawful
(Rule 11, Sec. 1)
A peace officer or an individual deputized
by the proper government agency may,
without a warrant, arrest a person:
a) When, in his presence, the person to be
arrested has committed, is actually
committing or is attempting to commit
an offense; or,
b) When an offense has just been
committed, and he has probable cause
to believe based on personal knowledge
of facts or circumstances that the person
to be arrested has committed it.
 The CFI ordered the seizure of two
vessels in connection with illegal fishing.
The Court ruled that the seizure is valid
because the vessel can be quickly
moved out of the locality or jurisdiction
in which the search warrant must be
sought before such warrant could be
secured (Roldan, Jr. vs. Arca, G.R. No.
L-25434, July 25, 1975).
410
Strategic Lawsuit Against Public
Participation (SLAPP)
A motion to dismiss may be filed on the
ground that the criminal action is a SLAPP.
There must be a Summary Hearing before
the resolution of the motion.
Action of the court upon the motion to
dismiss
a) Grant the motion if the accused
establishes in the summary hearing that
the criminal case is a SLAPP.
b) If the court denies the motion, the court
shall immediately proceed with the
arraignment of the accused.
Procedure in Custody and Disposition
of Seized Items (Rule 12,Sec. 2)
In the absence of applicable laws or rules
promulgated by the concerned government
agency, the following procedure shall be
observed:
1) The apprehending officer having initial
custody and control of the seized items,
equipment, paraphernalia, conveyances
and instruments shall physically
inventory and whenever practicable,
photograph the same in the presence of
the person from whom such items were
seized.
2) Thereafter, the apprehending officer
shall submit to the issuing court the
return of the search warrant within five
(5) days from date of seizure or in case
of warrantless arrest, submit within five
(5) days from date of seizure, the
inventory report, compliance report,
photographs, representative samples and
other pertinent documents to the public
prosecutor for appropriate action.
 Purple Notes
3) Upon motion by any interested party, the
court may direct the auction sale of
seized items, equipment, paraphernalia,
tools or instruments of the crime. The
court shall, after hearing, fix the
minimum bid price based on the
recommendation of the concerned
government agency. The sheriff shall
conduct the auction.
4) The auction sale shall be with notice to
the accused, the person from whom the
items were seized, or the owner thereof
and the concerned government agency.
5) The notice of auction shall be posted in
three conspicuous places in the city or
municipality where the items,
equipment, paraphernalia, tools or
instruments of the crime were seized.
6) The proceeds shall be held in trust and
deposited with the government
depository bank for disposition according
to the judgment.
Bail (Rule 14, Part 4)
Where filed (Rule 14, Sec. 1)
a) court where the case is pending; or,
b) in the absence or unavailability of the
judge thereof, with any RTC judge,
MeTC judge, MTC judge or MCTC judge
in the province, city or municipality; or,
c) if the accused is arrested in a province,
city or municipality other than where the
case is pending, with any RTC of said
place; or,
d) if no judge thereof is available, with any
MeTC, MTC or MCTC judge therein.
If the court grants bail, the court may issue
a hold-departure order in appropriate cases.
Duties of the court before granting the
application for bail (Rule 14, Sec. 2,)
Criminal
Remedial
1. Judge must read the information in a
language known to and understood by
the accused; and,
2. Require the accused to sign a written
undertaking, as follows:
a) To appear before the court that
issued the warrant of arrest for
arraignment purposes on the date
scheduled, and if the accused fails to
appear without justification on the
date of arraignment, accused waives
the reading of the information and
authorizes the court to enter a plea of
not guilty on his behalf and to set the
case for trial;
b) To appear whenever required by the
court where the case is pending; and,
c) To waive the right of the accused to
be present at the trial, and upon
failure of the accused to appear
without justification and despite due
notice, the trial may proceed in
absentia.
Arraignment (Rule 15, Sec. 1)
The court shall set the arraignment of the
accused within fifteen (15) days from the
time it acquires jurisdiction over the
accused, with notice to the public
prosecutor and offended party or concerned
government agency that it will entertain
plea-bargaining on the date of the
arraignment.
Plea-bargaining (Sec. 2, Rule 15)
Where the prosecution and offended party
or concerned government agency agree to
the plea offered, court shall:
a) Issue an order which contains the plea-
bargaining arrived at;
Bar Operations
Commissions 411
411
b) Proceed to receive evidence on the civil
aspect of the case, if any; and
c) Render and promulgate judgment of
conviction, including the civil liability for
damages.
Pre-Trial (Rule 16,Sec. 1,)
After the arraignment, the court shall set
the pre-trial conference within thirty (30)
days.
It may refer the case to the branch clerk of
court, if warranted, for a preliminary
conference to be set at least three (3) days
prior to the pre-trial.
Purposes of Preliminary Conference
(Rule 16,Sec. 2,)
a) To assist the parties in reaching a
settlement of the civil aspect of the case;
b) To mark the documents to be presented
as exhibits;
c) To attach copies thereof to the records
after comparison with the originals;
d) To ascertain from the parties the
undisputed facts and admissions on the
genuineness and due execution of
documents marked as exhibits;
e) To consider such other matters as may
aid in the prompt disposition of the case;
f) To record the proceedings during the
preliminary conference in the Minutes of
Preliminary Conference to be signed by
the parties and counsel;
g) To mark the affidavits of witnesses
which shall be in question and answer
form and shall constitute the direct
examination of the witnesses; and
h) To attach the Minutes and marked
exhibits to the case record before the
pre-trial proper. The parties or their
counsel must submit to the branch clerk
of court the names, addresses and
contact numbers of the affiants.
412
Pre-trial Duty of the Judge (Rule 16,
Sec. 3)
1) Place the parties and their counsels
under oath;
2) Adopt the minutes of the preliminary
conference as part of the pre-trial
proceedings, confirm markings of
exhibits or substituted photocopies and
admissions on the genuineness and due
execution of documents, and list object
and testimonial evidence;
3) Scrutinize the information and the
statements in the affidavits and other
documents which form part of the record
of the preliminary investigation together
with other documents identified and
marked as exhibits to determine further
admissions of facts as to:
a) The court’s territorial jurisdiction
relative to the offense(s) charged;
b) Qualification of expert witnesses; and
c) Amount of damages;
4) Define factual and legal issues;
5) Ask parties to agree on the specific trial
dates and adhere to the flow chart
determined by the court which shall
contain the time frames for the different
stages of the proceeding up to
promulgation of decision;
6) Require the parties to submit to the
branch clerk of court the names,
addresses and contact numbers of
witnesses that need to be summoned by
subpoena; and,
7) Consider modification of order of trial if
the accused admits the charge but
interposes a lawful defense.
 Manner of questioning. All questions
or statements must be directed to the
court (Rule 16, Sec.4).
 Purple Notes
 Agreements or admissions. All
agreements or admissions made or
entered during the pre-trial conference
shall be reduced in writing and signed by
the accused and counsel; otherwise,
they cannot be used against the
accused. The agreements covering the
matters referred to in Section 1, Rule
118 of the Rules of Court shall be
approved by the court (Rule 16, Sec. 5,).
 Record of proceedings. All
proceedings during the pre-trial shall be
recorded, the transcripts prepared and
the minutes signed by the parties or
their counsels (Rule 16,Sec. 6,).
Pre-trial Order (Rule 16,Sec. 7,)
The court shall issue a pre-trial order within
ten (10) days after the termination of the
pre-trial, setting forth:
a) the actions taken during the pre-trial
conference;
b) the facts stipulated;
c) the admissions made;
d) the evidence marked;
e) the number of witnesses to be
presented; and, the schedule of trial.
The order shall bind the parties and control
the course of action during the trial.
Subsidiary liability (Rule 18, Sec. )
In case of conviction of the accused and
subsidiary liability is allowed by law, the
court may, by motion of the person entitled
to recover under judgment, enforce such
subsidiary liability against a person or
corporation subsidiary liable under Article
102 and Article 103 of the Revised Penal
Code.
EVIDENCE (Part 5)
Criminal
Remedial
Precautionary Principle (Rule 20, Part 5)
Precautionary principle states that when
human activities may lead to threats of
serious and irreversible damage to the
environment that is scientifically plausible
but uncertain, actions shall be taken to
avoid or diminish that threat.
Applicability (Rule 20, Sec. 1)
When there is a lack of full scientific
certainty in establishing a causal link
between human activity and environmental
effect.
Note: The constitutional right of the people
to a balanced and healthful ecology shall be
given the benefit of the doubt.
Standards for Application (Rule 20, Sec.
2)
a) Threats to human life or health;
b) Inequity to present or future
generations; and,
c) Prejudice to the environment without
legal consideration of the environmental
rights of those affected.
Documentary Evidence (Rule 21, Part 5)
1. Photographic, video and similar
evidence - Admissible when
authenticated by the person who took
the same, by some other person present
when said evidence was taken, or by any
other person competent to testify on the
accuracy thereof (Sec. 1, Rule 21).
2. Entries in official records made in the
performance of his duty by a public
officer of the Philippines, or by a person
in performance of a duty specially
enjoined by law, are prima facie
evidence of the facts therein stated (Sec.
2, Rule 21).
Bar Operations
Commissions 413
413
Illustrative Cases
 An appeal against the granting of
license to take and kill endangered
fauna from an area where a road was
proposed to be constructed is involved.
Under precautionary principle,
consideration of the state of knowledge
or uncertainty regarding a specie, the
potential for serious or irreversible harm
is clearly consistent with subject matter,
scope, and purpose. Precautionary
principle is most apt in a situation where
there is a scarcity of scientific
knowledge of species population,
habitat and impact (Leatch vs. Director-
General of National Parks and Wildlife
Service, NSWLEC 191, No. 10376 of
1993, November 23, 1993).
 Greenpeace asserted that air emissions
from the power station would
exacerbate the greenhouse effect.
Applying the precautionary principle,
Greenpeace argued that the court
should refuse development consent for
the project. The Court held that
although application of the
precautionary principle dictates a
cautious approach in determining
whether or not development consent
should be granted, the principle does
not require that the greenhouse gas
issue outweigh all other issues
(Greeanpeace Australia, Ltd. vs.
Redbank Power Co., Land and
Environment Court of New South Wales,
NSWLEC 178, ILDC 985, November 10,
1994).
 The contrasting findings in hundreds of
scientific studies, Court held that the
current scientific research indicates that
the biotech industry has not sufficiently
addressed the uncertainties over the
safety of genetically-modified foods and
crops. The uncertainty, possibility of
414
irreversible harm and possibility of
serious harm warrant the application of
precautionary principle (Int’l Service for
the Acquisition of Agri-Biotech
Applications, Inc. vs. Greenpeace
Southeast Asia (Phils.), G.R. No.
209271, July 26, 2016).
7. CRIMINAL PROCEDURE
It is the method fixed by law or the Rules
of Court for the apprehension and
prosecution of persons accused of any
criminal offense and for their punishment
in case of conviction.
While criminal law declares what conduct
is criminal, defines crimes and prescribes
punishment for such crimes, criminal
procedure lays down the process by which
an offender is made to answer for crime
he committed. (Riano, Criminal Procedure,
p.22, 2016 ed.)
The system of procedure in our jurisdiction is
accusatorial or adversarial, NOT inquisitorial. It
contemplates two contending parties before the
court which hears them impartially and renders
judgment only after trial. (Riano, Criminal
Procedure, pp. 22-23, 2016 ed.)
In our judicial set-up, a judge is not permitted
to act as an inquisitor who pursues his own
investigation and arrives at his own conclusion
ex parte(Queto vs. Catolico, G.R. Nos. L-25204 & L-
25219, January 23, 1970).
Construction
The rules on criminal procedure, being
parts of the Rules of Court, shall be
“liberally construed in order to promote
their objective of securing a just, speedy
and inexpensive disposition of every
action and proceeding.” (Riano, Criminal
Procedure, p. 23, 2016 ed.)
The Supreme Court, in granting the
petitioner’s prayer, held that since the
appeal involved a criminal case and the
possibility of a person being deprived of
 Purple Notes
liberty due to a procedural lapse is great,
a relaxation of the rule was warranted
(Cariaga vs. People, G.R. No. 180010, July 30,
2010).
7.A. GENERAL MATTERS
CRIMINAL JURISDICTION; CONCEPTS
AND REQUISITES FOR EXERCISE
Criminal Jurisdiction
It is the power of the State to try and punish
a person for violation of its penal laws.
It is the authority to hear and try a particular
offense and impose the punishment for it.
(People vs. Mariano, G.R. No. L-40527, June 30 1976)
Principles on Jurisdiction in Criminal Cases:
1. Jurisdiction over the subject matter is
conferred by law
2. Jurisdiction over the territory is conferred by
law since venue is jurisdictional
3. Jurisdiction over the person of the accused
is acquired through arrest or voluntary
surrender; (MaximinoValepenas vs. People, G.R.
No. L-20687, April 30, 1996)
4. Jurisdiction of the court is determined by
the law enforced at the time of the
commission of the offense.
Jurisdiction over the subject
matter is conferred by law
o Jurisdiction over the territory
is conferred by law since venue
is jurisdictional
o Jurisdiction over the person of
the accused is acquired
through arrest or voluntary
surrender; (Maximino Valepenas vs.
Criminal
Remedial
People, G.R. No. L-20687, April 30,
1996)
o Jurisdiction of the court is
determined by the law
enforced at the time of the
commission of the offense.
Note: The Supreme Court and the Court of
Appeals do not have original jurisdiction in
criminal cases. They have only appellate
jurisdiction. The Sandiganbayan, on the other
hand, has both original
and appellate jurisdiction in criminal cases.
Q: May the court acquire jurisdiction over the
accused in a criminal case through the service of
summons, similar to a civil case?
A: Yes. Under Sec. 8 (b) of Rule 112, in cases
not requiring a preliminary investigation nor
covered by the Rule on Summary Procedure,
if the MTC/MeTC/MCTC judge finds probable
cause, he shall issue a warrant of arrest; or, a
commitment order if the accused had already
been arrested, and hold the latter for trial.
However, under Section 9 (b) of Rule 112, if
the judge is satisfied that there is no
necessity for placing the accused under
custody, he may issue summons instead of a
warrant of arrest.
General Rule: Jurisdiction in Criminal Cases
is determined
1. By the allegations in the complaint or
information and not by the results of proof or
by the trial court’s appreciation of the
evidence presented.
2. By the law in force at the time of the
institution of the criminal action. Once vested,
it cannot be withdrawn by:
a. A subsequent valid amendment of the
information; or,
b. A subsequent statute amendatory of the
rules of jurisdiction.
Exceptions:
1. Expressly provided;
2. Is construed to effect that is intended to
operate to actions pending before its
Bar Operations
enactment (Palana vs. People,
Commissions 415
415
 G.R. No. 149995 dated September 28,
2007).General Rule: Jurisdiction in Criminal
Cases is determined
d. By the allegations in the complaint or
information and not by the results of proof
or by the trial court’s appreciation of the
evidence presented.
e. By the law in force at the time of the
institution of the criminal action. Once
vested, it cannot be withdrawn by:
concur: (a) offense is one which the court
is, by law, authorized to take cognizance
of; (b) offense must have been committed
within its territorial jurisdiction; and, (c)
person charged with the offense must have
been brought into its forum for trial
forcibly by warrant of arrest or upon his
voluntary submission to the court (Arula vs.
Espino, G.R. No. L-28949, June 23, 1969).
Venue is Jurisdictional in Criminal cases

g) A subsequent valid amendment of the  Venue is jurisdictional in criminal cases. It

information; or, determines not only the place where the
h) A subsequent statute amendatory of the criminal action is to be instituted, but also
rules of jurisdiction. the court which has the jurisdiction to try
and hear the case. The reason for this rule
Exceptions: is two-fold:

1. Expressly provided; First, the jurisdiction of trial courts is

2. Is construed to effect that is limited to well-defined territories such that
intended a trial court can only hear and try cases
to operate to actions pending before involving crimes committed within its
its enactment (Palana vs. People, G.R. territorial jurisdiction.
No. 149995 dated September 28, 2007).
Second, laying the venue in the locus
7.A.1 Distinguish Jurisdiction over the criminis is grounded on the necessity and
Subject Matter from jurisdiction over the justice of having an accused on trial in the
Person of the Accused. municipality of province where witnesses
and other facilities for his defense are
Jurisdiction over Jurisdiction over the available. Unlike in civil cases, a finding of
the subject matter person of the accused
improper venue in criminal cases carries
Determined by the Acquired upon his 1.
jurisdictional consequences. In determining
allegations in the Arrest or
apprehension, with or the venue where the criminal action is to
complaint or
without a warrant, or be instituted and the court which has
information
2. Voluntary jurisdiction over it, Section 15(a), Rule 110
appearance or of the 2000 Revised Rules of Criminal
submission to the Procedure provides that subject to existing
jurisdiction of the laws, the criminal action shall be instituted
court and tried in the court of the municipality or
territory where the offense was committed
Court has Court has authority/ or where any of its essential ingredients
jurisdiction over the jurisdiction over the occurred (Union Bank vs. People, G.R. No.
offense charged. person charged 192565, February 28, 2012).

 It is evident that the crime of Carnapping,

7.A.2 Requisites for a Valid Exercise of
Criminal Jurisdiction: (AW-Bro)
 The court acquires jurisdiction in a criminal
case only when the following requisites
416
including all the elements thereof - namely,
that: (a) there is an actual taking of the
vehicle; (b) the vehicle belongs to a person
other than the offender himself; (c) the
taking is without the consent of the owner
thereof, or that the taking was committed
by means of violence against or
 Purple Notes
intimidation of persons, or by using force
upon things; and (d) the offender intends
to gain from the taking of the vehicle - did
not occur in Valenzuela City, but in Marilao,
Bulacan. While the Court notes that
Casanas was indeed arrested in Valenzuela
City while in the possession of the subject
motorcycle, the same is of no moment, not
only because such is not an element of the
crime, but more importantly, at that point
in time, the crime had long been
consummated. Case law provides that
'"unlawful taking' or apoderamiento is the
taking of the motor vehicle without the
consent of the owner, or by means of
violence against or intimidation of persons,
or by using force upon things. It is deemed
complete from the moment the offender
gains possession of the thing, even if he
has no opportunity to dispose of the same.
Dismissal of this case, however, shall not
preclude the re-filing of the same criminal
case against Casanas before the proper
tribunal which has territorial jurisdiction
over the same, i.e., the courts in Marilao,
Bulacan (Casanas vs. People, G.R. No. 223833,
December 11, 2017).
Note: The question of jurisdiction may be
raised at any stage of the proceedings. Hence,
the question of jurisdiction may be cognizable
even if raised for the first time on appeal
(Atienza vs.People, G.R. No. 188694, February 12,
2014).
Doctrine of Estoppel, exception to the rule
on Jurisdiction
 The exception to this rule is when a party is
estopped from questioning the jurisdiction
of the court for reasons of public policy as
he initially invokes the jurisdiction of the
court and then later on repudiates that
same jurisdiction (Tijam vs. Sibonghanoy, G.R.
No. L-21450, April 15, 1968).
 The Court emphasized that the doctrine of
estoppel laid down in Tijam is an
EXCEPTION and not the general rule. The
rule still stands that jurisdiction is vested by
law and cannot be conferred or waived by
Criminal
Remedial
the parties (Pangilinan vs. Court of Appeals,
G.R. No. 117363, December 17,1999).
 However, estoppel ought to be applied with
caution. For estoppel to apply, the action
giving rise thereto must be unequivocal and
intentional because, if misapplied, estoppel
may become a tool of injustice (Duero vs.
Court of Appeals, G.R. No. 131282, January 4,
2002).

Estoppel, being in the nature of a
forfeiture, is not favored by law. It is to be
applied rarely—only from necessity, and
only in extraordinary circumstances. The
doctrine must be applied with great care
and the equity must be strong in its favor.
When misapplied, the doctrine of estoppel
may be the most effective weapon for the
accomplishment of injustice (Figueroa vs.
People, G.R. No. 147406, July 14, 2008)
Jurisdiction over Complex Crimes
 Jurisdiction over the whole complex crime
is lodged with the trial court having
jurisdiction to impose the maximum and
most serious penalty imposable of an
offense forming part of the complex crime.
It must be prosecuted integrally and must
not be divided into component offenses
which may be made subject of multiple
informations brought in different courts
(Cuyos vs. Garcia G.R. No. L-46934, April 15,
1988).
Jurisdiction over Continuous Crimes
 A criminal action may be filed in different
venues under the rules for
delitoscontinuados or in those instances
where different trial courts have concurrent
original jurisdiction over the same criminal
offense (Malaloan vs. CA, G.R. No. 104879,
May 6, 1994).
 It is said that when several courts have
Bar Operations
concurrent jurisdiction, the first
Commissions 417
417
 court which acquires jurisdiction retains it
to the exclusion of the others (Nenaria vs.
Hon. Veluz, G.R. No. L-4683, May 29, 1952).
Jurisdiction over Crimes Punishable by
Destierro
� Where the imposable penalty is destierro,
the case falls within the exclusive
jurisdiction of the Municipal Trial Court,
considering that in the hierarchy of
penalties under Article 71 of the Revised
Penal Code, destierro followsarresto mayor
which involves imprisonment (People
vs.Eduarte, G.R. No. 88232 February 26, 1990).
Jurisdiction over Libel Cases
� Although punishable by prisioncorreccional,
the jurisdiction falls within the RTC (People
vs. MTC of Quezon City, G.R. No. 123263, Dec.
16, 1996).
Jurisdiction over Violations of Dangerous
Drugs Act
� Regardless of its penalty, the jurisdiction
falls within the RTC (People vs. Morales, G.R.
No. 126621, Dec. 12, 1997)
� 5.
� Violation of the Dangerous Drugs Act is
exclusively within the jurisdiction of the
RTC irrespective of who committed the
offense even if the one charged is a public
officer. (De Lima vs. Guerrero, G.R. No.
229781, Oct. 10, 2017)
Note: Where the offense is within its exclusive
competence by reason of the penalty prescribed
therefore, an inferior court shall have
jurisdiction to try and decide the case
irrespective of the kind and nature of the civil
liability arising from the said offense. (Legados
vs. de Guzman, G.R. No. 35285, Feb. 20, 1989). Also,
the additional penalty for habitual delinquency is
not considered in determining jurisdiction
because such delinquency is not a crime.
 Jurisdiction is determined by the
PRINCIPAL penalty, NOT by the civil
liability, additional penalty or the subsidiary
penalty.
418
Jurisdiction over Money Laundering
� RTC has jurisdiction to try all cases on
money laundering. However, those
committed by public officers and private
persons, who are in conspiracy with such
public officers, shall be under the
jurisdiction of Sandiganbayan.
Jurisdiction over Violations of R.A. No.
3019
� Violations of R.A. No. 3019 committed by
presidents, directors or trustees, or
managers of government-owned or -
controlled corporations, and state
universities shall be within the exclusive
original jurisdiction of the Sandiganbayan.
(Inocentes vs. People, G.R. Nos. 205963-64 July
7, 2016)
Note: Regardless of the penalty imposed, the
following cases are exclusively within the
jurisdiction of the RTC:
1. Violation of the Omnibus Election Code;
2. Violation of the Intellectual Property Code;
3. Written Defamation;
4. Anti-money Laundering Law;
Comprehensive Dangerous Drugs Act 0f
2002; and,
6. Cybercrime Prevention Act of 2012
7.A.3 JURISDICTION OF CRIMINAL
COURTS
Metropolitan Trial Courts, Municipal Trial
Courts, and Municipal Circuit Trial Courts
Except in cases falling within the exclusive
jurisdiction of the RTC and of the
Sandiganbayan:
1. Exclusive original jurisdiction over all
violations of city or municipal ordinances
committed within their respective territorial
jurisdiction [Sec. 32(1), B.P.129 as amended
by R.A. 7691];
2. Exclusive original jurisdiction over all
offenses punishable with imprisonment not
exceeding 6 years irrespective of the
 Purple Notes
amount of fine, and regardless of other
imposable or accessory penalties. [Sec.
32(2), B.P. 129 as amended by R.A. 7691];
3. Exclusive original jurisdiction over offenses
involving damage to property through
criminal negligence [Sec. 32(2), B.P. 129 as
amended by R.A.7691];
4. Summary procedure in certain cases; and
5. Special jurisdiction to decide on
applications for bail in the absence of all
RTC judges in a province or city (Sec 35,
B.P. 129 as amended by R.A. 7691).
 The MTCs shall have jurisdiction over the
following cases falling within their
jurisdiction:
a. a. Violations of traffic laws, rules and
regulations:
b. b. Violations of the rental law;
c. c. Violations of B.P. 22 (Anti-Bouncing
Check Law);
d. d. Violations of municipal and city
ordinances;
e. e. All other criminal cases where the
penalty prescribed by law for the
offense charged is imprisonment not
exceeding 6 months, or a fine not
exceeding P1, 000.00, or both; and
f. f. Offenses involving damage to
property through criminal negligence
where the imposable penalty does not
exceed P10, 000.00 [Sec 1 (b),The 1991
Rules on Summary Procedure].
Regional Trial Court (RTC)
1. Exclusive original jurisdiction in all criminal
cases not within the exclusive jurisdiction of
any court, tribunal or body, except those
now falling under the exclusive and
concurrent jurisdiction of the
Sandiganbayan (Sec 20, B.P. 129, as amended
by R.A. 7691);
2. Original jurisdiction in the issuance of writs
of certiorari, prohibition, mandamus, quo
warranto, habeas corpus, and injunction,
enforceable in any part of their respective
Criminal
Remedial
regions [Sec 21(1), B.P. 129, as amended by
R.A. 7691];
3. Appellate jurisdiction over all cases decided
by the MTC within its territorial jurisdiction
(Sec. 22, B.P. 129, as amended by R.A. 7691);
4. Special jurisdiction of certain branches to
handle exclusively criminal cases as may be
determined by the Supreme Court (Sec. 23,
B.P. 129, as amended by R.A. 7691); and
5. Jurisdiction over criminal cases under
specific laws such as
a. Criminal and civil aspects of written
defamation (Art. 360, RPC);
b. Designated special courts over cases in
violation of the Comprehensive
Dangerous Drugs Act of 2002 (Sec 90,
R.A. 9165);
c. Violation of intellectual property rights
(A.M. No. 03-03-03-SC); and
d. All cases on money laundering (Sec. 5,
R.A. 9160).
Sandiganbayan (P.D. 1606, as amended by R.A.
7975 and R.A. 8249)
1. Violations of R.A. 3019, R.A. 1379, and
Chapter II, Sec. 2, Title VII, Book II of the
RPC, where one or more of the accused are
officials occupying the following positions in
the government at the time of the
commission of the offense:
a. Officials of the executive branch
occupying the positions of regional
director and higher, otherwise classified
as Grade “27” and higher of R.A. 6758;
i. Provincial governors, vice-
governors, members of the
sanggunianpanlalawigan and
provincial treasurers, assessors,
engineers and other provincial
departmental heads;
ii. City mayors, vice-mayors, members
of the sangguniangpanlungsod, city
treasurer, assessors, engineers and
the city department heads;
Bar Operations
Commissions 419
419
 iii. Officials of the diplomatic service
occupying the position of consul
and higher;
iv. Philippine army and air force
colonels, naval captain, and all
officers of higher rank;
v. Officers of the Philippine National
Police while occupying the position
of provincial director and those
holding the rank of senior
superintendent or higher;
vi. City and provincial prosecutors and
their assistants, and officials and
prosecutors in the Office of the
Ombudsman and special
prosecutor;
vii. Presidents, directors or trustees, or
managers of government-owned
orcontrolled corporations, state
universities or educational
institutions or foundations;
b. b. Members of Congress and officials
thereof classified as Grade “27” and up
under R.A. 6758:
; 7.
i. Members of the judiciary without
prejudice to the provisions of the
Constitution;
ii. Chairmen and members of
Constitutional Commissions,
without prejudice to the provisions
of the Constitution; and
iii. All other national and local officials
classified as Grade “27” and higher
under R.A. 6758.
2. Other offenses or felonies whether simple
or complexed with other crimes committed
by the public officials and employees
abovementioned in relation to their office;
3. Civil and criminal cases filed pursuant to
and in connection with E.O. Nos. 1, 2, 14
and 14-A; and
4. Appellate jurisdiction over final judgments,
resolutions or orders of trial courts in cases
where none of the accused is occupying
position corresponding to salary grade “27”
or higher (Sec. 4, P.D. 1606 as amended and
as amended further by R.A. 8249).
420
Q: Hannah, a government scholar and a
member of student regent of UP, was
charged for the crime of estafa and
contends that Sandiganbayan has no
jurisdiction over the offense charged. Is
her contention valid?
A: The Court declared in no uncertain terms,
that the Sandiganbayan has jurisdiction over
felonies committed by public officials in relation
to their office. The court further held that
estafais one of those felonies and the
Sandiganbayanhas jurisdiction if (a) the offense
is committed by a public official or an employee
mentioned in Sec. 4, paragraph "a;" and (b) the
offense is committed in relation to his office.
(Serana vs. Sandiganbayan, G.R. 162059, January 22,
2008)
7.A.2 Requisites for a Valid Exercise of Criminal
Jurisdiction: (AW-Bro)
The court acquires jurisdiction in a
criminal case only when the
following requisites concur: (a)
offense is one which the court is, by
law, authorized to take cognizance
of; (b) offense must have been
committed within its territorial
jurisdiction; and, (c) person
charged with the offense must have
been brought into its forum for trial
forcibly by warrant of arrest or upon
his voluntary submission to the
court. (Arula vs. Espino, G.R. No. L-
28949, June 23, 1969)
Venue is Jurisdictional in Criminal cases
8. Venue is jurisdictional in criminal
cases. It determines not only the
place where the criminal action is to
be instituted, but also the court
which has the jurisdiction to try and
hear the case. The reason for this
rule is two-fold:
First, the jurisdiction of trial courts
is limited to well-defined territories
such that a trial court can only hear
 Purple Notes
and try cases involving crimes
committed within its territorial
jurisdiction.
Second, laying the venue in the
locus criminis is grounded on the
necessity and justice of having an
accused on trial in the municipality
of province where witnesses and
other facilities for his defense are
available. Unlike in civil cases, a
finding of improper venue in
criminal cases carries jurisdictional
consequences. In determining the
venue where the criminal action is
to be instituted and the court
which has jurisdiction over it,
Section 15(a), Rule 110 of the
2000 Revised Rules of Criminal
Procedure provides that subject to
existing laws, the criminal action
shall be instituted and tried in the
court of the municipality or
territory where the offense was
committed or where any of its
essential ingredients occurred
(Union Bank vs. People, G.R. No.
192565, February 28, 2012).
9. It is evident that the crime of
Carnapping, including all the elements
thereof - namely, that: (a) there is an
actual taking of the vehicle; (b) the
vehicle belongs to a person other than
the offender himself; (c) the taking is
without the consent of the owner
thereof, or that the taking was
committed by means of violence against
or intimidation of persons, or by using
force upon things; and (d) the offender
intends to gain from the taking of the
vehicle - did not occur in Valenzuela City,
but in Marilao, Bulacan. While the Court
notes that Casanas was indeed arrested
in Valenzuela City while in the possession
of the subject motorcycle, the same is of
no moment, not only because such is not
an element of the crime, but more
importantly, at that point in time, the
crime had long been consummated. Case
law provides that '"unlawful taking'
or apoderamiento is the taking of the
Criminal
Remedial
motor vehicle without the consent of the
owner, or by means of violence against
or intimidation of persons, or by using
force upon things. It is deemed complete
from the moment the offender gains
possession of the thing, even if he has
no opportunity to dispose of the same.
Dismissal of this case, however, shall not
preclude the re-filing of the same
criminal case against Casanas before the
proper tribunal which has territorial
jurisdiction over the same, i.e., the
courts in Marilao, Bulacan (Casanas vs.
People, G.R. No. 223833, December 11,
2017).
Note: The question of jurisdiction may be
raised at any stage of the proceedings.
Hence, the question of jurisdiction may be
cognizable even if raised for the first time
on appeal (Atienza vs.People, G.R. No.
188694, February 12, 2014).
Doctrine of Estoppel, exception to the rule
on Jurisdiction
The exception to this rule is when a party is
estopped from questioning the jurisdiction
of the court for reasons of public policy as
he initially invokes the jurisdiction of the
court and then later on repudiates that
same jurisdiction (Tijam vs. Sibonghanoy, G.R.
No. L-21450, April 15, 1968).
10. The Court emphasized that the doctrine
of estoppel laid down in Tijam is an
EXCEPTION and not the general rule.
The rule still stands that jurisdiction is
vested by law and cannot be conferred
or waived by the parties (Pangilinan vs.
Court of Appeals, G.R. No. 117363, December
17,1999).
11. However, estoppel ought to be applied
with caution. For estoppel to apply, the
action giving rise thereto must be
unequivocal and intentional because, if
misapplied, estoppel may become a tool
of injustice (Duero vs. Court of Appeals,
G.R. No. 131282, January 4, 2002).
Estoppel, being in the nature of a
forfeiture, is not favored by law. It is to
Bar be appliedOperations
rarely—only from necessity,
and only in extraordinary
Commissions 421
421
 circumstances. The doctrine must be
applied with great care and the equity
must be strong in its favor. When
misapplied, the doctrine of estoppel
may be the most effective weapon for
the accomplishment of injustice
(Figueroa vs. People, G.R. No. 147406, July
14, 2008)
Jurisdiction over Complex Crimes
12. Jurisdiction over the whole complex
crime is lodged with the trial court
having jurisdiction to impose the
maximum and most serious penalty
imposable of an offense forming part of
the complex crime. It must be
prosecuted integrally and must not be
divided into component offenses which
may be made subject of multiple
informations brought in different courts
(Cuyos vs. Garcia G.R. No. L-46934, April 15,
1988).
Jurisdiction over Continuous Crimes
d) A criminal action may be filed in
different venues under the rules for
delitos continuados or in those
instances where different trial courts
have concurrent original jurisdiction
over the same criminal offense
(Malaloan vs. CA, G.R. No. 104879, May 6,
1994).
e) It is said that when several courts have
concurrent jurisdiction, the first court
which acquires jurisdiction retains it to
the exclusion of the others (Nenaria vs.
Hon. Veluz, G.R. No. L-4683, May 29, 1952).
Jurisdiction over Crimes Punishable by
Destierro
� Where the imposable penalty is
destierro, the case falls within the
exclusive jurisdiction of the Municipal
Trial Court, considering that in the
hierarchy of penalties under Article 71
of the Revised Penal Code, destierro
follows arresto mayor which involves
imprisonment (People vs.Eduarte, G.R. No.
88232 February 26, 1990).
Jurisdiction over Libel Cases
422
� Although punishable by
prisioncorreccional, the jurisdiction falls
within the RTC (People vs. MTC of Quezon
City, G.R. No. 123263, Dec. 16, 1996).
Jurisdiction over Violations of Dangerous Drugs
Act
� Regardless of its penalty, the jurisdiction
falls within the RTC (People vs. Morales,
G.R. No. 126621, Dec. 12, 1997)
� Violation of the Dangerous Drugs Act is
exclusively within the jurisdiction of the
RTC irrespective of who committed the
offense even if the one charged is a
public officer. (De Lima vs. Guerrero, G.R.
No. 229781, Oct. 10, 2017)
Note:Where the offense is within its exclusive
competence by reason of the penalty prescribed
therefore, an inferior court shall have
jurisdiction to try and decide the case
irrespective of the kind and nature of the civil
liability arising from the said offense. (Legados
vs. de Guzman, G.R. No. 35285, Feb. 20, 1989). Also,
the additional penalty for habitual delinquency is
not considered in determining jurisdiction
because such delinquency is not a crime.
 Jurisdiction is determined by the PRINCIPAL
penalty, NOT by the civil liability, additional
penalty or the subsidiary penalty.
Jurisdiction over Money Laundering
� RTC has jurisdiction to try all cases on
money laundering. However, those
committed by public officers and private
persons, who are in conspiracy with such
public officers, shall be under the
jurisdiction of Sandiganbayan.
Jurisdiction over Violations of R.A. No. 3019
� Violations of R.A. No. 3019 committed by
presidents, directors or trustees, or
managers of government-owned or -
controlled corporations, and state
universities shall be within the exclusive
original jurisdiction of the Sandiganbayan.
(Inocentes vs. People, G.R. Nos. 205963-64 July
7, 2016)
 Purple Notes
Note: Regardless of the penalty imposed, the
following cases are exclusively within the
jurisdiction of the RTC:
1. Violation of the Omnibus Election Code;
2. Violation of the Intellectual Property Code;
3. Written Defamation;
4. Anti-money Laundering Law;
5. Comprehensive Dangerous Drugs Act 0f
2002; and,
6. Cybercrime Prevention Act of 2012
7.A.3 JURISDICTION OF CRIMINAL
COURTS
Metropolitan Trial Courts, Municipal Trial Courts,
and Municipal Circuit Trial Courts
Except in cases falling within the exclusive
jurisdiction of the RTC and of the
Sandiganbayan:
 Exclusive original jurisdiction
over all violations of city or
municipal ordinances committed
within their respective territorial
jurisdiction [Sec. 32(1), B.P.129 as
amended by R.A. 7691];
 Exclusive original jurisdiction
over all offenses punishable
with imprisonment not
exceeding 6 years irrespective
of the amount of fine, and
regardless of other imposable or
accessory penalties. [Sec. 32(2),
B.P. 129 as amended by R.A.
7691];
 Exclusive original jurisdiction
over offenses involving damage
to property through criminal
negligence [Sec. 32(2), B.P. 129
as amended by R.A.7691];
 Summary procedure in certain
cases; and
 Special jurisdiction to decide on
applications for bail in the
absence of all RTC judges in a
province or city (Sec 35, B.P. 129
as amended by R.A. 7691).
 The MTCs shall have
jurisdiction over the
Criminal
Remedial
following cases falling
within their jurisdiction:
a. Violations of traffic laws, rules and
regulations:
b. Violations of the rental law;
c. Violations of B.P. 22 (Anti-Bouncing Check
Law);
d. Violations of municipal and city ordinances;
e. All other criminal cases where the penalty
prescribed by law for the offense charged is
imprisonment not exceeding 6 months, or a fine
not exceeding P1, 000.00, or both; and
f. Offenses involving damage to property
through criminal negligence where the
imposable penalty does not exceed P10, 000.00
[Sec 1 (b),The 1991 Rules on Summary Procedure].
Regional Trial Court (RTC)
 Exclusive original
jurisdiction in all criminal
cases not within the
exclusive jurisdiction of any
court, tribunal or body,
except those now falling
under the exclusive and
concurrent jurisdiction of
the Sandiganbayan (Sec 20,
B.P. 129, as amended by R.A.
7691);
 Original jurisdiction in the
issuance of writs of
certiorari, prohibition,
mandamus, quo warranto,
habeas corpus, and
injunction, enforceable in
any part of their respective
regions [Sec 21(1), B.P. 129,
as amended by R.A. 7691];
 Appellate jurisdiction over
all cases decided by the
MTC within its territorial
jurisdiction (Sec. 22, B.P. 129,
as amended by R.A. 7691);
 Special jurisdiction of
certain branches to handle
exclusively criminal cases as
may be determined by the
Supreme Court (Sec. 23, B.P.
129, as amended by R.A.
7691); and
Bar Operations
Commissions 423
423
  Jurisdiction over criminal
cases under specific laws
such as
o Criminal and civil
aspects of written
defamation (Art.
360, RPC);
o Designated special
courts over cases in
violation of the
Comprehensive
Dangerous Drugs
Act of 2002 (Sec 90,
R.A. 9165);
o Violation of
intellectual property
rights (A.M. No. 03-
03-03-SC); and
o All cases on money
laundering (Sec. 5,
R.A. 9160).
Sandiganbayan (P.D. 1606, as amended by R.A.
7975 and R.A. 8249)
 Violations of R.A. 3019, R.A. 1379, and
Chapter II, Sec. 2, Title VII, Book II of
the RPC, where one or more of the
accused are officials occupying the
following positions in the government at
the time of the commission of the
offense:
o Officials of the executive branch
occupying the positions of regional
director and higher, otherwise
classified as Grade “27” and higher
of R.A. 6758;
 Provincial governors, vice-
governors, members of the
sanggunian panlalawigan and
provincial treasurers, assessors,
engineers and other provincial
departmental heads;
 City mayors, vice-mayors,
members of the sangguniang
panlungsod, city treasurer,
assessors, engineers and the city
department heads;
424
 Officials of the diplomatic service
occupying the position of consul
and higher;
 Philippine army and air force
colonels, naval captain, and all
officers of higher rank;
 Officers of the Philippine National
Police while occupying the
position of provincial director and
those holding the rank of senior
superintendent or higher;
 City and provincial prosecutors
and their assistants, and officials
and prosecutors in the Office of
the Ombudsman and special
prosecutor;
 Presidents, directors or trustees,
or managers of government-
owned orcontrolled corporations,
state universities or educational
institutions or foundations;
b. Members of Congress and officials
thereof classified as Grade “27”
and up under R.A. 6758;
 Members of the judiciary
without prejudice to the
provisions of the Constitution;
 Chairmen and members of
Constitutional Commissions,
without prejudice to the
provisions of the Constitution;
and
 All other national and local
officials classified as Grade “27”
and higher under R.A. 6758.
 Other offenses or felonies whether
simple or complexed with other crimes
committed by the public officials and
employees abovementioned in relation
to their office;
 Civil and criminal cases filed pursuant to
and in connection with E.O. Nos. 1, 2,
14 and 14-A; and
 Appellate jurisdiction over final
judgments, resolutions or orders of trial
courts in cases where none of the
accused is occupying position
corresponding to salary grade “27” or
 Purple Notes
higher (Sec. 4, P.D. 1606 as amended and
as amended further by R.A. 8249).
Q: Hannah, a government scholar and a
member of student regent of UP, was charged
for the crime of estafa and contends that
Sandiganbayan has no jurisdiction over the
offense charged. Is her contention valid?
A: The Court declared in no uncertain terms,
that the Sandiganbayan has jurisdiction over
felonies committed by public officials in relation
to their office. The court further held that estafa
is one of those felonies and the
Sandiganbayanhas jurisdiction if (a) the offense
is committed by a public official or an employee
mentioned in Sec. 4, paragraph "a;" and (b) the
offense is committed in relation to his office.
(Serana vs. Sandiganbayan, G.R. 162059, January 22,
2008)
7.A.4. WHEN INJUNCTION MAY BE ISSUED
General Rule:It is a long-standing doctrine
that injunction will not lie to enjoin a criminal
prosecution for the reason that public interest
requires that criminal acts be immediately
investigated and prosecuted for the protection
of society except in specified cases among
which are to prevent the use of the strong arm
of the law in an oppressive and vindictive
manner, and to afford adequate protection to
constitutional rights. (Asutilla vs. PNB, G.R. No. L-
51354, January 15, 1986).
Exceptions:
▪ To afford adequate protection to the
constitutional rights of the accused;
▪ When necessary for the orderly
administration of justice or to avoid
oppression or multiplicity of suits;
▪ When there is a prejudicial question which is
subjudice;
▪ When the acts of the officer are without or in
excess of authority;
▪ When the prosecution is under an invalid
law, ordinance or regulation;
▪ When double jeopardy is clearly apparent;
▪ When the court has no jurisdiction over the
offense;
Criminal
Remedial
▪ When it is a case of persecution rather than
prosecution;
▪ When the charges are manifestly false and
motivated by lust for vengeance; and,
▪ When there is clearly no prima facie case
against the accused and a motion to quash
on that ground has been denied (Brocka vs.
Enrile, G.R. No. 69863-65, December 10, 1990).
Principle of Adherence of Jurisdiction or
Continuing Jurisdiction
Once a court has acquired jurisdiction, that
jurisdiction continues until the court has done all
that it can do in the exercise of that jurisdiction
(20 Am. Jur. 2d, Courts, § 147, 1965).
The jurisdiction once vested, cannot be
withdrawn or defeated by a subsequent valid
amendment of the information (People v.
Chupeco, L-19568, March 31, 1964). It cannot
also be lost by a new law amending the rules of
jurisdiction (Rilloraza v. Arciaga, L-23848,
October 31,1967).
General Rule:Jurisdiction of a court to try
criminal action is to be determined by the law in
force at the time of the institution of the action
(People vs. CA 12th Division, G.R. No. 154557,
February 13, 2008 citing People vs. Velasco, G.R. No.
110592, January 23, 1996).
Exception: Where the statute expressly
provides, or the statute is clearly intended to
operate to actions pending before its enactment,
in which case, the court where the criminal
action is pending is ousted of jurisdiction and
the pending action will have to be transferred to
the other tribunal which will continue the
proceeding (People vs. CA 12 th Division, G.R. No.
154557, February 13, 2008 citing People vs. Velasco,
G.R. No. 110592, January 23, 1996).
7.A.4. WHEN INJUNCTION MAY BE ISSUED
General Rule:It is a long-standing doctrine
that injunction will not lie to enjoin a criminal
prosecution for the reason that public interest
requires that criminal acts be immediately
investigated and prosecuted for the protection
of society except in specified cases among
which
Bar are to prevent the use of the strong arm
Operations
Commissions 425
425
of the law in an oppressive and vindictive
manner, and to afford adequate protection to
constitutional rights. (Asutilla vs. PNB, G.R. No. L-
51354, January 15, 1986).
Exceptions:
5. To afford adequate protection to
the constitutional rights of the
accused;
6. When necessary for the orderly
administration of justice or to
avoid oppression or multiplicity of
suits;
7. When there is a prejudicial
question which is subjudice;
8. When the acts of the officer are
without or in excess of authority;
9. When the prosecution is under an
invalid law, ordinance or
regulation;
10. When double jeopardy is clearly
apparent;
11. When the court has no jurisdiction
over the offense;
12. When it is a case of persecution
rather than prosecution;
13. When the charges are manifestly
false and motivated by lust for
vengeance; and,
14. When there is clearly no prima
facie case against the accused and
a motion to quash on that ground
has been denied (Brocka vs. Enrile,
G.R. No. 69863-65, December
1990).
Principle of Adherence of Jurisdiction or
Continuing Jurisdiction
Once a court has acquired jurisdiction,
that jurisdiction continues until the court
has done all that it can do in the exercise
of that jurisdiction (20 Am. Jur. 2d, Courts,
§ 147, 1965).
The jurisdiction once vested, cannot be
withdrawn or defeated by a subsequent
valid amendment of the information
(People v. Chupeco, L-19568, March 31,
1964). It cannot also be lost by a new law
amending the rules of jurisdiction
(Rilloraza v. Arciaga, L-23848, October
31,1967).
426
General Rule:Jurisdiction of a court to try
criminal action is to be determined by the law in
force at the time of the institution of the action
(People vs. CA 12th Division, G.R. No. 154557,
February 13, 2008 citing People vs. Velasco, G.R. No.
110592, January 23, 1996).
Exception: Where the statute expressly
provides, or the statute is clearly intended to
operate to actions pending before its enactment,
in which case, the court where the criminal
action is pending is ousted of jurisdiction and
the pending action will have to be transferred to
the other tribunal which will continue the
proceeding (People vs. CA 12 th Division, G.R. No.
154557, February 13, 2008 citing People vs. Velasco,
G.R. No. 110592, January 23, 1996).
7.B. PROSECUTION OF OFFENSES (Rule
110)
7.B.1 Criminal Actions, How Instituted
(Sec. 1, Rule 110)
 By filing a complaint with the proper
officer:
Where a Preliminary Investigation is
required pursuant to Sec. 1 of Rule
112(Sec. 1[a], Rule 110)
a. Preliminary Investigation is
required to be conducted before
the filing of a complaint or
10,
information for offenses where the
penalty prescribed by law is at
least 4 years, 2 months and 1 day
without regard to fine. (Sec. 1, Rule
112)
b. In case of summary procedure, it is
discretionary upon the Prosecutor
if he wants to conduct a
Preliminary Investigation.
c. In Metro Manila and other
chartered cities outside Metro
Manila, unless otherwise provided
in their charters (Sec. 1[b], Rule 110)
 For all other offenses, directly
with the Municipal Trial Court
and Municipal Circuit Trial
Courts or with the office of the
prosecutor.
 Purple Notes
General Rule: There is no direct filing of an
information or complaint with the
Regional Trial Court under Rule 110
because its jurisdiction covers offenses
which require preliminary investigation.
Exception: In the absence or unavailability
of an inquest prosecutor, complaint may
be filed directly with the proper court on
the basis of the affidavit of the offended
party or arresting officer or person.
Proper Officer(Rule 112, Sec. 2).
Persons authorized to conduct the
requisite preliminary investigation:
(ProNO-CoSpOmP)
p) Provincial or city prosecutors and their
assistants
q) National and regional state
prosecutors
r) Other officers as may be authorized by
law
s) Commissions on Elections through its
authorized legal officers for all election
offenses punishable under the
Omnibus Election Code.
t) Lawyers appointed as special
prosecutors (Sec.1686, RAC)
u) Office of the Ombudsman; or
v) PCGG with the assistance of OSG and
other government agencies
General Rule: Procedural law basically
mandates that "all criminal actions
commenced by complaint or by
information shall be prosecuted under the
direction and control of a public
prosecutor." In appeals of criminal cases
before the CA and before this Supreme
Court, the OSG is the appellate counsel of
the People, pursuant to Section 35(1),
Chapter 12, Title III, Book IV of the 1987
Administrative Code(Jimenez vs. Hon.
Sorongon, G.R. No. 178607, December 5,
2012).
Exceptions:
 In all cases elevated:
1. to the Sandiganbayan; and
Criminal
Remedial
2. from Sandiganbayan to the SC, the
Office of the Ombudsman, through
its special prosecutor, shall
represent the People of the
Philippines, except in cases filed
pursuant to EO Nos. 1, 2, 14 and
14-A, issued in 1986.”(People vs.
Sandiganbayan (First and Third
Divisions), G.R. No. 188165, G.R. No.
189063, December 11, 2013);
 When the State and the offended
party are deprived of due process
because the prosecution is remiss
in its duty to protect the interest of
the State and the offended party;
and,
 When the offended party questions
the civil aspect of the decision of
the lower court (Heirs of Federico
Delgado vs. Gonzales, GR No. 184337,
August 7, 2009)
The rule is settled that once a criminal
complaint or information is filed in court,
any disposition thereof, such as its
dismissal or the conviction or acquittal of
the accused, rests in the sound discretion
of the court. While the prosecutor retains
the discretion and control of the
prosecution of the case, he cannot impose
his opinion on the court. The court is the
best and sole judge on what to do with the
case. Accordingly, a motion to dismiss the
case filed by the prosecutor before or after
the arraignment, or after a
reinvestigation, or upon instructions of the
Secretary of Justice who reviewed the
records upon reinvestigation, should be
addressed to the discretion of the court.
The action of the court must not, however,
impair the substantial rights of the
accused or the right of the People to due
process of law (Hipos vs. Hon. Bay, G.R. Nos.
174813-15, March 17, 2009 citing People vs.
Montesa Jr., G.R. No. 114302, 29 September
1995).
General Rule:
1) The filing of criminal action interrupts
the running of the period of
Bar Operations
Commissions 427
427
 prescription of the offense charged not attach where an accused pleads guilty to a
even if the court where the complaint defective indictment.
or information is filed cannot try the COMPLAINT INFORMATION
case on the merits(People vs. Olarte, Prepared, subscribed, Always signed and filed by
G.R. No. L-22465, February 28, 1967). and filed by the the prosecutor or
offended party, any authorized prosecuting
2) The filing of the first indictments peace officer or other officer, never the
suspended the running of the officer charged with complainant.
prescriptive period, and the the enforcement of
the law violated.
prosecutions under the informations
Needs to be under Need not be under oath.
to be filed should be regarded as mere oath by the person Reason: Prosecuting
continuations of the previous signing it. officer filing it is charged
proceedings (Arambulo vs. Laqui,G.R. No. with the special duty in
138596. October 12, 2000). regard thereto and is
acting under the special
Exception: If otherwise provided by responsibility of his oath of
special laws. office.
May be filed either Always filed with the
Complaint (Rule 110, Sec. 3) with the prosecutor’s court.
office or the court.
It is a sworn written statement charging a
person with an offense and subscribed by: The Complaint or Information shall be:
(OPO) (Rule 110, Sec. 2)

 The offended party; d) In writing;

 Any peace officer (e.g. members of the
Constabulary, Police officers, Agents of
NBI, etc.); or,
 Other public officer charged with the
enforcement of the law violated (e.g.
Internal Revenue Officer for violation
of the NLRC, custom agents with
respect to violations of the Tariff and
Customs Code).
The want of an oath is a mere defect
which does not affect the substantial
rights of the defendant on the merits. It is
not permissible to set aside a judgment
for such a defect (US vs. Bibal, G.R. No. 1760.
April 3, 1905).
e) In the name of the People of the
Philippines; and,
f) Against all persons who appear to
be responsible for the offense
involved.
1. If the accused is a corporation, no
criminal action can lie against it
(Time, Inc. vs. Reyes, G.R. No. L-28882
May 31, 1971).
2. If the corporation violates the law,
the officer, through whom the
corporation acts, answers
criminally for his acts (People vs.
Campos [CA] 40 O.G. Sup. 12, 7).

Information (Rule 110, Sec. 4) 3. A formal accusation of the type

required by the statute cannot be
It is an accusation in writing charging a waived and in its absence, there is
person with an offense and subscribed by nothing for the court to act upon
the prosecutor and filed with the court. and the court acquires no
jurisdiction.
Note: If the original information was signed and
filed by one who has no authority to sign and 4. While the information is not
file the same, the dismissal of the information quashable if not brought in the
would not bar subsequent prosecution under a name of the People of the
subsequent valid information. Jeopardy does Philippines, if the information is

428
 Purple Notes
grossly deficient, the same may be
quashed for failure to conform to
the prescribed form (Rule 117,
Section 3e.
5. Infirmity in the information such
as lack of authority of the officer
signing it, cannot be cured by
silence, acquiescence, or even by
express consent. (Cudia vs. Court of
Appeals, G.R. No. 110315 January 16,
1998)Such lack of authority on the
part of the officer is a ground for
the quashal of the information.
(Sec. 3[d], Rule 117).
When a Sworn Written Complaint is
Required (Hernandez vs. Albano, G.R. No. L-17081,
May 31, 1961)
a. If the offense is one which
cannot be prosecuted de
officio:(CAASA)
Criminal
Remedial
3. Violations of the Tariff and Customs
Code Prosecution of private crimes:
Custom agents;
4. Violations of Art. 360, RPC: Those
crimes which cannot be prosecuted de
officio and requires that the criminal
action be brought at the instance of
and upon complaint expressly filed by
the offended party. (Sec. 5, Rule 110)
1. Compliance with this is a jurisdictional
requirement and not merely a
formality. (People vs. Sunpongco, G.R. No.
L-42665 June 30, 1988).
2. In complex crimes, where one of the
component offenses is a private crime
and the other a public offense, the
fiscal may initiate the proceedings de
officio. (People vs. Orcullo, 46 O.G., Supp.
11,238).
Requirements in Special Laws

a.i. Adultery; The prosecution for violation of special laws

a.ii. Concubinage; shall be governed by the provisions thereof (Sec.
a.iii. Seduction; 5, Par. 6, Rule 110).
a.iv. Abduction;
a.v. Acts of lasciviousness; (Art. 344, 7.B.2 Who may File Crimes that Cannot be
Revised Penal Code) Prosecuted de officio(ProSta-OmAp)

b. Defamation consisting in the i) Provincial/City Prosecutor;

imputation of any of the above- j) Chief State Prosecutor;
mentioned crimes (Art. 360 of the k) Ombudsman or his deputy(Sec. 4,
Revised Penal Code, Title XI, Book II); par 3, Rule 112); or
l) Lawyer appointed by Secretary of
c. If it is private in nature; or, Justice pursuant to Sec. 1696 of
the Revised Administrative Code,
d. Where it pertains to those cases as amended.
which need to be endorsed by specific
public officers. Crimes that Cannot be Prosecuted de
officio
Crimes where Municipal/ Provincial
Prosecutors cannot prosecute Private crimes - are those which cannot be
independently. prosecuted except upon complaint filed by the
1. Violations of the Anti-Dummy Law: offended party. This legal requirement was
Anti-Dummy Board (Zobel vs. imposed out of consideration for the aggrieved
Concepcion,G.R. No. L-17806, June 29,
party who might prefer to suffer the outrage in
1962);
silence rather than go through the scandal of a
2. Violation of the National Internal
public trial. (People vs. Yparraguire, G.R. No.
Revenue Code: Internal Revenue
124391, July 5, 2000)
Officer;
Bar Operations
Commissions 429
429
Note: The proper term is not private crime
but rather a crime that cannot be
prosecuted de officio.
 Concubinage and Adultery – the
criminal action should be initiated
by the offended spouse, who
should have the status, capacity
and legal representation at the
time of the filing of the complaint.
The marital relationship must still be
subsisting. When there is already
annulment of marriage or nullity of
marriage, the accused can no longer file
the complaint.
It must be instituted against both guilty
parties, unless one of them is no longer
alive.
The offended party must not have given
his consent (whether expressed or
implied) to the offense or pardoned the
offenders(Art. 344, Revised Penal Code).
e) Only the offended spouse, not
otherwise incapacitated, can validly
extend the pardon or consent
contemplated therein. He/she must
pardon BOTH the erring spouse and
mistress or concubine (People vs.
Infante, G.R. No. L-36270, August 31,
1932).
The acquittal or death of one of the
accused in the crime of adultery does not
bar the prosecution of the other accused.
Death of the offended spouse BEFORE the
filing of the complaint for adultery bars
further prosecution; if the offended
spouse died AFTER the filing of the
complaint, his death will NOT prevent the
proceeding from continuing to its ultimate
conclusion.
Reason: His participation is essential for
the initiation of the action, not for the
maintenance thereof (People vs. Diego, G.R.
No. 1626, December 15, 1937).
430
In the case of People vs. Ilarde, G.R. No.
L-58595, October 10, 1983, before a
formal charge could be filed, the offended
spouse died. The fiscal then filed an
information for adultery attaching thereto
the complaint for adultery earlier
executed by the deceased offended
spouse. The Court upheld the filing of
information considering that the facts
clearly showed the desire of the offended
party to bring his wife and her alleged
paramour to justice.
� Seduction, Abduction and Act of
Lasciviousness – The criminal action is
to be initiated exclusively and
successively by the following persons
in the following order:
9.2. By the offended woman;
9.3. By the parents, grandparents or
legal/judicial guardians in that
successive order, if the offended
party is incompetent or incapable of
doing so;
9.4. By the State pursuant to the
Doctrine of Parens Patriae, when the
offended party dies or becomes
incapacitated before she could file
the complaint and she has no known
parents, grandparents or guardian.
2. Defamation imputing to a person
any of the following crimes of
concubinage, adultery, seduction,
abduction or acts of lasciviousness
can be prosecuted only by the
party or parties defamed.
a. Except in cases that cannot be
prosecuted de officio, the Information
filed by the prosecutor with the proper
court is sufficient (Francisco, Jr. vs.
People, G.R. No. 177720, February 18,
2009).
Prosecution of the Crimes of Adultery and
Concubinage (Sec. 5, Par. 2, Rule 110) (Com-
Par-Con)
 Purple Notes
a. Upon a complaint filed by the
offended spouse;
b. The offended party must include,
the guiltyparties, if both are alive;
c. The offended party must not have
consented to the offense or
pardoned the offenders.
Prosecution of the Crimes of Seduction,
Abduction, and Acts of Lasciviousness (Sec.
5, Par. 3, Rule 110)
Upon a complaint filed by the:
2. Offended Party, even if a minor,
unless she is incompetent or
incapable;
3. Parents;
4. Grandparents;
5. Guardian;
6. State, if the offended party dies or
becomes incapacitated before she
can file, the complaint, and she has
no known parents, grandparents or
guardian.
b. The right to prosecute these crimes
shall be exclusive of all other persons
and shall be exercised successively in
the order provided.
c. These crimes cannot be prosecuted in
any case, if the offender has been
expressly pardoned by any of them.
Rules on pardon:
● The offended minor, if with
sufficient discretion, can validly
pardon the accused by herself if
she has no parents or where
the accused is her own father
and her mother is dead;
● The parents, grandparents or
guardian of the offended minor,
in that order, cannot extend a
valid pardon in said crimes
without the conformity of the
offended party, even if the
latter is a minor(U.S. v. Luna,
G.R. No. 892, September 11, 1902);
Criminal
Remedial
● If the offended woman is of age
and not otherwise
incapacitated, only she can
extend a valid pardon.
a. The pardon refers to that made
before filing of the criminal
complaint in court. Pardon made
after filing does not prohibit
continuance of the prosecution of
the offense except in case of
marriage between the offender and
offended party(People vs. Infante, G.
R. No. 36270, August 31, 1932).
7.B. PROSECUTION OF OFFENSES(Rule 110)
7.B.1 Criminal Actions, How Instituted
(Sec. 1, Rule 110)
1. By filing a complaint with the proper officer:
Where a Preliminary Investigation is
required pursuant to Sec. 1 of Rule 112
(Sec. 1[a], Rule 110)
a) Preliminary Investigation is required to
be conducted before the filing of a
complaint or information for offenses
where the penalty prescribed by law is
at least 4 years, 2 months and 1 day
without regard to fine. (Sec. 1, Rule 112)
b) In case of summary procedure, it is
discretionary upon the Prosecutor if he
wants to conduct a Preliminary
Investigation.
c) In Metro Manila and other chartered
cities outside Metro Manila, unless
otherwise provided in their charters.
(Sec. 1[b], Rule 110)
2. For all other offenses, directly with the
Municipal Trial Court and Municipal Circuit
Trial Courts or with the office of the
prosecutor.
General Rule: There is no direct filing of an
information or complaint with the Regional Trial
Court under Rule 110 because its jurisdiction
covers offenses which require preliminary
investigation.
Bar Operations
Commissions 431
431
Exception: In the absence or unavailability of
an inquest prosecutor, complaint may be filed
directly with the proper court on the basis of the
affidavit of the offended party or arresting
officer or person.
Proper Officer(Rule 112, Sec. 2).
Persons authorized to conduct the requisite
preliminary investigation: (ProNO-CoSpOmP)
1) Provincial or city prosecutors and their
assistants
2) National and regional state prosecutors
3) Other officers as may be authorized by law
4) Commissions on Elections through its
authorized legal officers for all election
offenses punishable under the Omnibus
Election Code.
5) Lawyers appointed as special prosecutors
(Sec.1686, RAC)
6) Office of the Ombudsman; or
7) PCGG with the assistance of OSG and other
government agencies
General Rule: Procedural law basically
mandates that "all criminal actions commenced
by complaint or by information shall be
prosecuted under the direction and control of a
public prosecutor." In appeals of criminal cases
before the CA and before this Supreme Court,
the OSG is the appellate counsel of the People,
pursuant to Section 35(1), Chapter 12, Title III,
Book IV of the 1987 Administrative Code(Jimenez
vs. Hon. Sorongon, G.R. No. 178607, December 5,
2012).
Exceptions:
1. In all cases elevated:
(i) to the Sandiganbayan; and
(ii) from Sandiganbayan to the SC, the
Office of the Ombudsman, through its
special prosecutor, shall represent the
People of the Philippines, except in
cases filed pursuant to EO Nos. 1, 2, 14
and 14-A, issued in 1986.”(People vs.
Sandiganbayan (First and Third Divisions),
G.R. No. 188165, G.R. No. 189063,
December 11, 2013);
432
2. When the State and the offended party are
deprived of due process because the
prosecution is remiss in its duty to protect
the interest of the State and the offended
party; and,
3. When the offended party questions the civil
aspect of the decision of the lower court
(Heirs of Federico Delgado vs. Gonzales, GR No.
184337, August 7, 2009)
The rule is settled that once a criminal complaint
or information is filed in court, any disposition
thereof, such as its dismissal or the conviction or
acquittal of the accused, rests in the sound
discretion of the court. While the prosecutor
retains the discretion and control of the
prosecution of the case, he cannot impose his
opinion on the court. The court is the best and
sole judge on what to do with the case.
Accordingly, a motion to dismiss the case filed
by the prosecutor before or after the
arraignment, or after a reinvestigation, or upon
instructions of the Secretary of Justice who
reviewed the records upon reinvestigation,
should be addressed to the discretion of the
court. The action of the court must not,
however, impair the substantial rights of the
accused or the right of the People to due
process of law (Hipos vs. Hon. Bay, G.R. Nos.
174813-15, March 17, 2009 citing People vs. Montesa
Jr., G.R. No. 114302, 29 September 1995).
General Rule:
 The filing of criminal action interrupts the
running of the period of prescription of the
offense charged even if the court where the
complaint or information is filed cannot try
the case on the merits (People vs. Olarte,
G.R. No. L-22465, February 28, 1967).
 The filing of the first indictments suspended
the running of the prescriptive period, and
the prosecutions under the informations to
be filed should be regarded as mere
continuations of the previous proceedings
(Arambulo vs. Laqui,G.R. No. 138596. October
12, 2000).
Exception: If otherwise provided by special
laws.
Complaint(Rule 110, Sec. 3)
 Purple Notes
Criminal
Remedial
It is a sworn written statement charging a The Complaint or Information shall be:
person with an offense and subscribed by: (Rule 110, Sec. 2)
(OPO)
1. In writing;
a) The offended party; 2. In the name of the People of the
b) Any peace officer (e.g. members of the Philippines; and,
Constabulary, Police officers, Agents of 3. Against all persons who appear to be
NBI, etc.); or, responsible for the offense involved.
c) Other public officer charged with the
enforcement of the law violated (e.g.  If the accused is a corporation, no criminal
Internal Revenue Officer for violation of the action can lie against it (Time, Inc. vs. Reyes,
NLRC, custom agents with respect to G.R. No. L-28882 May 31, 1971).
violations of the Tariff and Customs Code). 
 If the corporation violates the law, the
The want of an oath is a mere defect which officer, through whom the corporation acts,
does not affect the substantial rights of the answers criminally for his acts (People vs.
defendant on the merits. It is not permissible to Campos [CA] 40 O.G. Sup. 12, 7).
set aside a judgment for such a defect (US vs. 
Bibal, G.R. No. 1760. April 3, 1905).  A formal accusation of the type required by
the statute cannot be waived and in its
Information (Rule 110, Sec. 4) absence, there is nothing for the court to
act upon and the court acquires no
It is an accusation in writing charging a person jurisdiction.
with an offense and subscribed by the 
prosecutor and filed with the court.  While the information is not quashable if
not brought in the name of the People of
Note: If the original information was signed and the Philippines, if the information is grossly
filed by one who has no authority to sign and deficient, the same may be quashed for
file the same, the dismissal of the information failure to conform to the prescribed form
would not bar subsequent prosecution under a (Rule 117, Section 3e.
subsequent valid information. Jeopardy does 
not attach where an accused pleads guilty to a  Infirmity in the information such as lack of
defective indictment. authority of the officer signing it, cannot be
cured by silence, acquiescence, or even by
COMPLAINT INFORMATION express consent. (Cudia vs. Court of Appeals,
Prepared, subscribed, Always signed and filed by G.R. No. 110315 January 16, 1998)Such lack
and filed by the the prosecutor or of authority on the part of the officer is a
offended party, any authorized prosecuting ground for the quashal of the information.
peace officer or other officer, never the (Sec. 3[d], Rule 117).
officer charged with complainant.
the enforcement of When a Sworn Written Complaint is
the law violated. Required (Hernandez vs. Albano, G.R. No. L-17081,
Needs to be under Need not be under oath. May 31, 1961)
oath by the person Reason: Prosecuting
signing it. officer filing it is charged
a. If the offense is one which cannot be
with the special duty in
regard thereto and is
prosecuted de officio:(CAASA)
acting under the special
responsibility of his oath of  Adultery;
office.  Concubinage;
May be filed either Always filed with the  Seduction;
with the prosecutor’s court.  Abduction;
office or the court. Bar Operations
Commissions 433
433
  Acts of lasciviousness; (Art. 344, Revised
Penal Code)
b. Defamation consisting in the imputation of
any of the above-mentioned crimes (Art.
360 of the Revised Penal Code, Title XI, Book
II);
c.
d. If it is private in nature; or,
e.
f. Where it pertains to those cases which
need to be endorsed by specific public
officers.
Crimes where Municipal/ Provincial
Prosecutors cannot prosecute
independently.
 Violations of the Anti-Dummy Law: Anti-
Dummy Board (Zobel vs. Concepcion,G.R. No.
L-17806, June 29, 1962);
 Violation of the National Internal Revenue
Code: Internal Revenue Officer;
 Violations of the Tariff and Customs Code
Prosecution of private crimes: Custom
agents;
 Violations of Art. 360, RPC: Those crimes
which cannot be prosecuted de officio and
requires that the criminal action be brought
at the instance of and upon complaint
expressly filed by the offended party. (Sec.
5, Rule 110)
 Compliance with this is a jurisdictional
requirement and not merely a formality.
(People vs. Sunpongco, G.R. No. L-42665 June
30, 1988).

 In complex crimes, where one of the
component offenses is a private crime and
the other a public offense, the fiscal may
initiate the proceedings de officio. (People
vs. Orcullo, 46 O.G., Supp. 11,238).
Requirements in Special Laws
The prosecution for violation of special laws
shall be governed by the provisions thereof (Sec.
5, Par. 6, Rule 110).
7.B.2 Who may File Crimes that Cannot be
Prosecuted de officio (ProSta-OmAp)
434
a) Provincial/City Prosecutor;
b) Chief State Prosecutor;
c) Ombudsman or his deputy(Sec. 4, par 3,
Rule 112); or
d) Lawyer appointed by Secretary of Justice
pursuant to Sec. 1696 of the Revised
Administrative Code, as amended.
Crimes that Cannot be Prosecuted de
officio
Private crimes - are those which cannot be
prosecuted except upon complaint filed by the
offended party. This legal requirement was
imposed out of consideration for the aggrieved
party who might prefer to suffer the outrage in
silence rather than go through the scandal of a
public trial. (People vs. Yparraguire, G.R. No.
124391, July 5, 2000)
Note: The proper term is not private crime but
rather a crime that cannot be prosecuted de
officio.
1. Concubinage and Adultery – the criminal
action should be initiated by the offended
spouse, who should have the status,
capacity and legal representation at the time
of the filing of the complaint.
The marital relationship must still be subsisting.
When there is already annulment of marriage or
nullity of marriage, the accused can no longer
file the complaint.
It must be instituted against both guilty parties,
unless one of them is no longer alive.
The offended party must not have given his
consent (whether expressed or implied) to the
offense or pardoned the offenders(Art. 344,
Revised Penal Code).
NOTE: Only the offended spouse, nototherwise
incapacitated, can validly extend the pardon or
consent contemplated therein. He/she must
pardon BOTH the erring spouse and mistress or
concubine (People vs. Infante, G.R. No. L-36270,
August 31, 1932).
The acquittal or death of one of the accused in
the crime of adultery does not bar the
prosecution of the other accused.
 Purple Notes
Death of the offended spouse BEFORE the filing
of the complaint for adultery bars further
prosecution; if the offended spouse died AFTER
the filing of the complaint, his death will NOT
prevent the proceeding from continuing to its
ultimate conclusion.
Reason: His participation is essential for the
initiation of the action, not for the maintenance
thereof (People vs. Diego, G.R. No. 1626, December
15, 1937).
In the case of People vs. Ilarde, G.R. No. L-
58595, October 10, 1983, before a formal
charge could be filed, the offended spouse died.
The fiscal then filed an information for adultery
attaching thereto the complaint for adultery
earlier executed by the deceased offended
spouse. The Court upheld the filing of
information considering that the facts clearly
showed the desire of the offended party to bring
his wife and her alleged paramour to justice.
2. Seduction, Abduction and Act of
Lasciviousness – The criminal action is to
be initiated exclusively and successively by
the following persons in the following order:
a) By the offended woman;
b)
c) By the parents, grandparents or
legal/judicial guardians in that successive
order, if the offended party is
incompetent or incapable of doing so;
d)
e) By the State pursuant to the Doctrine of
Parens Patriae, when the offended party
dies or becomes incapacitated before she
could file the complaint and she has no
known parents, grandparents or
guardian.
3. Defamation imputing to a person any 1.)
of the following crimes of concubinage,
adultery, seduction, abduction or acts of
lasciviousness can be prosecuted only by
the party or parties defamed.
2.)
 Except in cases that cannot be 3.)
prosecuted de officio, the Information filed
by the prosecutor with the proper court is
Criminal
Remedial
sufficient (Francisco, Jr. vs. People, G.R. No.
177720, February 18, 2009).
Prosecution of the Crimes of Adultery and
Concubinage (Sec. 5, Par. 2, Rule 110) (Com-
Par-Con)
d. Upon a complaint filed by the offended
spouse;
e. The offended party must include, the
guiltyparties, if both are alive;
f. The offended party must not have
consented to the offense or pardoned the
offenders.
Prosecution of the Crimes of Seduction,
Abduction, and Acts of Lasciviousness (Sec.
5, Par. 3, Rule 110)
Upon a complaint filed by the:
1. Offended Party, evenif a minor, unless she
is incompetent or incapable;
2. Parents;
3. Grandparents;
4. Guardian;
5. State, if the offended party dies or
becomes incapacitated before she can file,
the complaint, and she has no known
parents, grandparents or guardian.
 The right to prosecute these crimes shall be
exclusive of all other persons and shall be
exercised successively in the order
provided.

 These crimes cannot be prosecuted in any
case, if the offender has been expressly
pardoned by any of them.
Rules on pardon:
The offended minor, if with sufficient
discretion, can validly pardon the accused
by herself if she has no parents or where
the accused is her own father and her
mother is dead;
The parents, grandparents or guardian of
the offended minor, in that order, cannot
extend a valid pardon in said crimes
Bar
without the Operations
conformity of the
Commissions 435
435
 offended party, even if the latter is a
minor(U.S. v. Luna, G.R. No. 892, September
11, 1902);
4.)
5.) If the offended woman is of age and not
otherwise incapacitated, only she can
extend a valid pardon.
 The pardon refers to that made before
filing of the criminal complaint in court.
Pardon made after filing does not prohibit
continuance of the prosecution of the
offense except in case of marriage between
the offender and offended party (People vs.
Infante, G. R. No. 36270, August 31, 1932).
7.B.3 Criminal Action, When Enjoined
General Rule: Criminal action cannot be
enjoined.
Exceptions:
a) To afford adequate protection to the
constitutional rights of the accused(Santiago
vs. Vasquez, G.R. No. 99289-90, January 13,
1992);
b) When necessary for the orderly
administration of justice or to avoid
oppression or multiplicity of
actions(Hernandez vs. Albano, G.R. No. 19272,
January 25, 1967);
c) Where there is a prejudicial question which
is sub judice (before a court or judge for
consideration);
d) When the acts of officer are without or in
excess of authority(Planas vs. Gil, G.R. No. L-
46440, January 18,1939);
e) Where the prosecution is under an invalid
law, ordinance, or regulation;
f) When double jeopardy is clearly apparent;
g) Where the court has no jurisdiction over the
offense(Lopez vs. City Judge, G.R. No. L-25795,
October 29, 1996);
h) Where it is a case of persecution rather than
prosecution;
i) Where the charges are manifestly false and
motivated by the lust for vengeance;
j) When there is clearly no prima facie case
against the accused and a motion to quash
on that ground has been denied; or
436
k) Preliminary injunction has been issued by
the Supreme Court to prevent the
threatened unlawful arrest of petitioners
2. To afford adequate protection to the
constitutional rights of the
accused(Santiago vs. Vasquez, G.R. No.
99289-90, January 13, 1992);
3. When necessary for the orderly
administration of justice or to avoid
oppression or multiplicity of
actions(Hernandez vs. Albano, G.R. No.
19272, January 25, 1967);
4. Where there is a prejudicial question
which is sub judice (before a court or
judge for consideration);
5. When the acts of officer are without or
in excess of authority(Planas vs. Gil, G.R.
No. L-46440, January 18,1939);
6. Where the prosecution is under an
invalid law, ordinance, or regulation;
7. When double jeopardy is clearly
apparent;
8. Where the court has no jurisdiction
over the offense(Lopez vs. City Judge,
G.R. No. L-25795, October 29, 1996);
9. Where it is a case of persecution rather
than prosecution;
10. Where the charges are manifestly false
and motivated by the lust for
vengeance;
11. When there is clearly no prima facie
case against the accused and a motion
to quash on that ground has been
denied; or
12. Preliminary injunction has been issued
by the Supreme Court to prevent the
threatened unlawful arrest of
petitioners
7.B.4 Control of Prosecution(Rule 110, Sec.
5)
All criminal actions commenced by a complaint
or information shall be prosecuted under the
direction and control of a public prosecutor.
 The rationale for the Rule that all criminal
actions shall be prosecuted under the
direction and control of a PUBLIC
prosecutor is that since a criminal offense is
an outrage against the sovereignty of the
State, it necessarily follows that a
representative of the State shall direct and
 Purple Notes
Criminal
Remedial
control the prosecution thereof (Chua vs. the State, it necessarily follows
Padillo, G.R. No. 163797, April 24, 2007). that a representative of the State
 shall direct and control the
 The right to prosecute vests the prosecutor prosecution thereof (Chua vs.
with a wide range of discretion whether Padillo, G.R. No. 163797, April 24,
what and whom to charge, the exercise of 2007).
which depends on factors which are best
appreciated by prosecutors (Gonzales vs. c. The right to prosecute vests the
HSBC, G.R. No. 164904, October 19, 2007). prosecutor with a wide range of
 discretion whether what and whom
 Not even the SC can order the prosecution to charge, the exercise of which
of a person against whom the prosecutor depends on factors which are best
does not find sufficient evidence to support appreciated by prosecutors
at least a prima facie case. The only (Gonzales vs. HSBC, G.R. No. 164904,
possible exception to the rule is where October 19, 2007).
there is an unmistakable showing of grave
abuse of discretion (Chua vs. Padillo, G.R. No. d. Not even the SC can order the
163797, April 24, 2007). prosecution of a person against
 whom the prosecutor does not find
 Once a complaint/information is filed in sufficient evidence to support at
court, any disposition of the case rests in least a prima facie case. The only
its sound discretion. Although the fiscal possible exception to the rule is
retains direction and control of the where there is an unmistakable
prosecution of the criminal case, where it is showing of grave abuse of
already in court, he cannot impose his discretion (Chua vs. Padillo, G.R. No.
opinion on the trial (Crespo vs. Mogul, G.R. 163797, April 24, 2007).
No. L-53373, June 30, 1987).
 e. Once a complaint/information is
 The right of the offended party to institute filed in court, any disposition of the
the criminal prosecution for the commission case rests in its sound discretion.
of a public offense ceases upon the filing of Although the fiscal retains
the complaint in court, the fiscal taking direction and control of the
charge of the prosecution of the suit in the prosecution of the criminal case,
name of the People until the termination where it is already in court, he
thereof (Salcedo vs. Liwag, No. L-21068, cannot impose his opinion on the
November 29, 1963). trial (Crespo vs. Mogul, G.R. No. L-
 53373, June 30, 1987).
 The determination of whether or not
information should be lodged with the court f. The right of the offended party to
lies within the exclusive realm of the institute the criminal prosecution
prosecutor (Ogburn vs. CA, G.R. No. 102795, for the commission of a public
August 10, 1992). offense ceases upon the filing of
All criminal actions commenced by a the complaint in court, the fiscal
complaint or information shall be taking charge of the prosecution of
prosecuted under the direction and control the suit in the name of the People
of a public prosecutor. until the termination thereof
(Salcedo vs. Liwag, No. L-21068,
b. The rationale for the Rule that all November 29, 1963).
criminal actions shall be
prosecuted under the direction and g. The determination of whether or
control of a PUBLIC prosecutor is not information should be lodged
that since a criminal offense is an with the court lies within the
outrage against the sovereignty of Bar exclusiveOperations
realm of the
Commissions 437
437
 prosecutor. (Ogburn vs. CA, G.R. No.
102795, August 10, 1992).
Conditions for a private prosecutor to
prosecute a criminal action:
a) The public prosecutor has a heavy work
schedule, or there is no public prosecutor
assigned in the province or city;
b) The private prosecutor is authorized in
writing by the Regional State Prosecutor
(RSP), Chief Prosecutor’s Office;
c) The authority of the private prosecutor must
be approved by the court; and,
d) The private prosecutor shall continue to
prosecute the case until the end of the trial
unless the authority is withdrawn or
otherwise revoked. (A.M. No. 02-2-07-SC, 1
May 2002)
� The public prosecutor has a heavy
work schedule, or there is no public
prosecutor assigned in the province or
city;
� The private prosecutor is authorized in
writing by the Regional State
Prosecutor (RSP), Chief Prosecutor’s
Office;
� The authority of the private prosecutor
must be approved by the court; and,
� The private prosecutor shall continue
to prosecute the case until the end of
the trial unless the authority is
withdrawn or otherwise revoked. (A.M.
No. 02-2-07-SC, 1 May 2002)
In case of the withdrawal or revocation of
the authority of the private prosecutor,
the same must be approved by court
(Memo Circ. No. 25, April 26, 2002, Regarding
Amendment to Sec. 5, Rule 110).
In appeals before the CA and the SC, only
the Solicitor General is authorized to bring
and defend actions in behalf of the People
of the Philippines.(Ong vs. Genio, G.R. No.
182336, December 23, 2009).
In all cases elevated to the Sandiganbayan
and from the Sandiganbayan to the SC,
the Office of the Ombudsman, through the
Special Prosecutor shall represent the
People of the Philippines, except in cases
filed pursuant to E.O. Nos. 1, 2, 14 and 14-
438
A, issued in 1986, involving the ill-gotten
wealth of Pres. Marcos, his wife, close
relatives, etc. (R.A. No. 8249, An Act Defining
the Jurisdiction of Sandiganbayan).
Prosecution of criminal action in the
Municipal Trial Court or in a Municipal
Circuit Trial Court shall also be under the
direction and control of the prosecutor.
However, when the prosecutor assigned is
not available, the action may be
prosecuted by:
1. the offended party;
2. any peace officer; or,
3. public officer charged with the
enforcement of the law violated (OCA
Circular No. 39-2002, August 21, 2002).
7.B.5 Sufficiency of Complaint or
Information: (Rule 110, Sec. 6)
 The test of the information’s sufficiency is
whether the crime is described in intelligible
terms and with such particularity with
reasonable certainty so that the accused is
duly informed of the offense charged. In
particular, whether an information validly
charges an offense depends on whether the
material facts alleged in the complaint or
information shall establish the essential
elements of the offense charged as defined
in the law. The raison d’etre of the
requirement in the Rules is to enable the
accused to suitably prepare his defense
(Miguel vs. Sandiganbayan, G.R. No. 172035,
July 4, 2012).
a. The test of the information’s
sufficiency is whether the crime is
described in intelligible terms and
with such particularity with
reasonable certainty so that the
accused is duly informed of the
offense charged. In particular,
whether an information validly
charges an offense depends on
whether the material facts alleged
in the complaint or information
shall establish the essential
elements of the offense charged as
defined in the law. The raison
d’etre of the requirement in the
Rules is to enable the accused to
 Purple Notes
suitably prepare his defense (Miguel
vs. Sandiganbayan, G.R. No. 172035,
July 4, 2012).
The complaint or information is sufficient
when the following are present: (NamDAc-
NaDaP)
1. 1. The name of the accused (Rule 110,
Sec. 7);
2.
3. 2. The designation of the offense given by
the statute (Rule 110, Sec. 8);
4.
5. 3. The acts or omissions complained of
constituting the offense (Rule 110, Sec. 8
and 9);
6. 4. The name of the offended party (Rule
110, Sec. 12);
7. 5. The approximate date of the
commission of the offense (Rule 110, Sec.
11); and,
8.
9. 6. The place where the offense was
committed (Rule 110, Sec. 10). The name
of the accused(Rule 110, Sec. 7;
The designation of the offense given by the statute
(Rule 110, Sec. 8);
The acts or omissions complained of constituting
the offense (Rule 110, Sec. 8 and 9);
The name of the offended party (Rule 110, Sec.
12);
The approximate date of the commission of the
offense (Rule 110, Sec. 11); and,
The place where the offense was committed (Rule
110, Sec. 10).
10.
Note: When an offense is committed by
more than one person, all of them shall be
included in the complaint or information.
(Rule 110, Sec. 6)
 The real nature of the criminal charge is
determined not from the caption or
preamble of the information, or from the
specification of the provision of law alleged
to have been violated, which are mere
conclusions of law, but by the actual recital
Criminal
Remedial
of the facts in the complaint or information
(People vs. Valdez, G.R. No. 175602, Jan 18,
2012).

 The allegation in the information of the
various ways of committing the offense
should be regarded as a description of only
one offense and the information is not
thereby rendered defective on the ground of
multifariousness(People vs. Soria, G.R. No.
179031, November 14, 2002).
b. The real nature of the criminal
charge is determined not from the
caption or preamble of the
information, or from the
specification of the provision of law
alleged to have been violated,
which are mere conclusions of law,
but by the actual recital of the facts
in the complaint or information
(People vs. Valdez, G.R. No. 175602,
Jan 18, 2012).
c. The allegation in the information of
the various ways of committing the
offense should be regarded as a
description of only one offense and
the information is not thereby
rendered defective on the ground
of multifariousness(People vs. Soria,
G.R. No. 179031, November 14, 2002).
Name of the accused (Rule 110, Sec. 7)
Complaint or Information must state:
1. The name and surname of the
accused; or;
2. Any appellation or nickname by which
he has been or is known.
3. If his name cannot be ascertained, he
must be described under a fictitious
name with a statement that his true
name is unknown.
4. If the true name of the accused is
thereafter disclosed by him or appears
in some other manner to the court,
such true name shall be inserted in
the complaint or information and
record.
 If the accused believes that there is a
Bar Operations
mistake in his name as set
Commissions 439
439
 forth in the complaint or information,
he should call the attention of the
court about it at the time of
arraignment. If he fails to do so he is
estopped from raising the same
question later on (People vs. Narvaez,
G.R. No. 39799, March 20, 1934).
 sufficient if it can be understood from its
 Proving the identity of the accused as the
malefactor is the prosecution’s primary
responsibility. Accordingly, the first duty of
the prosecution is not to prove the crime
but to prove the identity of the criminal, for
even if the commission of the crime can be
established, there can be no conviction
without proof of identity of the criminal
beyond reasonable doubt (People vs. Espera,
G.R. No. 202868, October 2, 2013).
 Date of Commission of the Offense(Rule 110,
 A mistake in the name of the accused is not
equivalent, and does not necessarily
amount to a mistake in the identity of the
accused especially when sufficient evidence
is adduced to show that the accused is
pointed to as one of the perpetrators of the
crime.(People vs. Amodia, G.R. No. 173791,
April 7, 2009).
Q: Is the phrase “conniving, confederating
and mutually helping with each other…”
sufficient in alleging conspiracy in the
Information?
A: When conspiracy is charged as a crime,
the act of conspiring and all the elements
of said crime must be set forth in the
complaint or information. But when
conspiracy is not charged as a crime in
itself but only as the mode of committing
the crime as in the case at bar, there is
less necessity of reciting its particularities
in the Information because conspiracy is
not the gravamen of the offense charged.
The conspiracy is significant only because
it changes the criminal liability of all the
accused in the conspiracy and makes them
answerable as co-principals regardless of
the degree of their participation in the
crime. The liability of the conspirators is
collective and each participant will be
equally responsible for the acts of others,
for the act of one is the act of all (Lazarte
440
vs. Sandiganbayan, G.R. No. 180122, March 13,
2009).
Place of Commission of the Offense(Rule 110,
Sec. 10)
General Rule: The complaint or information is
allegation that the offense was committed or
some of its essential ingredients occurred at
some place within the jurisdiction of the court.
Exception: When the particular place where it
was committed constitutes an essential element
of the offense charged or is necessary for its
identification, e.g. Theft in National Library (Art.
311, RPC).
Sec. 11)
General Rule: It is not necessary to state the
precise date of the commission of the offense.
Exception: When it is a material ingredient of
the offense, e.g. Interruption of Religious
Worship (Art. 132, RPC).
 The remedy against an indictment that fails
to allege the time of commission of the
offense with sufficient definiteness is a
motion for a bill of particulars (Rocaberte vs.
People of the Philippines, G.R. No. 72994,
January 23, 1991).
 Failure to specify the exact date/time when
the rape occurred odes not ipso facto make
the Information defective on its face. The
date/time of the commission of rape is not
material ingredient of said crime because
the gravamen of rape is carnal knowledge of
a woman, through force and intimidation
(People vs. Magbanua, G.R. No. 128888,
December 3, 1999).
 The remedy against an indictment that fails
to allege the time of commission of the
offense with sufficient definiteness is a
motion for a bill of particulars (Rocaberte vs.
People of the Philippines, G.R. No. 72994,
January 23, 1991).
Failure to specify the exact date/time
when the rape occurred does not ipso
facto make the Information defective
on its face. The date/time of the
 Purple Notes
commission of rape is not material
ingredient of said crime because the
gravamen of rape is carnal
knowledge of a woman, through
force and intimidation (People vs.
Magbanua, G.R. No. 128888, December 3,
1999).
 Disclosed.
Note: The date and time of the commission
of the crime of rape becomes important only
when it creates serious doubt as to the
commission of the rape itself or the
sufficiency of the evidence for purposes of
conviction. In other words, the "date of the
commission of the rape becomes relevant
only when the accuracy and truthfulness of
the complainant’s narration practically hinge
on the date of the commission of the
crime,”(People vs. Pareja, G.R. No. 202122,
January 15, 2014)
Name of the Offended Party (Rule 110, Sec.
12)
The complaint or information must state:
1) The name and surname of the person
against whom or against whose property
the offense was committed; or
2) Any appellation or nickname by which such
person has been or is known.
3) If there is no better way of identifying him,
he must be described under a fictitious
name.
1. The name and surname of the
person against whom or against
whose property the offense was
committed; or
2. Any appellation or nickname by
which such person has been or is
known.
3. If there is no better way of
identifying him, he must be
described under a fictitious name.
In Offenses against Property:
1. Name of the Offended Party Unknown.
Criminal
Remedial
If the name of the offended party is
unknown, the property must be described
with such particularity as to properly
identify the offense charged.(Rule 110, Sec.
12a)
2. True Name of the Offended Party
If the true name of the person against
whom or against whose property the
offense was committed is thereafter
disclosed or ascertained, the court must
cause such true name to be inserted in the
complaint or information and the record.
(Rule 110, Sec. 12b)
h. Name of the Offended Party Unknown.
If the name of the offended party is
unknown, the property must be
described with such particularity as to
properly identify the offense charged.
(Rule 110, Sec. 12a)
i. True Name of the Offended Party
Disclosed. If the true name of the
person against whom or against whose
property the offense was committed is
thereafter disclosed or ascertained,
the court must cause such true name
to be inserted in the complaint or
information and the record. (Rule 110,
Sec. 12b)
Note:
1. In offense against property, if the subject
matter of the offense is generic and not
identifiable, such as money unlawfully taken,
an error in the designation of the offended
party is FATAL and would result in the
acquittal of the accused.
2. If the subject matter of the offense is
specific and identifiable, an error in the
designation of the offended party is
IMMATERIAL.
If the Offended Party is a Juridical Person:
A.Bar Operations
Commissions 441
441
7. State its name or any name or
designation by which it is known or by which it
may be identified; and,
A.
b. 2.
There is no need to aver that it is a juridical
person or that it is organized in accordance
with law.
n. State its name or any name or
designation by which it is known or by
which it may be identified; and,
o. There is no need to aver that it is a
juridical person or that it is organized
in accordance with law.
7.B.6 Designation of the Offense (Rule 110,
Sec. 8)
1. The designation of the offense given by the
statute.
If there is no designation of the offense,
reference shall be made to the section or
subsection of the statute punishing it.
The failure to make a designation of the offense
must be regarded as constituting a mere defect
in the form, not tending to prejudice any
substantial right of the defendant (U.S. vs. Li-Dao,
G.R. No. 1316, August 29, 1903).
The nature and character of the crime charged
are determined not by the specification of the
provision of the law alleged to have been
violated but by the facts stated in the
indictment, that is, the actual recital of the facts
in the body of the information, and not the
caption or preamble of the information or
complaint nor the specification of the provision
of law alleged to have been violated, they being
conclusions of law(People vs. Dasmariñas, G.R. No.
203986, October 04, 2017).
2. The acts or omissions constituting the
offense; and,
3. Qualifying and aggravating circumstances.
The qualifying and aggravating
circumstances cannot be appreciated even if
proved unless alleged in the information
Complaint or Information shall state:
442
The designation of the offense given by
the statute.
If there is no designation of the offense,
reference shall be made to the section or
subsection of the statute punishing it.
The failure to make a designation of the
offense must be regarded as constituting a
mere defect in the form, not tending to
prejudice any substantial right of the
defendant (U.S. vs. Li-Dao, G.R. No. 1316,
August 29, 1903).
The nature and character of the crime
charged are determined not by the
specification of the provision of the law
alleged to have been violated but by the
facts stated in the indictment, that is, the
actual recital of the facts in the body of
the information, and not the caption or
preamble of the information or complaint
nor the specification of the provision of
law alleged to have been violated, they
being conclusions of law(People vs.
Dasmariñas, G.R. No. 203986, October 04,
2017).
The acts or omissions constituting the
offense; and,
Qualifying and aggravating circumstances.
The qualifying and aggravating
circumstances cannot be appreciated even
if proved unless alleged in the information
Note: Failure to allege aggravating and
qualifying circumstances cannot be cured
by an amendment of the information after
the accused entered his plea (People vs.
Antonio, G.R. No. 144266, November 27,
2002).
However, even though aggravating
circumstance cannot be considered to
impose a graver penalty, it can still be a
basis for the awarding of exemplary
damages(People vs. Evina, G.R. No. 124830-
31, June 27, 2003).
For example, it is not sufficient to merely
state that the offense was committed with
 Purple Notes
treachery without alleging the facts that
gave rise to treachery(Riano, Criminal
Procedure, p. 97, 2016 ed.).
The real nature of the criminal charge is
determined not from the caption or
preamble of the information, or from the
specification of the provision of law
alleged to have been violated, which are
mere conclusions of law, but by the actual
recital of facts in the complaint or
information(Jimenez vs. Hon. Sorongon, G.R.
No. 178607, December 5, 2012).
7.B.7 Cause of the Accusation (Rule 110,
Sec. 9)
1. Acts or omissions complained of as
constituting the offense; and,
2. Qualifying and aggravating circumstances.
These must be stated in ordinary and concise
language and not necessarily in the language
used in the statute but in terms sufficient:
a. To enable a person of common
understanding to know what offense is
being charged as well as its qualifying and
aggravating circumstances; and,
b. For the court to pronounce judgment.
c.
Defendant cannot be convicted of an
offense of which he has not been informed
or for a crime higher than that alleged in
the information.
 Proof of the age of the victim cannot
consist merely of testimony. Neither can a
stipulation of the parties with respect to the
victim’s age be considered sufficient proof
of minority. The same cannot be used to
impose the higher penalty of capital
punishment on the accused-appellant
(People vs. Mejia, G.R. No. 185723, August 04,
2009).
1. Acts or omissions complained of as
constituting the offense; and,
2. Qualifying and aggravating
circumstances.
Criminal
Remedial
These must be stated in ordinary and concise
language and not necessarily in the language
used in the statute but in terms sufficient:
6. To enable a person of common
understanding to know what offense
is being charged as well as its
qualifying and aggravating
circumstances; and,
7. For the court to pronounce
judgment.
Defendant cannot be convicted of an
offense of which he has not been
informed or for a crime higher than
that alleged in the information.
1. Proof of the age of the victim
cannot consist merely of testimony.
Neither can a stipulation of the
parties with respect to the victim’s
age be considered sufficient proof
of minority. The same cannot be
used to impose the higher penalty
of capital punishment on the
accused-appellant (People vs. Mejia,
G.R. No. 185723, August 04, 2009).
Allegations in a Complex Crime
 The allegations contained therein do not
necessarily have to charge a complex crime
as defined by law. It is sufficient that the
information contains allegations which state
that one offense was a necessary means to
commit the other (People vs. Alagao, G.R. No.
L-20721, April 30, 1966).
2. Where what is alleged in the
information is a complex crime and
the evidence fails to support the
charge as to one of the component
offenses, the defendant can be
convicted of the offense proven
(Gonzaludo vs. People, G.R. No. 150910,
February 6, 2006).The allegations
contained therein do not necessarily
have to charge a complex crime as
defined by law. It is sufficient that the
information contains allegations which
state that one offense was a necessary
means to commit the other (People vs.
Alagao, G.R. No.
Bar L-20721, April 30, 1966).
Operations
Commissions 443
443
3. Where what is alleged in the information is  Reckless imprudence is a single crime, the
a complex crime and the evidence fails to consequences on persons and property is
support the charge as to one of the material only to determine the penalty.
component offenses, the defendant can be Thus, the prior acquittal or conviction of
convicted of the offense proven (Gonzaludo reckless imprudence bars the subsequent
vs. People, G.R. No. 150910, February 6, 2006). prosecution for the same quasi-offense(Ivler
7.B.8 Duplicity of the Offense, vs. Judge San Pedro, G.R. No. 172716,
Exception(Rule 110, Sec. 13) November 17, 2010).
1. Should the information be defective
because of duplicity (also called
7.B.8 Duplicity of the Offense, Exception multifariousness), an objection must
(Rule 110, Sec. 13) be timely interposed by the accused
before trial; otherwise, he is deemed
Duplicity is the joinder of two (2) or more to have waived such defect.
distinct and separate offenses in one Consequently, the court may convict
complaint or information. It is a ground to him for as many offenses as are
quash the information under Rule 117. charged and proved, and impose on
Under Sec. 13, Rule 110, complaint or him the penalty for each offense.
information must charge onlyone offense
except when the law prescribes a single 2. Reckless imprudence is a single crime,
punishment for various offenses(Soriano the consequences on persons and
vs. People, G.R. No. 159517-18, June 30, property is material only to determine
2009). the penalty. Thus, the prior acquittal
or conviction of reckless imprudence
Duplicity of the offense is a ground for a bars the subsequent prosecution for
motion to quash(Rule 117, Sec. 3[f]). the same quasi-offense(Ivler vs. Judge
San Pedro, G.R. No. 172716, November 17,
General Rule: A complaint or information must 2010).
charge onlyone offense.
7.B.9 Amendment or Substitution of
Exceptions: (CSI-CV) Complaint or
Information (Teehankee Jr. vs. Madayag,
1. Complex crimes; G.R. No. 103102, March 6, 1992)
2. Special complex crimes;
3. When the other offense stated is only AMENDMENT SUBSTITUTION
an Ingredient or essential element of Definition An amended Substitution
the real offense charged; and con- information requires or
4. Continuous crime or delitocontinuado; sequence refers to the presupposes that
same offense the new
and,
charged in the information
5. Crimes susceptible of being original involves a different
committed in Various modes. information or to offense which does
an offense not include or is
 Should the information be defective which not necessarily
because of duplicity (also called necessarily included in the
multifariousness), an objection must be includes or is original charge.
timely interposed by the accused before necessarily The accused
trial; otherwise, he is deemed to have included in the cannot claim
original charge. double jeopardy.
waived such defect. Consequently, the
Substantial
court may convict him for as many offenses amendments to
as are charged and proved, and impose on the information
him the penalty for each offense. after the plea
has been taken
cannot be made
444
 Purple Notes
Criminal
Remedial
over the sufficient.
objection of the
accused, for if Requisite BEFORE the 1. No
the original s/ plea – judgment
information Limitatio g) made has yet been
would be ns WITH rendered;
withdrawn, the leave of 2. The accused
accused could court; cannot be
invoke double h) upon convicted of
jeopardy. motion by an offense
the charged or
prosecutor of any other
When May be made At any time before ; and, offense
made before or after judgment provided i) with necessarily
the defendant double jeopardy notice to included
pleads. has NOT attached. the therein; and,
offended 3. The accused
Nature of Either formal or Necessarily party. would not
the substantial involves a be placed in
changes changes. substantial change Gen. Rule: double
from the original WITHOUT leave jeopardy.
charge. of court
Exception:
Necessity Amendment Substitution of When the
of leave before plea has information must amendment
of court been entered be with leave of downgrades the
can be effected court as the nature of the
without leave of original offense charged
court. information has to or it excludes
be dismissed. any accused
from the
complaint or
Necessity Where the Another
information.
of amendment is preliminary
another only as to form, investigation is
pre- there is no need required and the AFTER the
liminary for another accused has to plea –
invest- preliminary plead anew to the  Covers
igation investigation new information. only
and and the retaking FORMAL
retaking of the plea of amendme
of plea the accused. nt;
 Leave of
court is
Rule Where the Where the new
obtained;
second information
and,
information charges an offense
 Amendme
involves the which is distinct
nt is NOT
same offense, or and different from
prejudicial
an offense that initially
to the
which charged, a
rights of
necessarily substitution is in
the
includes or is order.
accused.
necessarily
included in the
first information,
an amendment General Rule:
of the A substantial
information is Bar amendment
Operationsis
proscribed after
Commissions 445
445
 arraignment. AMENDMENT SUBSTITUTION
Exception: If
the same is of leave of before plea has information must be
BENEFICIAL to court been entered with leave of court
the accused. can be effected as the original
(Ricarze vs. without leave of information has to
Court of court. be dismissed.
Appeals, G.R.
No. 160451, Necessity Where the Another preliminary
February 09, of another amendment is investigation is
2007) pre- only as to form, required and the
liminary there is no need accused has to plead
invest- for another anew to the new
igation preliminary information.
AMENDMENT SUBSTITUTION and investigation
retaking and the retaking
Definition An amended Substitution requires
of plea of the plea of
and con- information or presupposes that
the accused.
sequence refers to the the new information
same offense involves a different Rule Where the Where the new
charged in the offense which does second information charges
original not include or is not information an offense which is
information or to necessarily included involves the distinct and different
an offense in the original same offense, or from that initially
which charge. an offense charged, a
necessarily The accused cannot which substitution is in
includes or is claim double necessarily order.
necessarily jeopardy. includes or is
included in the necessarily
original charge. included in the
Substantial first information,
amendments to an amendment
the information of the
after the plea information is
has been taken sufficient.
cannot be made
over the Requisites BEFORE the 4. No judgment
objection of the / plea – has yet been
accused, for if Limitation j) made rendered;
the original s WITH 5. The accused
information leave of cannot be
would be court; convicted of
withdrawn, the k) upon an offense
accused could motion by charged or of
invoke double the any other
jeopardy. prosecutor offense
; and, necessarily
l) with included
When May be made At any time before notice to therein; and,
made before or after judgment provided the 6. The accused
the defendant double jeopardy has offended would not be
pleads. NOT attached. party. placed in
double
Nature of Either formal or Necessarily involves
Gen. Rule: jeopardy.
the substantial a substantial change
WITHOUT leave
changes changes. from the original
of court
charge.
Exception:
Necessity Amendment Substitution of When the

446
 Purple Notes
Criminal
Remedial
AMENDMENT SUBSTITUTION amended (Kummer vs. People, G.R. No. 174461,
September 11, 2013).
amendment
downgrades the  Petitioner is charged as a principal in the
nature of the case for murder. The addition of the phrase
offense charged “conspiring, confederating and helping one
or it excludes
another” does not change the nature of
any accused
petitioner’s participation as principal in the
from the
complaint or killing; it is a mere formal amendment
information. (Buhat vs. CA, G.R. No. 119601,December 17,
1996).
AFTER the 
plea –  To amend the Information so as to change
 Covers the charge from homicide to murder after
only the petitioner has pleaded not guilty to the
FORMAL former is proscribed by the 1st paragraph of
amendme Sec. 13 of Rule 110. For certainly, a charge
nt;
from homicide to murder is not a matter of
 Leave of
court is
form; it is one of substance with very
obtained; serious consequences (Dionaldo vs.
and, Dacuycuy, G.R. No. L-55357, October 30, 1981).
 Amendme 
nt is NOT  Petitioner in this case maintains that,
prejudicial having already pleaded "not guilty" to the
to the crime of homicide, the amendment of the
rights of crime charged in the information from
the homicide to murder is a substantial
accused. amendment prejudicial to his right to be
informed of the nature of the accusation
General Rule:
A substantial against him. He utterly fails to dispute,
amendment is however, that the original information did
proscribed after allege that petitioner stabbed his victim
arraignment. "using superior strength". And this
Exception: If particular allegation qualifies a killing to
the same is murder, regardless of how such a killing is
BENEFICIAL to technically designated in the information
the accused.
filed by the public prosecutor (Buhat vs. CA,
(Ricarze vs.
G.R. No. 119601,December 17, 1996).
Court of
a. Petitioner is charged as a principal in
Appeals, G.R.
No. 160451, the case for murder. The addition of the phrase
February 09, “conspiring, confederating and helping one
2007) another” does not change the nature of
petitioner’s participation as principal in the
killing; it is a mere formal amendment (Buhat vs.
Note: The test as to when the rights of an
CA, G.R. No. 119601, December 17, 1996).
accused are prejudiced by the amendment of a
complaint or information is: when a defense of
b. To amend the Information so as to
the accused, under the original complaint or
change the charge from homicide to murder
information would no longer be available after
after the petitioner has pleaded not guilty to the
the amendment is made, and when any
former is proscribed by the 1st paragraph of
evidence the accused might have would be
Sec. 13 of Rule 110. For certainly, a charge from
inapplicable to the complaint or information, as
homicide to murder is not a matter of form; it is
Barof substanceOperations
one with very serious
Commissions 447
447
consequences (Dionaldo vs. Dacuycuy, G.R. No. L-
55357, October 30, 1981).
c. Petitioner in this case maintains that,
having already pleaded "not guilty" to the crime
of homicide, the amendment of the crime
charged in the information from homicide to
murder is a substantial amendment prejudicial
to his right to be informed of the nature of the
accusation against him. He utterly fails to
dispute, however, that the original information
did allege that petitioner stabbed his victim
"using superior strength". And this particular
allegation qualifies a killing to murder,
regardless of how such a killing is technically
designated in the information filed by the public
prosecutor (Buhat vs. CA, G.R. No. 119601,
December 17, 1996).
Amendment from Homicide to Murder,
declared Formal
 The Court reasoned that while the
amended information was for murder, a
reading of the information shows that the
only change made was in the caption of the
case; and in the opening paragraph or
preamble of the information, with the
crossing out of word “Homicide” and its
replacement by the word “Murder”. There
was NO change in the recital of facts
constituting the offense charged or in the
determination of the jurisdiction of the
court. The averments in the amended
information for murder are exactly the
same as those already alleged in the
original information for homicide, as there
was not at all any change in the act
imputed to the accused. Thus, the Court
found the amendment made in the caption
and preamble from “Homicide” to “Murder”
as purely FORMAL (Pacoy vs. Cajigal, G.R. No.
157472, September 28, 2007).
Variance between the indictment and the
proof (Rule 110, Sec. 14)
When the offense proved is less serious than,
and is necessarily included in, the offense
charged, the defendant shall be convicted of the
offense proved.
448
When the offense proved is more serious than
and includes the offense charged, the defendant
shall be convicted only of the offense charged.
When the offense proved is neither included in,
nor does it include, the offense charged and is
different therefrom, the court should dismiss the
action and order the filing of new information
charging the proper offense.
Note: The above rule is known as the Principle
of Variance. To resolve the variance, decide in
favor of the accused.
7.B.10 Venue of Criminal Actions (Rule 110,
Sec. 15)
Venue in criminal cases is:
1. 1. Jurisdictional;
2. 2. Cannot be the subject of
agreement; and,
3. 3. Ground for motion to quash if
erroneously laid.
General Rule: Criminal action shall be
instituted and tried in the court of the
municipality or territory where the offense was
committed or where any of its essential
ingredients occurred.(Barrameda vs. CA, G.R. No.
96428, September 2, 1999)
Exceptions:
1. 1. Cases originally cognizable by the
Sandiganbayan, the jurisdiction of
which depends upon the nature of the
offense and the position of the accused
(Subido vs. Sandiganbayan, G.R. No.
122641, January 20, 1997). As its
jurisdiction is national in scope, the
case need not be tried in the place
where the act was committed;
2.
3. 2. Libel. The action may be instituted at
the election of the offended or suing party in
the province or city:
a. Where the libelous article was printed and
first published (Agbayani vs. Sayo, G.R.
No. L-47880, April 30, 1979);
 Purple Notes
b. If one of the offended parties is a private
individual, where said private individual
actually resides at the time of the
commission of the offense (Ibid); or,
c. If the offended party is a public official,
where the latter holds office at the time
of the commission of the offense (Ibid);
4. 3. Continuing offenses;
5.
6. 4. Kidnapping or illegal detention,
whenever the deprivation of liberty was
carried out (People vs. Parulan, 88 Phil
615). The same rule applies to
abduction with rape (People vs. Gorospe,
et al. G.R. No. 51513, May 15, 1984).
7.
8. 5. Piracy, which is triable anywhere
(Riano, Criminal procedure, 2011 edition, p.
7);
9.
10.6. Extraterritorial crimes pursuant to
Art. 2 of the RPC – cognizable by the
court where the criminal action is first
filed (Rule 110, Sec 15d);
11.
12.7. Offenses committed in a train, aircraft
or other vehicle while in the course of the
trip;
a. The criminal action shall be instituted and
tried in the court of any municipality or
territory where such vehicle passed during
its trip, including the place of its
departure and arrival.
b. As regards offenses committed on board a
vessel in the course of its voyage, the
criminal action shall be instituted and
tried in the court of the first port of entry
or of any municipality or territory where
the vessel passed during such voyage,
subject to the generally accepted
principles of international law (Calme vs.
CA, G.R. No. 116688, August 30, 1996).
13.8. The crime of perjury committed
through the making of a false affidavit
under Art. 183 of the RPC is committed
at the time the affiant subscribes and
swears to his or her affidavit since it is
at that time that all the elements of the
crime of perjury are executed. When
the crime is committed through false
Criminal
Remedial
testimony under oath in a proceeding
that is neither criminal nor civil, venue
is at the place where the testimony
under oath is given. If in lieu of or as
supplement to the actual testimony
made in a proceeding that is neither
criminal nor civil, a written sworn
statement is submitted, venue may
either be at the place where the sworn
statement is submitted or where the
oath was taken as the taking of the
oath and the submission are both
material ingredients of the crime
committed. In all cases, the
determination of venue shall be based
on the acts alleged in the Information
to be constitutive of the crime (Union
Bank of the Philippines vs. People, G.R. No.
192565, February 28, 2012).
14.
15.9. Where the Supreme Court,
pursuant to its constitutional powers,
orders change of venue or place of trial
to avoid miscarriage of justice (Sec. 5[4],
Art. VIII, 1987 Constitution of the
Philippines).Cases originally cognizable by the
Sandiganbayan, the jurisdiction of which
depends upon the nature of the offense and
the position of the accused. (Subido vs.
Sandiganbayan, G.R. No. 122641, January 20,
1997). As its jurisdiction is national in scope,
the case need not be tried in the place where
the act was committed;
f. Libel. The action may be instituted at the
election of the offended or suing party in
the province or city:
a. Where the libelous article was
printed and first published(Agbayani
vs. Sayo, G.R. No. L-47880, April 30,
1979);
b. If one of the offended parties is a
private individual, where said
private individual actually resides
at the time of the commission of
the offense(Ibid); or,
c. If the offended party is a public
official, where the latter holds
office at the time of the
commission of the offense (Ibid);
Bar Operations
Commissions 449
449
 a) Continuing offenses;
g. Kidnapping or illegal detention,
whenever the deprivation of liberty
was carried out (People vs. Parulan, 88
Phil 615). The same rule applies to
abduction with rape (People vs. Gorospe,
et al. G.R. No. 51513, May 15, 1984).
h. Piracy, which is triable
anywhere(Riano, Criminal procedure,
2011 edition, p. 7);
i. Extraterritorial crimes pursuant to Art.
2 of the RPC – cognizable by the court
where the criminal action is first
filed(Rule 110, Sec 15d;
j. Offenses committed in a train, aircraft
or other vehicle while in the course of
the trip;
1. The criminal action shall be
instituted and tried in the court of
any municipality or territory where
such vehicle passed during its trip,
including the place of its departure
and arrival.
2. As regards offenses committed on
board a vessel in the course of its
voyage, the criminal action shall be
instituted and tried in the court of
the first port of entry or of any
municipality or territory where the
vessel passed during such voyage,
subject to the generally accepted
principles of international law.
(Calme vs. CA, G.R. No. 116688, August
30, 1996)
k. The crime of perjury committed
through the making of a false affidavit
under Art. 183 of the RPC is committed
at the time the affiant subscribes and
swears to his or her affidavit since it is
at that time that all the elements of
the crime of perjury are executed.
When the crime is committed through
false testimony under oath in a
proceeding that is neither criminal nor
civil, venue is at the place where the
testimony under oath is given. If in
450
lieu of or as supplement to the actual
testimony made in a proceeding that is
neither criminal nor civil, a written
sworn statement is submitted, venue
may either be at the place where the
sworn statement is submitted or
where the oath was taken as the
taking of the oath and the submission
are both material ingredients of the
crime committed. In all cases, the
determination of venue shall be based
on the acts alleged in the Information
to be constitutive of the crime (Union
Bank of the Philippines vs. People, G.R. No.
192565, February 28, 2012).
l. Where the Supreme Court, pursuant to
its constitutional powers, orders
change of venue or place of trial to
avoid miscarriage of justice. (Sec. 5[4],
Art. VIII, 1987 Constitution of the
Philippines)
7.B.11 Intervention of the Offended Party
in Criminal Action (Rule 110, Sec. 16)
General Rule: Offended party has the right to
intervene by counsel in the prosecution of the
criminal action where the civil action for
recovery of civil liability is instituted in criminal
action pursuant to Rule 111.
Exceptions:
1. Where from the nature of the crime and the
law defining and punishing it, no civil liability
arises in favor of the offended party; and,
2. Where the offended party has waived his
right to civil indemnity OR has expressly
reserved his right to institute a civil action
OR has already instituted said action.
General Rule: Offended party has the right to
intervene by counsel in the prosecution of the
criminal action where the civil action for
recovery of civil liability is instituted in criminal
action pursuant to Rule 111.
Exceptions:
 Where from the nature of the crime
and the law defining and punishing
 Purple Notes
it, no civil liability arises in favor of
the offended party; and,
 Where the offended party has
waived his right to civil indemnity
OR has expressly reserved his right
to institute a civil action OR has
already instituted said action.
7.C. PROSECUTION OF CIVIL ACTION (Rule
111)
 Our law recognizes two kinds of acquittal,
with different effects on the civil liability of
the accused.
First is an acquittal on the ground that the
accused is not the author of the act or
omission complained of. This instance closes
the door to civil liability, for a person who
has been found to be not the perpetrator of
any act or omission cannot and can never
be held liable for such act or omission.
There being no delict, civil liability ex delicto
is out of the question, and the civil action, if
any, which may be instituted must be based
on grounds other than the delict complained
of. This is the situation contemplated in Rule
III of the Rules of Court.
Second is an acquittal based on reasonable
doubt on the guilt of the accused. In this
case, even if the guilt of the accused has
not been satisfactorily established, he is not
exempt from civil liability which may be
proved by preponderance of evidence only.
This is the situation contemplated in Article
29 of the Civil Code, where the civil action
for damages is "for the same act or
omission." (Castillo vs. Salvador, G.R. No.
191240, July 30, 2014)
 Our law recognizes two kinds of acquittal, with different
effects on the civil liability of the accused.
First is an acquittal on the ground that the accused is
not the author of the act or omission complained of.
This instance closes the door to civil liability, for a
person who has been found to be not the perpetrator
of any act or omission cannot and can never be held
liable for such act or omission. There being no delict,
civil liability ex delicto is out of the question, and the
civil action, if any, which may be instituted must be
based on grounds other than the delict complained of.
This is the situation contemplated in Rule III of the
Rules of Court.
Criminal
Remedial
Second is an acquittal based on reasonable doubt on
the guilt of the accused. In this case, even if the guilt
of the accused has not been satisfactorily established,
he is not exempt from civil liability which may be
proved by preponderance of evidence only. This is the
situation contemplated in Article 29 of the Civil Code,
where the civil action for damages is "for the same act
or omission." (Castillo vs. Salvador, G.R. No. 191240, July 30,
2014)
7.C.1 Rule on Implied Institution of Civil
Action with Criminal Action(Rule 111, Sec. 1)
General Rule: When a criminal action is
instituted, the civil action for the recovery of civil
liability arising from the offense charged shall be
deemed instituted with the criminal action.
Exceptions: (WaRes-In)
1. When the offended party waives the civil
action;
2. When the offended party reserves his right
to institute a separate civil action; or,
3. When offended party institutes a civil action
prior to the criminal action.
General Rule: When a criminal action is
instituted, the civil action for the recovery of
civil liability arising from the offense
charged shall be deemed instituted with the
criminal action.
Exceptions: (WaRes-In)
 When the offended party waives the
civil action;
 When the offended party reserves his
right to institute a separate civil action;
or,
 When offended party institutes a civil
action prior to the criminal action.
 Because of the rule that the civil action is
impliedly instituted with the criminal action,
the trial court should, in case of conviction,
state the civil liability or damages caused by
the wrongful act or omission to be
recovered from the accused by the offended
party, if there is any and if the filing of the
civil action has not been reserved,
Bar or waived. (Hun Hyung
Operations
previously instituted
Commissions 451
451
 Park vs. Eun Wong Choi, G.R. No. 165496,
February 12, 2007).
The civil liability may consist of restitution,
reparation of the damage caused or
indemnification of consequential damages (Art.
104, RPC).
 Civil liability is not part of the penalty for the
crime committed (Ramos vs. Gonong, G.R. No.
L-42010, August 31, 1976).
1) Civil liability is not part of the penalty for
the crime committed (Ramos vs. Gonong,
G.R. No. L-42010, August 31, 1976).
Q: A physician-anesthesiologist has
been pronounced guilty of reckless
imprudence resulting in serious physical
injuries by the RTC, expressly holding
Ospital ng Maynila civilly liable jointly and
severally with the former. Was the decree
of RTC correct in holding Ospital ng
Maynila liable?
A: No, in criminal prosecutions, the civil action
for the recovery of civil liability that is deemed
instituted with the criminal action refers only to
that arising from the offense charged. The lower
court erred in adjudging that Ospital ng Maynila
is solidarily liable with Dr. Solidium for the
damages despite the obvious fact that Ospital
ng Maynila, being an artificial entity, had not
been charged along with Dr. Solidium. Ospital
ng Maynila could be held civilly liable only when
subsidiary liability would be enforceable
pursuant to Articl 103 of the Revised Penal Code
(Solidum vs. People, G.R. No. 192123, March 10,
2014).
When Reservation shall be made
a. Before the prosecution starts to present its
evidence; and,
b. Under circumstances affording the offended
party reasonable opportunity to make such
reservation.
 Where the civil action is instituted
separately, the general rules of venue in
civil actions apply, EXCEPT in case of libel,
which has a special rule of venue.
452
 Where there is waiver/reservation, the
private prosecutor disqualifies himself from
the criminal proceeding.
Instances when Party is NOT Authorized
to Make Reservation:
1. B.P. 22 cases (Rule 110, Sec. 1, par. b)
2. Cases cognizable by Sandiganbayan (Sec. 4
of PD 1606, Sandiganbayan Act, as amended by
RA 8249)
3. Tax cases (Sec. 7, Par. b, No. 1, RA 9282, An
Act Expanding the Jurisdiction of CTA)
 B.P. 22 cases (Rule 110, Sec. 1, par. b)
 Cases cognizable by Sandiganbayan (Sec. 4
of PD 1606, Sandiganbayan Act, as amended by
RA 8249)
 Tax cases (Sec. 7, Par. b, No. 1, RA 9282, An
Act Expanding the Jurisdiction of CTA)
Doctrine of Primacy of Criminal Cases over
Civil Actions
Rules:
3. After the criminal action has been
commenced, the separate civil action arising
therefrom cannot be instituted until final
judgment in the criminal action.
4. If the criminal action is filed after the said
civil action has already been instituted, the
latter shall be suspended in whatever
stage it may be found before judgment on
the merits.
5. Suspension shall last until final judgment is
rendered in the criminal action.
 After the criminal action has been
commenced, the separate civil action arising
therefrom cannot be instituted until final
judgment in the criminal action.
 If the criminal action is filed after the said
civil action has already been instituted, the
latter shall be suspended in whatever
stage it may be found before judgment on
the merits.
 Suspension shall last until final judgment is
rendered in the criminal action.
Exceptions: (InPre-ConAr)
3. Independent civil actions;
4. Prejudicial civil actions;
 Purple Notes
5. When the civil case is subsequently
consolidated with the criminal action;
6. Where the civil action does not arise from
the offense charged in the criminal case.
h) Independent civil actions;
i) Prejudicial civil actions;
j) When the civil case is subsequently
consolidated with the criminal action;
k) Where the civil action does not arise from
the offense charged in the criminal case.
 Even if the civil action is suspended, the
court wherein it is pending can issue
auxiliary writs therein, such as preliminary
injunction or attachment, appointment of
receivers and similar processes which do not
necessarily go into the merits of the case
(Babala vs. Abano, G.R. No. L–4600, February
28, 1952).
Rules on Consolidation of Criminal and
Civil Action
1. Done before judgment on the merits is
rendered in the civil action, upon
motion of the offended party.
2. Not mandatory.
3. Evidence already adduced in the civil action
deemed automatically reproduced in the
criminal action without prejudice to the right
of the prosecution to cross-examine the
witnesses presented by the offended party in
the criminal case, and of the parties to
present additional evidence (Rule 111, Sec.2,
par.2).
When Acquittal in a Criminal Action Bars
the Civil Action Arising Therefrom
1. The judgment of acquittal holds that the
accused did not commit the acts imputed to
him;
2. The accused was not guilty of criminal, or
even civil negligence.
4.The judgment of acquittal holds that the
accused did not commit the acts
imputed to him;
5.The accused was not guilty of criminal,
or even civil negligence.
Criminal
Remedial
When Acquittal in a Civil Case does NOT
Bar Criminal Action
1. Where acquittal is based on reasonable
doubt;
2. Where the assessed liability is not criminal
but only civil in nature;
3. Where the civil liability does not arise from
or is not based upon the criminal act of
which the accused was acquitted.
 The extinction of the penal action does not
carry with it extinction of the civil action.
However, the civil action based on delict
shall be deemed extinguished if there is a
finding in a final judgment in the criminal
action that the act or omission from which
the civil liability may arise did not exist
(Sapiera vs. CA, G.R. No. 128927, September 14,
1999).
Judgment in civil action not a bar to a
criminal action for the same act or
omission.
A final judgment rendered in a civil action
absolving the defendant from civil liability is not
a bar to a criminal action against the defendant
for the same act or omission subject of the civil
action (Rule 111, Sec. 5).
 The extinction of civil liability refers
exclusively to civil liability arising from
crime (delict); whereas the civil liability for
the same act arising from other sources of
obligation (law, contract, quasi-contract,
quasi-delict) is not extinguished even by a
declaration in the criminal case that the
criminal act charged has not happened or
has not been committed by the accused
(Tayag vs. Alcantara, G.R. No. L-50959, July 23
1980).
e. The extinction of civil liability refers
exclusively to civil liability arising from
crime (delict); whereas the civil liability for
the same act arising from other sources of
obligation (law, contract, quasi-contract,
quasi-delict) is not extinguished even by a
declaration in the criminal case that the
criminal act charged has not happened or
has not been committed by the accused
Bar Operations
(Tayag vs. Alcantara, G.R. No. L-50959, July 23
1980).
Commissions 453
453

7.C.2 When Civil Action May Proceed
Independently
An independent civil action comprising of Article
32, 33, 34 and 2176 of the New Civil Code , may
proceed independently of the criminal action
and shall require only a preponderance of
evidence. In no case shall the offended party
recover damages twice for the same act or
omission.(Rule 111, Sec. 3)
Rules on Independent Civil Actions(Rule
111, Sec. 3)
1. Involve cases provided in Arts. 32, 33, 34 &
2176 of the New Civil Code.
2. The civil liability under all the said articles
arises from the same act or omission of the
accused.
3. Only preponderance of evidence is required.
4. The offended party may not recover
damages twice for the same act or
omission.
5. May be brought by the offended party
during the pendency of the criminal case.
Note:There is no more need for a reservation
(Casupanan vs. Laroya, G.R. No. 145391, August 26,
2002).
General Rule: Independent civil action is
deemed instituted with criminal action.
Exception: When the civil action is filed prior to
criminal action.
Exception to the Exception: When the
prosecution of independent civil action is parallel
to the prosecution of criminal action, there is
neither suspension of independent civil action
nor consolidation thereof.(Casupanan vs. Laroya,
G.R. No. 145391, August 26, 2002).
Under Section 1 of the present Rule 111, what is
"deemed instituted" with the criminal action is
only the action to recover civil liability arising
from the crime or ex-delicto. All the other civil
actions under Articles 32, 33, 34 and 2176 of
the Civil Code are no longer "deemed
instituted," and may be filed separately and
prosecuted independently even without any
454
reservation in the criminal action. The failure to
make a reservation in the criminal action is not a
waiver of the right to file a separate and
independent civil action based on these articles
of the Civil Code. The prescriptive period on the
civil actions based on these articles of the Civil
Code continues to run even with the filing of the
criminal action. Verily, the civil actions based on
these articles of the Civil Code are separate,
distinct and independent of the civil action
"deemed instituted" in the criminal action
(Casupanan vs. Laroya, G.R. No. 145391, August 26,
2002).
Section 2, Rule 111 of the present Rules did not
change the rule that the separate civil action,
filed to recover damages ex-delicto, is
suspended upon the filing of the criminal action.
Section 2 of the present Rule 111 also prohibits
the filing, after commencement of the criminal
action, of a separate civil action to recover
damages ex-delicto (Casupanan.vs. Laroya, G.R.
No. 145391, August 26, 2002)
Rule where the Civil Action has been Filed
Separately and Trial thereof has not yet
Commenced
1. It may be consolidated with the criminal
action upon application with the court trying
the latter case.
2. Should be done before judgment on the
merits in the civil action.
3. If the application is granted, the trial of both
actions shall proceed in accordance with Sec.
2 of this Rule governing consolidation of the
civil and criminal actions.
4. An independent civil action cannot be
consolidated with a criminal action.
Note: No counterclaims, cross-claims or 3rd
party complaints are allowed in a criminal
proceeding. Any claim which would have been
the subject thereof may be litigated in a
separate civil action(Supreme Transportation vs.
San Andres, G.R. No. 200444, August 15, 2018).
Rules on civil aspect involving violation of
B.P. 22
1. 1. The corresponding civil action shall be
deemed instituted.
 Purple Notes
2. 2. No reservation to file such civil action
separately shall be allowed.
3. 3. The filing fees shall be paid in full based
on the amount of the check involved, which
shall be considered as the actual damages
claimed.
4. 4. Additional filing fees shall be paid if
other forms of damages are sought. If the
amounts thereof are not alleged but any of
these damages are subsequently awarded,
the filing fees based on the amount awarded
shall constitute a first lien on the judgment.
5.
6. 5. Filing fee is due for each count (Chua vs.
Executive Judge, G.R. No. 202920,
October 2, 2013).The corresponding civil
action shall be deemed instituted.
7.
4. No reservation to file such civil action
separately shall be allowed.
5. The filing fees shall be paid in full based on
the amount of the check involved, which
shall be considered as the actual damages
claimed.
6. Additional filing fees shall be paid if other
forms of damages are sought. If the
amounts thereof are not alleged but any of
these damages are subsequently awarded,
the filing fees based on the amount
awarded shall constitute a first lien on the
judgment.
7. Filing fee is due for each count(Chua vs.
Executive Judge, G.R. No. 202920,
October 2, 2013).
7.C.3 When Separate Civil Action is
Suspended
1. After the commencement of the criminal
action, a separate civil action which the
offended party has reserved cannot be
instituted until final judgment has been
rendered in the criminal action.
2.
3. If the civil action has already been
instituted before the criminal action, the
civil action shall be suspended until final
judgment in the criminal action is rendered.
In such case, the offended party has the
option of consolidating the civil action with
the criminal proceeding.
Criminal
Remedial
During the pendency of criminal action, the
running of the prescriptive period of the
civil action which cannot be instituted
separately or whose proceeding has been
suspended shall be tolled (Rule 111, Sec. 2).
4. The bar on the institution or suspension of
the separate civil actions has the following
exceptions:
1.) In cases of independent civil actions
under Articles 32, 33, 34 and 2176 of
the Civil Code.
2.) When the civil action raises a
prejudicial question,
3.) Where the civil action is consolidated
with the criminal action,
4.) When the civil action is not one
intended to enforce the civil liability
arising from the crime.
Q: Co was charged by Lim for the crime of
estafa, however the former was acquitted
as well as relieved of civil liability from
such criminal case. Pending appeal for
civil liability of such criminal case, Lim
instituted a civil complaint for specific
performance and damages. Is such action
legally possible?
A: A single act or omission that causes damage
to an offended party may give rise to two
separate civil liabilities on the part of the
offender. The civil liability arising from the
offense and the independent civil liabilities.
Because of the distinct and independent nature
of the two kinds of civil liabilities, jurisprudence
holds that the offended party may pursue the
two types of civil liabilities simultaneously or
cumulatively, without offending the rules on
forum shopping. The latter case involves only
the obligations arising from contract and from
tort, whereas the appeal in the estafa case
involves only the civil obligations of Co arising
from the offense charged. They present
different causes of action, which under the law,
are considered "separate, distinct, and
independent" from each other. Both cases can
proceed to their final adjudication, subject to the
prohibition on double recovery under Article
Bar Operations
Commissions 455
455
2177 of the Civil Code(Lily Lim vs. Kou Co Ping,
G.R. No. 175256 August 23, 2012).
7.C.4 Effect of Death on Civil Actions (Rule
111, Sec. 4)
If accused dies:
Before arraignment – the case shall be
dismissed without prejudice to any civil action
the offended party may file against the estate of
the deceased.
. It must be determinative of the criminal case
After arraignment and during the pendency of
the criminal action – the death of the accused
shall extinguish the civil liability arising from the
delict.
 However, the independent civil action
instituted under Sec. 3 of this Rule or which
thereafter is instituted to enforce liability
arising from other sources of obligation may
be continued against the estate or legal
representative of the accused after proper
substitution or against said estate, as the
case may be (People vs. Bayotas, G.R. No.
102007 September 2, 1994).
 whether or not the criminal action may
 The death of the accused pending appeal of
his conviction extinguished his criminal
liability as well as the civil liability ex delicto.
Corollarily, the claim for civil liability
survives, if the same may also be predicated
on a source of obligation other than delict
(People vs. Bayotas, G.R. No. 102007 September
2, 1994).
2) However, the independent civil action
instituted under Sec. 3 of this Rule or which
thereafter is instituted to enforce liability
arising from other sources of obligation may
be continued against the estate or legal
representative of the accused after proper
substitution or against said estate, as the
case may be (People vs. Bayotas, G.R. No.
102007 September 2, 1994).
3) The death of the accused pending appeal of
his conviction extinguished his criminal
liability as well as the civil liability ex delicto.
Corollarily, the claim for civil liability
survives, if the same may also be predicated
on a source of obligation other than delict
456
(People vs. Bayotas, G.R. No. 102007 September
2, 1994).
7.C.5 Suspension by Reason of Prejudicial
Question(Rule 111, Sec. 6)
Prejudicial Question is that which arises in a
case, the resolution of which is the logical
antecedent of the issue involved therein, and
the cognizance of which pertains to another
tribunal.
before the court but the jurisdiction to try and
resolve must be lodged in another court or
tribunal.(People vs. Consing, Jr., G.R. No. 148193,
January 16, 2003).
Elements of Prejudicial Question: (TIP)
1. There are two actions involved, civil and
criminal.
2. Previously instituted civil action involves an
issue similar or intimately related to the
issue raised in the subsequent criminal
action.
3. The resolution of such issue determines
proceed.(Rule 111, Sec. 7).
Illustration
Where the husband was charged with bigamy
by the 2nd wife, a civil action previously brought
by said husband for the annulment of the
subsequent marriage on the ground that he was
forced to contract said subsequent marriage is
prejudicial to the criminal action.
 Jurisdiction to try said question must be
lodged in another tribunal (Magestrado vs.
People, G.R. No. 148072, July 10, 2007).

 One of the elements of the crime of estafa
with abuse of confidence is a demand
made by the offended party to the
offender. Under the circumstances, since
the alleged offended party is the
corporation, the validity of the demand for
the delivery of the subject vehicles rests
upon the authority of the person making
such a demand on the company’s behalf. If
 Purple Notes
supposed authority is found to be defective,
it is as if no demand was ever made,
hence, the prosecution for estafa cannot
prosper (Riano, Criminal Procedure, 2016, pp.
168-169).
f. Jurisdiction to try said question must be
lodged in another tribunal (Magestrado vs.
People, G.R. No. 148072, July 10, 2007)
g. One of the elements of the crime of estafa
with abuse of confidence is a demand
made by the offended party to the
offender. Under the circumstances, since
the alleged offended party is the
corporation, the validity of the demand for
the delivery of the subject vehicles rests
upon the authority of the person making
such a demand on the company’s behalf. If
supposed authority is found to be defective,
it is as if no demand was ever made,
hence, the prosecution for estafa cannot
prosper. (Riano, Criminal Procedure, pp. 168-
169, 2016 ed.)
1.
Where to File Petition for Suspension by
Reason of Prejudicial Question (Rule 111,
Sec. 6)
a. During Preliminary Investigation – in the
office of the prosecutor or the court 2.
conducting the preliminary investigation.
b. During Trial – in the same court trying the
criminal action at any time before the
prosecution rests.
 The Doctrine of Prejudicial Question does
NOT apply where no civil but only
administrative case is involved. There is no
prejudicial question where one case is
administrative and the other civil (Te vs.
Court of Appeals, G.R. No. 126746, November
29, 2000).
 investigation, or during the trial with the court
 In the instant case, Art. 36 of the Civil Code
and Sec. 7 of Rule 111 of the Rules of
Court are susceptible of an interpretation
that would harmonize both provisions of 3.
law. The phrase "previously instituted civil
action" in Sec. 7 of Rule 111 is plainly
worded and is not susceptible of alternative
interpretations. The clause "before any
criminal prosecution may be instituted or
Criminal
Remedial
may proceed" in Art. 36 of the Civil Code
may, however, be interpreted to mean that
the motion to suspend the criminal action
may be filed during the preliminary
investigation with the public prosecutor or
court conducting the investigation, or
during the trial with the court hearing the
case (Dreamwork Construction, Inc. vs. Janiola,
G.R. No. 184861, June 30, 2009).

 The rationale behind the principle of
suspending a criminal case in view of a
prejudicial question is to avoid two
conflicting decisions (Magestrado vs. People,
G.R. No. 148072, July 10, 2007) .
 During Preliminary Investigation – in
the office of the prosecutor or the court
conducting the preliminary investigation.
 During Trial – in the same court trying
the criminal action at any time before the
prosecution rests.
The Doctrine of Prejudicial Question does NOT
apply where no civil but only administrative case
is involved. There is no prejudicial question
where one case is administrative and the other
civil (Te vs. Court of Appeals, G.R. No. 126746,
November 29, 2000).
In the instant case, Art. 36 of the Civil Code and
Sec. 7 of Rule 111 of the Rules of Court are
susceptible of an interpretation that would
harmonize both provisions of law. The phrase
"previously instituted civil action" in Sec. 7 of
Rule 111 is plainly worded and is not susceptible
of alternative interpretations. The clause "before
any criminal prosecution may be instituted or
may proceed" in Art. 36 of the Civil Code may,
however, be interpreted to mean that the
motion to suspend the criminal action may be
filed during the preliminary investigation with
the public prosecutor or court conducting the
hearing the case (Dreamwork Construction, Inc. vs.
Janiola, G.R. No. 184861, June 30, 2009).
The rationale behind the principle of suspending
a criminal case in view of a prejudicial question
is to avoid two conflicting decisions (Magestrado
vs. People, G.R. No. 148072, July 10, 2007) .
Bar Operations
Commissions 457
457
Annulment / Nullity of Marriage NOT a
Prejudicial Question to Parricide, Bigamy
and Concubinage
 At the time of the commission of the
alleged crime, petitioner and respondent
were married. The subsequent dissolution
of their marriage, in case the petition [in
the civil case] is granted, will have no effect
on the alleged crime that was committed at
the time of the subsistence of the marriage.
In short, even if the marriage between
petitioner and respondent is annulled,
petitioner could still be held criminally liable
since at the time of the commission of the
alleged crime, he was still married to
respondent (Pimentel vs. Pimentel, G.R. No.
172060, September 13, 2010).
Note: An independent civil action does not
operate as a prejudicial question to a criminal
action.
 An independent civil action proceeds
independently of the criminal action (Rule
111, Sec. 3). Because of the [said] rule, “An
independent civil action based on fraud,
initiated by the defrauded party does not
raise a prejudicial question to stop the
proceedings in a pending criminal
prosecution of the defendant for estafa
through falsification. This is because the
result of the independent civil action is
irrelevant to the issue of guilt or innocence of
the accused.” (Consing, Jr. vs. People, G.R. No.
161075, July 15, 2013)
 and 2176 of the Civil Code, the
 At any rate, there is NO prejudicial question
if the civil and criminal action can, according
to law, proceed independently of each other.
Under Rule 111, Section 3 of the Revised
Rules on Criminal Procedure, in the cases
provided in Articles 32, 33, 34 and 2176 of
the Civil Code, the independent civil action
may be brought by the offended party. It
shall proceed independently of the criminal
action and shall require only a for Unfair Competition
preponderance of evidence (Caterpillar, Inc. vs.
Samson, G.R. No. 205972, November 9, 2016).
3. At the time of the commission of the alleged
crime, petitioner and respondent were
married. The subsequent dissolution of their
458
marriage, in case the petition [in the civil
case] is granted, will have no effect on the
alleged crime that was committed at the
time of the subsistence of the marriage. In
short, even if the marriage between
petitioner and respondent is annulled,
petitioner could still be held criminally liable
since at the time of the commission of the
alleged crime, he was still married to
respondent (Pimentel vs. Pimentel, G.R. No.
172060, September 13, 2010).
Note: An independent civil action does not
operate as a prejudicial question to a criminal
action.
c) An independent civil action proceeds
independently of the criminal action (Rule
111, Sec. 3). Because of the [said] rule, “An
independent civil action based on fraud,
initiated by the defrauded party does not
raise a prejudicial question to stop the
proceedings in a pending criminal
prosecution of the defendant for estafa
through falsification. This is because the
result of the independent civil action is
irrelevant to the issue of guilt or innocence
of the accused.” (Consing, Jr. vs. People, G.R.
No. 161075, July 15, 2013)
4. At any rate, there is NO prejudicial question
if the civil and criminal action can,
according to law, proceed independently of
each other. Under Rule 111, Section 3 of
the Revised Rules on Criminal Procedure, in
the cases provided in Articles 32, 33, 34
independent civil action may be brought by
the offended party. It shall proceed
independently of the criminal action and
shall require only a preponderance of
evidence (Caterpillar, Inc. vs. Samson, G.R. No.
205972, November 9, 2016).
No Prejudicial Question between an Action
for Cancellation of Trademark and Actions
 An action for cancellation of trademark is a
remedy available to a person who believes
that he is or will be damaged by the
registration of a mark. On the other hand,
 Purple Notes
the criminal actions for unfair competition
involved the determination of whether or not
Samson had given his goods the general
appearance of the goods of Caterpillar, with
the intent to deceive the public or defraud
Caterpillar as his competitor. In the suit for
the cancellation of trademark, the issue of
lawful registration should necessarily be
determined, but registration was not a
consideration necessary in unfair
competition. Indeed, unfair competition is
committed if the effect of the act is “to pass
of to the public the goods of one man as the
goods of another”, it is independent of
registration. As fittingly put in R.F. &
Alexander & Co. v. Ang, “one may be
declared unfair competitor even if his
competing trade-mark is registered.” Clearly,
the determination of the lawful ownership of
the trademark in the civil action was not
determinative of whether or not the criminal
actions for unfair competition shall proceed
against Samson (Caterpillar, Inc. vs. Samson,
G.R. No. 205972, November 9, 2016).
5. An action for cancellation of trademark is a
remedy available to a person who believes
that he is or will be damaged by the
registration of a mark. On the other hand,
the criminal actions for unfair competition
involved the determination of whether or
not Samson had given his goods the
general appearance of the goods of
Caterpillar, with the intent to deceive the
public or defraud Caterpillar as his
competitor. In the suit for the cancellation
of trademark, the issue of lawful
registration should necessarily be
determined, but registration was not a
consideration necessary in unfair
competition. Indeed, unfair competition is
committed if the effect of the act is “to
pass of to the public the goods of one man
as the goods of another”, it is independent
of registration. As fittingly put in R.F. &
Alexander & Co. v. Ang, “one may be
declared unfair competitor even if his
competing trade-mark is registered.”
Clearly, the determination of the lawful
ownership of the trademark in the civil
action was not determinative of whether or
Criminal
Remedial
not the criminal actions for unfair
competition shall proceed against Samson
(Caterpillar, Inc. vs. Samson, G.R. No. 205972,
November 9, 2016).
7.C.6 Rules on Filing Fees of Civil Actions
Deemed Instituted
1. No filing fees are required for actual
damages, UNLESS required by the Rules.
Example: B.P. 22 cases, where docket fees
are required.(Rule 111, Sec. 1)
2.
3. When the civil liability is sought to be
enforced by way of moral, nominal,
temperate, or exemplary damages without
specifying the amount thereof in the
complaint or information, the filing fees
thereat shall constitute a first lien on the
judgment awarding such damages.
4.
5. Where the amount of damages, other than
actual, is specified, the corresponding filing
fees shall be paid by the offended party upon
the filing thereof in court.
7.D. PRELIMINARY INVESTIGATION (Rule
112)
Preliminary investigation is an inquiry or
proceeding to determine whether there is
sufficient ground to engender a well-founded
belief that a crime has been committed and the
respondent is probably guilty thereof, and
should be held for trial.
 A preliminary investigation is conducted
before an accused is placed on trial to
secure the innocent against hasty,
malicious, and oppressive prosecution; to
protect him from an open and public
accusation of a crime, as well as from the
trouble, expenses, and anxiety of a public
trial. It is also intended to protect the State
from having to conduct useless and
expensive trials. Thus, a preliminary
investigation is not a mere formal or
technical right but is a substantive right
(Marcelo vs. Villordon, G.R. No. 173081,
December 15, 2010 citing Uy vs. Office of the
Ombudsman, G.R. Nos. 156399-400, 27 June
2008, further citing Duterte vs. Sandiganbayan,
Bar
G.R. No. 130191,Operations
April 27, 1998).
Commissions 459
459
Preliminary investigation is an inquiry or
proceeding to determine whether there is
sufficient ground to engender a well-founded
belief that a crime has been committed and the
respondent is probably guilty thereof, and
should be held for trial.
4. A preliminary investigation is conducted
before an accused is placed on trial to
secure the innocent against hasty,
malicious, and oppressive prosecution; to
protect him from an open and public
accusation of a crime, as well as from the
trouble, expenses, and anxiety of a public
trial. It is also intended to protect the State
from having to conduct useless and
expensive trials. Thus, a preliminary
investigation is not a mere formal or
technical right but is a substantive right.
(Marcelo vs. Villordon, G.R. No. 173081,
December 15, 2010 citing Uy vs. Office of the
Ombudsman, G.R. Nos. 156399-400, 27 June
2008, further citing Duterte vs. Sandiganbayan,
G.R. No. 130191, April 27, 1998)
7.D.1 Nature of Right to Preliminary
Investigation
General Rule: Not part of the due process
clause of the Constitution but is purely statutory
(Kilusang Bayan vs. Domiguez, G.R. No. 150091 April
2, 2007).
Exception: However, if the law provides for
preliminary investigation and such right is
claimed by the accused, a denial thereof is a
denial of due process and prohibition will lie
against the trial court or if a judgment of
conviction has already been rendered, on
appeal, the same shall be reversed and the case
remanded for preliminary investigation (Go vs.
CA, G.R. No. 101837, February 11, 1992).
 Since it is a personal right, the same may be
waived expressly or impliedly. If waived,
the fiscal may forthwith file the
corresponding information with the proper
court (Marinas vs. Siochi, G.R. No. L-25707, May
14, 1981).
 cannot be subpoenaed or does not appear
 Since the records do not show whether the
accused-appellant asked for a preliminary
investigation after the case had been filed in
460
court, as in fact, the accused-appellant
signified his readiness to be arraigned, the
Court can only conclude that he waived his
right to have a preliminary investigation,
when he did, in fact, pleaded "Not Guilty"
upon his arraignment(People vs. Valencia, G.R.
Nos. 94511-13, September 18, 1992).

 The absence of preliminary investigation
does not affect the jurisdiction of the court
or invalidate the information, if no objection
was raised by the accused before entry of
his plea (People vs. De Asis, G.R. No. 105581,
December 7, 1993).
 Since it is a personal right, the same may be
waived expressly or impliedly. If waived,
the fiscal may forthwith file the
corresponding information with the proper
court (Marinas vs. Siochi, G.R. No. L-25707, May
14, 1981).
 Since the records do not show whether the
accused-appellant asked for a preliminary
investigation after the case had been filed in
court, as in fact, the accused-appellant
signified his readiness to be arraigned, the
Court can only conclude that he waived his
right to have a preliminary investigation,
when he did, in fact, pleaded "Not Guilty"
upon his arraignment. (People vs. Valencia,
G.R. Nos. 94511-13, September 18, 1992)
 The absence of preliminary investigation
does not affect the jurisdiction of the court
or invalidate the information, if no objection
was raised by the accused before entry of
his plea. (People vs. De Asis, G.R. No. 105581,
December 7, 1993)
Preliminary Investigation is:
 Merely inquisitorial; Not a trial of the case
on the merits(De Lima vs. Reyes, G.R. No.
209330, January 11, 2016).
 Merely determines the existence of probable
cause and to file the information if he finds
it to be so(Maza vs. Turla, G.R. No. 187094,
February 15, 2017).
 Can be conducted ex parte if the respondent
after due notice (Cf. Rodriguez vs.
Sandiganbayan, G.R. No. L-61355, February 18,
1983).
 Purple Notes
 Does not place the person against whom it
is taken in jeopardy (Jamaca vs. People of the
Philippines, G.R. No. 183681, July 27, 2015).
 Preliminary investigation is a function that
belongs to the public prosecutor and
ultimately, with the Secretary of Justice
(Uniliver Philippines, Inc. vs. Tan, G.R. No.
179367, January 29, 2014).
 abuse of discretion (Heirs of Tria vs. Atty.
 Preliminary investigation is essentially an
inquisitorial proceeding, and often, the only
means of ascertaining who may be
reasonably charged with a crime.
Prosecutors control and direct the
prosecution of criminal offenses, including
the conduct of preliminary investigation,
subject to review by the Secretary of
Justice. The duty of the Court in
appropriate cases is merely to determine
whether the executive determination was
done without or in excess of jurisdiction or
with grave abuse of discretion (Heirs of Tria
vs. Atty. Obias, G.R. No. 175887, November 24,
2010).
� Merely inquisitorial; Not a trial of the case
on the merits.(De Lima vs. Reyes, G.R. No.
209330, January 11, 2016).
� Merely determines the existence of probable
cause and to file the information if he finds
it to be so. (Maza vs. Turla, G.R. No. 187094,
February 15, 2017).
� Can be conducted ex parte if the respondent
cannot be subpoenaed or does not appear
after due notice. (Cf. Rodriguez vs.
Sandiganbayan, G.R. No. L-61355, February 18,
1983).
� Does not place the person against whom it
is taken in jeopardy. (Jamaca vs. People of the
Philippines, G.R. No. 183681, July 27, 2015).
6. Preliminary investigation is a function that
belongs to the public prosecutor and
ultimately, with the Secretary of Justice
(Uniliver Philippines, Inc. vs. Tan, G.R. No.
179367, January 29, 2014).
 Preliminary investigation is essentially an
inquisitorial proceeding, and often, the only
means of ascertaining who may be
Criminal
Remedial
reasonably charged with a crime.
Prosecutors control and direct the
prosecution of criminal offenses, including
the conduct of preliminary investigation,
subject to review by the Secretary of
Justice. The duty of the Court in appropriate
cases is merely to determine whether the
executive determination was done without
or in excess of jurisdiction or with grave
Obias, G.R. No. 175887, November 24, 2010).
7.D.2 Purposes of Preliminary
Investigation:
1. To inquire concerning the commission of a
crime and the connection of the accused
with it, in order that he may be informed of
the nature and character of the crime
charged against him, and, if, there is
probable cause for believing him guilty, that
the State may take the necessary steps to
bring him to trial;
2. To preserve the evidence and to keep the
witnesses within the State’s control;
3. To determine the amount of bail, if the
offense is bailable (Callo-Claridad vs. Esteban,
G.R. No. 191567, March 30, 2013).
This Court need not overemphasize that in a
preliminary investigation, the public prosecutor
merely determines whether there is probable
cause or sufficient ground to engender a well-
founded belief that a crime has been committed,
and that the respondent is probably guilty
thereof and should be held for trial. (Callo-Claridad
vs. Esteban, G.R. No. 191567, March 20, 2013).
It does not call for the application of rules and
standards of proof that a judgment of conviction
requires after trial on the merits. The
complainant need not present at this stage
proof beyond reasonable doubt. A preliminary
investigation does not require a full and
exhaustive presentation of the parties' evidence.
Precisely, there is a trial to allow the reception
of evidence for both parties to substantiate their
respective claims.(Estrada vs. Office of the
Ombudsman, G.R. No. 212140-41, January 21, 2015).
Bar Operations
Commissions 461
461
  The question to be answered in a
preliminary investigation is not: “Is the
respondent guilty or is he innocent?” More
accurately, the question sought to be
answered is: “Is the respondent guilty and
therefore, should go to trial?” (Riano,
Criminal Procedure, 2011 Edition, p. 143)
d) The question to be answered in a preliminary
investigation is not: “Is the respondent guilty
or is he innocent?” More accurately, the
question sought to be answered is: “Is the
respondent guilty and therefore, should go to
trial?” (Riano, Criminal Procedure, 2011 Edition,
p. 143)
7.D.3 Who may conduct the Determination
of the Existence of Probable Cause
The following may conduct preliminary
investigation: (ProNaS-COPCi)
1) Provincial or city fiscal and their assistants;
2) National and regional state prosecutors;
3) Such other officers as may be authorized
by law such as:
a. Comelec;
b. Ombudsman;
c. PCGG; and
d. City and provincial prosecutors (Rule 112,
a.i. Sec. 2)Comelec;
a.ii. Ombudsman;
a.iii. PCGG; and
a.iv. City and provincial prosecutors (RULES OF
COURT, Rule 112, Sec. 2)
Note:Under Sec. 45 of the Revised Securities
Act, the Securities and Exchange Commission
(SEC) has the authority to make such
investigations as it deems necessary to
determine whether any person has violated or is
about to violate any provision of the law. After a
finding that a person has violated the Securities
Regulation Code (R.A. No. 8799),the SEC may
refer the case to the DOJ for preliminary
investigation and prosecution.
462
Court Interference in the Conduct of
Preliminary Investigation
General Rule: The courts cannot interfere in
the conduct of preliminary investigations,
leaving the investigatory officers sufficient
discretion to determine probable cause.
Exception: When the acts of the officer are
without or in excess of authority resulting from
a grave abuse of discretion (Sps. Balangauan vs.
CA, G.R. No. 174350, August 13, 2008).
Instances When Probable Cause Needs to
be Determined; By Whom
1. Secs. 1 and 3 of Rule 112: By the
investigating officer, to determine whether
there is sufficient ground to engender a well-
founded belief that a crime has been
committed and the respondent is probably
guilty thereof and should be held for trial. A
preliminary investigation is required before
the filing of a complaint or information for an
offense where the penalty prescribed by law
is at least 4 years, 2 months and 1 day
without regard to the fine;
2. Secs. 5 and 8 of Rule 112: By the judge, to
determine whether a warrant of arrest or a
commitment order, if the accused has
already been arrested, shall be issued and
that there is a necessity of placing the
respondent under immediate custody in
order not to frustrate the ends of justice;
3. Sec. 5(b) of Rule 113: By a peace officer or a
private person making a warrantless arrest
when an offense has just been committed,
and he has probable cause to believe based
on personal knowledge of facts or
circumstances that the person to be arrested
has committed it; and,
4. Sec. 4 of Rule 126: By the judge, to
determine whether a search warrant shall be
issued, and only upon probable cause in
connection with one specific offense to be
determined personally by the judge after
examination under oath or affirmation of the
complainant and the witnesses he may
produce, and particularly describing the place
to be searched and the things to be seized
which may be anywhere in the Philippines.
 Purple Notes
Criminal
Remedial
� Secs. 1 and 3 of Rule 112: By the one made during preliminary investigation. It is
investigating officer, to determine whether a function that properly pertains to the public
there is sufficient ground to engender a well- prosecutor who is given a broad discretion to
founded belief that a crime has been determine whether probable cause exists and to
committed and the respondent is probably charge those whom he believes to have
guilty thereof and should be held for trial. A committed the crime as defined by law and,
preliminary investigation is required before thus, should be held for trial.
the filing of a complaint or information for an
offense where the penalty prescribed by law The judicial determination of probable cause, on
is at least 4 years, 2 months and 1 day the other hand, is one made by the judge to
without regard to the fine; ascertain whether a warrant of arrest should be
� Secs. 5 and 8 of Rule 112: By the judge, to issued against the accused. While it is within the
determine whether a warrant of arrest or a trial court’s discretion to make an independent
commitment order, if the accused has assessment of the evidence on hand, it is only
already been arrested, shall be issued and for the purpose of determining whether a
that there is a necessity of placing the warrant of arrest should be issued. The judge
respondent under immediate custody in does not act as an appellate court of the
order not to frustrate the ends of justice; prosecutor and has no capacity to review the
� Sec. 5(b) of Rule 113: By a peace officer or a prosecutor’s determination of probable cause;
private person making a warrantless arrest rather, the judge makes a determination of
when an offense has just been committed, probable cause independent of the prosecutor’s
and he has probable cause to believe based finding (Mendoza vs. People, G.R. No. 197293, 21
on personal knowledge of facts or April 2014, quoting People vs. Castillo, G.R. No.
circumstances that the person to be arrested 171188, June 19, 2009).
has committed it; and,
� Sec. 4 of Rule 126: By the judge, to DIFFERENCES BETWEEN PRELIMINARY
determine whether a search warrant shall be INVESTIGATION AND PRELIMINARY
issued, and only upon probable cause in EXAMINATION
connection with one specific offense to be
determined personally by the judge after PRELIMINARY
INVESTIGATIO PRELIMINARY
examination under oath or affirmation of the
N EXAMINATION
complainant and the witnesses he may
Quantu Probable Cause Probable
produce, and particularly describing the place m of Cause
to be searched and the things to be seized Evidence
which may be anywhere in the Philippines. Nature Executive Judicial
Note: Probable cause can be established with function function
hearsay evidence, as long as there is substantial Purpose For the filing For the
basis for crediting the hearsay. Hearsay an information. issuance or
evidence is admissible in determining probable non-issuance
cause in a preliminary investigation because of the warrant
of arrest.
such investigation is merely preliminary, and
Definitio A process to A process to
does not finally adjudicate rights and obligations
n determine determine the
of parties (PCGG vs. Navarro-Gutierrez, G.R. No. whether a probability
194159, Oct. 21, 2015). crime is also of the
committed and accused
7.D.3a DISTINGUISH: EXECUTIVE the accused or having
VS.JUDICIAL DETERMINATION OF respondent is committed a
PROBABLE CAUSE probably guilty crime and
thereof. This is therefore a
There are two kinds of determination of conducted by warrant of
the prosecutor. arrest is
probable cause: executive and judicial. The
issued. This is
executive determination of probable cause is Bar Operations
Commissions 463
463
 conducted by
the judge.
(Riano, Criminal Procedure, 2011 Edition, p. 150)
Important: A.M. No. 05-8-26-SC
 The Ombudsman is given primary
jurisdiction over cases cognizable by the
Sandiganbayan. He is authorized to take
over at any stage, from any investigating
body, the investigation of such cases; a
power not given to investigative bodies (DOJ
vs. Liwag, G.R. No. 149311, February 11, 2005;
Alejandro vs. Office of the Ombudsman Fact-
Finding and Intelligence Bureau, G.R. No.
173121, April 3, 2013; Bueno vs. Office of the
Ombudsman, G.R. No. 191712, September 17,
2014).
Probable Cause vs. Prima Facie
Q: Agents of the NBI applied for the
issuance of search warrants for the search
of a warehouse and of an office, allegedly
owned by Michael. The application alleged
that Michael had in his possession
counterfeit shampoo products which were
in violation of the Intellectual Property
Code of the Philippines.
On the same date, Judge Antonio granted
the application and issued Search
Warrants.
However, in his counter-affidavit, Michael
alleged that there is no prima facie
evidence that he committed the offense
charged. Is Michael correct?
A: No. The determination of probable cause
needs only to rest on evidence showing that
more likely than not, a crime has been
committed and there is enough reason to
believe that it was committed by the accused. It
need not be based on clear and convincing
evidence of guilt, neither on evidence
establishing absolute certainty of guilt. What is
merely required is "probability of guilt." Its
determination, too, does not call for the
application of rules or standards of proof that a
judgment of conviction requires after trial on the
merits. Thus, in concluding that there is
464
probable cause, it suffices that it is believed that
the act or omission complained of constitutes
the very offense charged (Unilever Philippines Inc.
vs. Tan, G.R. No. 179367, January 29, 2014).
When Preliminary Investigation is
Required
General Rule: A preliminary investigation is
required to be conducted before the filing of a
complaint or information for an offense where
the penalty prescribed by law is at least 4 years,
2 months and 1 day without regard to the fine.
Exception:Sec. 7, Rule 112 (upon inquest
proceedings, or affidavit of the offended party
or arresting officer or person in lawful
warrantless arrests).
Note: On cases governed by the Rules on
Summary Procedure, the prosecutor may not
conduct preliminary investigation anymore.
 The Revised Rule on Summary Procedure
does not provide for a preliminary
investigation prior to the filing of a criminal
case under said Rule. [A judge] cannot be
allowed to arbitrarily conduct proceedings
beyond those specifically laid down by the
Revised Rule on Summary Procedure,
thereby lengthening or delaying the
resolution of the case, and defeating the
express purpose of said Rule. (Uy vs. Judge
Javellana, A.M. No. MTJ-07-1666, September 5,
2012)

 If a person is arrested lawfully without a
warrant involving an offense which requires
preliminary investigation, an information or
complaint may be filed against him without
need for a preliminary investigation.
Instead, the person arrested shall be
required to undergo an inquest. This
proceeding is required before a complaint or
information may be filed against the person
arrested. However, such person may ask for
a preliminary investigation but he must sign
a waiver of the provisions of Art. 125 of
Revised Penal Code(Riano, Criminal Procedure,
2016. pp. 197-198).
a. The Revised Rule on Summary Procedure
does not provide for a preliminary
 Purple Notes
investigation prior to the filing of a criminal
case under said Rule. [A judge] cannot be
allowed to arbitrarily conduct proceedings
beyond those specifically laid down by the
Revised Rule on Summary Procedure,
thereby lengthening or delaying the
resolution of the case, and defeating the
express purpose of said Rule. (Uy vs. Judge
Javellana, A.M. No. MTJ-07-1666, September 5,
2012)
If a person is arrested lawfully
without a warrant involving an
offense which requires preliminary
investigation, an information or
complaint may be filed against him
without need for a preliminary
investigation. Instead, the person
arrested shall be required to undergo
an inquest. This proceeding is
required before a complaint or
information may be filed against the
person arrested. However, such
person may ask for a preliminary
investigation but he must sign a
waiver of the provisions of Art. 125
of Revised Penal Code. (Riano, Criminal
Procedure, pp. 197-198, 2016 ed.)
 The fact that the DOJ is the primary prosecution
Guidelines as to Clarificatory Hearing:
1. 1. A hearing may be set only when there
are facts and issues to be clarified from a
party or a witness.
2. 2. The parties can be present at the
hearing BUT without the right to examine or
cross-examine.
3. 3. The parties may submit to the
investigating officer questions which may be
asked to the party or witness concerned.
4. 4. The hearing shall be held within 10
days from submission of the counter-
affidavits and other documents, or from the
expiration of the period for their submission.
5. 5. The hearing shall be terminated within
5 days.
6.
7. 6. Resolution: within 10 days after
investigation by investigating officer (Riano,
Criminal
Remedial
Criminal Procedure, 2011 Edition, p. 177). A hearing
may be set only when there are facts and issues
to be clarified from a party or a witness.
The parties can be present at the
hearing BUT without the right to
examine or cross-examine.
The parties may submit to the
investigating officer questions which
may be asked to the party or witness
concerned.
The hearing shall be held within 10
days from submission of the counter-
affidavits and other documents, or
from the expiration of the period for
their submission.
The hearing shall be terminated
within 5 days.
Resolution: within 10 days after
investigation by investigating
officer.(Riano, Criminal Procedure, 2011
Edition, p. 177).
8.
9.
A Preliminary Investigation is NOT a
Quasi-Judicial Proceeding
arm of the Government does not make it a
quasi-judicial office or agency. Its preliminary
investigation of cases is not a quasi-judicial
proceeding. Nor does the DOJ exercise a quasi-
judicial function when it reviews the findings of
a public prosecutor on the finding of probable
cause in any case. Indeed, in Bautista vs.
Court of Appeals, the Supreme Court has
held that a preliminary investigation is not
a quasi-judicial proceeding (De Lima vs.
Reyes, G.R. No. 209330, January 11, 2016).
Duties of the Investigating Prosecutor
(Rule 112, Sec. 4)
If the investigating prosecutor finds cause to
hold the respondent for trial, he shall:
1. Prepare the resolution and information;
2. Certify under oath in the information that:
Bar Operations
Commissions 465
465
 a) He, or as shown by the record, an
authorized officer, has personally
examined the complainant and his
witnesses;
b) That there is reasonable ground to
believe that a crime has been committed
and that the accused is probably guilty
thereof;
c) That the accused was informed of the
complaint and of the evidence submitted
against him;
d) That the accused was given an
opportunity to submit controverting
evidence; and,
e) Within 5 days from his resolution,
forward the record of the case to the:
I) Provincial or City Prosecutor; or
II) Chief state Prosecutor; or,
iii) Ombudsman or his deputy in cases of
offenses cognizable by the
Sandiganbayan in the exercise of
original jurisdiction.
 Prepare the resolution and information;
 Certify under oath in the information that:
1. He, or as shown by the record, an
authorized officer, has personally
examined the complainant and his
witnesses;
2. That there is reasonable ground to
believe that a crime has been committed
and that the accused is probably guilty
thereof;
3. That the accused was informed of the
complaint and of the evidence submitted
against him;
4. That the accused was given an
opportunity to submit controverting
evidence; and,
5. Within 5 days from his resolution,
forward the record of the case to the:
4. Provincial or City Prosecutor; or
5. Chief state Prosecutor; or,
6. Ombudsman or his deputy in cases
of offenses cognizable by the
Sandiganbayan in the exercise of
original jurisdiction.
Note: The above persons shall act on the
resolution within 10 days from their receipt
466
thereof and shall immediately inform the parties
of such action.
If the Investigating Prosecutor Finds no
Cause to Hold Respondent for Trial
He shall recommend the dismissal of the
complaint.
A complaint or information may be dismissed by
an investigating prosecutor only with the prior
written authority or approval of the Provincial or
City Prosecutor; or Chief State Prosecutor; or
the Ombudsman or his deputy. (Riano, Criminal
Procedure, 2011 Edition, p. 179).
When the Recommendation to Dismiss the
Complaint is Disapproved
Where the investigating prosecutor recommends
the dismissal of the complaint but his
recommendation is disapproved by the
provincial or city prosecutor or chief state
prosecutor or the Ombudsman or his deputy on
the ground that a probable cause exists, the
latter may:
1. by himself, file the information against the
respondent; or,
2. direct another assistant prosecutor or state
prosecutor to do so without conducting
another preliminary investigation. (Riano,
Criminal Procedure, 2011 Edition, pp. 177-180).
7.D.4 Resolution of the Investigating
Prosecutor
Initial steps in Preliminary Investigation
It is the filing of the complaint with the
investigating prosecutor that starts the
preliminary investigation process (Riano, Criminal
Procedure, 2011 Edition, p. 174).
Documents Accompanying the Complaint
1) The affidavits of the complainant;
2) The affidavits of his witnesses; and
3) Other supporting documents that would
establish probable cause (Rule 112, Sec. 3[a]).
 Purple Notes
The affidavits of the complainant shall be
subscribed and sworn to before:
1. Any prosecutor;
2. Any government official authorized to
administer oaths; or
3. In the absence or unavailability of the above
mentioned, a notary public.Any prosecutor;
Any government official authorized
to administer oaths; or
In the absence or unavailability of
the above mentioned, a notary
public.
The officer or notary public before whome the
affidavits were subscribed and sworn to must
certify that he personally examined the affiants
and that he is satisfied that they voluntarily
executed and understood their affidavits (Rule
112, Sec. 3[a]).
Resolution of the Investigating Prosecutor
Within 10 days from the termination of the
investigation, the investigating prosecutor shall
determine whether or not there is sufficient
ground to hold the respondent for trial (Rule 112,
Sec. 3[f]).
Afterwards, if the investigating officer finds
cause to hold the respondent for trial, he shall
prepare the resolution and information.
Otherwise, he shall recommend the dismissal of
the complaint (Rule 112, Sec. 4).
The information shall contain a certification by
the investigating officer under oath in which he
shall certify the following:
1) That he, or as shown by the record, an
authorized officer, has personally examined
the complainant and his witnesses;
2) That there is reasonable ground to believe
that a crime has been committed and that
the accused is probably guilty thereof;
3) That the accused was informed of the
complaint and of the evidence submitted
against him; and
4) That he was given an opportunity to submit
controverting evidence (Rule 112, Sec. 4).
Criminal
Remedial
Within 5 days from the issuance of his
resolution, the investigating prosecutor shall
forward the record of the case to the provincial
or city prosecutor or chief state prosecutor, or to
the Ombudsman or his deputy by the
Sandiganbayan in the exercise of its original
jurisdiction. They shall act on the resolution
within ten days from their receipt thereof and
shall immediately inform the parties of such
action (Rule 112, Sec. 4).
The resolution of the investigating prosecutor is
merely recommendatory. No complaint or
information may be filed or dismissed by an
investigating prosecutor without the prior
written authority or approval of the provincial or
city prosecutor or chief state prosecutor or the
Ombudsman or his deputy (Rule 112).
Q: The investigating prosecutor initially
recommended the dismissal of the case for
there was no probable cause, however the
City Prosecutor disapproved and filed an
information before the MTC thereby
overturning the former’s resolution. The
MTC judge, in issuing warrant of arrest,
ordered that the initial resolution should
form part of the record, however the City
Prosecutor stated that the same cannot be
released to the parties and/or their
counsels, thus, only resolutions approved
by the Provincial/City Prosecutor for
promulgation and release to the parties
shall be made known to the parties and/or
their counsel. The trial court however
insisted. Is the trial court correct?
A: No. The conduct of a preliminary
investigation is primarily an executive
function. Thus, the courts must consider the
rules of procedure of the Department of Justice
in conducting preliminary investigations
whenever the actions of a public prosecutor is
put in question. In view of the foregoing, the
Court finds that respondent erred in insisting on
the production of the Jarder Resolution when all
other pertinent documents regarding the
preliminary investigation have been submitted to
his court, and in going so far as to motu proprio
initiating a proceeding for contempt against
Bar
complainant Operations
(City Prosecutor Armando P.
Commissions 467
467
Abanado vs. Judge Abraham A. Bayona, A.M. No.
MTJ-12-1804, July 30, 2012).
Remedy of the Aggrieved Party After the
Investigating Prosecutor Finds Cause to
Hold him for Trial
If the investigating prosecutor finds cause to
hold the respondent for trial, he shall prepare
the resolution and information where he shall
certify under oath that: (ERIO)
1. 1. He or an authorized officer personally
Examined the complainant and his
witnesses;
2. 2. There is Reasonable ground to believe
that a crime has been committed and the
accused is probably guilty thereof;
3. 3. The accused was Informed of the
complaint and the evidence against him;
4. 4. The accused was given an Opportunity to
submit controverting evidence;
1) He or an authorized officer personally
Examined the complainant and his
witnesses;
2) There is Reasonable ground to believe that
a crime has been committed and the
accused is probably guilty thereof;
3) The accused was Informed of the
complaint and the evidence against him;
4) The accused was given an Opportunity to
submit controverting evidence;
Otherwise, the investigating prosecutor shall
recommend the dismissal of the case. (Riano,
Criminal Procedure, 2011 Edition, pp. 178-179).
Note:No complaint or information may be filed
or dismissed by an investigating prosecutor
without the prior written authority or approval of
the provincial or city prosecutor or the
Ombudsman or his deputy (Rules of Court, Rule
112, Sec. 4).
7.D.5 Review of the Resolution
Appeal to the Secretary of Justice
Remedy of the Aggrieved Party After the
Investigating Prosecutor Finds Cause to
Hold him for Trial
468
An aggrieved party may appeal by filing a
verified petition for review with the Secretary of
Justice, and by furnishing copies thereof to the
adverse party and the Prosecution Office issuing
the appealed resolution.
The appeal shall be taken within 15 days from
receipt of the resolution, or of the denial of the
motion for reconsideration/reinvestigation if one
has been filed within 15 days from receipt of the
assailed resolution. Only one motion for
reconsideration shall be allowed.
Unless the Secretary directs otherwise, the
appeal shall NOT stay the filing of the
corresponding information in court on the basis
of the finding of probable cause in the appealed
resolution.(Riano, Criminal Procedure, 2011 Edition,
pp. 180-183).
 The determination of probable cause is,
under our criminal justice system, an
executive function that the courts cannot
interfere with in the absence of grave
abuse of discretion (Salapuddin vs. Court of
Appeals, G.R. No. 184681, February 25, 2013).

 Such function is lodged, at the first
instance, with the public prosecutor who
conducted the preliminary investigation,
and ultimately, with the Secretary of Justice
(Unilever Philippines, Inc. vs. Tan, GR No.
179367, January 29, 2014).
7. The determination of probable cause is,
under our criminal justice system, an
executive function that the courts cannot
interfere with in the absence of grave
abuse of discretion (Salapuddin vs. Court of
Appeals, G.R. No. 184681, February 25, 2013).
8. Such function is lodged, at the first
instance, with the public prosecutor who
conducted the preliminary investigation,
and ultimately, with the Secretary of Justice
(Unilever Philippines, Inc. vs. Tan, GR No.
179367, January 29, 2014).
Review power of the Secretary of
Justice(DOJ Circular No. 70, July 3, 2000)
By implication, the rule authorized the parties
concerned to file a petition to the Secretary of
Justice for the review of the resolution (Public
 Purple Notes
Criminal
Utilities Dept., Olongapo City vs. Guingona, Jr., G.R.
Remedial
records of the case in the RTC. The
No. 130399, September 20, 2001). dismissal of the case by the investigator will
not bar the filing of another complant for
Duties of the Secretary of Justice after the same offense, but if re-filed, the
the aggrieved party has filed an appeal accused is entitled to another preliminary
regarding the resolution of the investigation (US vs. Marfori, G.R. No. 10905,
investigating prosecutor: (ORA-FiD) December 9, 1916).

1. Order the reinvestigation of the case;

2. Reverse, modify or affirm the appealed How can the Resolution of the Secretary of
resolution; Justice be Reviewed:
3. Act on a motion for reconsideration;
4. File the information without conducting The resolution can be reviewed in two ways:
another preliminary investigation; or, 1. By filing Petition for Certiorari under
5. Dismiss the information filed by the Rule 65 of the ROC. The Court of Appeals is
prosecutor (Community Rural Bank of Guimba clothed with the jurisdiction to review the
vs. Talavera, A.M. No. RTJ-05-1909, April 6,
resolution issued by the Secretary of Justice
2005).
through a petition for certiorari under Rule
6. Order the reinvestigation of the case;
7. Reverse, modify or affirm the appealed resolution; 65 of the Rules of Court, solely on the
8. Act on a motion for reconsideration;
9. File the information without conducting another preliminary investigation; or, ground that the Secretary committed grave
10. Dismiss the information filed by the prosecutor (Community Rural Bank of Guimba vs.
Talavera, A.M. No. RTJ-05-1909, April 6, 2005). abuse of discretion amounting to lack of
Instances when Appeal shall NOT be Given jurisdiction (Argovan vs. San Miguel Corporation,
Due Course G.R. No. 188767, , July 24, 2013);

The following are the instances: (FilAr)  The petition for Review under Rule 43
applied to all appeals to the CA from
1) If an information has been filed pursuant to quasi-judicial agencies or bodies,
the appealed resolution; and, particularly those listed in Section 1 of
2) The accused has already been arraigned. Rule 43. However, the Secretary of
General Rule: An appeal shall not bar the filing Justice, in the review of the findings of
of the corresponding information. probable cause by the investigating
public prosecutor, was NOT exercising a
Exception: When otherwise directed by the quasi-judicial function, but performing
Secretary of Justice. an executive function. Moreover, the
 In case appeal to the Secretary of Justice courts could intervene in the
was denied and so with the motion for determination of probable cause only
reconsideration, a petition for certiorari with through the special civil action for
the Court of Appeals on the ground of grave certiorari under Rule 65 of the Rules of
abuse of discretion is the next remedy Court, NOT by appeal through the
(FilandamusPhrama, Inc. vs. CA, G.R. No. petition for review under Rule 43. Thus,
132422, March 30, 2004). the CA could not reverse or undo the
 findings and conclusions on probable
 It is not part of the trial of the criminal cause by the Secretary of Justice
action in court. Nor is its record part of the EXCEPT upon clear demonstration of
records of the case in the RTC. The grave abuse of discretion amounting to
dismissal of the case by the investigator will lack or excess of jurisdiction committed
not bar the filing of another complant for by the Secretary of Justice (Caterpillar,
the same offense, but if re-filed, the Inc. vs. Samson, G.R. No. 205972,
accused is entitled to another preliminary November 9, 2016).
investigation (US vs. Marfori, G.R. No. 10905,
December 9, 1916). 2. By filing an appeal before the Office of the
1) It is not part of the trial of the criminal President and the decision of the latter may
action in court. Nor is its record part of the
Bar Operations
Commissions 469
469
 be appealed before the CA pursuant to Rule
43 of the Rules ofCourt.
17. By filing Petition for Certiorari under
Rule 65 of the ROC. The Court of Appeals is
clothed with the jurisdiction to review the
resolution issued by the Secretary of Justice
through a petition for certiorari under Rule
65 of the Rules of Court, solely on the
ground that the Secretary committed grave
abuse of discretion amounting to lack of
jurisdiction (Argovan vs. San Miguel
Corporation, G.R. No. 188767, , July 24, 2013);
a. The petition for Review under Rule 43
applied to all appeals to the CA from
quasi-judicial agencies or bodies,
particularly those listed in Section 1 of
Rule 43. However, the Secretary of
Justice, in the review of the findings of
probable cause by the investigating
public prosecutor, was NOT exercising a
quasi-judicial function, but performing
an executive function. Moreover, the
courts could intervene in the
determination of probable cause only
through the special civil action for
certiorari under Rule 65 of the Rules of
Court, NOT by appeal through the
petition for review under Rule 43. Thus,
the CA could not reverse or undo the
findings and conclusions on probable
cause by the Secretary of Justice
EXCEPT upon clear demonstration of
grave abuse of discretion amounting to
lack or excess of jurisdiction committed
by the Secretary of Justice (Caterpillar,
Inc. vs. Samson, G.R. No. 205972,
November 9, 2016).
18. By filing an appeal before the Office of
the President and the decision of the latter
may be appealed before the CA pursuant to
Rule 43 of the Rules ofCourt.
Given rule if the Secretary of Justice
Reverses or Modifies the Resolution of the
Prosecutor upon Filing of Petition by the
Proper Party?
He shall direct the prosecutor concerned either
to file the corresponding information without
conducting another preliminary investigation, or
470
to dismiss or move for dismissal of the
complaint or information with notice to the
parties. (Sec. 4, Rule 112, Rules of Court)
Proper Remedy in Assailing the Resolution
of the Secretary of Justice
Petition for certiorari under Rule 65 is the proper
remedy. The rule is that the DOJ is not a quasi-
judicial agency exercising a quasi-judicial
function when it reviews the findings of a public
prosecutor regarding the presence of probable
cause and that its findings are not reviewable by
the Court of Appeals in a petition for review
under Rule 43 of the Rules of Court (Riano,
Criminal Procedure, p. 184, 2011 Edition).
Appeal to the Office of the President
Q: May the resolution of the Secretary of
Justice be appealed in the Office of the
President?
A: Yes. As long as the appeal clearly falls within
the jurisdiction of the Office of the President,
otherwise the appeal shall be dismissed outright
(Riano, Criminal Procedure, p. 188, 2011 Edition).
Note: Memorandum Circular No. 58(30 June
1993) provides:
No appeal from or petition for review of
decisions/orders/resolutions of the Secretary of
Justice on preliminary investigations of criminal
cases shall be entertained by the Office of the
President, EXCEPT those involving offenses
punishable by reclusion perpetua to death
wherein new and material issues are raised
which were not previously presented before the
Department of Justice and were not ruled upon
in the subject decision/order/resolution, in which
case the President may order the Secretary of
Justice to reopen/review the case, provided,
that, the prescription of the offense is not due
to lapse within six (6) months from notice of the
questioned resolution/order/decision, and
provided further that, the appeal or petition for
review is filed within thirty (30) days from such
notice.
Henceforth, if an appeal or petition for review
does not clearly fall within the jurisdiction of the
 Purple Notes
Office of the President, as set forth in the
immediately preceding paragraph, it shall be
dismissed outright and no order shall be issued
requiring the payment of the appeal fee, the
submission of appeal brief/memorandum or the
elevation of the records to the Office of the
President from the Department of Justice.
If it is not readily apparent from the appeal or
petition for review that the case is within the
jurisdiction of the Office of the President, the
appellant/petitioner shall be ordered to prove
the necessary jurisdictional facts, under penalty
of outright dismissal of the appeal or petition,
and no order to pay the appeal fee or to submit
appeal brief/memorandum or to elevate the
records of the case to the Office of the President
shall be issued unless and until the jurisdictional
requirements shall have been satisfactorily
established by the appellant/petitioner.
 As the word "may" in the second paragraph of
Memorandum Circular No. 58 signifies, it is not
mandatory for the President to order the DOJ to
reopen or review [the] case even if it raised
"new and material issues" allegedly not yet
passed upon by the DOJ. Hence, the OP acted
well within its authority in reexamining the
merits of [the] appeal in resolving the motion
for reconsideration (Heirs of Tria vs. Obias, G.R.
No. 175887, November 24, 2010).
In the event of an adverse decision against the
appellant, a verified petition for review may be
taken to the Court of Appeals within 15 days
from notice of the final order of the Office of the
President and following the procedures set forth
under Rule 43 of the Rules of Court.
b. As the word "may" in the second paragraph of
Memorandum Circular No. 58 signifies, it is not
mandatory for the President to order the DOJ
to reopen or review [the] case even if it raised
"new and material issues" allegedly not yet
passed upon by the DOJ. Hence, the OP acted
well within its authority in reexamining the
merits of [the] appeal in resolving the motion
for reconsideration (Heirs of Tria vs. Obias, G.R.
No. 175887, November 24, 2010).
In the event of an adverse decision against the
appellant, a verified petition for review may be
taken to the Court of Appeals within 15 days
Criminal
Remedial
from notice of the final order of the Office of
the President and following the procedures set
forth under Rule 43 of the Rules of Court.
Proper Remedy of the Aggrieved Party in
Order to Assail the Resolution of the Office
of the President
The aggrieved party may file an appeal with the
Court of Appeals pursuant to Rule 43. Under
Sec. 1 of Rule 43, the final orders or resolutions
of the Office of the President is appealable to
the Court of Appeals by filing a verified petition
for review following the procedure set by Secs.
5 and 6 of Rule 43.(Rule 43,Sec. 1,)
Appeal from the Resolution of the
Ombudsman(Fabian vs. Desierto G.R. No. 129742,
September 16, 1998)
Involving:
1. Administrative and disciplinary cases – with
the Court of Appeals through Petition for
Review under Rule 43 of Rules of Court.
2. Criminal cases – with the Supreme Court
through extraordinary remedy of Certiorari
under Rule 65 of Rules of Court.
 Administrative and disciplinary cases
– with the Court of Appeals through
Petition for Review under Rule 43 of
Rules of Court.
 Criminal cases – with the Supreme
Court through extraordinary remedy
of Certiorari under Rule 65 of Rules
of Court.
Extent of Authority of the Ombudsman in
the conduct of preliminary investigation
The Ombudsman has primary authority to
investigate and exclusive authority to file and
prosecute Sandiganbayan cases (Ledesma vs. CA,
G.R. No. 161629, July 29, 2005).
The Ombudsman is authorized to take over at
any stage, from any investigatory agency of the
government, the investigation of such cases
(Sec. 15, RA 6770).
 The power to investigate and to prosecute
Bar Operations
granted to the Ombudsman is
Commissions 471
471
 plenary and unqualified. It pertains to any
act or omission of any public officer or
employee when such act or omission appears
to be illegal, unjust, improper or inefficient.
The law does not make a distinction between
cases cognizable by the Sandiganbayan and
those cognizable by the regular courts (Office
of the Ombudsman vs. Breva, G.R. No. 145938,
February 10, 2006).
2) The power to investigate and to
prosecute granted to the
Ombudsman is plenary and
unqualified. It pertains to any act or
omission of any public officer or
employee when such act or
omission appears to be illegal,
unjust, improper or inefficient. The
law does not make a distinction
between cases cognizable by the
Sandiganbayan and those
cognizable by the regular courts
(Office of the Ombudsman vs. Breva,
G.R. No. 145938, February 10, 2006).
Q: Who Conducts Preliminary
Investigation in Election Cases?
form of searching questions and answers,
that a probable cause exists and that there is
a necessity of placing the respondent under
immediate custody in order not to frustrate
the ends of justice.
 It is enough that the judge personally
evaluates the prosecutor’s report and
supporting documents showing the existence
of probable cause for the indictment and, on
the basis of his evaluation, he finds no
probable cause to disregard the prosecutor’s
resolution and require the submission of
additional affidavits of witnesses to aid him
in determining its existence (Ocampo vs. Hon.
Abando et al., G.R. No. 176830, February 11,
2014).
c. It is enough that the judge personally
evaluates the prosecutor’s report and
supporting documents showing the
existence of probable cause for the
indictment and, on the basis of his
evaluation, he finds no probable cause
to disregard the prosecutor’s resolution
and require the submission of additional
affidavits of witnesses to aid him in
determining its existence (Ocampo vs.
Hon. Abando et al., G.R. No. 176830,
February 11, 2014).

A: The Commission on Elections is vested with “Searching questions and answers” means
the power to conduct preliminary taking into consideration the purpose of the
investigations; it may deputize other preliminary investigation which is whether there
prosecuting arms of the government to conduct is sufficient ground to engender a well-founded
preliminary investigation and prosecute belief that a crime has been committed and that
offenses (People vs. Basilla, G.R. No. 83938-40, the respondent is probably guilty thereof and
November 6, 1989).
should be held for trial; such questions as may
have the tendency to show the commission of
7.D.6 When Warrant of Arrest may be
the crime and the perpetrator thereof. (Rule 112,
Issued (Sec. 5, Rule 112, As Amended by A.M. No.
Sec. 8[b]).
05-8-26-SCc)
Probable cause
By the Regional Trial Court / By the
Municipal Trial Court
 Probable cause, for the purpose of filing a
a. The procedure for the issuance of a warrant criminal information, has been defined as
of arrest by the judge shall be the same as such facts as are sufficient to engender a
that of the RTC. well-founded belief that a crime has been
b. However, without waiting for the conclusion committed and that respondent is probably
of the preliminary investigation, the judge guilty thereof. The term does not mean
may issue a warrant of arrest if he finds after "actual and positive cause" nor does it
an examination in writing and under oath of import absolute certainty. It is merely based
the complainant and his witnesses in the on opinion and reasonable belief. Probable

472
 Purple Notes
cause does not require an inquiry into
whether there is sufficient evidence to
procure a conviction. It is enough that it is
believed that the act or omission complained
of constitutes the offense charged (Fenequito
vs. Vergara, G.R. No. 172829, July 18, 2012).
Probable cause, for the purpose of filing a
criminal information, has been defined as such
facts as are sufficient to engender a well-
founded belief that a crime has been committed
and that respondent is probably guilty thereof.
The term does not mean "actual and positive
cause" nor does it import absolute certainty. It
is merely based on opinion and reasonable
belief. Probable cause does not require an
inquiry into whether there is sufficient evidence
to procure a conviction. It is enough that it is
believed that the act or omission complained of
constitutes the offense charged (Fenequito vs.
Vergara, G.R. No. 172829, July 18, 2012).
Note: The evidence needed is not based on
clear and convincing evidence of guilt, neither
on evidence establishing guilt beyond
reasonable doubt, and definitely not on evidence
estabilishing absolute certainty of guilt. It needs
only to rest on evidence showing that more
likely than not a crime has been committed by
the accused (Sps. Balangauan vs. CA, G.R. No.
174350, August 13, 2008).
Instances when Probable Cause needs to
be established
1. When issuing a warrant of arrest or a
commitment order under Secs. 6 and 9, Rule
112;
2. A peace officer or a private person making a
warrantless arrest under Sec. 5(b), Rule 113;
and
3. To determine whether a search warrant shall
be issued under Sec. 4, Rule 126.
When Warrant of Arrest is NOT Necessary
d. If the accused is already under detention
(Rule 112, Sec. 5[c], as amended by AM 05-8-26-
SC);or
Criminal
Remedial
e. If the complaint or information was filed
pursuant to a lawful warrantless arrest ( Rule
112, Sec. 6, as amended by AM 05-8-26-SC); or
f. If the complaint or information was for an
offense punishable by fine only; or
g. When the case is subject to the Rules on
Summary Procedure, UNLESS he failed to
appear whenever required.
Rules in Lawful Warrantless Arrests where
Crime Involved Requires Preliminary
Investigation(Sec. 6, Rule 112, as amended by
A.M. No. 05-8-26-SC)
1. The complaint or information may be filed by
a prosecutor without need of such
investigation provided an inquest has been
conducted in accordance with existing rules.
2. If there is no inquest prosecutor, the
complaint may be filed by the offended party
or a peace officer directly with the proper
court on the basis of the affidavit of the
offended party or arresting officer or person.
The following are the instances under the rules
where probable cause needs to be established:
 When issuing a warrant of
arrest or a commitment
order under Secs. 6 and 9,
Rule 112;
 A peace officer or a private
person making a
warrantless arrest under
Sec. 5(b), Rule 113; and
 To determine whether a
search warrant shall be
issued under Sec. 4, Rule
126.
When Warrant of Arrest is NOT Necessary
 If the accused is already under detention
(Rule 112, Sec. 5[c], as amended by AM 05-8-
26-SC);or
 If the complaint or information was filed
pursuant to a lawful warrantless arrest (Rule
112, Sec. 6, as amended by AM 05-8-26-SC); or
 If the complaint or information was for an
offense punishable by fine only; or
 When the case is subject to the Rules on
Summary Procedure, UNLESS he failed to
Bar
appear whenever Operations
required.
Commissions 473
473

Rules in Lawful Warrantless
Arrests where Crime Involved
Requires Preliminary
Investigation (Sec. 6, Rule 112, as
amended by A.M. No. 05-8-26-SC)
 The complaint or information may
be filed by a prosecutor without
need of such investigation provided
an inquest has been conducted in
accordance with existing rules.
 If there is no inquest prosecutor,
the complaint may be filed by the
offended party or a peace officer
directly with the proper court on the
basis of the affidavit of the offended
party or arresting officer or person.
Options of Accused Lawfully Arrested
Without Warrant(Sec. 6, Rule 112, As Amended
by A.M. No. 05-8-26-SC)
Before complaint or information is filed:
 The person arrested may ask for a
preliminary investigation in accordance with
this Rule, but he must sign a waiver of the
provision of Art 125 of the Revised Penal
Code, as amended, in the presence of his
counsel.
 Art. 125, RPC - Delay in the delivery of
detained persons to the proper judicial
authorities.
 Notwithstanding the waiver, he may apply
for bail and the investigation must be
terminated within 15 days from its
inception.
After complaint or information is filed without
Preliminary Investigation:
 The accused may, within 5 days from the
time he learns of its filing, ask for a
preliminary investigation with the same right
to adduce evidence in his defense as
provided in this rule.
 Section 7 of Rule 112of the present Rules
gives the accused the right to ask for a
preliminary investigation; but it does not
give him the right to do so after the lapse of
474
the five-day period. This is in accord with
the intent of the Rules of Criminal Procedure
to make preliminary investigation simple and
speedy (People vs. Gadi, G.R. No. 116623,
March 23, 1995).
Note: Once a criminal complaint or an
information is filed in court, any disposition or
dismissal of the case or acquittal or conviction of
the accused rests within the jurisdiction,
competence, and discretion of the trial court
(Hipos, Sr. vs. Bay, G.R. Nos. 174813-15, March 17,
2009).
4.6.3. The person arrested may ask for a preliminary
investigation in accordance with this Rule, but he must
sign a waiver of the provision of Art 125 of the Revised
Penal Code, as amended, in the presence of his
counsel.
4.6.3. Art. 125, RPC - Delay in the delivery of detained
persons to the proper judicial authorities.
4.6.3. Notwithstanding the waiver, he may apply for bail
and the investigation must be terminated within 15
days from its inception.
After complaint or information is filed without Preliminary
Investigation:
4.6.3. The accused may, within 5 days from the time he
learns of its filing, ask for a preliminary investigation
with the same right to adduce evidence in his defense
as provided in this rule.
1. Section 7 of Rule 112of the present Rules gives
the accused the right to ask for a preliminary
investigation; but it does not give him the right to do so
after the lapse of the five-day period. This is in accord
with the intent of the Rules of Criminal Procedure to
make preliminary investigation simple and speedy
(People vs. Gadi, G.R. No. 116623, March 23, 1995).
Note: Once a criminal complaint or an
information is filed in court, any disposition or
dismissal of the case or acquittal or conviction of
the accused rests within the jurisdiction,
competence, and discretion of the trial court
(Hipos, Sr. vs. Bay, G.R. Nos. 174813-15, March 17,
2009).
Remedies of the Accused Who Believes
that there is No Probable Cause to Hold
Him for Trial:
1. To file with the trial court a motion to
dismiss on such ground; or,
2. If the warrant of arrest has been issued, the
accused may file a motion to quash the
warrant of arrest.
10. To file with the trial court a motion to
dismiss on such ground; or,
 Purple Notes
11. If the warrant of arrest has been issued,
the accused may file a motion to quash
the warrant of arrest.
Records of Preliminary Investigation
General Rule: The Record of Preliminary
Investigation is NOT part of the record of the
case.
Exception: BUT it may be produced in court—
1. upon its own initiative; or
2. on motion of any party, if (a) necessary in
the resolution of the case or any incident
therein, or (b) when it is to be introduced as
evidence in the case. (Rule 112, Sec. 7[b], as
amended by A.M. No. 05-8-26-SC)
3. There is nothing in the DOJ-NPS Manual
requiring the removal of a resolution by an
investigating prosecutor recommending the
dismissal of a criminal complaint after it was
reversed by the provincial, city or chief state
prosecutor. Nonetheless, attaching such a
resolution to an information filed in court is
optional under the aforementioned manual.
The DOJ-NPS Manual states that the
resolution of the investigating prosecutor
should be attached to the information only
"as far as practicable." Thus, such
attachment is not mandatory or required
under the rules (City Prosecutor Abanado vs.
Judge Bayona, A.M. No. MTJ-12-1804, July 30,
2012).
2. There is nothing in the DOJ-NPS Manual
requiring the removal of a resolution by an
investigating prosecutor recommending the
dismissal of a criminal complaint after it was
reversed by the provincial, city or chief state
prosecutor. Nonetheless, attaching such a
resolution to an information filed in court is
optional under the aforementioned manual.
The DOJ-NPS Manual states that the
resolution of the investigating prosecutor
should be attached to the information only
"as far as practicable." Thus, such
attachment is not mandatory or required
under the rules (City Prosecutor Abanado vs.
Judge Bayona, A.M. No. MTJ-12-1804, July 30,
2012).
Criminal
Remedial
7.D.7 Cases NOT Requiring A Preliminary
Investigation nor Covered by the Rule on
Summary Procedure (Rule 112, Sec. 8, As
Amended By A.M. No. 05-8-26-SC)
a. Cases within the exclusive original
jurisdiction of the inferior courts but where
the penalty for the offense is less than 4
years, 2 months and 1 day; or,
b. Not covered by the Rule on Summary
Procedure.
Hence, no preliminary investigation is
conducted, but the case has to be tried in
accordance with the regular procedure in said
inferior courts.
If filed with the Prosecutor – the prosecutor
shall act on the complaint based on the
affidavits and other supporting documents
within 10 days from its filing.
7.D.8 Remedies Once Complaint or
Information is Filed in Court (where there
was no Preliminary Investigation)
1) If from inquest, file a motion for Preliminary
Investigation;
2) If from inquest but in reality no Preliminary
Investigation was conducted (due to fraud,
mistake, etc.), file a motion for preliminary
investigation and show deprivation of right to
preliminary investigation;
3) If warrant of arrest was issued (within 10
days from filing of complaint), whether or
not there was preliminary investigation, file
Motion for Judicial Determination of Probable
Cause with Motion to Quash Warrant;
4) File Petition for Review with Secretary of
Justice;
5) File a Motion for Reinvestigation;
6) File a Petition for Certiorari under Rule 65.
Note: One cannot pursue a motion for
reinvestigation where a motion for preliminary
investigation was already made.
When Evidence on hand ABSOLUTELY
FAILS to Support a Finding of Probable
Cause
While the determination of probable cause to
Bar a person ofOperations
charge a crime is the sole
Commissions 475
475
function of the prosecutor, the trial court may,
in the protection of one's fundamental right to
liberty, dismiss the case if, upon a personal
assessment of the evidence, it finds that the
evidence does not establish probable cause.
Although jurisprudence and procedural rules
allow it, a judge must always proceed with
caution in dismissing cases due to lack of
probable cause, considering the preliminary
nature of the evidence before it. It is only when
he or she finds that the evidence on hand
absolutely fails to support a finding of probable
cause that he or she can dismiss the case. On
the other hand, if a judge finds probable cause,
he or she must not hesitate to proceed with
arraignment and trial in order that justice may
be served (Mendoza vs. People, G.R. No. 197293,
April 21, 2014).
Q: If the Prosecutor Files a Motion to
Withdraw the Information and the Trial
Court Denies the Same, Can One Still
Expect the Prosecutor to Effectively
Prosecute the Case?
A: Yes. The role of the fiscal or prosecutor
as we all know is to see that justice is
done and not necessarily to secure the
conviction of the person accused before
the Courts. Thus, in spite of his opinion to
the contrary, it is the duty of the fiscal to
proceed with the presentation of evidence
of the prosecution to the Court to enable
the Court to arrive at its own independent
judgment as to whether the accused
should be convicted or acquitted. The
fiscal should not shirk from the
responsibility of appearing for the People
of the Philippines even under such
circumstances, much less should he
abandon the prosecution of the case
leaving it to the hands of a private
prosecutor for then the entire proceedings
will be null and void. The least that the
fiscal should do is to continue to appear
for the prosecution although he may turn
over the presentation of the evidence to
the private prosecutor, BUT still under his
direction and control. (Crespo vs. Mogul,
G.R. No. L-53373, June 30, 1987).
476
Effect if the Motion for Preliminary
Investigation is Filed Beyond the 5-Day
Reglementary Period
It will be considered a prohibited motion and
shall be denied outright before the scheduled
arraignment without need of comment and/or
opposition (A.M. No. 15-06-10-SC, Subheading III,
item no. 2).
When Can the Accused Question the
Regularity or Absence of a Preliminary
Investigation?
An accused who wants to question the regularity
or absence of a preliminary investigation must
do so before he enters his plea (Sec. 26, Rule
114, Rules of Court).
Note: Failure to invoke the right before entering
a plea will amount to a waiver (Riano, Criminal
Procedure, p. 161, 2011 Edition).
Q: Is a motion to quash the proper remedy
if there was no preliminary investigation?
A: No. The absence of a preliminary
investigation is not a ground for a motion to
quash. Such ground is not provided for in Sec. 3
of Rule 117, the provision which enumerates the
grounds for a motion to quash a complaint or
information (Budiongan, Jr. vs. De la Cruz, Jr., G.R.
No. 170288, September 22, 2006).
7.D.9. Inquest
Inquest is the taking of a person into custoday
in order that he may be bound to answer for the
commission of an offense (Rule 113, Sec.1).
When is an Inquest Proceeding Conducted
An inquest proceeding is conducted when a
person is lawfully arrested without a warrant
involving even also an offense which requires a
preliminary investigation. (Rule 112, Sec. 6
Who Conducts an Inquest Proceeding
The inquest is conducted by a public prosecutor
who is assigned inquest duties as an Inquest
Officer and is to discharge his duties, unless
otherwise directed, only at the police
 Purple Notes
stations/headquarters of the PNP in order to
expedite the facilitate the disposition of inquest
cases (Sec. 2, Part II, Manual for Prosecutors).
When is the inquest proceeding deemed to
have commenced
The inquest proceedings shall be deemed
commenced from the time the Inquest officer
receives the complaint and referral documents
from the law enforcement authorities. These
documents include the following:
1. Affidavit of arrest;
2. The investigation report;
3. The statements of the complainant and the
witnesses; and
4. Other supporting evidence gathered.Riano,
Criminal Procedure, 2011 Edition, p. 163).
o Affidavit of arrest;
o The investigation report;
o The statements of the complainant and the
witnesses; and
o Other supporting evidence gathered.Riano,
Criminal Procedure, 2011 Edition, p. 163).
Note: The affidavit of arrest and the statements
or affidavits of the complainant and the
witnesses shall be subscribed and sworn to
before the Inquest Officer by the affiants (Sec. 3,
Part II, Manual for Prosecutors).
7.E. ARREST (Rule 113)
It is the taking of a person into custody in order
that he may be bound to answer for the
commission of an offense (Rule 113, Sec. 1).
Persons Immune from Arrest
The following persons are immune from arrest:
(CoSC-APRed-75)
5. Members of Congress, in all offenses
punishable by not more than 6 years
imprisonment, while Congress is in session;
6. Sovereigns and other chiefs of state,
ambassadors, ministers plenipotentiary,
ministers resident, and charge d’affaires are
immune from criminal jurisdiction of the
Criminal
Remedial
country of their assignment and are,
therefore, immune from arrest (II Hyde,
International Law); and,
7. R.A. No. 75 prohibits the arrest of duly
accredited ambassadors, public ministers of a
foreign country and their duly registered
domestics, subject to the principle of
reciprocity (Sec. 7, R.A. No. 75).
6) Members of Congress, in all offenses
punishable by not more than 6 years
imprisonment, while Congress is in
session;
7) Sovereigns and other chiefs of state,
ambassadors, ministers plenipotentiary,
ministers resident, and charge d’affaires
are immune from criminal jurisdiction of
the country of their assignment and are,
therefore, immune from arrest (II Hyde,
International Law); and,
8) R.A. No. 75 prohibits the arrest of duly
accredited ambassadors, public ministers of
a foreign country and their duly registered
domestics, subject to the principle of
reciprocity (Sec. 7, R.A. No. 75).
When a Person not Formally Arrested but
Merely “invited” for Questioning
If after the officers have determined that a
crime has just been committed by the accused,
the use of the term, “invited” in the affidavit of
arrest is to be construed as an authoritative
command by the officer for the accused to
submit to the custody of the officer. It is,
therefore, an arrest (Pestillos vs. Generoso, G.R.
No. 182601, November 10, 2014).
Q: Can the Court Issue a Warrant of Arrest
against a John Doe?
A: No. Warrants of arrest issued to John Does
are in the nature of a generalwarrant, one of
a class of writs long proscribed as
unconstitutional and once anthematized as
totally subversive of the liberty to the subject.
Clearly violative of the constitutional injunction
that warrants of arrest should particularly
describe the person or persons to be seized, the
warrant must, as regards its unidentified
subjects, be voided (Pangandaman vs. Casar, G.R.
No. L-71782, April 14, 1988).
Bar Operations
Commissions 477
477

7.E.1 Arrest; How Made(Rule 113, Sec. 2)
Modes of Effecting Arrest:
a. By an actual restraint of the person to be
arrested; or,
b. By his submission to the custody of the
person making the arrest;
 Violence or unnecessary force shall not be
used.
 criminal action is filed against him and gives
 Restraint should not be greater than what
is necessary for the accused’s detention.
 Arrest is not necessary when the accused
voluntarily appears after a complaint in a
criminal action is filed against him and gives
bond for his appearance at any time he may
be called (People vs. Joson, G.R. No. 22366,
October 07, 1924).
The person to be arrested need NOT
ACTUALLY be restrained as submission to the
custody of the person making the arrest
already constitutes arrest. It is enough that
there be an intention on the part of the
parties to arrest the other, and the intent on
the part of the other to submit ( Ong vs.
People of the Philippines, G.R. No. 197788,
February 29, 2012).
 Remedy for improperly issued warrants:
Quashal of warrant or information (Ilagan vs.
Enrile, G.R. No. L-70748, October 21, 1985) .
After implementation of warrant, remedy is
suppression of evidence.
 which one can only defy at his peril. The
 Where the investigation comes from a
powerful group composed predominantly of
ranking military officers and the designated
interrogation site is a military camp, the
same can be easily taken, not as strictly
voluntary invitation which it purports to be,
but as an authoritative command which one
can only defy at his peril. The requisites of
custodial investigation are applicable even
when a person who has been lawfully
arrested escapes or is rescued (Sanchez vs.
Demetriou, G.R. Nos. 111771-77, November 9,
1993).
478
1. By an actual restraint of the person to be
arrested; or,
2. By his submission to the custody of the person
making the arrest;
3.
4. Violence or unnecessary force shall not be used.
5.
6. Restraint should not be greater than what is
necessary for the accused’s detention.
7.
8. Arrest is not necessary when the accused
voluntarily appears after a complaint in a
bond for his appearance at any time he may be
called (People vs. Joson, G.R. No. 22366, October
07, 1924).
9.
10. The person to be arrested need
NOT ACTUALLY be restrained as submission to
the custody of the person making the arrest
already constitutes arrest. It is enough that
there be an intention on the part of the parties
to arrest the other, and the intent on the part of
the other to submit. (Ong vs. People of the
Philippines, G.R. No. 197788, February 29, 2012).
11.
12. Remedy for improperly issued
warrants: Quashal of warrant or information
(Ilagan vs. Enrile, G.R. No. L-70748, October 21,
1985). After implementation of warrant, remedy
is suppression of evidence.
13.
14. Where the investigation comes from a powerful
group composed predominantly of ranking
military officers and the designated interrogation
site is a military camp, the same can be easily
taken, not as strictly voluntary invitation which it
purports to be, but as an authoritative command
requisites of custodial investigation are
applicable even when a person who has been
lawfully arrested escapes or is rescued (Sanchez
vs. Demetriou, G.R. Nos. 111771-77, November 9,
1993).
15.
Duty of Officer Executing the Warrant (Rule
113, Sec. 3)
1. Arrest the accused; and,
2. Deliver him to the nearest police station or
jail without unnecessary delay.
 Purple Notes
Additional Duties of Arresting Officer: (In-
War-Con)
1. To inform person arrested of the reason for
the arrest;
2. Show warrant of arrest, if any;
3. Inform the person of his constitutional
rightto remain silent and to counsel and that
any statement he might make could be used
against him.(People vs. Lacap, G.R. No. 78730,
March 08, 1989)
Execution of Warrant (Rule 113, Sec. 4)
Duty of Officer to Whom Warrant was
Assigned for Execution (ExeRep)
d. Cause the execution within 10 days from
receipt; and,
e. Within 10 days from the expiration of the
period to execute, to make a report to the
judge who issued the warrant.
Note: In case of failure to execute, the officer
shall state reasons.
Unlike a search warrant, the 10-day period
stated here is not the lifetime or period of
enforceability of the warrant of arrest.
The warrant of arrest does not become functus
officio by the mere lapse of said period and is
enforceable indefinitely until such time as the
arrest of the person or persons named therein
has not been effected.
16.Duty of Officer Executing the Warrant (Rule
113, Sec. 3)
6)Arrest the accused; and,
7)Deliver him to the nearest police station or jail
without unnecessary delay.
Additional Duties of Arresting Officer:
(In-War-Con)
 To inform person arrested of the reason for
the arrest;
 Show warrant of arrest, if any;
 Inform the person of his constitutional
rightto remain silent and to counsel and that
any statement he might make could be used
against him.(People vs. Lacap, G.R. No. 78730,
March 08, 1989)
Criminal
Remedial
Execution of Warrant (Rule 113, Sec. 4)
Duty of Officer to Whom Warrant was Assigned for
Execution (ExeRep)
3. Cause the execution within 10 days from receipt; and,
4. Within 10 days from the expiration of the period to
execute, to make a report to the judge who issued the
warrant.
Note: In case of failure to execute, the officer shall state
reasons.
Unlike a search warrant, the 10-day period stated here is not
the lifetime or period of enforceability of the warrant of
arrest.
The warrant of arrest does not become functus officio by the
mere lapse of said period and is enforceable indefinitely until
such time as the arrest of the person or persons named
therein has not been effected.
7.E.2 Arrest WITHOUT Warrant, when
Lawful
General Rule: A warrant of arrest is necessary
before arrest is made.
Note: The Constitutional prohibition against
unreasonable arrests, searches and seizures
refers to those effected without warrant (Malacat
vs. Court of Appeals, G.R. No. 123595, December 12,
1997).
Exceptions: (In-Hot-E-Abs)
1. In flagrante delicto Arrest
a. When, in the peace officer or private
person’s presence, the person to be
arrested has committed, is actually
committing, or is attempting to commit
an offense (Rule 113, Sec. 5a)
Requisites: (OvPre)
1. the person to be arrested must execute an
overt act indicating that he has just
committed, is actually committing, or is
attempting to commit a crime; and,
2. such overt act is done in the presence or
within the view of the arresting officer (Miclat
Jr. vs. People, G.R. No. 176077, August 31,
2011).
Bar Operations
Commissions 479
479
 In an arrest in flagrante delicto, mere
“suspicion” and “reliable information are not
justification to effect warrantless arrest.
General Rule: A warrant of arrest is necessary
before arrest is made.
Note: The Constitutional prohibition against
unreasonable arrests, searches and seizures
refers to those effected without warrant (Malacat
vs. Court of Appeals, G.R. No. 123595, December 12,
1997).
Exceptions: (In-Hot-E-Abs)
 In flagrante delicto
Arrest
 When, in the peace officer or private
person’s presence, the person to be
arrested has committed, is actually
committing, or is attempting to commit an
offense (Rule 113, Sec. 5a)
Requisites: (OvPre)
f) the person to be arrested must execute an
overt act indicating that he has just
committed, is actually committing, or is
attempting to commit a crime; and,
g) such overt act is done in the presence or
within the view of the arresting officer
(Miclat Jr. vs. People, G.R. No. 176077, August
31, 2011).
In an arrest in flagrante delicto, mere
“suspicion” and “reliable information are not
justification to effect warrantless arrest.
 An offense is committed in the presence or in
the view of an officer when he sees the
offense although at a distance, or hears the
disturbance or disturbances created thereby
and proceeds at once to the scene of the
crime (People vs. Evaristo, G.R. No. 93828,
December 11, 1992).
 
 In this type of warrantless arrest, the person
making the arrest himself witnesses the
crime and, hence, has personal knowledge of
480
the commission of the offense (People vs.
Villareal, G.R. No. 201363, March 18, 2013).

 It is reiterated in People v. Tampis that "any
objection, defect or irregularitly attending an
arrest must be made before the accused
enters his plea on arraignment. Having failed
to move for the quashing of the information
against them before their arraignment,
appellants are now estopped from
questioning the legality of their arrest. Any
irregularity was cured upon their voluntary
submission to the trial court’s jurisdiction."
Be that as it may, the fact of the matter is
that [Vasquez] was caught in flagrante
delicto of selling illegal drugs to an
undercover police officer in a buy-bust
operation. His arrest, thus, falls within the
ambit of Section 5(a), Rule 113 of the
Revised Rules on Criminal Procedure when
an arrest made without warrant is deemed
lawful. Having established the validity of the
warrantless arrest in this case, the Court
holds that the warrantless seizure of the
illegal drugs from the appellant is likewise
valid (People vs. Vasquez, G.R. No. 200304,
January 15, 2014).

 Hence, where the prosecution proved that
appellant was apprehended after she
exchanged the shabu in her possession for
the marked money of the poseur-buyer, in
the presence of the officers, the arrest was
in flagrante delicto. Having been caught in
flagrante delicto, the police officers were not
only authorized but were even duty-bound
to arrest her even without a warrant (People
vs. Marcelo, G.R. No. 183700, October 13, 2014).

 Also, the act walking along the street and
holding something in one’s hand, even if
they appeared to be dubious, coupled with
his previous criminal charge for the same
offense, are not by themselves sufficient to
incite suspicion of criminal activity or to
create probable cause enough to justify a
warrantless arrest (People vs. Villareal, G.R.
No. 201363, March 18, 2013).
 In arrest in flagrante delicto, the accused is
apprehended at the very moment he is
committing or attempting to commit or has
just committed an offense in the presence
 Purple Notes
of the arresting officer.The various drug
paraphernalia that the police officers found
and seized in the shanty are, therefore,
admissible in evidence for having proceeded
from a valid search and seizure (Saraum vs.
People, G.R. No. 205472, January 25, 2016).
1. Hence, where the prosecution proved
that appellant was apprehended after
she exchanged the shabu in her
possession for the marked money of the
poseur-buyer, in the presence of the
officers, the arrest was in flagrante
delicto. Having been caught in flagrante
delicto, the police officers were not only
authorized but were even duty-bound to
arrest her even without a warrant
(People vs. Marcelo, G.R. No. 183700,
October 13, 2014).
2. Also, the act walking along the street
and holding something in one’s hand,
even if they appeared to be dubious,
coupled with his previous criminal
charge for the same offense, are not by
themselves sufficient to incite suspicion
of criminal activity or to create probable
cause enough to justify a warrantless
arrest (People vs. Villareal, G.R. No.
201363, March 18, 2013).
3. In arrest in flagrante delicto, the
accused is apprehended at the very
moment he is committing or
attempting to commit or has just
committed an offense in the
presence of the arresting
officer.The various drug
paraphernalia that the police
officers found and seized in the
shanty are, therefore, admissible in
evidence for having proceeded
from a valid search and seizure
(Saraum vs. People, G.R. No. 205472,
January 25, 2016).
Q: During a buy-bust operation, John and
Jane were caught holding a drug
paraphernalia in preparation to have a
shabu pot session. Furthermore, the police
recovered from John a lighter, rolled
tissue paper, and aluminum tin foil. Thus,
he was arrested along with Jane. By way
of defense, John denied the commission of
Criminal
Remedial
the alleged offense. He testified that on
the date and time in question, he was
passing just by on his way to the house of
his parents-in-law when he was held by
men with firearms.  Believing that he had
not committed anything illegal, he resisted
the arrest. He learned of the criminal
charge only when he was brought to the
court.
The RTC rendered a decision finding John
guilty beyond reasonable doubt of the
crime of violation of Section 12, Article II
of R.A. 9165. The CA sustained the
judgment of conviction. Did the lower
courts rule correctly?
A: Yes. John was arrested during the
commission of a crime, which instance does not
require a warrant in accordance with Section 5
(a), Rule 113 of the Revised Rules on Criminal
Procedure. In arrest in flagrante delicto, the
accused is apprehended at the very moment he
is committing or attempting to commit or has
just committed an offense in the presence of the
arresting officer. To constitute a valid in
flagrante delicto arrest, two requisites must
concur: (1) the person to be arrested must
execute an overt act indicating that he has just
committed, is actually committing, or is
attempting to commit a crime; and (2) such
overt act is done in the presence or within the
view of the arresting officer(Saraum vs. People,
G.R. No. 205472, January 25, 2016).
2. Hot Pursuit Rule
a. When an offense has just been
committed, and the peace officer or
private person has probable cause to
believe based on personal knowledge of
facts or circumstances that the person
to be arrested has committed it (Rule
113, Sec. 5b).
Requisites: (JusPer)
i. An offense has just been committed. The
rule obviously emphasizes the immediacy of
the arrest reckoned form the commission of
Barthe crime. Operations
Commissions 481
481
 ii. The person making the arrest has personal
knowledge of the facts indicating that the
person to be arrested committed it.Hot
Pursuit Rule
 When an offense has just been committed,
and the peace officer or private person has
probable cause to believe based on
personal knowledge of facts or
circumstances that the person to be
arrested has committed it (Rule 113, Sec. 5b)
Requisites: (JusPer)
 An offense has just been committed. The
rule obviously emphasizes the immediacy of
the arrest reckoned form the commission of
the crime.
 The person making the arrest has personal
knowledge of the facts indicating that the
person to be arrested committed it.
It must be emphasized that “personal
knowledge” under hot pursuit does
not refer to actual knowledge of the crime
(as opposed to in flagrante delicto) because
the officer did not witness its commission.
The knowledge referred is knowledge that
the crime is committed even if it was not
committed in his presence.
Personal knowledge of facts must be based
on probable cause, which means an actual
belief or reasonable grounds of suspicion.
The grounds are reasonable when the
suspicion that the person to be arrested is
probably guilty of committing the offense is
based on actual facts.(Pestilos vs. Generoso,
G.R. No. 182601, November 10, 2014).
 Personal knowledge of the crime just
committed does NOT require actual
presence at the scene while a crime was
being committed; it is enough that evidence
of the recent commission of the crime is
patent and the police officer has probable
cause to believe based on personal
knowledge of facts or circumstances that
the person to be arrested has recently
482
committed the crime (Pestilos vs. Generoso
and People, G.R. No. 182601, November 10,
2014).
a. Personal knowledge of the crime just
committed does NOT require actual
presence at the scene while a crime was
being committed; it is enough that evidence
of the recent commission of the crime is
patent and the police officer has probable
cause to believe based on personal
knowledge of facts or circumstances that
the person to be arrested has recently
committed the crime (Pestilos vs. Generoso
and People, G.R. No. 182601, November 10,
2014).
Note: In the case of Pestiloscited above, the
facts and circumstances that the police
officers gathered and which they have
personally observed less than one hour from
the time that they have arrived at the scene
of the crime until the time of the arrest of
the petitioners were deemed reasonable to
conclude that the police officers had personal
knowledge of facts or circumstances
justifying petitioners’ warrantless arrests.
3. “Escape” Rule
a. When the person to be arrested is a
prisoner who has escaped from a penal
establishment or place where he is
serving final judgment or is temporarily
confined while his case is pending, or has
escaped while being transferred from one
confinement to another (Sec. 5 [c], Rule
113).
4. “Abscond” rule
a. An accused released on bail may be re-
arrested without the necessity of a
warrant if he attempts to depart from the
Philippines without permission of the
court where the case is pending (Rule 114,
Sec. 23).“Escape” Rule
2. When the person to be arrested is a
prisoner who has escaped from a penal
 Purple Notes
establishment or place where he is serving
final judgment or is temporarily confined
while his case is pending, or has escaped
while being transferred from one
confinement to another (Sec. 5 [c], Rule 113).
 “Abscond” rule
 An accused released on bail may be re-
arrested without the necessity of a
warrant if he attempts to depart from
the Philippines without permission of the
court where the case is pending (Rule
114, Sec. 23).
Notes:
 Even if the warrantless arrest of an accused
is later proven to be invalid, such fact is
NOT a sufficient cause to set aside a valid
judgment rendered upon a sufficient
complaint after a trial free from error
(People vs. Velasco, G.R. No. 190318, November
27, 2013).
 The legality of the arrest affects only the
jurisdiction of the court over the PERSON of
the accused. The illegality of the arrest
cannot, in itself, be the basis for acquittal
(People vs. Yau, G.R. No. 2081070, August 20,
2014).It will not negate the validity of the
conviction of the accused.
b. Even if the warrantless arrest of an accused
is later proven to be invalid, such fact is
NOT a sufficient cause to set aside a valid
judgment rendered upon a sufficient
complaint after a trial free from error
(People vs. Velasco, G.R. No. 190318, November
27, 2013).
c. The legality of the arrest affects only the
jurisdiction of the court over the PERSON of
the accused. The illegality of the arrest
cannot, in itself, be the basis for acquittal
(People vs. Yau, G.R. No. 2081070, August 20,
2014).It will not negate the validity of the
conviction of the accused.
7.E.3 Methods of Arrest
Criminal
Remedial
7.E.3 Methods of Arrest
7.E.3a Arrest by an Officer by Virtue of a
Warrant (Rule 113, Sec. 7)
General Rule:
The arresting officer shall inform the
person to be arrested of: (Cau-F)
1. the cause of the arrest; and,
2. the fact that a warrant has been issued
for his arrest .
Exceptions:
a. When the person to be arrested flees;
b. When the person to be arrested forcibly
resists before the officer has
opportunity to so inform him; or,
c. When the giving of such information
will imperil the arrest.(Riano, Criminal
Procedure, 2011 Edition, pp. 209-210) .
Q: If a warrant was already issued but at
the time of the arrest, the arresting officer
does not have the warrant on hand, may
an arrest be effected?
A: Yes. The officer need not have the
warrant in his possession at the time of
the arrest. However, after the arrest, if the
person arrested so requires, the warrant
shall be shown to him as soon as
practicable. (Rule 113, Sec. 7)
Objects subject to confiscation from the
person arrested (SuFru-CoW)
The following objects shall be confiscated:
1. Objects subject of the offense or used or
intended to be used in the commission of the
crime;
2. Objects which are fruits of the crime;
3. Those which might be used by the arrested
person to commit violence or to escape; and
4. Dangerous weapons and those which may
be used as evidence in the case.
Bar Operations
Commissions 483
483
  Objects subject of the offense or used or
intended to be used in the commission of
the crime;
 Objects which are fruits of the crime;
 Those which might be used by the arrested
person to commit violence or to escape;
and
 Dangerous weapons and those which may
be used as evidence in the case.
7.E.3b Arrest by an Officer Without
Warrant(Rule 113, Sec. 8)
General Rule: The officer shall inform the
person to be arrested of his authority and
the cause of the arrest.
Exceptions: (EnPuEI)
1. The person arrested is engaged in the
commission of an offense;
2. He is pursued immediately after its
commission;
3. He has escaped, flees, or forcibly resists
before the officer has opportunity to so
inform him; or,
4. When the giving of such information will
imperil the arrest.
1. The person arrested is engaged in the
commission of an offense;
2. He is pursued immediately after its
commission;
3. He has escaped, flees, or forcibly resists
before the officer has opportunity to so
inform him; or,
4. When the giving of such information will
imperil the arrest.
 Under R.A. No. 4136, or the Land
Transportation and Traffic Code, the
general procedure for dealing with a traffic
violation is not the arrest of the offender,
but the confiscation of the driver’s license
of the latter. If it were true that [Luz] was
already deemed "arrested" when he was
flagged down for a traffic violation and
while he is waiting for his ticket, then there
would have been no need for him to be
arrested for a second time — after the
police officers allegedly discovered the
drugs — as he was already in their custody.
484
The Court, however, cautions that the
ruling does not imply that there can be no
arrest for a traffic violation. When there is
an intent on the part of the police officer to
deprive the motorist of his liberty, or to
take the latter into custody, the former may
be deemed to have arrested the motorist
(Luz vs. People, G.R. No. 197788,February 29,
2012).
5) Under R.A. No. 4136, or the Land
Transportation and Traffic Code, the general
procedure for dealing with a traffic violation is
not the arrest of the offender, but the
confiscation of the driver’s license of the latter.
If it were true that [Luz] was already deemed
"arrested" when he was flagged down for a
traffic violation and while he is waiting for his
ticket, then there would have been no need for
him to be arrested for a second time — after the
police officers allegedly discovered the drugs —
as he was already in their custody.
The Court, however, cautions that the ruling
does not imply that there can be no arrest for a
traffic violation. When there is an intent on the
part of the police officer to deprive the motorist
of his liberty, or to take the latter into custody,
the former may be deemed to have arrested the
motorist. (Luz vs. People, G.R. No. 197788,February
29, 2012)
Additional Instances when an Officer may
Arrest without a Warrant
1. Evasion of service of sentence by prisoner -
When the person to be arrested is a prisoner
who has escaped from a penal establishment
or place where he is serving final judgment
or temporarily confined while his case is
pending, or has escaped while being
transferred (Rule 113, Sec. 5[2]);
2. Where a person who has been lawfully
arrested escapes or is rescued (Rule 113, Sec.
13);
3. By the bondsman for the purpose of
surrendering the accused (Rule 114, Sec. 23);
4. Where the accused out on bail attempts to
leave the country without permission of the
court (Rule 114, Sec. 23); and
5. Buy-bust Operation - A buy-bust operation is
a form of entrapment, in which the violator is
caught in flagrante delicto and the police
 Purple Notes
Criminal
Remedial
officers conducting the operation are not  36 hours - Afflictive or capital
only authorized, but dutybound, to penalties
apprehend the violator and to search him for
anything that may have been part of or used Note: The accused should be brought to the
in the commission of the crime. prosecutor for inquest proceedings wherein
 Evasion of service of sentence existence of probable cause will be determined.
by prisoner - When the person Then the judge shall issue a commitment order
to be arrested is a prisoner who (order issued by the judge when the person
has escaped from a penal charged with a crime is already arrested or
establishment or place where he detained) and not a warrant.
is serving final judgment or
temporarily confined while his 7.E.3c Arrest by Private Person (Rule 113,
case is pending, or has escaped Sec. 9)
while being transferred (Rule Citizen’s arrest – arrest effected by a private
113, Sec. 5[2]);
person.
 Where a person who has been
lawfully arrested escapes or is
General Rule:
rescued (Rule 113, Sec. 13);
 By the bondsman for the
The private person shall inform the person to be
purpose of surrendering the
arrested of the: (InCau)
accused (Rule 114, Sec. 23);
 Where the accused out on bail
1. intention to arrest him; and
attempts to leave the country
2. the cause of the arrest.
without permission of the court
1. intention to arrest him; and
(Rule 114, Sec. 23); and
2. the cause of the arrest.
 Buy-bust Operation - A buy-
bust operation is a form of
Exceptions: (EnPuEI)
entrapment, in which the
violator is caught in flagrante
1. The person arrested is engaged in the
delicto and the police officers
commission of an offense;
conducting the operation are
2. He is pursued immediately after its
not only authorized, but
commission;
dutybound, to apprehend the
3. He has escaped, flees, or forcibly resists
violator and to search him for
before the officer has opportunity to so
anything that may have been
inform him; or,
part of or used in the
4. When the giving of such information will
commission of the crime.
imperil the arrest.(Rule 113, Sec. 5.)
 The person arrested is engaged in the
Period for Officers to Deliver the Person
commission of an offense;
Detained under Art. 125 of the RPC
 He is pursued immediately after its
commission;
The person must be delivered to the judicial
 He has escaped, flees, or forcibly resists
authorities within the period specified in Art.
before the officer has opportunity to so
125 (Delay in the delivery of detained persons
inform him; or,
to the proper judicial authorities):
 When the giving of such information will
imperil the arrest.(Rule 113, Sec. 5.)
1. 12 hours - Light penalties
2. 18 hours - Correctional penalties
3. 36 hours - Afflictive or capital penalties
7.E.4 Requisites of a Valid Warrant of
 12 hours - Light penalties
Arrest (Pro-DExDe)
 18 hours - Correctional
penalties Bar Operations
Commissions 485
485
1. it must be issued upon "probable cause";
2. probable cause must be determined
personally by the judge;
3. such judge must examine under oath or
affirmation the complainant and the
witnesses he may produce; and,
4. the warrant must particularly describe the
place to be searched and the persons or
things to be seized (People vs. Chua, G.R. No.
149878, July 1, 2003)
Note:A warrant of arrest has no expiry date. It
remains valid until arrest is effected or warrant
is lifted (Manangan vs. CFI, G.R. No. 82760, Aug. 30,
1990).
7.E.5 Determination of Probable Cause for
Issuance of Warrant of Arrest
Upon filing of an information, the Regional Trial
Court may issue a warrant for the arrest of the
accused after conducting the required
proceedings. (Section 6 (a), Rule 112).
 The judge is not required to personally
examine the complainant and his witnesses.
(People vs. Inting, G.R. No. 88919, July 25,
1990; Ho vs. People G.R. No. 106632, October
9, 1997)
 Officer may Summon Assistance (Rule 113,
 If the judge conducting the preliminary
investigation is satisfied after an
examination in writing and under oath of
the complainant and his witnesses in the
form of searching questions and answers,
that a probable cause exists and that there
is a necessity of placing the respondent
under immediate custody in order not to
frustrate the ends of justice, he shall issue a
warrant of arrest. (Section 6 (b), Rule 112)
Here, the Judge conducting the preliminary
investigation should follow the above
procedures in order to be satisfied on the
necessity in issuing the warrant. (Lumbos vs.
Judge Baliguat, A.M. No. MTJ-06-1641, July 27,
2006).
Upon filing of an information, the Regional Trial
Court may issue a warrant for the arrest of the
accused after conducting the required
proceedings. (Section 6 (a), Rule 112).
486
a) The judge is not required to personally
examine the complainant and his witnesses.
(People vs. Inting, G.R. No. 88919, July 25,
1990; Ho vs. People G.R. No. 106632, October
9, 1997)
a. If the judge conducting the preliminary
investigation is satisfied after an
examination in writing and under oath of
the complainant and his witnesses in the
form of searching questions and answers,
that a probable cause exists and that there
is a necessity of placing the respondent
under immediate custody in order not to
frustrate the ends of justice, he shall issue a
warrant of arrest. (Section 6 (b), Rule 112)
Here, the Judge conducting the preliminary
investigation should follow the above procedures
in order to be satisfied on the necessity in
issuing the warrant. (Lumbos vs. Judge Baliguat,
A.M. No. MTJ-06-1641, July 27, 2006).
Time of Making Arrest (Rule 113, Sec. 6)
An arrest may be made on any day and at any
time of the day or night.
Sec. 10)
Every person so summoned shall assist the
officer in effecting the arrest when he can
render assistance without detriment to himself.
Note: The duty of the person summoned does
not arise when rendering assistance would
cause harm to himself.
Right of Officer to Break Into Building or
Enclosure (Rule 113, Sec. 11)
Requisites: (BAu-Ref)
4. That the person to be arrested is or is
reasonably believed to be inthe building or
enclosure;
5. That the officer announced his authority and
purpose; AND,
6. That the officer has been refused admittance
thereto.
 Purple Notes
Time of Making Arrest (Rule 113,
Sec. 6)
An arrest may be made on any day and at any
time of the day or night.
Officer may Summon Assistance (Rule 113,
Sec. 10)
Every person so summoned shall assist the
officer in effecting the arrest when he can
render assistance without detriment to himself.
Note: The duty of the person summoned does
not arise when rendering assistance would
cause harm to himself.
Right of Officer to Break Into Building or
Enclosure (Rule 113, Sec. 11)
Requisites: (BAu-Ref)
5) That the person to be arrested is or is
reasonably believed to be inthe building or
enclosure;
6) That the officer announced his authority
and purpose; AND,
7) That the officer has been refused
admittance thereto.
Right to Break Out from Building or
Enclosure(Rule 113, Sec. 12)
Requisites: (En-Lib)
a. An officer has entered the building or
enclosure in accordance with Sec. 11 of Rule
113 above; and,
b. Breaking out from the building or enclosure
is necessary to liberate himself.
Note: The right to break into and out of a
building is NOT extended to a private person
even if his purpose is to make an arrest.
Arrest After Escape or Rescue (Rule 113, Sec.
13)
Any person may immediately pursue or retake,
without a warrant at any time and in any place
within the Philippines, a person who escapes or
is rescued.
Criminal
Remedial
The escapee must have been lawfully arrested.
Right of Attorney or Relative to Visit
Person Arrested (Rule 113, Sec. 14)
It must be made at the request of the person
arrested or of another acting in his behalf.
Scope of the Right
1. To visit; and,
2. To confer privately with such person.
Who is Entitled to this Right?
3. Any member of the Philippine bar; or
4. A relative of the person arrested, subject to
reasonable regulations.
Time of Visit
Any hour of the day or night.
Probable Cause of Fiscal vs. Probable
Cause of Judge
 The fiscal’s determination of probable cause
is made during the preliminary investigation
and is for the purpose of determining
whether a criminal action should be brought
against the respondent under a belief that a
crime has been committed and that the
latter is the one to have committed it.
 The judge’s determination of probable cause
is made to determine whether a search
warrant or warrant of arrest should be
issued on the finding that a crime has been
committed and that evidence corresponding
thereto is in the place to be searched or that
the accused should be put in custody for
being the likely perpetrator of the crime.
(Riano, Criminal Procedure, 2011 Edition, pp.
202-208).
Right to Break Out from Building or
Enclosure(Rule 113, Sec. 12)
Requisites: (En-Lib)
Bar Operations
Commissions 487
487
 4) An officer has entered the building or
enclosure in accordance with Sec. 11 of Rule
113 above; and,
5) Breaking out from the building or enclosure
is necessary to liberate himself.
Note: The right to break into and out of a
building is NOT extended to a private person
even if his purpose is to make an arrest.
5. The judge’s determination of probable cause is
made to determine whether a search warrant or
warrant of arrest should be issued on the finding
that a crime has been committed and that
evidence corresponding thereto is in the place to
be searched or that the accused should be put
in custody for being the likely perpetrator of the
crime.(Riano, Criminal Procedure, 2011 Edition, pp.
202-208).

Arrest After Escape or Rescue (Rule 113, Sec.

13)

Any person may immediately pursue or retake,

without a warrant at any time and in any place
within the Philippines, a person who escapes or
is rescued.
The escapee must have been lawfully arrested.
Difference between Determination of
Probable Cause by a Fiscal and Determinal
of Probable Cause by a Judge:

Right of Attorney or Relative to Visit DETERMINATION DETERMINATION OF

Person Arrested (Rule 113, Sec. 14) OF PROBABLE PROBABLE CAUSE
CAUSE BY A FISCAL BY A JUDGE
It must be made at the request of the person The Constitutional Judge should
arrested or of another acting in his behalf. requirements of personally examine
having affidavits under
and confirmation oath/affirmation the
Scope of the Right are not mandatory complainant and the
with fiscals. witnesses may
a.To visit; and, produce (Section 2,
b.To confer privately with such person. Article III, 1987
Philippine
Who is Entitled to this Right? Constitution)
Fiscal’s preliminary The question of
a. Any member of the Philippine bar; or determination of whether “probable
probable cause is cause” exists or not
b. A relative of the person arrested, subject to
only depends upon the
reasonable regulations. recommendatory judgment and
and still subject to discretion of the
Time of Visit the review of the judge issuing the
judge. warrant.
Any hour of the day or night.
The fiscal’s probable The determination
cause may be of probable cause by
Probable Cause of Fiscal vs. Probable reviewed and the judge is final
Cause of Judge changed by the and conclusive.
judge reviewing the
4. The fiscal’s determination of probable cause is
case. Also, judges may
made during the preliminary investigation and is not issue a warrant
for the purpose of determining whether a of arrest without a
criminal action should be brought against the recommendation for
respondent under a belief that a crime has been bail and the amount
committed and that the latter is the one to have thereof indicated in
committed it. the warrant itself.
(Riano, Criminal Procedure, 2011 Edition, pp. 202-
208).

488

Q: What is meant by probable cause in
connection with the issuance of a warrant
of arrest?
A: Probable cause for the issuance of a warrant
of arrest is the existence of such facts and
circumstances that would lead a reasonably
discreet and prudent person to believe that an
offense has been committed by the person
sought to be arrested (Ho vs. People, G.R. No.
106632, October 9, 1997).
Q: May the accused file a motion for
judicial determination of probable cause?
A: No. A motion for judicial determination of
probable cause is a prohibited motion and shall
be denied outright before the scheduled
arraignment without need of comment and/or
opposition (A.M. No. 15-06-10-SC, Subheading III,
Item No. 2).
7.F. BAIL (Rule 114)
7.F.1 Nature of Right to Bail
 The right to bail is a constitutional right.
The right to bail springs from the
presumption of innocence accorded to
every accused upon whom should not be
inflicted incarceration at the outset, since
after the trial, he would be entitled to
acquittal, unless guilt be established
beyond reasonable doubt (Paderanga vs.
Court of Appeals, G.R. No. 115407, August 28,
1995).
 constitutional rights which can be waived. It is a
 This presumption of innocence is rooted in
the guarantee of due process, and is
safeguarded by the constitutional right to
be released on bail, and further binds the
court to wait until after trial to impose any
punishment on the accused (Enrile vs.
Sandiganbayan [Third Division], G.R.
213847, August 18, 2015).
9. The right to bail is a constitutional right.
The right to bail springs from the
presumption of innocence accorded to
every accused upon whom should not be
Purple Notes
Criminal
Remedial
inflicted incarceration at the outset, since
after the trial, he would be entitled to
acquittal, unless guilt be established
beyond reasonable doubt (Paderanga vs.
Court of Appeals, G.R. No. 115407, August 28,
1995).
10. This presumption of innocence is rooted
in the guarantee of due process, and is
safeguarded by the constitutional right to
be released on bail, and further binds the
court to wait until after trial to impose
any punishment on the accused (Enrile vs.
Sandiganbayan [Third Division], G.R. No.
213847, August 18, 2015).
Bail is not intended to cover the civil liability of
the accused in the same criminal case.
However, it may be applied to the payment of
fines and costs while the excess, if any, shall be
returned to the accused or to whoever made the
deposit (Rule 114, Sec. 14).
It is the security given for the release of a
person in custody of the law, furnished by him
or a bondsman, to guarantee his appearance
before any court as required under the
conditions specified by the rule. (Rule 114, Sec.
1).
Q: What is the purpose of bail?
A: To relieve an accused from the rigors of
imprisonment until his conviction and secure his
appearance at the trial(Almeda vs. Villaluz, etc., et
al., L-31665, August 6, 1975).
Q: Can the right to bail be waived?
A: The right to bail is another of the
right which is personal to the accused and
whose waiver would not be contrary to law,
public order, public policy, morals or good
customs, or prejudicial to a third person with a
right recognized by law (People vs. Donato, G.R.
No. 79269, June 05, 1991).
No.
Conditions of the bail; requirements (Rule
114, Sec. 2)
All kinds of bail are subject to the following
Bar
conditions: Operations
Commissions 489
489

4. Effectivity – Effective upon approval, and
shall remain in force at all stages of the case
until promulgation of the judgment of the
Regional Trial Court, irrespective of whether
the case was originally filed in or appealed
to it, UNLESS cancelled.
5.
6. Appearance – The accused shall appear
before the proper court whenever required
by the court or these Rules.
7.
8. Trial in absentia – The failure of the
accused to appear at the trial without
justification and despite due notice shall be
deemed a waiver of his right to be present
thereat. In such case, the trial may proceed
in absentia.
9.
10. Duty of bondsman – The bondsman shall
surrender the accused to the court for
execution of the final judgment.(Rule 114,
Sec. 2)
11.
12. Original papers – These shall state the:
13.
a. Full name of the accused;
b. Address of the accused;
c. Amount of the undertaking;
d. Conditions required;
e. Photographs (passport size) taken
within the last 6 months showing the
face, left and right profiles of the
accused which must be attached to the
bail.
 A court cannot entertain an accused’s
motion or petition for bail unless he is in the
custody of law (Dinapol vs. Baldado, Adm. Mat.
No. RTJ-92-898, August 05, 1993).
 Effectivity – Effective upon approval,
and shall remain in force at all stages of the
case until promulgation of the judgment of
the Regional Trial Court, irrespective of
whether the case was originally filed in or
appealed to it, UNLESS cancelled.
 Appearance – The accused shall
appear before the proper court whenever
required by the court or these Rules.
490
 Trial in absentia – The failure of the
accused to appear at the trial without
justification and despite due notice shall be
deemed a waiver of his right to be present
thereat. In such case, the trial may proceed
in absentia.
 Duty of bondsman – The bondsman
shall surrender the accused to the court for
execution of the final judgment.(Rule 114,
Sec. 2)
 Original papers – These shall state
the:
 Full name of the accused;
 Address of the accused;
 Amount of the undertaking;
 Conditions required;
 Photographs (passport size) taken
within the last 6 months showing the
face, left and right profiles of the
accused which must be attached to the
bail.
b) A court cannot entertain an accused’s
motion or petition for bail unless he is in the
custody of law (Dinapol vs. Baldado, Adm. Mat.
No. RTJ-92-898, August 05, 1993).
Effects of Failure to Appear at Trial (Rule
114, Sec. 2[c]).
Failure of the accused to appear at the trial
without justification despite due notice shall be
deemed a waiver of his right to be present and
the trial may proceed in absentia.
Court cannot Require Arraignment before
the Grant of Bail
The grant of bail should not be conditioned
upon the prior arraignment of the accused. In
cases where bail is authorized, bail should be
granted before arraignment; otherwise, the
accused will be precluded from filing a motion to
quash which is to be done before arraignment.
If the information is quashed and the case is
 Purple Notes
dismissed, there would be no need for the
arraignment of the accused.
 To condition the grant of bail on his
arraignment would be to place him in a
position where he has to choose between
(1) filing a motion to quash and thus delay
his release until his motion can be resolved
because prior to its resolution, he cannot be
arraigned; and, (2) foregoing the filing of a
motion to quash so that he can be arraigned
at once and thereafter be released on bail.
These scenarios undermine the accused’s
constitutional right not to be put on trial
except upon a valid complaint or information
sufficient to charge him with a crime and his
right to bail (Lavides vs. Court of Appeals, G.R.
No. 129670,February 01, 2000).
b. To condition the grant of bail on his
arraignment would be to place him in a
position where he has to choose between
(1) filing a motion to quash and thus delay
his release until his motion can be resolved
because prior to its resolution, he cannot
be arraigned; and, (2) foregoing the filing
of a motion to quash so that he can be
arraigned at once and thereafter be
released on bail. These scenarios
undermine the accused’s constitutional
right not to be put on trial except upon a
valid complaint or information sufficient to
charge him with a crime and his right to
bail (Lavides vs. Court of Appeals, G.R. No.
129670,February 01, 2000).
No Release or Transfer except on Court
Order (Rule 114, Sec. 3)
General Rule: No person under detention by
legal process shall be released or transferred.
Exceptions: (OrBa)
 When ordered by the court; or
 When he is admitted to bail.
Rules on Availability of Bail (Rule 114, Sec. 7)
Criminal
Remedial
Regardless of the stage of the criminal
prosecution, no bail shall be allowed if the
accused is charged with a capital offense or an
offense punishable by reclusion perpetua and
the evidence of guilt is strong.
 Whether bail is a matter of right or
discretion, and even if no charge has yet
been filed in court against a respondent-
suspect-detainee, reasonable notice of
hearing is required to be given to the
prosecutor, or at least his recommendation
must be sought (Prov. Prosecutor Floresca vs.
Judge Ubiadas, A.M. No. RTJ-03-1774, May 27,
2004).
(d) Whether bail is a matter of right or
discretion, and even if no charge has yet
been filed in court against a respondent-
suspect-detainee, reasonable notice of
hearing is required to be given to the
prosecutor, or at least his recommendation
must be sought (Prov. Prosecutor Floresca vs.
Judge Ubiadas, A.M. No. RTJ-03-1774, May 27,
2004).
7.F.2 When Bail is a Matter of Right (Rule
114, Sec. 4)
1. Before or after conviction by the MeTC,
MTC, MTC in Cities or Municipal Circuit Trial
Court; and,
2. Before conviction by the Regional Trial
Court.
3. Bail is a matter of right even prior to
conviction for an offense punishable by
death, reclusion perpetua , or life
imprisonment when evidence of guilt is not
strong(Enrile vs. Sandiganbayan,G.R. No.
213847, August 18, 2015).
Exception: Where the offense is punishable by
death, reclusion perpetua or life imprisonment
AND the evidence of guilt is strong(Rule 114, Sec.
7).
Note: The right to bail shall NOT be impaired
even when the privilege of the writ of habeas
corpus is suspended (Sec. 13, Art. III,
Constitution).
 The right to bail, embodied in the
Constitution, is not available to military
Bar Operations
personnel or officer charged with a
Commissions 491
491
 violation of the Articles of War (Aswat vs.
Galido, G.R. No. 88381-82, November 21,
1991).
Q: If the initial bail of the accused was
forfeited for his failure to appear during
trial, may the court reject his application
for new bail when bail is a matter of right?
A: No. Bail before conviction is a constitutional
right of an accused, except in prosecutions for
capital offenses where the proof of guilt is
strong. Other than this, the Constitution makes
no exceptions. The existence of high degree of
probability that the defendant will abscond
confers upon the court no greater discretion
than to intend to assure the presence of the
defendant when it is wanted, such amount to be
subject, of course, to the other provision of the
same section and paragraph cited, that
excessive bail shall not be required. (Sy Guan vs.
Amparo, G.R. No. L-1771, December 4, 1947)
Q: What is the effect of bail, as a matter of
right, to Prosecution?
A: Before conviction, bail is a matter of right for
all offenses punishable by lower than reclusion
perpetua, as to which the prosecution does not
have the right to oppose nor to present
evidence for its denial. (People vs. Donato,G.R. No.
79269, June 05, 1991)
7.F.3 When Bail is Discretionary (Rule 114,
Sec. 5)
Upon conviction by the RTC of an offense not
punishable by death, reclusion perpetua or
life imprisonment
 Admission to bail as a matter of
discretion presupposes the exercise
thereof in accordance with law and
guided by the applicable legal
principles. The prosecution must first
be accorded an opportunity to present
evidence because by the very nature
of deciding applications for bail, it is
on the basis of such evidence that
judicial discretion is weighed against
in determining whether the guilt of
the accused is strong. In other words,
discretion must be exercised
492
regularly, legally and within the
confines of procedural due process,
that is, after the evaluation of the
evidence submitted by the
prosecution. Any order issued in the
absence thereof is not a product of
sound judicial discretion but of whim
and caprice and outright arbitrariness
(Prov. Prosecutor Floresca vs. Judge
Ubiadas, A.M. No. RTJ-03-1774, May 27,
2004, citing A.M. No. RTJ-01-1633, June
19, 2001).
General Rule: The application for bail may
be filed and acted upon by the trial court
despite the filing of a notice of appeal,
provided it has not transmitted the
original record to the appellate court.
Exception: If the decision of the RTC
convicting the accused changed the nature
of the offense from non-bailable to
bailable, in which case, the application can
only be filed with and resolved by the
appellate court(Rule 114, Sec. 5).
When Application for Bail AFTER
CONVICTION by the RTC shall be Denied:
1. If the penalty imposed is death, reclusion
perpetua or life imprisonment, bail should
be denied since the conviction indicates
strong evidence of guilt based on proof
beyond reasonable doubt (People vs. Nitcha,
G.R. No. 113517, January 19, 1995).
2. Even if the penalty imposed by the trial
court is not any of the above but merely
imprisonment exceeding six (6) years, the
accused shall be denied bail, or his bail
already allowed shall be cancelled, if the
prosecution shows the following or other
similar circumstances:
a. That the accused is a recidivist, quasi-
recidivist or habitual delinquent or
committed a crime aggravated by the
circumstances of reiteracion.
b. That the accused previously escaped from
legal confinement, evaded his sentence or
violated the conditions of bail without
valid justification.
 Purple Notes
c. That the accused has committed the
offense while on probation, parole or
under conditional pardon.
d. Circumstance of the accused or his case
indicates the probability of flight if
released on bail.
e. Undue risk of commission of another
crime by the accused during pendency of
appeal. (Leviste vs. Court of Appeals, G.R.
No. 189122, March 17, 2010)
7.F.4 Hearing of application for bail in
capital offenses.
Court that may act upon the Application
for Bail
The trial court– despite the filing of a notice of
appeal, UNLESS it has transmitted the original
record to the appellate court. (applies to prior
item, subclause “2.a”)
The appellate court – if from the decision of
the trial court, conviction of the accused
changed the nature of the offense from non-
bailable to bailable. (applies to prior item,
subclause “2.c”)
Note: Applications for bail in cases where the
grant of bail is a matter of discretion, or where
the accused seeks to be released on
recognizance, can ONLY be filed in the court
where the case is pending on trial or on appeal
(A.M. No. 05-8-26-SC).
1. After conviction by the RTC imposing a
penalty of imprisonment exceeding 6 years
but not more than 20 years and any of the
circumstance enumerated above and other
similar circumstance is present and proved,
no bail shall be granted (Rule 114, Sec. 5).
2. After judgment has become final, no bail
shall be allowed unless accused applied for
probation before commencing to serve
sentence or penalty and the offense is within
the purview of probation law(Rule 114, Sec.
25).
Capital Offense is an offense which, under the
law existing at the time of its commission and of
Criminal
Remedial
the application for admission to bail, may be
punished with death (Rule 114, Sec. 7).
If the penalty imposed is death, reclusion
perpetua or life imprisonment, bail should be
denied since the conviction indicates strong
evidence of guilt based on proof beyond
reasonable doubt (People vs. Nitcha, G.R. No.
113517, January 19, 1995).
4. Even if the penalty imposed by the trial
court is not any of the above but merely
imprisonment exceeding six (6) years,
the accused shall be denied bail, or his
bail already allowed shall be cancelled, if
the prosecution shows the following or
other similar circumstances:
d) That the accused is a recidivist, quasi-
recidivist or habitual delinquent or
committed a crime aggravated by the
circumstances of reiteracion.
e) That the accused previously escaped
from legal confinement, evaded his
sentence or violated the conditions of
bail without valid justification.
f) That the accused has committed the
offense while on probation, parole or
under conditional pardon.
g) Circumstance of the accused or his case
indicates the probability of flight if
released on bail.
h) Undue risk of commission of another
crime by the accused during pendency
of appeal.(Leviste vs. Court of Appeals,
G.R. No. 189122, March 17, 2010)
7.F.4 Hearing of application for bail in
capital offenses.
Court that may Act upon the Application
for Bail
The trial court– despite the filing of a notice of
appeal, UNLESS it has transmitted the original
record to the appellate court. (applies to prior
item, subclause “2.a”)
Bar Operations
Commissions 493
493
The appellate court – if from the decision of
the trial court, conviction of the accused
changed the nature of the offense from non-
bailable to bailable. (applies to prior item,
subclause “2.c”)
Note: Applications for bail in cases where the
grant of bail is a matter of discretion, or where
the accused seeks to be released on
recognizance, can ONLY be filed in the court
where the case is pending on trial or on appeal
(A.M. No. 05-8-26-SC).
g. After conviction by the RTC imposing a
penalty of imprisonment exceeding 6 years
but not more than 20 years and any of the
circumstance enumerated above and other
similar circumstance is present and proved,
no bail shall be granted (Rule 114, Sec. 5).
h. After judgment has become final, no bail
shall be allowed unless accused applied for
probation before commencing to serve
sentence or penalty and the offense is
within the purview of probation law (Rule
114, Sec. 25).
Capital Offense is an offense which,
under the law existing at the time of its
commission and of the application for admission
to bail, may be punished with death (Rule 114,
Sec. 7).
Note: Death Penalty cannot be imposed,
pursuant to R.A. No. 9346, which became a law
on June 24, 2006.
Non-bailable Offense (Rule 114, Sec. 7)
When evidence of guilt is strong, no person
charge with a capital offense or an offense
punishable by reclusion perpetua or life
imprisonment shall be admitted to bail.
Burden of Proof in Bail Application (Rule
114, Sec. 8)
The prosecution has the burden of showing
that evidence of guilt is strong at the hearing of
an application for bail filed by a person who is in
custody for the commission of an offense
494
punishable by death, reclusion perpetua, or life
imprisonment.
Reason: Bail is a matter of right.
The hearing should be summary or otherwise, in
the discretion of the court, but the right of the
prosecution to control the quantum of evidence
and the order of presentation of witnesses must
be equated with the purpose of the hearing, i.e.,
to determine the bailability of the accused.
Summary hearing is such brief and speedy
method of receiving and considering the
evidence of guilt as practicable and consistent
with the purpose of the hearing which is merely
to determine the weight of the evidence for
purposes of bail.
As evidence presented under this section are
automatically reproduced at the trial, the
proceedings should be conducted as a regular
trial. But upon motion of either party, the court
may recall any witness for additional
examination when the latter is dead, outside of
the Philippines or otherwise unavailable to
testify.
 A hearing is mandatory in granting bail
whether it is a matter of right or discretion.
It must be stressed that the grant or the
denial of bail in cases where bail is a matter
of discretion, hinges on the issue of
whether or not the evidence of guilt of the
accused is strong. The determination of
whether or not the evidence is strong is a
matter of judicial discretion which remains
with the judge. In order for the latter to
properly exercise his discretion, he must
first conduct a hearing to determine
whether the evidence of guilt is strong. In
fact, even in cases where there is no
petition for bail, a hearing should still be
held (Zuno vs. Cabebe, A.M. OCA No. 03-1800-
RTJ, November 26, 2004).
7.F.5 Guidelines in Fixing The Amount Of
Bail(Rule 114, Sec. 9)
3. Excessive bail shall not be required.
 Purple Notes
4. The remedy of the accused where there is
excessive bail is a Motion for Reduction
of Bail, which is a litigated motion.
a) Excessive bail shall not be required.
b) The remedy of the accused where there
is excessive bail is a Motion for Reduction
of Bail, which is a litigated motion.
Factors for Fixing Reasonable Amount of
Bail (list not exclusive)
1. Financial capacity of the accused to give
bail;
2. Nature and circumstances of the offense;
3. Penalty for the offense charged;
4. Character and reputation of the accused;
5. Age and health of the accused;
6. Weight of the evidence against the
accused;
7. Probability of the accused appearing at the
trial;
8. Forfeiture of other bail;
9. The fact that the accused was a fugitive
from justice when arrested; and
 10.Pendency of other cases where the
accused is on bail.Financial capacity of the
accused to give bail;
 Nature and circumstances of the offense;
 Penalty for the offense charged;
 Character and reputation of the accused;
 Age and health of the accused;
 Weight of the evidence against the
accused;
 Probability of the accused appearing at the
trial;
 Forfeiture of other bail;
 The fact that the accused was a fugitive
from justice when arrested; and
 Pendency of other cases where the accused
is on bail.
Note: The order fixing the amount of bail is
NOT appealable (Sec. 4, A.M. No. 12-11-2 SC,
Guidelines for Decongesting Jails by Enforcing the
Rights of Accused Persons to Bail and to Speedy Trial,
Effective May 1, 2014).
Forms of Bail: (CorP-DepRec)
Criminal
Remedial
a.) Corporate surety;
b.) Property bond;
c.) Cash deposit; or
d.) Recognizance.
Corporate Surety (Rule 114, Sec. 10).
This bail furnished by a corporation. Under the
Rules of Court, any domestic or foreign
corporation, which is licensed as a surety and
authorized to act as such, may provide bail by a
bond subscribed jointly by the accused and an
officer of the corporation duly authorized by the
board of directors.
Requisites:
1. Joint affidavit of the accused and duly
authorize d officer of the corporation;
2. Accreditation from the court where the case
is pending;
3. Accreditation from the Supreme Court of the
surety company; and,
4. Submission of picture of the accused (not
earlier than 6 months prior)—at least 3 (Rule
114, Sec. 3).
Effectivity of a Corporate Surety Bond
General Rule: Until termination of the case;
Exception: When the surety corporation
cancels it for non-payment of premium.
Property bond(Rule 114, Sec. 11)
It is an undertaking constituted as lien on the
real property given as security for the amount of
the bail.
 When there is no showing that the
bondsman is the true owner of the land
offered as bond, the court may properly
refuse to accept the same (Lira, Jr. vs. Hon.
Reyes, 4 C.A. Rep. 614).
The following should be presented in court:
1. Transfer Certificate of Title; and,
2. Bar
Tax Declaration.Operations
Commissions 495
495

Note: Property bond need not be the property
of the accused.
Qualifications of Sureties in Property Bond
1. Each must be a resident owner of real estate
within the Philippines;
2. Where there is only one surety, his real
estate must be worth at least the amount of
undertaking;
3. If there are two or more sureties, each may
justify in an amount less than that expressed
in the undertaking but the aggregate of the
justified sums must be equivalent to the
whole amount of the bail demanded.
3. Each must be a resident owner of real
estate within the Philippines;
4. Where there is only one surety, his real
estate must be worth at least the amount
of undertaking;
5. If there are two or more sureties, each
may justify in an amount less than that
expressed in the undertaking but the
aggregate of the justified sums must be
equivalent to the whole amount of the bail
demanded.
In all cases, every surety must be worth the
amount specified in his own undertaking over
and above all just debts, obligations and
properties exempt from execution.(Sec. 12,
Admin. Circ. No. 12-94, August 16, 1994)
Justification of Sureties
Every surety shall justify by affidavit taken
before the judge that he possesses the
qualification of sureties in property bonds and
describe his property.(Rule 114, Sec. 13)
The court may examine the sureties upon oath
concerning their sufficiency in such manner as it
may deem proper.
No bail shall be approved unless the surety is
qualified.
Q: What are the requisites in accepting a
surety bond?
496
A: Before accepting a surety or bail bond, the
following requisites must be complied with:
1. photographs of the accused,
2. affidavit of justification,’
3. clearance from this Court,
4. certificate of compliance with Circular No. 66
[19 September 1966] of the Insurance
Commissioner,
5. authority of the agent, and
6. current certificate of authority issued by the
Insurance Commissioner with a financial
statement showing the maximum
underwriting capacity of the surety company
(Mangalindan vs. CA, Adm. Matter No. MTJ-94-
932, July 14, 1995).
 photographs of the accused,
 affidavit of justification,’
 clearance from this Court,
 certificate of compliance with
Circular No. 66 [19 September
1966] of the Insurance
Commissioner,
 authority of the agent, and
 current certificate of authority
issued by the Insurance
Commissioner with a financial
statement showing the maximum
underwriting capacity of the surety
company(Mangalindan vs. CA, Adm.
Matter No. MTJ-94-932, July 14, 1995).
Deposit of Cash as Bail (Rule 114, Sec. 14)
Who may deposit in cash:
a.) The accused; or
b.) Any person acting in his behalf.
To whom the cash is deposited:
a.) With the nearest Collector of Internal
Revenue;
b.) Provincial, City or Municipal Treasurer; or,
c.) The clerk of court where the case is
pending.
 A judge is not one of those authorized to
receive a deposit of cash bail; nor should
such cash be kept in the judge’s office,
much less in his own residence (Naui vs.
 Purple Notes
Mauricio, A.M. No. MTJ-01-1368, October 23,
2003).
Amount of Deposit (Bail)
a) The amount of bail fixed by the court; or,
b) The amount of bail recommended by the
prosecutor or who investigated or filed the
case.
 The bail bond posted for the accused was
in the form of cash deposit which, as
mandated by Rule 114, Sec. 14 shall be
applied to the payment of fine and costs,
and the excess, if any, shall be returned to
the accused or to any person who made
the deposit. The Rule thus treats a cash
bail differently from other bail bonds. A
cash bond may be posted either by the
accused or by any person in his behalf.
When a cash bail is allowed, the two parties
to the transaction are the State and the
defendant. Unlike other bail bonds, the
money may then be used in the payment of
that in which the State is concerned – the
fine and costs. The right of the government
is in the nature of a lien on the money
deposited.(Esteban vs. Alhambra, G.R. No.
135012, September 7, 2004).
Recognizance (Rule 114, Sec. 15)
Recognizance is a mode of securing the release
of any person in custody or detention for the
commission of an offense who is unable to post
bail due to abject poverty. (Section 3, R.A. No.
10389 Entitled “An Act Institutionalizing Recognizance
as a Mode of Granting the Release of an Indigent
Person in Custody as an Accused in a Criminal Case
and for other purposes)
The court where the case of such person has
been filed shall allow the release of the accused
on recognizance as provided herein, to the
custody of a qualified member of the barangay,
city or municipality where the accused resides.
Whenever allowed by the law or the Rules, the
court may release a person in custody on his
own recognizance or that of a responsible
person.
Criminal
Remedial
Instances When Accused may be Released
on Recognizance
1. Where a person has been in custody for a
period equal to or more than the minimum
of the imposable principal penalty, without
application of the Indeterminate Sentence
Law or any modifying circumstance, the
court, in its discretion, may allow his
release on a reduced bail or on his own
recognizance (Rule 114, Sec. 16).
2. Where, after judgment of conviction but
before its finality, the accused applies for
probation and no bail was filed or he is
incapable of filing one, the court may allow
his release on recognizance to the custody
of a responsible member of the community
(Rule 114, Sec. 24 in relation to Sec. 7, P.D.
968, Probation System Act, as amended).
3. In case of a youthful offender held for
physical and mental examination, trial or
appeal, if unable to furnish bail and under
the circumstances contemplated in The
Child and Youth Welfare Code (Art. 191, P.D.
603, The Child and Youth Welfare Code as
amended).
4. When the offense charged is a violation of
an ordinance, a light felony or a criminal
offense the imposable penalty for which is
not higher than 6 months imprisonment
and/ or Php. 2,000 fine under the
circumstances provided in R.A. No. 6036.
5. When the person in custody or detention is
unable to post bail due to abject poverty
(Section 3, R.A. No. 10389).
3. Where a person has been in custody for a
period equal to or more than the minimum
of the imposable principal penalty, without
application of the Indeterminate Sentence
Law or any modifying circumstance, the
court, in its discretion, may allow his release
on a reduced bail or on his own
recognizance (Rule 114, Sec. 16).
4. Where, after judgment of conviction but
before its finality, the accused applies for
probation and no bail was filed or he is
incapable of filing one, the court may allow
his release on recognizance to the custody
of a responsible member of the community
(Rule 114, Sec. 24 in relation to Sec. 7, P.D. 968,
Bar Operations
Probation System Act, as amended).
Commissions 497
497
5. In case of a youthful offender held for maximum imprisonment prescribed for the
physical and mental examination, trial or offense charged, without prejudice to the
appeal, if unable to furnish bail and under continuation of the trial or the proceedings
the circumstances contemplated in The on appeal.
Child and Youth Welfare Code (Art. 191, P.D. f) When the maximum penalty to which the
603, The Child and Youth Welfare Code as accused may be sentenced isdestierro, but
amended). only after 30 days of preventive
6. When the offense charged is a violation of imprisonment.
an ordinance, a light felony or a criminal
offense the imposable penalty for which is 7.F.6 Bail When NOT Required (Rule 114, Sec.
not higher than 6 months imprisonment 16)
and/ or Php. 2,000 fine under the
circumstances provided in R.A. No. 6036. Generally, bail is not required when the law or
7. When the person in custody or detention is the Rules of Court so provide.
unable to post bail due to abject poverty.
(Section 3, R.A. No. 10389) Generally, bail is not required when the law or
the Rules of Court so provide.
DISTINCTION BETWEEN BAIL BOND
AND RECOGNIZANCE
1. Subject to certain exceptions, when the
BAIL BOND RECOGNIZANCE offense charged is a violation of an
An obligation An obligation of ordinance, light felony or a criminal offense,
under seal given record, entered into the imposable penalty wherefore does not
by the accused before some court or exceed 6 months of imprisonment and/or
with one or more magistrate duly fine of Php. 2,000 under R.A. No. 6036;
sureties, and made authorized to take it,
2. Where the accused is released on
payable to the with the condition to
proper officer with do some particular recognizance;
the condition to be act, the most usual 3. In case of youthful offender held for
void upon condition in criminal physical or mental examination, trial or
performance by cases being the appeal, if unable to furnish bail and under
the accused of appearance of the the circumstances under P.D. No. 603, as
such acts as he accused for trial. amended.
may legally be 4. A person who has been in custody for a
required to period equal to or more than the possible
perform.
maximum imprisonment prescribed for the
Requires the Does not require the
signature of the signature of the
offense charged, without prejudice to the
accused for its accused for its continuation of the trial or the proceedings
validity. validity. on appeal;
5. A person accused of an offense with a
Release without Bail (Rule 114, Sec. 16) maximum penalty of destrierro shall be
released after 30 days of preventive
1. When the accused has been in custody for a imprisonment;
period equal to or more than the possible 6. In cases filed with the MTC for an offense
maximum imprisonment prescribed for the punishable by imprisonment of less than 4
offense charged, without prejudice to the years, 2 months and 1 day, and the judge is
continuation of the trial or the proceedings satisfied that there is no necessity for
on appeal. placing the accused under custody, he may
2. When the maximum penalty to which the issue the summons instead of warrant of
accused may be sentenced is destierro, but arrest. Since no arrest is made, bail is not
only after 30 days of preventive required. Subject to certain exceptions,
imprisonment. when the offense charged is a violation of
e) When the accused has been in custody for a an ordinance, light felony or a criminal
period equal to or more than the possible offense, the imposable penalty wherefore
498
 Purple Notes
does not exceed 6 months of imprisonment
and/or fine of Php. 2,000 under R.A. No.
6036;
Where the accused is released on
recognizance;
In case of youthful offender held for physical or
mental examination, trial or appeal, if unable to
furnish bail and under the circumstances under
P.D. No. 603, as amended.
A person who has been in custody for a period
equal to or more than the possible maximum
imprisonment prescribed for the offense
charged, without prejudice to the continuation
of the trial or the proceedings on appeal;
A person accused of an offense with a
maximum penalty of destrierro shall be released
after 30 days of preventive imprisonment;
In cases filed with the MTC for an offense
punishable by imprisonment of less than 4
years, 2 months and 1 day, and the judge is
satisfied that there is no necessity for placing
the accused under custody, he may issue the
summons instead of warrant of arrest. Since no
arrest is made, bail is not required.
7.F.7 Increase or Reduction of Bail (Rule
114, Sec. 20)
1. When the amount of bail is increased, the
accused may be committed to custody if he
does not give bail in the increased amount
within a reasonable period.
2. An accused released without bail upon filing
of the complaint or information may, at any
subsequent stage of the proceedings and
whenever a strong showing of guilt appears
to the court, be required to give bail in the
amount fixed or, in lieu thereof, committed
to custody.
3. The guidelines provided for in Section 9,
Rule 114, in fixing the amount of bail are
also applicable in reducing or increasing the
bail previously fixed.
g. When the amount of bail is increased, the
accused may be committed to custody if he
does not give bail in the increased amount
within a reasonable period.
h. An accused released without bail upon filing
of the complaint or information may, at any
subsequent stage of the proceedings and
whenever a strong showing of guilt appears
Criminal
Remedial
to the court, be required to give bail in the
amount fixed or, in lieu thereof, committed
to custody.
i. The guidelines provided for in Section 9,
Rule 114, in fixing the amount of bail are
also applicable in reducing or increasing the
bail previously fixed.
 Where the offense is bailable as a matter of
right, the mere probability that the accused
will escape, or even if he had previously
escaped while under detention, does not
deprive him of his right to bail. The remedy
is to increase the amount of bail, provided
such amount would not be excessive (Sy
Guan vs. Ampary, G.R. No. L-1771, December
04, 1947).
Bail, Where Filed (Rule 114, Sec. 17)
Bail in the amount fixed may be filed with the:
(PeAMunDAn)
court where the case is pending, or
1. court where the case is pending, or
2. in the absence or unavailability of the judge
thereof, with any regional trial judge,
metropolitan trial judge, municipal trial
judge, or municipal circuit trial judge in the
province, city, or municipality.
3. if the accused is arrested in a province, city,
or municipality other than where the case is
pending, bail may also be filed with any
regional trial court of said place, or if no
judge thereof is available, with any
metropolitan trial judge, municipal trial
judge, or municipal circuit trial judge
therein.
Note: This is a special jurisdiction of the
MTC/MCTC.
4. where the grant of bail is a matter of
discretion, or the accused seeks to be
released on recognizance, the application
may only be filed in the court where the
case is pending, whether on preliminary
investigation, trial, or on appeal.
Bar Operations
Commissions 499
499
5. any person in custody who is not yet
charged in court may apply for bail with any
court in the province, city, or municipality
where he is held.
in the absence or unavailability of the judge
thereof, with any regional trial judge,
metropolitan trial judge, municipal trial
judge, or municipal circuit trial judge in the
province, city, or municipality.
if the accused is arrested in a province, city, or
municipality other than where the case is
pending, bail may also be filed with any
regional trial court of said place, or if no
judge thereof is available, with any
metropolitan trial judge, municipal trial
judge, or municipal circuit trial judge
therein.
1.
2.
Note: This is a special jurisdiction of the
MTC/MCTC.
where the grant of bail is a matter of discretion,
or the accused seeks to be released on
recognizance, the application may only be
filed in the court where the case is pending,
whether on preliminary investigation, trial,
or on appeal.
any person in custody who is not yet charged in
court may apply for bail with any court in
the province, city, or municipality where he
is held.
Q: Can a judge of another city grant a bail
and issue a release order of a person who
was detained in another city?
A: No. On the case at bar, it is noted that no
formal petition or application for bail was filed
500
by the accused, and even if one was filed, the
Marikina courts could not have properly taken
cognizance of the same since Santos was
detained at Camp Crame in Quezon City. (Ruiz
vs. Beldia, Jr., A.M. No. RTJ-02-1731, February 16,
2005)
7.F.8 Forfeiture of Bond (Rule 114, Sec. 21)
If the accused fails to appear in person as
required by the law or the Rules:
1. His bail shall be declared forfeited; and,
2. His bondsmen are given 30 days within
which to produce his principal and to show
cause why no judgment should be rendered
against then on the amount of their bail.
Within the 30-day period, the bondsmen must:
1. Produce the body of their principal or give
the reason for his non-production; and,
2. Explain why the accused did not appear
before the court when first required to do so.
Produce the body of their principal or give
the reason for his non-production; and,
Explain why the accused did not appear
before the court when first required to do
so.
Note: Failing in these requisites, a judgment
shall be rendered against the bondsmen, jointly
and severally, for the amount of bail. The 30-
day period cannot be shortened by the court but
may be extended for good cause shown.
If the bondsmen move for the mitigation of their
liability, the court is required not to reduce or
otherwise mitigate the liability of the bondsmen,
UNLESS the accused has been surrendered or is
acquitted.
 Judgment against the bondsmen cannot be
entered unless such judgment is preceded
by an order of forfeiture and an opportunity
given to the bondsmen to produce the
accused or to adduce satisfactory reason for
their inability to do so (Mendoza vs. Alarma,
G.R. No. 151970, May 07, 2008,).
Aside from forfeiture, when the accused fails to
appear in court despite notice, the court may
 Purple Notes
issue a bench warrant for his arrest. (Alva vs.
Court of Appeals, G.R. No. 157331, April 12, 2006)
 A bench warrant is defined as a writ
issued directly by a judge to a law
enforcement officer, for the arrest of a
person who has been held in contempt, has
disobeyed a subpoena, or has to appear at
a hearing or trial. Under Sec. 9, Rule 71 of
the Rules of Court, when a person is
released on bail fails to appear on the day
fixed for the hearing, the court may issue
another order of arrest or may order the
bond for his appearance be forfeited and
confiscated, or both (Magleo vs. De Juan-
Quinagoran, A.M. No. RTJ-12-2336, November
12, 2014).
Cancellation of Bail (Rule 114, Sec. 22)
Cancellation by application
Upon application of the bondsmen, with due
notice to the prosecutor, the bail may be
cancelled: (SurPro)
1. Upon surrender of the accused; or
2. Upon proof of the accused’s death.
1. Upon surrender of the accused; or
2. Uponproof of the accused’s death.
Automatic Cancellation
The bail shall be deemed automatically
cancelled upon: (AcqDis-Ex)
1. Acquittal of the accused;
2. Dismissal of the case; or
3. Execution of the judgment of conviction.
c)Acquittal of the accused;
d) Dismissal of the case; or
e) Execution of the judgment of
conviction.
Sec. 5 of Rule 114 allows the cancellation of bail
where the penalty imposed by the trial court is
imprisonment exceeding six (6) years if any of
the grounds in the said section is present as
when the circumstances indicate the probability
of flight.
Criminal
Remedial
The court is not authorized to deny or cancel
the bail ex parte. The rule requires “notice to
the accused” (Rule 114, Sec. 5).
In all instances, the cancellation shall be
WITHOUT prejudice to any liability on the bail.
Arrest of Accused Out on Bail (Rule 114, Sec.
23)
An accused released on bail may be re-arrested
without the necessity of a warrant IF he
attempts to depart from the Philippines without
permission of the court where the case is
pending.
Bail after Final Judgment (Rule 114, Sec. 24)
General Rule: No bail shall be allowed AFTER
judgment of conviction has become final.
Exception: If the accused applies for probation
BEFORE a judgment of conviction has become
final, he may be allowed temporary liberty under
his bail.
When no bail was filed or the accused is
incapable of filing one, the court may allow his
release on recognizance to the custody of a
responsible member of the community.
7.F.9Application for Bail NOT a Bar to
Objections (Rule 114, Sec. 26)
An application for or admission to bail shall not
bar the accused from:
1. Challenging the validity of his arrest;
2. Challenging the legality of the warrant
issued therefore; and,
3. Assailing the regularity or questioning the
absence of a preliminary investigation of the
charge against him.
The accused must raise these matters before
entering his plea. The court shall resolve the
matter as early as practicable, but not later than
the start of the trial of the case.
Application for Bail NOT a Waiver of Right
toBar Operations
Preliminary Investigation
Commissions 501
501
d) There must be clear and convincing proof that the petitioner
had an actual intention to relinquish her right to question the
existence of probable cause. When the only proof of intention
rests on what a party does, his act should be so manifestly
consistent with, and indicative of, an intent to voluntarily and
unequivocally relinquish the particular right that no other
explanation of his conduct is possible. (Okabe vs. Hon. Gutierrez,
G.R. No. 150185, May 27, 2004)
 There must be clear and convincing proof
that the petitioner had an actual intention to
relinquish her right to question the existence
of probable cause. When the only proof of
intention rests on what a party does, his act
should be so manifestly consistent with, and
indicative of, an intent to voluntarily and
unequivocally relinquish the particular right
that no other explanation of his conduct is
possible (Okabe vs. Hon. Gutierrez, G.R. No.
150185, May 27, 2004).
Hold Departure Order and Bureau of
Immigration Watchlist
An accused released on bail may be re-arrested
without the necessity of a warrant if he attempts
to depart from the Philippines without
permission of the court where the case is
pending.
A respondent in a criminal complaint may now
be legally barred from leaving the country upon
application with, and issuance of a is no provision prohibiting him/her from
precautionary hold departure order (PHDO) by
the courts.(Administrative Matter No. 18-07-05-SC)
Bail in Extradition Cases (Govt. of Hong
Kong Special Administrative Region vs.
Olalia, Jr., G.R. No. 153675, April 19,
2007)
1. An extradition proceeding, while ostensibly
administrative, bears all earmarks of a
criminal process.
2. A potential extraditee may be subjected to
arrest, to a prolonged restraint of liberty,
and forced to transfer to the demanding
state following the proceedings.
3. "Temporary detention" may be a necessary
step in the process of extradition, but the
length of time of the detention should be
reasonable.
4. While our extradition law does not provide
for the grant of bail to an extraditee, there
is no provision prohibiting him/her from
502
filing a motion for bail, a right to due
process under the constitution.
5. An extradition proceeding being sui generis,
the standard of proof required in
granting/denying bail is showing of clear
and convincing evidence: that which is lower
than proof beyond reasonable doubt but
higher than proof of preponderance of
evidence.
6. A Hold Departure Order (HDO) may be
issued either by the Regional Trial Courts or
by the DOJ.
d) 7. Hold Departure orders issued by the
RTC shall pertain to criminal cases falling
within their exclusive jurisdiction, pursuant
to Supreme Court Circular 39-97.An
extradition proceeding, while ostensibly
administrative, bears all earmarks of a
criminal process.
e) A potential extraditee may be subjected to
arrest, to a prolonged restraint of liberty,
and forced to transfer to the demanding
state following the proceedings.
f) "Temporary detention" may be a necessary
step in the process of extradition, but the
length of time of the detention should be
reasonable.
g) While our extradition law does not provide
for the grant of bail to an extraditee, there
filing a motion for bail, a right to due
process under the constitution.
h) An extradition proceeding being sui generis,
the standard of proof required in
granting/denying bail is showing of clear
and convincing evidence: that which is lower
than proof beyond reasonable doubt but
higher than proof of preponderance of
evidence.
i) A Hold Departure Order (HDO) may be
issued either by the Regional Trial Courts or
by the DOJ.
j) Hold Departure orders issued by the RTC
shall pertain to criminal cases falling within
their exclusive jurisdiction, pursuant to
Supreme Court Circular 39-97.
Note:DOJ Circular No. 41 empowering the
Secretary to issue watch list order and HDOs
was declared unconstitutional for being violative
 Purple Notes
of constitutional right to travel (Genuino vs. De
Lima, G.R. No. 197930, April 18, 2018).
Release of Qualified Persons Deprived of
Liberty (OCA Circular No. 91-2020, April 20, 2020)
OCA Circular No. 91-2020 directs first and
second-level court judges to conduct an
inventory of their pending criminal cases,
determine if they have ones covered by the
Guidelines for Decongesting Holding Jails By
Enforcing the Rights of Accused Persons to Bail
and To Speedy Trial (A.M. No. 12-11-02-SC,
March 18, 2014) and comply "without
unnecessary delay, using their sound
discretion." They shall immediately act motu
proprio on cases of PDLs (persons deprived of
liberty) who have been detained for a period at
least equal to the minimum of the penalty for
the offense charged," the circular states.
If warranted, judges may release such detainees
on their own recognizance, on the condition that
the court is assured of their whereabouts and
contact numbers, as well as that of two of their
nearest relatives, during trial. The court
administrator's circular also states that motions
for recognizance and provisional dismissal of
cases leading to a detainee's release "may be
considered urgent and must be immediately set
for hearing”.
7.G. ARRAIGNMENT AND PLEA (Rule 116)
Arraignmentis the formal mode of
implementing the constitutional right of the
accused to be informed of the nature of the
accusation against him. (People vs. Pangilinan,
G.R. No. 171020, March 14, 2007)
Its purpose is to apprise the accused why he is
being prosecuted by the State. As such, it is an
indispensable requirement of due process and
thus, cannot be regarded lightly or brushed
aside peremptorily. Trial in absentia cannot
proceed since the accused has not been
arraigned.
 The absence of arraignment results in the
nullity of the proceedings before the trial
court (Taglay vs. Daray, G.R. No. 164258, ,
August 22, 2012).
Criminal
Remedial
7.G.1 Arraignment and Plea, Where and
How Made (Rule 116, Sec. 1)
1. Before the court where the complaint or
information was filed or assigned for trial;
2. In open court, by the judge or clerk of
court:
a. By furnishing the accused with a copy of
the complaint or information;
b. By reading the complaint or information
in the language or dialect known to the
accused;
c) c. By asking the accused of his
plea.Before the court where the
complaint or information was filed or
assigned for trial;
d) In open court, by the judge or clerk of
court:
a) By furnishing the accused with a copy of
the complaint or information;
b) By reading the complaint or information
in the language or dialect known to the
accused;
c)By asking the accused of his plea.
Note:
The prosecution may call at the trial witnesses
other than those named in the complaint or
information(Rule 116, Sec. 1).
There can be no arraignment in absentia. The
accused must be present at the arraignment and
must personally enter his plea.
Q: Why is reading of the complaint or
information in the language or dialect
known to the accused required?
A: The requirement that the reading be made in
a language or dialect that the accused
understands and knows is a mandatory
requirement, just as the whole of said Section 1
should be strictly followed by trial courts. This
Bar
the law affords theOperations
accused by way of
Commissions 503
503
implementation of the all-important
constitutional mandate regarding the right of an
accused to be informed of the precise nature of
the accusation leveled at him and is, therefore,
really an avenue for him to be able to hoist the
necessary defense in rebuttal thereof. 14 It is an
integral aspect of the due process clause under
the Constitution (People vs. Estomaca, G.R. Nos.
117485-86, April 22, 1996).
When There are More than One (1)
Complaint/Information
 With exacting certitude, Section 1(a) of Rule
116 requires that the arraignment should be
made in open court by the judge himself or
by the clerk of court by furnishing the
accused a copy of the complaint or
information with the list of witnesses stated
therein, then reading the same in the
language or dialect that is known to him,
and asking him what his plea is to the
charge.
The requirement that the reading be made
in a language or dialect that the accused
understands and knows is a mandatory
requirement, just as the whole of said
Section 1 should be strictly followed by trial
courts. It is an integral aspect of the due
process clause under the Constitution.
At threshold, what strikes this Court as
peculiar is that the arraignment appears to
have consisted merely of the bare reading
of the five complaints, synthetically and
cryptically reported in the transcript, thus:
"(Reading the information/complaint to the
accused in Ilonggo/local dialect)." Since
what was supposed to have been read was
stated in the singular, but there were five
criminal complaints against appellant, this
Court is then left to speculate on whether all
five criminal complaints were actually read,
translated or explained to appellant on a
level within his comprehension, considering
his limited education (People vs. Estomaca,
G.R. Nos. 117485-86, April 22, 1996).
 Appellant’s belated arraignment did not
prejudice him. This procedural defect was
cured when his counsel participated in the
504
trial without raising any objection that his
client had yet to be arraigned. In fact, his
counsel even cross-examined the
prosecution witnesses. His counsel’s active
participation in the hearings is a clear
indication that he was fully aware of the
charges against him; otherwise, his counsel
would have objected and informed the court
of this blunder. Moreover, no protest was
made when appellant was subsequently
arraigned. The parties did not question the
procedure undertaken by the trial court. It is
only now, after being convicted and
sentenced to two death sentences, that
appellant cries that his constitutional right
has been violated. It is already too late to
raise this procedural defect. This Court will
not allow it (People vs. Pangilinan, G.R. No.
171020, March 14, 2007) .
 Where the accused went to trial without
arraignment, but his counsel had the
opportunity to cross-examine the witness of
the prosecution, and after the prosecution
rested, he was arraigned, the procedural
defect was CURED (People vs. Pangilinan, G.R.
No. 171020, March 14, 2007).
 With exacting certitude, Section 1(a) of Rule
116 requires that the arraignment should be
made in open court by the judge himself or
by the clerk of court by furnishing the
accused a copy of the complaint or
information with the list of witnesses stated
therein, then reading the same in the
language or dialect that is known to him,
and asking him what his plea is to the
charge.
The requirement that the reading be made
in a language or dialect that the accused
understands and knows is a mandatory
requirement, just as the whole of said
Section 1 should be strictly followed by trial
courts. It is an integral aspect of the due
process clause under the Constitution.
At threshold, what strikes this Court as
peculiar is that the arraignment appears to
have consisted merely of the bare reading
of the five complaints, synthetically and
cryptically reported in the transcript, thus:
 Purple Notes
"(Reading the information/complaint to the
accused in Ilonggo/local dialect)." Since
what was supposed to have been read was
stated in the singular, but there were five
criminal complaints against appellant, this
Court is then left to speculate on whether all
five criminal complaints were actually read,
translated or explained to appellant on a
level within his comprehension, considering
his limited education (People vs. Estomaca,
G.R. Nos. 117485-86, April 22, 1996).
 Where the accused went to trial without
arraignment, but his counsel had the
opportunity to cross-examine the witness of
the prosecution, and after the prosecution
rested, he was arraigned, the procedural
defect was CURED (People vs. Pangilinan, G.R.
No. 171020, March 14, 2007).
Period to Plea
If under Preventive Detention(Rule 116, Sec.
1e)
The case shall be raffled and its records
transmitted to the judge whom the case was
raffled within 3 days from the filing of the
information or complaint.
The accused shall be arraigned within 10 days
from the date of the raffle. The pre-trial
conference of his case shall be held within 10
days after arraignment.
If NOT under Preventive Detention[Rule
116, Sec. 1 (g)]
Arraignment shall be made within 30 days from
the date the court acquires jurisdiction over the
person of the accused (filing of the information,
or from the date the accused appealed before
the justice/judge/court in which the charge is
pending, whichever date last occurs).
This 30-day period is not absolute as the Rules
further states that the time of the pendency of a
motion to quash or for a bill of particulars or
other causes justifying suspension of the
arraignment shall be EXCLUDED in computing
the period.
Criminal
Remedial
Failure to observe the rules on arraignment is
reversible error and a judgment of conviction
cannot stand upon an invalid arraignment.
Where the accused was arraigned on the
original, and not on the substantially amended
information, although such defect was pointed
out to the trial court by the defense counsel, the
same constitutes reversible error.
Belated Arraignment
 Appellant’s belated arraignment did not
prejudice him. This procedural defect was
cured when his counsel participated in the
trial without raising any objection that his
client had yet to be arraigned. In fact, his
counsel even cross-examined the
prosecution witnesses. His counsel’s active
participation in the hearings is a clear
indication that he was fully aware of the
charges against him; otherwise, his counsel
would have objected and informed the court
of this blunder. Moreover, no protest was
made when appellant was subsequently
arraigned. The parties did not question the
procedure undertaken by the trial court. It is
only now, after being convicted and
sentenced to two death sentences, that
appellant cries that his constitutional right
has been violated. It is already too late to
raise this procedural defect. This Court will
not allow it (People vs. Pangilinan, G.R. No.
171020, March 14, 2007) .
 Appellant’s belated arraignment did not
prejudice him. This procedural defect was cured
when his counsel participated in the trial without
raising any objection that his client had yet to
be arraigned. In fact, his counsel even cross-
examined the prosecution witnesses. His
counsel’s active participation in the hearings is a
clear indication that he was fully aware of the
charges against him; otherwise, his counsel
would have objected and informed the court of
this blunder. Moreover, no protest was made
when appellant was subsequently arraigned.
The parties did not question the procedure
undertaken by the trial court. It is only now,
after being convicted and sentenced to two
death sentences, that appellant cries that his
constitutional right has been violated. It is
already too late to raise this procedural defect.
Bar Operations
Commissions 505
505
This Court will not allow it (People vs. Pangilinan,
G.R. No. 171020, March 14, 2007) .
Plea is the matter which the accused, on his
arraignment, alleges in answer to the charge
against him.
Plea is the matter which the accused, on his
arraignment, alleges in answer to the charge
against him.
7.G.2 Kinds of Plea; When a Plea of “Not
Guilty” should be Entered (U-NegCon-
InvAmb)
1. When the accused so pleads (unconditional
plea).
2. When he refuses to plead (negative or
indirect plea).
3. Where in admitting the act charged, he sets
up matters of defense or with a lawful
justification.
4. When he enters a conditional plea of guilt
(conditional plea).
5. Where, after a plea of guilt, he introduces
evidence of self-defense or other exculpatory
circumstances (inverted plea).
6. When the plea is indefinite or ambiguous.
Conditional Plea of Guilty (Negative Plea)
It is one entered that is subject to the proviso
that a certain penalty be imposed upon him. It
is equivalent to a plea of not guilty which
requires a full-blown trial before judgment may
be rendered.
It is likewise a conditional plea where he pleads
guilty but submits exculpatory evidence and
interposes lawful defenses.
Unconditional Plea of Guilty
An unconditional plea of guilty by the accused
admits the crime and all the attendant
circumstances alleged in the information
including the allegations of conspiracy, and
warrants a judgment of conviction without need
of further evidence.
7.G.3 Plea of Guilty to a Lesser Offense
(Rule 116, Sec. 2)
506
1. The lesser offense is necessarily included in
the offense charged;
2. The accused may be allowed to plead at
arraignment, with the consent of the
offended party and prosecutor;
3. In case of failure of the offended party to
appear at arraignment despite due notice,
with the conformity of the trial prosecutor
alone. (Sec. 1[f], Rule 116);
4. After arraignment but before trial, after the
accused withdraws his plea of not guilty.
Note: No amendment of the complaint or
information is necessary (Sec. 4, Circ. 38-98,
effective September 15, 1998).
7.G.4 Court Action when the Accused
Pleads Guilty to a Capital Offense (Rule 116,
Sec. 3)
1. Conduct a searching inquiry into the
voluntariness and full comprehension of the
consequences of his plea.
2. Require the prosecution to prove the guilt
and the precise degree of culpability of the
accused.
3. The accused may present evidence in his
behalf.
Note: As there is prohibition on the imposition
of death penalty (R.A. No. 9346),the requirements
do not apply.
Duty of Court When Plea of Guilty to Non-
Capital Offense is Made
The court may receive evidence from the parties
to determine penalty to be imposed. (Rule 116,
Sec. 4)
1. Crimes punishable by reclusion perpetua and
life imprisonment do not need searching
questions.
2. When the facts charged in the information do
not state an offense, no conviction thereon
can be had notwithstanding the defendant’s
plea of guilty thereon.
9. Crimes punishable by reclusion perpetua
and life imprisonment do not need searching
questions.
 Purple Notes
10. When the facts charged in the information
do not state an offense, no conviction
thereon can be had notwithstanding the
defendant’s plea of guilty thereon.
7.G.5 Searching Inquiry
 A "searching inquiry," under the Rules,
means more than informing cursorily the
accused that he faces a jail term (because
the accused is aware of that) but so also,
the exact length of imprisonment under the
law and the certainty that he will serve time
at the national penitentiary or a penal
colony. Not infrequently indeed, an accused
pleads guilty in the hope, as we said, of a
lenient treatment, or upon a bad advice or
promises of the authorities or parties of a
lighter penalty should he admit guilt or
express "remorse." It is the duty of the
judge to see to it that he does not labor
under these mistaken impressions (People vs.
Estomaca, supra, citing People vs. Dayot, G.R.
No. 88281, July 20, 1990).
The trial judge must satisfy himself that the
accused, in pleading guilty, (1) is doing so
voluntary, and (2) he, in so doing, is truly
guilty, and (3) that there exists a rational
basis for a finding of guilt based on his
testimony.
5. A "searching inquiry," under the Rules,
means more than informing cursorily the
accused that he faces a jail term (because
the accused is aware of that) but so also,
the exact length of imprisonment under the
law and the certainty that he will serve time
at the national penitentiary or a penal
colony. Not infrequently indeed, an accused
pleads guilty in the hope, as we said, of a
lenient treatment, or upon a bad advice or
promises of the authorities or parties of a
lighter penalty should he admit guilt or
express "remorse." It is the duty of the
judge to see to it that he does not labor
under these mistaken impressions (People vs.
Estomaca, supra, citing People vs. Dayot, G.R.
No. 88281, July 20, 1990).
The trial judge must satisfy himself that the
accused, in pleading guilty, (1) is doing so
voluntary, and (2) he, in so doing, is truly
Criminal
Remedial
guilty, and (3) that there exists a rational
basis for a finding of guilt based on his
testimony.
 The requirement to conduct a searching
inquiry should not be deemed satisfied in
cases in which it was the defense counsel
who explained the consequences of a
“guilty” plea to the accused—the conduct of
a searching inquiry remains the duty of
judges, as they are mandated by the rules
to satisfy themselves that the accused had
not been under coercion or duress;
mistaken impressions; or a
misunderstanding of the significance,
effects, and consequences of their guilty
plea (People vs. Baharan, G.R. No. 188314
January 10, 2011).
Q: Is there a concrete rule in conducting a
“searching inquiry?”
A: No. Although there is no definite and
concrete rule as to how a trial judge may go
about the matter of a proper "searching
inquiry," it would be well for the court, for
instance, to require the accused to fully narrate
the incident that spawned the charges against
him, or by making him reenact the manner in
which he perpetrated the crime, or by causing
him to furnish and explain to the court missing
details of significance. (People vs. Estomaca, G.R.
Nos. 117485-86, April 22, 1996)
Duty of the Judge to Conduct a Searching
Inquiry
In all cases, the judge must convince himself:
1. that the accused is entering the plea of guilty
voluntarily and intelligently.
2. That he is truly guilty;
3. That there exists a rational basis for a finding
of guilt based on his testimony.that the
accused is entering the plea of guilty
voluntarily and intelligently.
That he is truly guilty;
That there exists a rational basis for a finding of
guilt based on his testimony.
Bar Improvident
Operations
7.G.6 Plea of Guilty
Commissions 507
507

In all cases, the judge must convince himself:
1. that the accused is entering the plea of guilty
voluntarily and intelligently.
2. That he is truly guilty;
3. That there exists a rational basis for a finding
of guilt based on his testimony.
It takes place when the accused does not
understand or does not know fully well his plea.
At any time before the judgment of conviction
becomes final, the court may permit an
improvident plea of guilty to be withdrawn and
be substituted by a plea of not guilty (Rule 116,
Sec. 5).
The withdrawal of a plea of guilty is not a
matter of a strict right to the accused but
of sound discretion to the trial court
(People vs. Lambrino, No. L-10875, April 28,
1958).
 The withdrawal of a plea of guilty is not a
matter of a strict right to the accused but of
sound discretion to the trial court (People vs.
Lambrino, No. L-10875, April 28, 1958).
 Convictions based on an improvident plea of
guilt are set aside only if such plea is the
sole basis of the judgment. If the trial court
relied on sufficient and credible evidence to
convict the accused, the conviction must be
sustained, because then it is predicated not
merely on the guilty plea of the accused but
on evidence proving his commission of the
offense charged (People vs. Janjalani, G.R. No.
188314, January 10, 2011 citing People vs.
Nadera, G.R. Nos. 131384-87, February 2, 2000).
 Convictions based on an improvident plea of
guilt are set aside only if such plea is the
sole basis of the judgment. If the trial court
relied on sufficient and credible evidence to
convict the accused, the conviction must be
sustained, because then it is predicated not
merely on the guilty plea of the accused but
on evidence proving his commission of the
offense charged (People vs. Janjalani, G.R. No.
508
188314, January 10, 2011 citing People vs.
Nadera, G.R. Nos. 131384-87, February 2, 2000).
Instances of Improvident Plea (VUnIns-
OfJu)
1. Plea of guilty was compelled by violence or
intimidation;
2. The accused did not fully understand the
meaning and consequences of his plea;
3. There is insufficient information to sustain
conviction of the offense charged;
4. Information does not charge an offense, any
conviction thereunder being void; or,
5. Court has no jurisdiction
c)Plea of guilty was compelled by violence or
intimidation;
d) The accused did not fully understand
the meaning and consequences of his plea;
e) There is insufficient information to
sustain conviction of the offense charged;
f) Information does not charge an offense,
any conviction thereunder being void; or,
g) Court has no jurisdiction
Duty of Court as to the Right to Counsel of
the Accused (Rule 116, Sec. 6)
1. Inform the accused, before arraignment, of
his right to counsel;
2. Ask the accused if he desires to have one;
and,
3. If the accused desires but is unable to
employ an attorney, the court must assign
counsel de officio for the accused, UNLESS:
a. He is allowed to defend himself in
person; or
b. He has employed a counsel of his
choice.
If he has not yet employed one, the
court must grant him reasonable time
therefore.
Inform the accused, before arraignment, of his
right to counsel;
Ask the accused if he desires to have one; and,
If the accused desires but is unable to employ an
attorney, the court must assign counsel de
officio for the accused, UNLESS:
 Purple Notes
a. He is allowed to defend himself in person; or
b. He has employed a counsel of his choice.
If he has not yet employed one, the court must
grant him reasonable time therefore.
Qualifications of Counsel de officio to be
Appointed (Rule 116, Sec. 7)
3. A member of the bar in good standing; and,
4. Able to competently defend the accused by
reason of his experience and ability.
5.A member of the bar in good standing; and,
6.Able to competently defend the accused by
reason of his experience and ability.
Where no member of the bar is available, the
court may appoint any person to defend the
accused who is:
1. A resident of the province; and,
2. Of good repute for probity and ability to
defend the accused.A resident of the province;
and,
 Of good repute for probity and ability to
defend the accused.
The counsel de officio appointed must be given
a reasonable time to consult with the accused as
to his plea before proceeding with the
arraignment (Rule 116, Sec. 8).
 A private prosecutor, who assisted the
prosecuting attorney in prosecution against
one defendant, is disqualified from acting
as counsel de officio for the other
defendants in the same case (U.S. vs.
Laranja, G.R. No. 6789, February 16, 1912).
 However, although the attorney appointed
as counsel de officio had previously
appeared as private prosecutor in the case,
if it appears that the accused were properly
defended, the appointment, if it be
erroneous, is not reversible error (People vs.
Manigbas, G.R. No. L-10352-53, September 30,
1960).
Bill of Particulars (Rule 116, Sec. 9)
Criminal
Remedial
The Rules provide for this remedy to protect the
accused from vague and indefinite allegations in
the complaint or information.
Purpose:
The purpose of the bill of particulars is for the
accused to be fully apprised of the true charges
against them, and thus avoid any and all other
possible surpise, which might be detrimental to
their rights and interests (People vs. Abad Santos,
G.R. No. L-447, June 17, 1946).
Requirements: (BeSpe-Sta)
3. 1. The motion must be made before
arraignment;
4. 2. It must specify the alleged defects;
and,
It must state the details desired. (Rule 12, Sec.
1)The motion must be made before arraignment;
5.
It must specify the alleged defects; and,
It must state the details desired. (Rule 12, Sec.
1)
Production or Inspection of Material
Evidence in Possession of Prosecution (Rule
116, Sec. 10)
Requirements:
1. Motion of the accused showing good cause;
and,
2. Notice to the parties
Material evidence refers to written
statements, documents and things not
otherwise privileged in the possession or under
the control of the prosecution, police or other
law investigating agencies.
This is one of the modes of discovery in criminal
cases for the accused only.
Grounds for Suspension of Arraignment
(Rule 116, Sec. 11)
1. The accused appears to be suffering from an
unsound mental condition which effectively
renders him unable to fully understand the
charge against him and to plead intelligently
Bar Operations
thereto. The court shall order his
Commissions 509
509
 mental examination and, if necessary, his
confinement for such purpose.
2. There exists a prejudicial question.
3. A petition for review of the resolution of the
prosecutor is pending at either the
Department of Justice or the Office of the
President; provided that the period of
suspension shall not exceed 60 days counted
from the filing of the petition with the
reviewing office.
Note: The proper party must move for the
suspension based on the above grounds.
The accused appears to be suffering from an
unsound mental condition which effectively
renders him unable to fully understand the
charge against him and to plead intelligently
thereto. The court shall order his mental
examination and, if necessary, his confinement
for such purpose.
There exists a prejudicial question.
A petition for review of the resolution of the
prosecutor is pending at either the
Department of Justice or the Office of the
President; provided that the period of
suspension shall not exceed 60 days
counted from the filing of the petition with
the reviewing office.
Note: The proper party must move for the
suspension based on the above grounds.
7.H. MOTION TO QUASH (Rule 117)
It is the mode by which an accused assails the
validity of a criminal complaint or information
filed against him for insufficiency on its face in
point of law, or for defects which are apparent
in the face of the information (People of the
Philippines vs. Odtuhan, G.R. No. 191566, July 17,
2013)
Q: What is a Motion to Quash?
A: A motion to quash is the mode by which an
accused assails, before entering his plea, the
validity of the criminal complaint or the criminal
information filed against him for insufficiency on
its face in point of law, or for defect apparent on
the face of the information. The motion, as a
rule, hypothetically admits the truth of the facts
510
spelled out in the complaint or information (Los
Banos vs. Pedro, G.R. No. 173588, April 22, 2009).
General Rule: The court, in resolving the
motion, cannot consider facts contrary to those
alleged in the information or which do not
appear on the face of the information.
Exception: Those admitted by the prosecution.
Rules Governing Motion to Quash
1. If denied – go to trial without prejudice to
reiterating special defenses invoked in said
motion.
2. If after trial on the merits, an adverse
decision is rendered – appeal in the manner
authorized by law(Marcelo vs. CA, G.R. 106695,
August 4, 1994).
3. If granted – a final order; immediately
appealable, provided defendant will not be
placed in double jeopardy.If denied – go to trial
without prejudice to reiterating special defenses
invoked in said motion.
c) If after trial on the merits, an adverse
decision is rendered – appeal in the manner
authorized by law(Marcelo vs. CA, G.R. 106695,
August 4, 1994).
d) If granted – a final order; immediately
appealable, provideddefendant will not be
placed in double jeopardy.
When Certiorari may be Entertained if
Motion to Quash is Denied
1. When the action is necessary to promote
public welfare and public policy; or
2. Where the case has attracted nationwide
attention, making it imperative to proceed
with dispatch in the consideration thereof, or
3. Where the appeal is found to be an
improper remedy because the order which is
sought to be reviewed is merely interlocutory
or peremptory in character and the appeal
there from can be interposed only after final
judgment and may, therefore, be of no avail;
or
 Purple Notes
3. 4. In the interest of substantial
justice. When the action is necessary to promote
public welfare and public policy; or
4. Where the case has attracted
nationwide attention, making it imperative to
proceed with dispatch in the consideration
thereof, or
5. Where the appeal is found to be an
improper remedy because the order which is
sought to be reviewed is merely interlocutory or
peremptory in character and the appeal there
from can be interposed only after final judgment
and may, therefore, be of no avail; or
6. In the interest of substantial justice.
Q: When may the Accused Resort to
Certiorari or Prohibition?
A: Well-established is the rule that when a
motion to quash in a criminal case is denied, the
remedy is not a petition for certiorari butfor
petitioners to goto trial without prejudice to
reiterating the special defenses invoked in their
motion to quash, except, if the court, in denying
the motion to dismiss or motion to quash acts
without or in excess of jurisdiction or with grave
abuse of discretion, then certiorari or prohibition
lies (Lazarte, Jr. vs Sandiganbayan, G.R.No. 180122,
March 13, 2009).
Note: An order granting motion to quash is a
final order which is generally subject to Rule 45
and not Rule 65, subject to an exception that
Rule 65 may be availed of where it can be
clearly established that there was grave abuse
of discretion in issuing the order. The
information needs only to state ultimate facts
(People vs. Romualdez, G.R. No. 166510, July 23,
2008).
When to File (Rule 117, Sec. 1)
General Rule: At any time before entering his
plea, the accused may move to quash the
complaint or information.
1. The motion to quash must be filed before the
arraignment. Thereafter, no motion to quash
can be entertained by the court.
2. It may even be filed during the preliminary
investigation.
Criminal
Remedial
Exceptions: A motion to quash can be filed
and entertained at any stage of the proceeding
when:
a.) The complaint or information does not
charge an offense.
b.) The court has no jurisdiction over the offense
charged.
c.) The offense or penalty has been
extinguished.
d.) The defendant has been in former jeopardy.
(Miranda vs. Sandiganbayan, G.R. No. 154098,
July 27, 2005)
Note: Prescription of the offense as a ground
for a motion to quash is not waived as this is a
substantive right.
Form and Contents (Rule 117, Sec. 2)
1. In writing;
2. Signed by the accused or his counsel;
3. 3. Distinctly specify its factual and
legal grounds. In writing;
4. Signed by the accused or his counsel;
5. Distinctly specify its factual and legal
grounds.
General Rule: The court shall consider no
ground other than those stated in the motion.
Exception: lack of jurisdiction over the offense
charged.
7.H.1 Grounds for Motion to Quash (Rule
117, Sec. 3) (FaOf-PerAu-FoMEx-JusCo)
1. That the facts charged do not constitute an
offense;
2. That the court trying the case has no
jurisdiction over the offense charged;
3. That the court trying the case has no
jurisdiction over the person of the accused;
4. That the officer who filed the information
had no authority to do so;
5. That it does not conform substantially to the
prescribed form;
6. That more than one offense is charged
EXCEPT when a single punishment for
Bar
various offensesOperations
is prescribed by law;
Commissions 511
511
7. That the criminal action or liability has been offenses as are charged and proven, and impose
extinguished; on them the penalty for each offence, setting
8. That it contains averments which, if true, out separately the findingsof fact and law in
would constitute a legal excuse or each (Monteverde vs. People, G.R. No. 139610,
justification; and, August 12, 2002).
9. That the accused has been previously
convicted or acquitted of the offense Q: When is the prescriptive period
charged, or the case against him was interrupted?
dismissed or otherwise terminated without
his express consent. A: The Court had ruled, in several cases, that
That the facts charged do not constitute an the prescriptive period is interrupted by the
offense; institution of proceedings for preliminary
That the court trying the case has no jurisdiction investigation against the accused (Panaguiton vs.
over the offense charged; Department of Justice, G.R. 167571, November, 25,
That the court trying the case has no jurisdiction 2008).
over the person of the accused;
That the officer who filed the information had Q: What does Duplicity of Charges means?
no authority to do so;
That it does not conform substantially to the A: It means a single complaint or information
prescribed form; that charges more than one offense. xxx
That more than one offense is charged EXCEPT Otherwise stated, there is duplicity (or
when a single punishment for various offenses is multiplicity) of charges when a single
prescribed by law; Information charges more than one offense
(Soriano vs. People, G.R. Nos. 159517-18, June 30,
That the criminal action or liability has been
2009).
extinguished;
That it contains averments which, if true, would
Note: A case is dismissed without the express
constitute a legal excuse or justification; and,
consent of the accused when a provisional
That the accused has been previously convicted
dismissal becomes permanent.
or acquitted of the offense charged, or the case
against him was dismissed or otherwise
7.H.2 Distinguished From Demurrer To
terminated without his express consent.
Evidence
Q: Can the infirmity in the information by
MOTION TO DEMURRER TO
lack of authority be cured by silence, QUASH EVIDENCE
acquiescence, or by express consent? Filed before the Filed after the
defendant enters prosecution has
A: The Supreme Court ruled that the infirmity in his plea. rested its case.
the information caused by lack of authority of Does not go into Based upon the
the officer signing it cannot be cured by silence, the merits of the inadequacy of the
acquiescence or even by express consent. A case but is rather evidence adduced by
new information must be filed by the proper anchored on the prosecution in
matters not support of the
office (Romualdez vs. Sandiganbayan, G.R. Nos.
directly concerned accusation.
143618-41, July 30, 2002)
with the question
of guilt or
Q: May an accused waive his right to be innocence of the
tried for only one crime in a single accused.
complaint or information? Governed by Rule Governed by Sec. 23,
117. Rule 119.
A: When two or more offenses are charged in a
single complaint or information, but the accused  Insufficiency of evidence is not one of the
failed to object to the defect before trial, the grounds of a Motion to Quash (People vs.
trial court may convict them of as many Dumlao, G.R. No. 168918, March 2, 2009).

512

3. Insufficiency of evidence is not one of the
grounds of a Motion to Quash (People vs.
Dumlao, G.R. No. 168918, March 2, 2009).
Amendment of the complaint
information (Rule 117, Sec. 4)
1. If based on an alleged defect of the
complaint or information which can be cured
by amendment, the court shall order that an
amendment be made.
 2. If based on the ground that the facts
charged do not constitute an offense, the
prosecution shall be given by the court an
opportunity to correct the defect by
amendment.If based on an alleged defect of
the complaint or information which can be
cured by amendment, the court shall order
that an amendment be made.
 If based on the ground that the facts
charged do not constitute an offense, the
prosecution shall be given by the court an
opportunity to correct the defect by
amendment.
The motion to quash shall be granted if:
1. The prosecution fails to make the
amendment; or,
c) 2. The complaint or information still suffers
from the same defect despite the
amendment. (Rule 117, Sec. 4)The
prosecution fails to make the amendment;
or,
d) The complaint or information still suffers
from the same defect despite the
amendment.(Rule 117, Sec. 4)
Q: What is the test in identifying whether
the rights of an accused are prejudiced by
the amendment of a complaint or
information?
A: The test on whether the rights of an accused
are prejudiced by the amendment of a
complaint or information is whether a defense
under the complaint or information, as it
originally stood, would no longer be available
Purple Notes
Criminal
Remedial
after the amendment is made, and when any
evidence the accused might have would be
inapplicable to the complaint or information
(Poblete vs. Sandiganbayan, G.R. No. 150610, March
or 25, 2004)
As laid down by the Supreme Court, an
amendment is only in form when it merely adds
specifications to eliminate vagueness in the
information and not to introduce new and
material facts, and merely states with additional
precision something which is already contained
in the original information and which, therefore,
adds nothing essential for conviction for the
crime charged (Poblete vs. Sandiganbayan, G.R. No.
150610, March 25, 2004).
7.H.3 Effect of Sustaining the Motion to
Quash (Rule 117, Sec. 5)
1. The court may order that another complaint
or information be filed EXCEPT if barred;
2. If the order is made, the accused, if in
custody, shall not be discharged UNLESS
admitted to bail;
3. If no order is made or if having been made,
no new information is filed within the time
specified in the order or within such further
time as the court may allow for good cause,
the accused, if in custody, shall be
discharged UNLESS he is also in custody for
another charge.
 The court may order that another complaint
or information be filed EXCEPT if barred;
 If the order is made, the accused, if in
custody, shall not be discharged UNLESS
admitted to bail;
 If no order is made or if having been made,
no new information is filed within the time
specified in the order or within such further
time as the court may allow for good cause,
the accused, if in custody, shall be
discharged UNLESS he is also in custody for
another charge.
7.H.4 Order Sustaining the Motion to
Quash Not a Bar to Another
Prosecution(Rule 117, Sec. 6,)
Bar Operations
Commissions 513
513
 General Rule: An order sustaining the motion
to quash is not a bar to another prosecution for
the same offense.
Exceptions: When the motion was based on
following grounds:(ExCon)
1. That the criminal action or liability has been
extinguished.
2. That the accused has been previously
convicted or acquitted of the offense
charged, or the case against him was
dismissed or otherwise terminated without
his express consent.(Rule 117, Sec. 6)
General Rule: An order sustaining the motion
to quash is not a bar to another prosecution for
the same offense.
Exceptions: When the motion was based on
following grounds:(ExCon)
d) That the criminal action or liability has
been extinguished.
e) That the accused has been previously
convicted or acquitted of the offense charged,
or the case against him was dismissed or
otherwise terminated without his express
consent.(Rule 117, Sec. 6)
An Order Denying a Motion to Quash is
Interlocutory and not Appealable
 The denial by the trial court of a motion to
quash cannot be the subject of a petition for
certiorari, prohibition or mandamus in
another court of coordinate rank.
1.
First, a denial of a motion to quash is not
appealable. Petition for certiorari is only
proper when appeal is not an adequate
remedy. The remedy is to go to trial.
Second, certiorari is an exception and a
recourse grounded only on compelling
reasons such as: in the interest of
enlightened and substantial justice,
promotion of public welfare and public
policy, cases that have generated
nationwide attention making it essential to
proceed with dispatch in the consideration
thereof, or judgments attended by grave
514
abuse of discretion (Galzote vs. Briones, G.R.
No. 164682, September 14, 2011).
11. The denial by the trial court of a motion to
quash cannot be the subject of a petition for
certiorari, prohibition or mandamus in
another court of coordinate rank.
First, a denial of a motion to quash is not
appealable. Petition for certiorari is only
proper when appeal is not an adequate
remedy. The remedy is to go to trial.
Second, certiorari is an exception and a
recourse grounded only on compelling
reasons such as: in the interest of
enlightened and substantial justice,
promotion of public welfare and public
policy, cases that have generated
nationwide attention making it essential to
proceed with dispatch in the consideration
thereof, or judgments attended by grave
abuse of discretion (Galzote vs. Briones, G.R.
No. 164682, September 14, 2011).
7.H.5 Double Jeopardy (Rule 117, Sec. 7)
It means that when a person is charged with an
offense and the case is terminated either by
acquittal or conviction or in any other manner
WITHOUT the consent of the accused, the latter
cannot again be charged with the same or
identical offense.(Villareal vs. People, G.R. 151258,
February, 1, 2012).
 Jeopardy refers to peril in which a person
is put when he is regularly charged with a
crime before a tribunal properly organized
and competent to try him(People vs. Jabajab,
G.R. Nos. L-9238-39, November 13, 1956).
Jeopardy refers to peril in which a person is
put when he is regularly charged with a crime
before a tribunal properly organized and
competent to try him(People vs. Jabajab, G.R. Nos.
L-9238-39, November 13, 1956).
Q: When does the Accused waive his
constitutional safeguard against Double
Jeopardy?
A: The Supreme Court reiterates that when an
accused appeals from the sentence of the trial
court, he waives the constitutional safeguard
against double jeopardy and throws the whole
 Purple Notes
case open to the review of the appellate court,
which is then called to render
judgementjudgment as the law and justice
dictate, whether favorable or unfavorable, and
whether they are made the subject of assigned
errors or not. (People vs.Rondero, G.R. No. 125687,
December 9, 1999)
Q: May an Accused be Prosecuted for More
than One Offense?
A: The Supreme Court had ruled that a single
act or incident might offend against two or more
entirely distinct and unrelated provisions of law
thus justifying the prosecution of the accused
for more than one offense. The only limit to this
rule is the Constitutional prohibition that no
person shall be twice put in jeopardy of
punishment for “the same offense” (Loney vs.
People, G.R. No. 152644, February 10, 2006)
When First Jeopardy Attaches
Requisites: It is necessary that in the first
case, there was: (ICAP-Con)
1. a valid indictment;
2. before a competent court of
jurisdiction;
3. after arraignment;
4. when a valid plea has been entered;
and,
5. when the accused has been acquitted
or convicted, or the case dismissed or
otherwise terminated without his
express consent (Cerezo vs. People, G.R.
No. 185230, June 01, 2011).
 If the case is dismissed upon defendant’s
request or with his express consent, the
dismissal is not a bar to another prosecution
for the same offense because his act
prevents the court from proceeding to trial
on the merits and rendering judgment of
conviction against him (People vs. Obsania,
G.R. No. L-24447, June 29, 1968).
 or is necessarily included in the first offense
 Double jeopardy exists when the following
requisites are present: (1) a first jeopardy
attached prior to the second; (2) the first
jeopardy has been validly terminated; and
(3) a second jeopardy is for the same
Criminal
Remedial
offense as in the first (Cerezo vs. People, G.R.
No. 185230, June 01, 2011).
 If the case is dismissed upon defendant’s
request or with his express consent, the
dismissal is not a bar to another prosecution
for the same offense because his act
prevents the court from proceeding to trial
on the merits and rendering judgment of
conviction against him (People vs. Obsania,
G.R. No. L-24447, June 29, 1968 ).
 Double jeopardy exists when the following
requisites are present: (1) a first jeopardy
attached prior to the second; (2) the first
jeopardy has been validly terminated; and
(3) a second jeopardy is for the same
offense as in the first (Cerezo vs. People, G.R.
No. 185230, June 01, 2011).
Q: What is the Effect of Double Jeopardy
on the Civil Aspect of the Case?
A: A judgementjudgment of acquittal is
immediately final and executory and the
prosecution cannot appeal the acquittal because
of the constitutional prohibition against double
jeopardy. However, either the offended party or
the accused may appeal the civil aspect of the
judgementjudgment despite the acquittal of the
accused. The public prosecutor has generally
no interest in appealing the civil aspect of a
decision acquitting the accused. The acquittal
ends the work of the public prosecutor and the
case is terminated as far as he is concerned (Cruz
vs. Court of Appeals, G.R. No. 123340, August, 29,
2002).
When ALL the Requisites of First Jeopardy
are Present, they Constitute a Bar to a
Second Prosecution which is:
1.For the same offense;
2.For an attempt to commit the same offense;
3.For a frustration of the said offense;
4.For any offense which necessarily includes
charged.(Rule 117, Sec. 7)
 For the same offense;
 For an attempt to commit the same offense;
 For a frustration of the said offense;
Bar Operations
Commissions 515
515
 For any offense which necessarily includes or is proof of an additional fact which the other does
necessarily included in the first offense charged. not so require, neither conviction nor acquittal in
(Rule 117, Sec. 7) one will bar a prosecution for the other (Perez vs.
CA, G.R. No. L-80838, November 29, 1988).
Instances When Dismissal Amounts to
Acquittal and Bars a Subsequent Test for Determining whether the Two (2)
Prosecution for the Same Offense EVEN IF Offenses are Identical
Dismissal is at the Instance of Defendant:
Same Offense Test – there is identity between
1. If predicated upon right to speedy trial of the two offenses when the evidence to support
the accused; a conviction for one offense would be sufficient
2. Due to a variance between the proof and to warrant a conviction for the other, or when
allegations; the second offense is exactly the same as the
3. In the strength of a demurrer to evidence; first, or when the second offense is an attempt
or to commit or a frustration of, or when it
4. Insufficiency of evidence necessarily includes or is necessarily included in,
the offense charged in the first information
(Tehankee, Jr. vs. Madayag, G.R. No. 103102, March
6, 1992).
 If predicated upon right to speedy trial
of the accused; Exceptions to the Identity Rule:
 Due to a variance between the proof
and allegations; a.) The graver offense developed due to
 In the strength of a demurrer to supervening facts arising from the same act
evidence; or or omission constituting the former charge;
 Insufficiency of evidence b.) The facts constituting the graver charge
became known or were discovered only
DISMISSAL ACQUITTAL after a plea was entered in the former
Does not decide Always based on the complaint or information (newly discovered
the case on the merits; that is, the facts); and
merits or that the defendant is c.) The plea of guilty to the lesser offense was
defendant is not acquitted because
made without the consent of the prosecutor
guilty. the evidence does
not show defendant’s
and of the offended party EXCEPT as
guilt beyond provided in Section 1(f) of Rule 116
reasonable doubt. (improper affirmative plea to a lesser
offense)(Rule 117, Section 7).
If an act is punished by a law and an ordinance,
even if they are considered as different Same Evidence Test – whether the facts, as
offenses, conviction/acquittal under either shall alleged in the 2nd information, if proved, would
constitute a bar to another prosecution for the have been sufficient to sustain the former
same act.(Carmelo vs. People of the Philippines, G.R. information, or from which the accused may
No. L-3580, March 22, 1950) have been acquitted or convicted.

 If a single act is punished by two (2)
different provisions of law, but each
provision requires proof of an additional fact
which the other does not so require, neither
conviction nor acquittal in one will bar a
prosecution for the other (Perez vs. CA, G.R.
No. L-80838, November 29, 1988).
 If a single act is punished by two (2) different
provisions of law, but each provision requires
7.H.6 Provisional Dismissal(Rule 117, Sec. 8)
Requisites: (MoNO-Ser)
a.) Motion by the prosecution with the express
consent of the accused or by the accused
himself, or by both the prosecution and the
accused for a provisional dismissal;
b.) Notice to the offended party of the motion;

516
 Purple Notes
c.) Court issued order granting the motion and
dismissing the case provisionally; and,
d.) Public prosecutor is served with a copy of
the order of provisional dismissal of the
case (People vs. Panfilo Lason, G.R. No.
149453, April 1, 2003).
Provisional Dismissal Becomes Permanent
for Failure to Revive the Case Within:
a) 1 year: for offenses punishable by
imprisonment not exceeding 6 years.
b) 2 years: for offenses punishable by
imprisonment of more than 6 years.
Note: The period above is counted from the
receipt by the public prosecutor of the copy of
the order of provisional dismissal.
Upon the lapse of the period to revive the case,
the State is presumed, albeit disputably, to have
abandoned or waived its right to revive the case
and prosecute the accused. The dismissal
becomes ipso facto permanent. He can no
longer be charged anew for the same crime or
another crime necessarily included therein.
(People vs. Lacson, G.R. No. 149453, April 1, 2003).
Procedure in Reviving Provisionally
Dismissed Cases (People vs. Panfilo Lason, G.R.
No. 149453, April 1, 2003):
a. If the revival is done within the time-bar
and the case involves the same offense or
an offense necessarily included therein,
revival may be had by the refiling of the
Information or by the filing of a new
Information, without the need of a new
preliminary investigation;
b. If after the provisional dismissal, the original
witnesses of the prosecution or some of
them have recanted their testimonies or
have died or are no longer available and
new witnesses for the State have emerged,
the revival within the time-bar for the same
offense or an offense necessarily included
therein may still be done by the refiling of
the Information or by the filing of a new
Information, provided that a new
preliminary investigation is conducted;
c. If, in the revival, other persons are charged
for the same offense or one necessarily
Criminal
Remedial
included therein, or if the original charge
has been upgraded, or if the criminal liability
of the accused is upgraded from that as an
accessory to that as a principal, such revival
within the time-bar for the same offense or
an offense necessarily included therein may
likewise be done by the refiling of the
Information or by the filing of a new
Information, provided that a new
preliminary investigation is conducted;
d. No revival may be done beyond the time-
bar, as such would result in the violation of
the constitutional right of the accused
against double jeopardy.
Q: Are Dismissal Based on a Motion to
Quash and a Provisional Dismissal the
Same?
A: An examination of the whole Rule tells us
that a dismissal based on a motion to quash and
a provisional dismissal are far different from one
another as concepts, in their features, and legal
consequences. While the provision on
provisional dismissal is found within Rule 117
(entitled Motion to Quash), it does not follow
that a motion to quash results in a provisional
dismissal to which Section 8, Rule 117 applies. If
the problem relates to an intrinsic or extrinsic
deficience of the complaint or information, as
shown on its face, the remedy is a motion to
quash under the terms of Section 3, Rule 117.
All other reasons for seeking the dismissal of the
complaint or information, before arraignment
and under the circumstances outlined in Section
8, fall under provisional dismissal (Los Banos vs.
Pedro, G.R. No. 173588, April 22, 2009).
Failure to Move to Quash or to Allege any
Ground Therefor (Rule 117, Sec. 9)
General Rule: All grounds for a motion to
quash are waived if not seasonably raised.
Exceptions: (Off-JurExDo)
1. When the information does not charge an
offense;
2. When the ground is lack of jurisdictionof
the court;
3. When the ground is extinction of the
offense or penalty, and;
Bar Operations
Commissions 517
517
 4. When the ground is double jeopardy.
 When the information does not charge an
offense;
 When the ground is lack of jurisdictionof
the court;
 When the ground is extinction of the
offense or penalty, and;
 When the ground is double jeopardy.
7.I. PRE-TRIAL (Rule 118)
Note: Rule 118 has been amended by the the
Guidelines to be Observed by Trial Court Judges
and Clerks of Court in the Conduct of Pre-trial
and Use of Deposition-Discovery Measures (A.M.
No. 03-1-09-SC, effective August 16, 2004).
Purpose of Pre-trial
1. To simplify the issues, shape up the
testimonial and documentary evidence and
generally to clear the desks for trial (Irving
Trust Co. vs. US, 221 F.2d 303).
2.
3. To promote a fair and expeditious trial of
the criminal and civil aspects of the case
[Rule 118, Sec. 1 (f)]]
 To simplify the issues, shape up the
testimonial and documentary evidence and
generally to clear the desks for trial (Irving
Trust Co. vs. US, 221 F.2d 303).
 To promote a fair and expeditious trial of the
criminal and civil aspects of the case [Rule
118, Sec. 1 (f)]]
Where Pre-trial is Mandatory (Rule 118, Sec.
1)
In all criminal cases cognizable by the:
2. Sandiganbayan;
3. Regional Trial Court;
4. Metropolitan Trial Court;
5. Municipal Trial Court in Cities;
6. Municipal Trial Court;
7. Municipal Circuit Trial Court.
a) Sandiganbayan;
b) Regional Trial Court;
c)Metropolitan Trial Court;
d) Municipal Trial Court in Cities;
e) Municipal Trial Court;
f) Municipal Circuit Trial Court.
518
Period for Court to Order Pre-trial
Conference
General Rule: After arraignment and within 30
days from the date the court acquires
jurisdiction over the person of the accused.
Exception: When a shorter period is provided
for in special laws or circulars of the Supreme
Court.(Rule 118, Section 1)
Order for Pre-Trial Conference:
After the arraignment, the Court shall
forthwith set the pre-trial conference
within thirty (30) days from the date of
arraignment, and issue an order:
1. Requiring the private offended party to
appear thereat for pusposes of plea-
bargaining EXCEPT for violations of the
Comprehensive Dangerous Drugs Act of
2002, and for other matters requiring his
presence under Sec. 1 of Rule 118;
2.
3. Referring the case to the Branch Clerk of
Court, if warranted, for a preliminary
conference; and,
4.
5. The Preliminary Conference shall be set
at least three days prior to the pre-trial to
mark the documents or exhibits to be
presented by the parties and copies thereof
to be attached to the records after
comparison and to consider other matters
as may aid in its prompt disposition.
6.
7. Informing the parties that no evidence shall
be allowed to be presented and offered
during the trial other than those identified
and marked during the pre-trial, except
when allowed by the court for good cause
shown (Part I, B[2], A.M. No. 03-1-09-SC)
 Requiring the private offended party
to appear thereat for pusposes of
plea-bargaining EXCEPT for
violations of the Comprehensive
Dangerous Drugs Act of 2002, and
for other matters requiring his
presence under Sec. 1 of Rule 118;
 Purple Notes
 Referring the case to the Branch
Clerk of Court, if warranted, for a
preliminary conference; and,
 The Preliminary Conference shall
be set at least three days prior to
the pre-trial to mark the documents
or exhibits to be presented by the
parties and copies thereof to be
attached to the records after
comparison and to consider other
matters as may aid in its prompt
disposition.
 Informing the parties that no
evidence shall be allowed to be
presented and offered during the
trial other than those identified and
marked during the pre-trial, except
when allowed by the court for good
cause shown (Part I, B[2], A.M. No.
03-1-09-SC)
Note: In mediatable cases, the judge shall refer
the parties and their counsel to the Philippine
Mediation Center (PMC) unit for purposes of
mediation if available(A.M. No. 01-10-5-SC
PHILJA).
7.I.1 Matters to be Considered During the
Pre-Trial Conference (Rule 118, Sec. 1) (P-
SWaMod-Ma)
1. Plea bargaining;
2. Stipulation of facts;
3. Marking for identification of evidence of the
parties;
4. Waiver of objections to admissibility of
evidence;
5. Modification of the order of trial if the
accused admits the charge but interposes a
lawful defense;
6. Such matters as will promote a fair and
expeditious trial of the criminal and civil
aspects of the case.
a. Agreements covering these matters shall
be approved by the court. (Rule 118, Sec.
2)
Preliminary Conference in Criminal Cases
(Part I, B[3], A.M. No. 03-1-09-SC)
Criminal
Remedial
During the Preliminary Conference, the Branch
Clerk of Court (COC) shall:
1. Assist the parties in reaching a settlement of
the civil aspect of the case;
2. Mark the documents to be presented as
exhibits and copies thereof attached to the
records after comparison;
3. Ascertain from the parties the undisputed
facts and admissions on the genuineness and
due execution of documents marked as
exhibits; and,
4. Consider such other matters as may aid in
the prompt disposition of the case.
The proceedings during the Preliminary
Conference shall be recorded in the Minutes
of Preliminary Conference to be signed by
both parties and counsel (Annex B, A.M. No.
03-1-09-SC).
The Minutes of Preliminary Conference and
the exhibits shall be attached by the Branch
COC to the case record before the pre-trial.
 Plea bargaining;
 Stipulation of facts;
 Marking for identification of
evidence of the parties;
 Waiver of objections to admissibility
of evidence;
 Modification of the order of trial if
the accused admits the charge but
interposes a lawful defense;
 Such matters as will promote a fair
and expeditious trial of the criminal
and civil aspects of the case.
 Agreements covering these matters
shall be approved by the court. (Rule
118, Sec. 2)
Preliminary Conference in Criminal Cases
(Part I, B[3], A.M. No. 03-1-09-SC)
During the Preliminary Conference, the Branch
Clerk of Court (COC) shall:
1) Assist the parties in reaching a settlement of
the civil aspect of the case;
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519
2) Mark the documents to be presented as
exhibits and copies thereof attached to the
records after comparison;
3) Ascertain from the parties the undisputed
facts and admissions on the genuineness and
due execution of documents marked as
exhibits; and,
4) Consider such other matters as may aid in
the prompt disposition of the case.
The proceedings during the Preliminary
Conference shall be recorded in the Minutes
of Preliminary Conference to be signed by
both parties and counsel (Annex B, A.M. No.
03-1-09-SC).
The Minutes of Preliminary Conference and
the exhibits shall be attached by the Branch
COC to the case record before the pre-trial.
Duty of the Judge (Part I, B[4], A.M. No. 03-1-
09-SC)
Before the pre-trial conference, the judge must
study:
1. The allegations of the information;
2. The statements in the affidavits of
witnesses; and
3. Other documentary evidence which form
part of the record of the preliminary
investigation.
Plea Bargaining in Criminal Cases
During the pre-trial, the trial judge shall consider
plea-bargaining arrangements (Part I, B[5], A.M.
No. 03-1-09-SC).
In all other cases where the imposable penalty
is life imprisonment or life imprisonment to
death, plea bargaining is NOT allowed. Plea
bargaining is also not allowed under Section 5 of
R.A. 9165 involving all other kinds of dangerous
drugs, except shabu and marijuana (A.M. No. 18-
03-16-SC)
 Plea Bargaining is a process whereby the
accused and the prosecution work out a
mutually satisfactory disposition of the case
subject to court approval. It usually involves
520
the defendant's pleading guilty to a lesser
offense or to only one or some of the counts
of a multi-count indictment in return for a
lighter sentence than that for the graver
charge. (Daan vs. Sandiganbayan, G.R. Nos.
163972-77, March 28, 2008)

 Properly administered, plea bargaining is to
be encouraged because the chief virtues of
the system – speedy, economy and finality –
can benefit the accused, the offended party,
the prosecution and the court. X xx
Considering the presence of mutuality of
advantage, the rules on plea bargaining
neither create a right nor take away a
vested right. Instead, it operates as a
means to implement an existing right by
regulating the judicial process for enforcing
rights and duties recognized by substantive
law and for justly administering remedy and
redress for a disregard or infraction of them
(Estipona, Jr. vs. Lobrigo, G.R. No. 226679,
August 15, 2017).
Note: Under the same case, the Court declared
Sec. 23 of R.A. 9165, which prohibits plea
bargaining in drug cases, as unconstitutional for
being violative of the Court’s rule-making
authority under the Constitution.
7.I.2 What the Court Should Do When
Prosecution and Offended Party Agree to
the Plea Offered by the Accused (Part I, B[3],
A.M. No. 03-1-09-SC)
The court shall:
1. Issue an oder which contains the plea
bargaining arrived at;
2. Proceed to receive evidence on the civil
aspect of the case; and,
3. Render and promulgate judgment of
conviction, including the civil liability or
damages duly established by the evidence.
Court Action When Plea Bargaining Fails
(Part I, B[6], A.M. No. 03-1-09-SC)
1. Adopt the minutes of preliminary conference
as part of the pre-trial proceedings, confirm
marking of exhibits or substituted
photocopies and admissions on the
genuineness and due execution of
 Purple Notes
documents and list object and testimonial
evidence;
2.
3. Scrutinize every allegation of the
information and the statements in the
affidavits and other documents which form
part of the record of the preliminary
investigation and other documents identified
and marked as exhibits in determining
further admissions of facts, documents and
in particular as to the following:
a. the identity of the accused;
b. court’s territorial jurisdiction relative to
the offense/s charged;
c. qualification of expert witness/es;
d. amount of damages;
e. genuineness and due execution of
documents;
f. the cause of death or injury, in proper
cases;
g. adoption of any evidence presented
during the preliminary investigation;
h. disclosure of defenses of alibi, insanity,
self-defense, exercise of public authority
and justifying or exempting
circumstances; and,
i. such other matters that would limit the
facts in issue.
3. Define factual and legal issues;
4. Ask parties to agree on the specific trial
dates and adhere to the flow chart
determined by the court which shall contain
the time frames for the different stages of
the proceeding up to promulgation of
decision and use the time frame for each
stage in setting the trial dates;
5. Require the parties to submit to the Branch
COC the names, addresses and contact
numbers of witnesses that need to be
summoned by subpoena; and,
6. Consider the modification of order of trial if
the accused admits the charge BUT
interposes a lawful defense.
The court shall:
 Issue an oder which contains the plea
bargaining arrived at;
 Proceed to receive evidence on the civil
aspect of the case; and,
Criminal
Remedial
 Render and promulgate judgment of
conviction, including the civil liability or
damages duly established by the
evidence.
Court Action When Plea Bargaining Fails
(Part I, B[6], A.M. No. 03-1-09-SC)
a) Adopt the minutes of preliminary
conference as part of the pre-trial
proceedings, confirm marking of exhibits
or substituted photocopies and
admissions on the genuineness and due
execution of documents and list object
and testimonial evidence;
b) Scrutinize every allegation of the
information and the statements in the
affidavits and other documents which
form part of the record of the
preliminary investigation and other
documents identified and marked as
exhibits in determining further
admissions of facts, documents and in
particular as to the following:
 the identity of the accused;
 court’s territorial jurisdiction relative to
the offense/s charged;
 qualification of expert witness/es;
 amount of damages;
 genuineness and due execution of
documents;
 the cause of death or injury, in proper
cases;
 adoption of any evidence presented
during the preliminary investigation;
 disclosure of defenses of alibi, insanity,
self-defense, exercise of public authority
and justifying or exempting
circumstances; and,
 such other matters that would limit the
facts in issue.
1) Define factual and legal issues;
2) Ask parties to agree on the specific trial
dates and adhere to the flow chart
determined by the court which shall
contain the time frames for the different
stages of the proceeding up to
promulgation of decision and use the
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521
 time frame for each stage in setting the
trial dates;
3) Require the parties to submit to the
Branch COC the names, addresses and
contact numbers of witnesses that need
to be summoned by subpoena; and,
4) Consider the modification of order of
trial if the accused admits the charge
BUT interposes a lawful defense.
Pre-Trial Proper(Part I, B[7 and 9], A.M. No. 03-
1-09-SC)
The judge shall be the one to ask questions on
issues raised during the pre-trial.
All questions must be directed to the judge to
avoid hostilities between parties.
All proceedings during the pre-trial shall be
recorded, the transcripts prepared and the
minutes signed by the parties and/or their
counsels.
7.I.3 Pre-Trial Agreement As Evidence
Against The Accused (Rule 118, Sec. 2)
Requisites:
c) Reduced in writing; and
d) Signed by the accused and counsel.
 If the prosecution discovered that the
accused did not sign the stipulation of facts,
as required by Rule 118, he should submit
evidence to establish the elements of the
crime and not relying solely on the
stipulation of facts (Fule vs. CA, G.R. No. L-
79094, June 22, 1988 ).
 Pre-trial stipulations were duly signed by the
accused and their counsel cannot be
allowed to unilaterally withdraw the same
unless set aside for good cause. In the Joint
Stipulation of Facts and Documents, the
prosecution opted not to present any
witness considering that the defense
admitted all the documentary evidence of
the prosecution (Bayas vs. Sandiganbayan,
G.R. Nos. 143689-91, November 12, 2002).
Requisites:
e) Reduced in writing; and
522
f) Signed by the accused and counsel.
 If the prosecution discovered that the
accused did not sign the stipulation of facts,
as required by Rule 118, he should submit
evidence to establish the elements of the
crime and not relying solely on the
stipulation of facts (Fule vs. CA, G.R. No. L-
79094, June 22, 1988 ).
 Pre-trial stipulations were duly signed by the
accused and their counsel cannot be
allowed to unilaterally withdraw the same
unless set aside for good cause. In the Joint
Stipulation of Facts and Documents, the
prosecution opted not to present any
witness considering that the defense
admitted all the documentary evidence of
the prosecution (Bayas vs. Sandiganbayan,
G.R. Nos. 143689-91, November 12, 2002).
7.I.4 Non-Appearance at Pre-Trial
Conference (Rule 118, Sec. 3)
The Court may impose proper sanctions if the
counsel for the accused or the prosecutor does
not appear at the pre-trial conference and does
not offer an acceptable excuse for his lack of
cooperation.
Sanctions and Penalties for Non –
Appearance Refer to the Counsel for the
Accused and the Prosecutor
 Section 8 of Rule 70 of the Rules of Court
requires the appearance of the plaintiff and
the defendant during the preliminary
conference. Unless inconsistent with Rule
70, the provisions of Rule 18 on pre-trial
applies to the preliminary conference.
Section 4 of Rule 18 may supplement
Section 8 of Rule 70. Thus, the spirit behind
the exception to personal appearance under
the rules on pre-trial is applicable to the
preliminary conference. If there are valid
reasons or if a representative has a “special
authority,” a party’s appearance may be
waived (Spouses Macasaet vs. Spouses
Macasaet, G.R. No. 154391-92, August 30,
2004).
Section 8 of Rule 70 of the Rules of Court
requires the appearance of the plaintiff and the
 Purple Notes
defendant during the preliminary conference.
Unless inconsistent with Rule 70, the provisions
of Rule 18 on pre-trial applies to the preliminary
conference. Section 4 of Rule 18 may
supplement Section 8 of Rule 70. Thus, the
spirit behind the exception to personal
appearance under the rules on pre-trial is
applicable to the preliminary conference. If
there are valid reasons or if a representative has
a “special authority,” a party’s appearance may
be waived (Spouses Macasaet vs. Spouses
Macasaet, G.R. No. 154391-92, August 30, 2004).
7.I.5 Pre-Trial Order
It is an order issued by the trial judge within ten
(10) days AFTER the termination of the pre-trial.
Contents of Pre-trial Order (Rule 118, Sec. 4)
1. Actions taken;
2. Facts stipulated;and
 3. Evidence marked.Actions taken;
 Facts stipulated;and
 Evidence marked.
Effects of Pre-Trial Order
1. Binds the parties;
2. Limits the trial to matters not disposed of;
and,
3. Controls the course of the action during the
trial, unless modified by the court to prevent
manifest injustice.(A.M. No. 03-1-09-SC; Rule
118, Section 4)
 Binds the parties;
 Limits the trial to matters not
disposed of; and,
 Controls the course of the
action during the trial, unless
modified by the court to prevent
manifest injustice.(A.M. No. 03-1-
09-SC; Rule 118, Section 4)
Referral of Some Cases For Court Annexed
Mediation (CAM) and Judicial Dispute
Resolution (JDR) Proceedings
Note: The diversion of pending court cases
both to Court-Annexed Mediation (CAM) and to
Criminal
Remedial
Judicial Dispute Resolution (JDR) is plainly
intended to put an end to pending litigation
through a compromise agreement of the parties.
Objectives:To actively promote party
autonomy in the resolution of disputes or the
freedom of the parties to make their own
arrangement to resolve disputes. Towards this
end, the State shall encourage and actively
promote the use of Alternative Dispute
Resolution (ADR) as an important means to
achieve speedy and impartial justice and de-clog
court dockets(A.M. No. 01-10-5-SC PHILJA).
Coverage:
1. All civil cases and the civil liability of criminal
cases covered by the Rule on Summary
Procedure, including the civil liability for
violation of B.P. 22, except those which by
law may not be compromised;
2. Special proceedings for the settlement of
estates;
3. All civil and criminal cases filed with a
certificate to file action issued by the Punong
Barangay or the Pangkat ng
Tagapagkasundo under the Revised
KatarungangPambarangay Law (Chapter 7, RA
7160);
4. The civil aspect of Quasi-Offenses under Title
14 of the Revised Penal Code;
5. The civil aspect of less grave felonies
punishable by correctional penalties not
exceeding 6 years imprisonment, where the
offended party is a private person;
6. The civil aspect of estafa, theft and libel;
7. All civil cases and probate proceedings,
testate and intestate, brought on appeal
from the exclusive and original jurisdiction
granted to the first level courts under Section
33, par. (1) of the Judiciary Reorganization
Act of 1980(A.M. No. 08‐9‐10‐SC‐PHILJA);
8. All cases of forcible entry and unlawful
detainer brought on appeal from the
exclusive and original jurisdiction granted to
the first level courts under Section 33, par.
(2) of the Judiciary Reorganization Act of
1980;
9. All civil cases involving title to or possession
of real property or an interest therein
brought on appeal from the exclusive and
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original jurisdiction granted to the
Commissions 523
523
 first level courts under Section 33, par. (3) of
the Judiciary Reorganization Act of 1980; and
10. All habeas corpus cases decided by the first
level courts in the absence of the Regional
Trial Court judge, that are brought up on
appeal from the special jurisdiction granted
to the first level courts under Section 35 of
the Judiciary Reorganization Act of 1980.
 All civil cases and the civil liability of
criminal cases covered by the Rule on Summary
Procedure, including the civil liability for
violation of B.P. 22, except those which by law
may not be compromised;
 Special proceedings for the settlement
of estates;
 All civil and criminal cases filed with a
certificate to file action issued by the Punong
Barangay or the Pangkat ng Tagapagkasundo
under the Revised Katarungang Pambarangay
Law (Chapter 7, RA 7160);
 The civil aspect of Quasi-Offenses under
Title 14 of the Revised Penal Code;
 The civil aspect of less grave felonies
punishable by correctional penalties not
exceeding 6 years imprisonment, where the
offended party is a private person;
 The civil aspect of estafa, theft and
libel;
 All civil cases and probate proceedings,
testate and intestate, brought on appeal from
the exclusive and original jurisdiction granted to
the first level courts under Section 33, par. (1)
of the Judiciary Reorganization Act of 1980 (A.M.
No. 08‐9‐10‐SC‐PHILJA);
 All cases of forcible entry and unlawful
detainer brought on appeal from the exclusive
and original jurisdiction granted to the first level
courts under Section 33, par. (2) of the Judiciary
Reorganization Act of 1980;
 All civil cases involving title to or
possession of real property or an interest therein
brought on appeal from the exclusive and
original jurisdiction granted to the first level
courts under Section 33, par. (3) of the Judiciary
Reorganization Act of 1980; and
 All habeas corpus cases decided by the
first level courts in the absence of the Regional
Trial Court judge, that are brought up on appeal
from the special jurisdiction granted to the first
level courts under Section 35 of the Judiciary
Reorganization Act of 1980.
524
The Following Cases shall NOT be Referred
to Court Annexed Mediation and Judicial
Dispute Resolution:
1. Civil cases which, by law, cannot be
compromised (Article 2035, New Civil Code);
2. Habeas Corpus petitions;
3. All cases under Republic Act No. 9262(Anti-
Violence against Women and their Children Act) ;
and,
4. Cases with pending application for
Restraining Orders/Preliminary Injunctions.
a) Civil cases which, by law, cannot be
compromised (Article 2035, New Civil Code);
b) Habeas Corpus petitions;
c) All cases under Republic Act No.
9262(Anti-Violence against Women and their Children
Act); and,
d) Cases with pending application for
Restraining Orders/Preliminary Injunctions.
Note: In cases where the parties inform the
court that they have agreed to undergo
mediation on some aspects thereof, e.g.,
custody of minor children, separation of
property, or support pendente lite, the court
shall refer them to mediation (OCA Circular No.
43-2019).
Archiving of Criminal Cases, When Proper
1. After the issuance of the warrant of arrest
and the accused remains at large for 6
months. The court should require the police
officer to explain why accused was not
apprehended. It should issue an alias
warrant of arrest and order the archiving of
the case;
2. When proceedings are ordered suspended
for an indefinite period because:
a. the accused is suffering from an unsound
mental condition;
b. valid prejudicial question exists;
c. an interlocutory order is elevated; and,
 d. the accused jumped bail before
arraignment. (Admin. Circ. No. 7-A-92,
June 21, 1993)After the issuance of the
warrant of arrest and the accused
remains at large for 6 months. The court
should require the police officer to explain
 Purple Notes
why accused was not apprehended. It
should issue an alias warrant of arrest
and order the archiving of the case;
 When proceedings are ordered suspended
for an indefinite period because:
c) the accused is suffering from an unsound
mental condition;
d) valid prejudicial question exists;
e) an interlocutory order is elevated; and,
f) the accused jumped bail before
arraignment. (Admin. Circ. No. 7-A-92, June
21, 1993)
7.J. TRIAL (Rule 119)
Note: Rule 119 has been amended by the
Revised Guidelines for Continuous Trial of
Criminal Cases (A.M. No. 15-06-10-SC , effective
September 1, 2017).
 Trial is the examination before a competent
tribunal, according to the laws of the land,
of the facts put in issue in a case for the
purpose of determining such issue (U.S. vs.
Raymundo, G.R. NO. L-8149, February 15,
1916).
8. Trial is the examination before a
competent tribunal, according to the
laws of the land, of the facts put in
issue in a case for the purpose of
determining such issue (U.S. vs.
Raymundo, 14 Phil. 439).
1. Trial shall commence within 30 days from
receipt of the pre-trial order.
2. The accused, after a plea of not guilty, shall
have 15 days to prepare for trial (Rule 119,
Sec. 1).
Continuous Trial System (Sec. 2, Rule 119)
Once commenced, trial shall continue from day
to day as far as practicable until terminated;
BUT it may be postponed for a reasonable
period of time for good cause.
Limitation on the Trial Period:
General Rule: Trial shall in no case exceed 180
days from the first day of trial.
Criminal
Remedial
Exception: When otherwise provided by the
Supreme Court.
7.J.1 When Presence of the Accused is
Required(Sec. 14 [2], Art. III, 1987 Constitution):
1. At the arraignment and plea;
2.
3. At the promulgation of judgment, EXCEPT
when the conviction is for a light offense;
Judgment in light offense may be
pronounced in the presence of the counsel or
representative of the accused, but is not
indispensable therein, as promulgation may
be made in absentia.
4. When ordered by the court for purposes of
identification during trial; and,
5.
6. When the court, with due notice, requires so.
(Marcos vs. Ruiz, G.R. Nos. 70746-47, Sept. 1,
1992)
 At the arraignment and plea;
 At the promulgation of judgment,
EXCEPT when the conviction is for a light
offense;
Judgment in light offense may be
pronounced in the presence of the counsel
or representative of the accused, but is not
indispensable therein, as promulgation may
be made in absentia.
 When ordered by the court for purposes
of identification during trial; and,
 When the court, with due notice,
requires so. (Marcos vs. Ruiz, G.R. Nos. 70746-
47, Sept. 1, 1992)
7.J.2 Requisites Before Trial can be
Suspended on Account of Absence of
Witness (MaNe-DeAf)
1. That the witness is material and appears to
the court to be so.
2. That the party who applies has been guilty of
no neglect.
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Commissions 525
525
3. That the witnesses can be had at the time to
which the trial is deferred and incidentally
that no similar evidence could be obtained.
4. That an affidavit showing the existence of
the above circumstances must be filed.
 That the witness is material and appears to
the court to be so.
 That the party who applies has been guilty
of no neglect.
 That the witnesses can be had at the time
to which the trial is deferred and
incidentally that no similar evidence could
be obtained.
 That an affidavit showing the existence of
the above circumstances must be filed.
7.J.3 Trial in Absentia (ANo-Un)
The holding of trial in absentia is authorized
under Section 14 (2), Article III of the 1987
Constitution which provides that "after
arraignment, trial may proceed notwithstanding
the absence of the accused provided that he has
been duly notified and his failure to appear is
unjustifiable."(Estrada vs. People of the
Philippines,G.R. No. 162371. August 25, 2005).
Requisites
1. Accused has been arraigned;
2. He has been duly notified of the trial; and,
3. His failure to appear is unjustified (Gimenez
vs. Nazarreno, No. L-37933, April 15, 1988 ).
Under the old doctrine, trial in absentia of the
escapee could not be held because he could not
be duly notified thereof. Under the present rule,
the fugitive is deemed to have waived such
notice precisely because he has escaped, and it
is also this escape that makes his failure to
appear at his trial unjustified. Escape can never
be a legal justification(People vs. Agbulos, G.R. No.
73875, May 18, 1993).
 Accused has been arraigned;
 He has been duly notified of the trial;
and,
 His failure to appear is unjustified
(Gimenez vs. Nazarreno, No. L-37933,
April 15, 1988 ).
526
Remedies of an Accused When
Prosecuting Officer Secures Postponement
of Trial
When a prosecuting officer, without good cause,
secures postponements of the trial of a
defendant against the latter’s protest and
beyond a reasonable period of time, the accused
may resort to the following remedies:
1. Mandamus to compel a dismissal of the
information;
2. Habeas corpus to obtain his freedom, if he is
restrained of his liberty;
3. Adhere faithfully to the session hours
prescribed by laws; or,
4. Maintain full control of the proceedings.
Mandamus to compel a dismissal of the
information;
Habeas corpus to obtain his freedom, if he is
restrained of his liberty;
Adhere faithfully to the session hours prescribed
by laws; or,
Maintain full control of the proceedings.
EXCLUSIONS to the Computation of Time
for Trial to Commence (Rule 119, Sec. 3)
(PAMDi-JoC)
1) Proceedings concerning the accused (e.g.
physical and mental examination, prejudicial
question);
2) Absence or unavailability of essential
witness;
3) Mental incompetence or physical inability of
the accused;
4) Dismissal of information for the filing of
another charge against the accused for the
same offense;
5) Accused is joined for trial with co-accused
over whom the court has not acquired
jurisdiction; or,
6) Continuance
7.J.4 Remedies When Accused is NOT
Brought to Trial Within the Prescribed
Period (Rule 118, Sec. 9)
 Purple Notes
Criminal
Remedial
1. The information may be dismissed on motion incidents attributable to the accused and his
of the accused on the ground of denial of his counsel, the right of the accused to speedy
right to speedy trial. disposition of cases is not violated.
2. Dismissal shall constitute double jeopardy. (Mendoza-Ong vs. Sandiganbayan, et al., G.R.
No. 146368-69, October 18,2004)
 3. The accused must move to 
dismiss before trial actually commences,  In criminal cases, a motion to dismiss may
otherwise, he waives such right.The information be filed on the ground of denial of the
may be dismissed on motion of the accused on accused’s right to speedy trial. This denial is
the ground of denial of his right to speedy trial. characterized by unreasonable, vexatious,
 Dismissal shall constitute double and oppressive delays without fault of the
jeopardy. accused, or by unjustified postponements
 The accused must move to dismiss that unreasonably prolonged the trial. This
before trial actually commences, otherwise, he was the main thrust of Cabador’s motion to
waives such right. dismiss and he had the right to bring this up
for a ruling by the trial court. The fact is
that Cabador did not even bother to do
DISMISSAL WITHOUT PREJUDICE what is so fundamental in any demurrer. He
DISTINGUISHED FROM DISMISSAL WITH did not state what evidence the prosecution
PREJUDICE had presented against him to show in what
respects such evidence failed to meet the
DISMISSAL elements of the crime charged. His so-called
DISMISSAL WITH
WITHOUT "demurrer" did not touch on any particular
PREJUDICE
PREJUDICE testimony of even one witness. He cited no
Allows a new suit An adjudication on documentary exhibit. Indeed, he could not
to be brought on the merits, the final because, he did not know that the
the same cause of disposition barring prosecution finally made its formal offer of
action. the right to bring or
exhibits on the same date he filed his
maintain an action on
the same claim or
motion to dismiss. To say that Cabador filed
cause; res judicata as a demurrer to evidence is equivalent to the
to every matter proverbial blind man, touching the side of
litigated. an elephant, and exclaiming that he had
touched a wall (People vs. Cabador, G.R. No.
The right to speedy disposition of cases, like the 186001, October 2, 2009).
right to speedy trial, is violated only when the
proceedings are attended by vexatious,  “Speedy disposition of cases” is consistent
capricious and oppressive delays. with reasonable delays. if the long delay in
the termination of the preliminary
In the determination of whether that right has investigation was not solely the
been violated, the factors that may be prosecution’s fault, but was also due to
considered and balanced are as follows: (1) incidents attributable to the accused and his
length of the delay; (2) the reasons for the counsel, the right of the accused to speedy
delay; (3) the assertion or failure to assert such disposition of cases is not violated.
right by the accused; and (4) the prejudice (Mendoza-Ong vs. Sandiganbayan, et al., G.R.
caused by the delay. (Dela Pena vs. No. 146368-69, October 18,2004)
Sandiganbayan, G.R. No. 144542, June 29, 2001)
 In criminal cases, a motion to dismiss may
 “Speedy disposition of cases” is consistent be filed on the ground of denial of the
with reasonable delays. if the long delay in accused’s right to speedy trial. This denial is
the termination of the preliminary characterized by unreasonable, vexatious,
investigation was not solely the and oppressive delays without fault of the
accused, or by unjustified postponements
prosecution’s fault, but was also due to Bar Operations
that unreasonably prolonged the
Commissions 527
527
 trial. This was the main thrust of Cabador’s
motion to dismiss and he had the right to
bring this up for a ruling by the trial court.
The fact is that Cabador did not even bother
to do what is so fundamental in any
demurrer. He did not state what evidence
the prosecution had presented against him
to show in what respects such evidence
failed to meet the elements of the crime
charged. His so-called "demurrer" did not
touch on any particular testimony of even
one witness. He cited no documentary
exhibit. Indeed, he could not because, he
did not know that the prosecution finally
made its formal offer of exhibits on the
same date he filed his motion to dismiss. To
say that Cabador filed a demurrer to
evidence is equivalent to the proverbial blind
man, touching the side of an elephant, and
exclaiming that he had touched a wall
(People vs. Cabador, G.R. No. 186001, October
2, 2009).
Order of Trial(Rule 119, Sec. 11)
The prosecution shall present evidence to prove the charge
and, in the proper case, the civil liability.
1. The prosecution shall present evidence to
prove the charge and, in the proper case, the
civil liability.
2. The accused may present evidence to prove
his defense and damages, if any, arising
from the issuance of a provisional remedy in
the case.
3. The prosecution and the defense may, in
that order, present rebuttal and sur-rebuttal
evidence unless the court, in furtherance of
justice, permits them to present additional
evidence bearing upon the main issue.
4. Upon admission of the evidence of the
parties, the case shall be deemed submitted
for decision unless the court directs them to
argue orally or to submit written
memoranda.
5. When the accused admits the act or omission
charged in the complaint or information but
interposes a lawful defense, the order of trial
may be modified.
 The accused may present evidence to prove his defense and
damages, if any, arising from the issuance of a provisional
remedy in the case.
 The prosecution and the defense may, in that order, present
rebuttal and sur-rebuttal evidence unless the court, in
528
furtherance of justice, permits them to present additional
evidence bearing upon the main issue.
 Upon admission of the evidence of the parties, the case shall
be deemed submitted for decision unless the court directs
them to argue orally or to submit written memoranda.
 When the accused admits the act or omission charged in the
complaint or information but interposes a lawful defense,
the order of trial may be modified.
Note: A departure from the order of the trial is
not reversible, as where it was agreed upon or
not seasonably objected to, but not where the
change in the order of the trial was timely
objected by the defense.
 Where the order of the trial set forth under
this section was not followed by the court
to the extent of denying the prosecution an
opportunity to present its evidence, the trial
is a nullity (People vs. Balisacan, G.R. No. L-
26376, August 31, 1966).
 Where the order of the trial set forth under
this section was not followed by the court
to the extent of denying the prosecution an
opportunity to present its evidence, the trial
is a nullity (People vs. Balisacan, G.R. No. L-
26376, August 31, 1966).
Reverse Trial
When the accused admits the act or omission
charged in the complaint or information but
interposes a lawful defense, the trial court may
allow the accused to present his evidence and
thereafter give the prosecution the opportunity
to present his rebuttal evidence.
 Refusal of the court to reverse the order of
trial upon demand of the accused who
pleads self-defense as a defense is NOT a
reversible error (People vs. Gutierrez, G.R. No.
116281, February 08, 1999).

 The modification of the order of trial is
discretionary and denial is interlocutory in
nature and hence, not appealable (People vs.
Marcial, G.R. Nos. 152864-65, September 27,
2006).
 Refusal of the court to reverse the order of
trial upon demand of the accused who
pleads self-defense as a defense is NOT a
reversible error (People vs. Gutierrez, G.R. No.
116281, February 08, 1999).
 Purple Notes
 The modification of the order of trial is
discretionary and denial is interlocutory in
nature and hence, not appealable (People vs.
Marcial, G.R. Nos. 152864-65, September 27,
2006).
Application for Examination of Witness for
Accused Before Trial (Rule 119, Sec. 12)
Accused may have witnesses examined
conditionally in his behalf, before trial, upon
motion with notice to all other parties.
The Motion Must State:
1. Name and residence of witness;
2. Substance of testimony;
3. Witness is sick or infirm as to afford
reasonable ground to believe that he will not
be able to attend the trial or resides more
than 100 km from the place of trial and has
no means to attend the same, or other
similar circumstances exist that would make
him unavailable or prevent him from
attending trial.
4. The motion shall be supported by an affidavit
and such other evidence as the court may
require.
 Name and residence of witness;
 Substance of testimony;
 Witness is sick or infirm as to afford
reasonable ground to believe that
he will not be able to attend the trial
or resides more than 100 km from
the place of trial and has no means
to attend the same, or other similar
circumstances exist that would
make him unavailable or prevent
him from attending trial.
 The motion shall be supported by
an affidavit and such other evidence
as the court may require.
Criminal
Remedial
Examination of Defense Witness (Rule 119,
Sec. 13)
The examination of witnesses must be done
orally before a judge in open court. This is true
especially in criminal cases where the
Constitution secures to the accused his right to
a public trial and to meet the witnessess against
him face to face. The requirement is the "safest
and most satisfactory method of investigating
facts" as it enables the judge to test the witness'
credibility through his manner and deportment
while testifying. It is not without exceptions,
however, as the Rules of Court recognizes the
conditional examination of witnesses and the
use of their depositions as testimonial evidence
in lieu of direct court testimony (Go vs. People,
G.R. No. 185527, July 18, 2012).
Rule 23 on Deposition NOT Applicable to
Criminal Cases
 Rule 119 categorically states that the
conditional examination of a prosecution
witness shall be made before the court
where the case is pending. Contrary to
petitioners’ contention, there is nothing in
the rule which may remotely be interpreted
to mean that such requirement applies only
to cases where the witness is within the
jurisdiction of said court and not when he is
kilometers away, as in the present case.
Therefore, the court may not introduce
exceptions or conditions. xX xx Considering
that Rule 119 adequately and squarely
covers the situation in the instant case, we
find no cogent reason to apply Rule 23
suppletorily or otherwise (Vda. De Manguerra
vs. Risos, G.R. No. 152643, August 28, 2008).
Bar Operations
Commissions 529
529
5. Rule 119 categorically states that the and the preceding
conditional examination of a prosecution sections.
witness shall be made before the court The taking of The conditional
where the case is pending. Contrary to depositions under Rule examination of a defense
24 is taken for the witness under Sec. 12 and
petitioners’ contention, there is nothing in
preservation of a 13, Rule 119 are taken for
the rule which may remotely be interpreted material witness’ the preservation also of a
to mean that such requirement applies only testimony. material witness’
to cases where the witness is within the testimony.
jurisdiction of said court and not when he is
kilometers away, as in the present case. If the court is satisfied that the examination of
Therefore, the court may not introduce witness is necessary as provided in Sec 4, an
exceptions or conditions. X x x Considering order directing that the witness be examined
that Rule 119 adequately and squarely shall be made and a copy served on the fiscal.
covers the situation in the instant case, we
find no cogent reason to apply Rule 23 The examination shall be taken before any
suppletorily or otherwise (Vda. De Manguerra judge or, if not practicable, before any member
vs. Risos, G.R. No. 152643, August 28, 2008). of the Bar in good standing so designated in the
order.
APPLICATION FOR
MODES OF EXAMINATION OF The examination shall proceed notwithstanding
DISCOVERY WITNESS UNDER the absence of the prosecutor provided he was
UNDER THE CIVIL THE RULES OF duly notified of the hearing. A written record of
PROCEDURE CRIMINAL the testimony shall be taken(Rule 119 Sec. 13).
(Rule 24) PROCEDURE (Sec.
12, Rule 119) Bail to Secure Appearance of Material
Rule 24 applies in a The procedure set Witness (Rule 119, Sec. 14)
suppletory character forth must be
in all matters not complied with strictly Requisites: (NoMO)
specifically touched
on by Sec. 12, Rule 1. Court is satisfied, upon proof or oath, that a
119 and the material witness will not testify when
preceding sections. required;
The taking of The conditional 2. Motionby either party; and,
depositions under examination of a 3. Order of court to the witness to post bail
Rule 24 is taken for defense witness
the preservation of a under Sec. 12 and Effect of Refusal to Post Bail: The court shall
material witness’ 13, Rule 119 are commit the witness to prison.
testimony. taken for the Period of Imprisonment
preservation also of a
material witness’ 1. Until the witness complies; or,
testimony. 2.
3. 2. Until he is legally discharged after his
APPLICATION FOR testimony has been takenRequisites: (NoMO)
MODES OF
EXAMINATION OF
DISCOVERY UNDER
WITNESS UNDER THE Court is satisfied, upon proof or
THE CIVIL
RULES OF CRIMINAL
PROCEDURE
PROCEDURE (Sec. 12, oath, that a material witness will not
(Rule 24) testify when required;
Rule 119)
Rule 24 applies in a The procedure set forth Motionby either party; and,
suppletory character in must be complied with Order of court to the witness to post
all matters not strictly.
specifically touched on bail
by Sec. 12, Rule 119

530
 Purple Notes
Effect of Refusal to Post Bail: The
court shall commit the witness to
prison.
Period of Imprisonment
Until the witness complies; or,
Until he is legally discharged after
his testimony has been taken.
4.
Examination of Witness for the
Prosecution (Rule 119, Sec. 15)
When Witness may be Conditionally
Examined (SiLe)
 Witness is too sick or infirm to attend
trial; or,
 He has to leave the Philippines with no
definite date of returning.
1. Witness is too sick or infirm to attend trial;
or,
2. He has to leave the Philippines with no
definite date of returning.
Note:
Such examination in the presence of the
accused or in his absence after reasonable
notice to attend the examination has been
served on him shall be conducted in the same
manner as in examination at the trial.
Failure or refusal of the accused to attend after
notice shall be considered as a waiver (Rule 119,
Sec. 15).
Face-to-Face Confrontation
 The requirement insures that the witness
will give his testimony under oath, thus
deterring lying by the threat of perjury
charge; it forces the witness to submit to
cross-examination, a valuable instrument in
exposing falsehood and bringing out the
truth; and it enables the court to observe
the demeanor of the witness and assess his
credibility."(Bernas, J.G., The 1987 Constitution:
A Commentary, 1996 Edition, p. 463, citing U.S.
vs. Anastacio, G.R. No. 2821, August 30, 1906;
Criminal
Remedial
U.S. vs. Raymundo,G.R.No. 4947, November 11,
1909; and U.S. vs. Javier,G.R. No. 12990,
January 21, 1918)
The requirement insures that the witness will
give his testimony under oath, thus deterring
lying by the threat of perjury charge; it forces
the witness to submit to cross-examination, a
valuable instrument in exposing falsehood and
bringing out the truth; and it enables the court
to observe the demeanor of the witness and
assess his credibility."(Bernas, J.G., The 1987
Constitution: A Commentary, 1996 Edition, p. 463,
citing U.S. vs. Anastacio, G.R. No. 2821, August 30,
1906; U.S. vs. Raymundo,G.R.No. 4947, November
11, 1909; and U.S. vs. Javier,G.R. No. 12990, January
21, 1918)
Cross-Examination of a Witness
 There is also the advantage of the witness
before the judge, and it is this – it enables
the judge as trier of facts "to obtain the
elusive and incommunicable evidence of a
witness' deportment while testifying, and a
certain subjective moral effect is produced
upon the witness. It is only when the
witness testifies orally that the judge may
have a true idea of his countenance,
manner and expression, which may confirm
or detract from the weight of his testimony.
Certainly, the physical condition of the
witness will reveal his capacity for accurate
observation and memory, and his
deportment and physiognomy will reveal
clues to his character. These can only be
observed by the judge if the witness
testifies orally in court. (People vs. Estenzo,
G.R. No. L-41166, August 25, 1976)
1) There is also the advantage of the
witness before the judge, and it is this –
it enables the judge as trier of facts "to
obtain the elusive and incommunicable
evidence of a witness' deportment while
testifying, and a certain subjective moral
Bar effect is Operations
produced upon the
Commissions 531
531
 witness. It is only when the witness imputing guilt to any of the co-accused is not
testifies orally that the judge may have admissible against the latter who was not
a true idea of his countenance, manner able to cross-examine him.
and expression, which may confirm or  The motion for separate trial must be filed
detract from the weight of his before the commencement of the trial and
testimony. Certainly, the physical cannot be raised for the first time on
condition of the witness will reveal his appeal.
capacity for accurate observation and  If a separate trial is allowed to one of two or
memory, and his deportment and more defendants, his testimony therein
physiognomy will reveal clues to his imputing guilt to any of the co-accused is
character. These can only be observed not admissible against the latter who was
by the judge if the witness testifies not able to cross-examine him.
orally in court. (People vs. Estenzo, G.R.
No. L-41166, August 25, 1976) Admission to the Witness Protection
Program(R.A. No. 6981)
CROSS-EXAMINATION
FACE-TO-FACE
OF A WITNESS IN A Requisites:
CONFRONTATION IN
FOREIGN PLACE
A PUBLIC CRIMINAL
OUTSIDE THE
TRIAL IN THE 1. The person has witnessed or has knowledge
COURTROOM IN THE
PRESENCE OF THE or information on the commission of a crime.
ABSENCE OF A TRIAL
PRESIDING JUDGE 2. The person has testified or testifying or
JUDGE
The right of The main and about to testify before any judicial or quasi-
confrontation is held essential purpose of judicial body or before any investigating
to apply specifically requiring a witness to authority;
to criminal appear and testify 3. The offense in which his testimony will be
proceedings. It has a orally at a trial is to used is a grave felony as defined under the
two-fold purpose: secure for the adverse
RPC, or its equivalent under special laws;
party the opportunity
(1) to afford the of cross-examination. 4. His testimony can be substantially
accused an corroborated in its material points;
opportunity to test This is for the purpose 5. He or any member of his family within the
the testimony of of cross examination second civil degree of consanguinity or
witnesses by cross- which cannot be had affinity is subjected to threats to his life or
examination; and, except by the direct bodily injury or there is a likelihood that he
(2) to allow the and personal putting will be killed, forced, intimidated, harassed or
judge to observe the of questions and
corrupted to prevent him from testifying or
deportment of obtaining immediate
to testify or evasively because of or on
witnesses. answers.
account of his testimony; and,
Trial of Several Accused (Rule 119, Sec. 16) 6. He is not a law enforcement officer, even if
he would be testifying against other law
General Rule: Joint trial – applies when two or enforcement officers. In such case, only
more accused are jointly charged with any immediate members of his family may avail
offense themselves of the protection provided for
under the Witness Protection Act.
Exception: Separate trial – applies when the  The person has witnessed or has knowledge or
court, in its discretion and upon motion of the information on the commission of a crime.
prosecutor or any accused, orders separate trial  The person has testified or testifying or about to
for one or more accused. testify before any judicial or quasi-judicial body
1. The motion for separate trial must be filed or before any investigating authority;
before the commencement of the trial and  The offense in which his testimony will be used
cannot be raised for the first time on appeal. is a grave felony as defined under the RPC, or
2. If a separate trial is allowed to one of two or its equivalent under special laws;
more defendants, his testimony therein

532
 Purple Notes
Criminal
Remedial
 His testimony can be substantially corroborated
in its material points; 7.J.5 Requisites for Discharge of Accused
 He or any member of his family within the To Be State Witness(Rule 119, Sec. 17)
second civil degree of consanguinity or affinity is
Motion to discharge should be made by the
subjected to threats to his life or bodily injury or
prosecution before resting its case.
there is a likelihood that he will be killed, forced,
intimidated, harassed or corrupted to prevent
In the discharge of an accused in order that he
him from testifying or to testify or evasively
may be a state witness, the following conditions
because of or on account of his testimony; and,
must be present, namely:
 He is not a law enforcement officer, even if he
would be testifying against other law
1. Two or more accused are jointly charged
enforcement officers. In such case, only
with the commission of an offense;
immediate members of his family may avail
2. The motion for discharge is filed by the
themselves of the protection provided for under
prosecution before it rests its case;
the Witness Protection Act.
3. The prosecution is required to present
evidence and the sworn statement of each
Responsibilities of a Witness under the
proposed state witness at a hearing in
Witness Protection Program
support of the discharge;
4. The accused gives his consent to be a state
witness; and,
1. To testify before and provide information to
5. The trial court is satisfied that:
all appropriate law enforcement officials
concerning all appropriate proceedings in
a. There is absolute necessity for the
connection with or arising from the activities
testimony of the accused whose discharge
involved in the offense charged;
is requested;
2. To avoid the commission of a crime;
b. There is no other direct evidence available
3. To take all necessary precautions to avoid
for the proper prosecution of the offense
detection by others of the facts concerning
committed, except the testimony of said
the protection provided him;
accused;
4. To comply with legal obligations and civil
c. The testimony of said accused can be
judgment against him;
substantially corroborated in its material
5. To cooperate with respect to all reasonable
points;
requests of officers and employees; and,
d. Said accused does not appear to be the
6. To regularly inform the appropriate program
most guilty; and,
official of his current activities and
e. Said accused has not at any time been
address(Sec. 5, R.A. No. 6981).
convicted of any offense involving moral
turpitude(Salvanera vs. People, G.R. No.
 To testify before and provide information to all 143093, May 21, 2007).
appropriate law enforcement officials concerning o Two or more accused are jointly charged
all appropriate proceedings in connection with or
with the commission of an offense;
arising from the activities involved in the offense
o The motion for discharge is filed by the
charged;
prosecution before it rests its case;
 To avoid the commission of a crime;
o The prosecution is required to present
 To take all necessary precautions to avoid
detection by others of the facts concerning the evidence and the sworn statement of each
protection provided him; proposed state witness at a hearing in
 To comply with legal obligations and civil support of the discharge;
judgment against him; o The accused gives his consent to be a state
 To cooperate with respect to all reasonable witness; and,
requests of officers and employees; and, o The trial court is satisfied that:
 To regularly inform the appropriate program
official of his current activities and address. Bar Operations
Commissions 533
533
  There is absolute necessity for the
testimony of the accused whose
discharge is requested;
 There is no other direct evidence
available for the proper prosecution of
the offense committed, except the
testimony of said accused;
 The testimony of said accused can be
substantially corroborated in its material
points;
 Said accused does not appear to be the
most guilty; and,
 Said accused has not at any time been
convicted of any offense involving moral
turpitude(Salvanera vs. People, G.R. No.
143093, May 21, 2007).
Note: Absence of any of the requisites is a
ground for objection to the motion for his
discharge, but such objection must be raised
before the discharge is ordered.
 The Rules do not disqualify an accused The
Rules do not disqualify an accused sought to
be discharged as witness for the state
merely on the ground that he has
committed a falsification himself, or that he
had actually committed the crime charged.
The Rules say that it is necessary that the
said defendant does not appear to be the
'most guilty,' from which the conclusion
follows that the guilt of an accused of the
crime charged is no reason why he may not
be excluded as witness for the State. As a
matter of fact, the candid admission of an
accused, of his participation in a crime, is a
guaranty that if he will testify in court he
will testify truthfully; so that even if an
accused actually participated in the offense
charged in the information, he may still be
made a witness (Lugtu vs. CA, G.R. No. 42037,
March 21, 1990).
sought to be discharged as witness for the
state merely on the ground that he has
committed a falsification himself, or that he
had actually committed the crime charged.
The Rules say that it is necessary that the
said defendant does not appear to be the
'most guilty,' from which the conclusion
follows that the guilt of an accused of the
crime charged is no reason why he may not
be excluded as witness for the State. As a
534
matter of fact, the candid admission of an
accused, of his participation in a crime, is a
guaranty that if he will testify in court he
will testify truthfully; so that even if an
accused actually participated in the offense
charged in the information, he may still be
made a witness (Lugtu vs. CA, G.R. No. 42037,
March 21, 1990).
Q: When may an Accused become a State
Witness?
A: The two modes by which a participant in the
commission of a crime may become a state
witness are, namely: (a) by discharge from the
criminal case pursuant to Section 17 of Rule 119
of the Rules of Court; and (b) by the approval of
his application for admission into the Witness
Protection Program of the DOJ in accordance
with Republic Act No. 6981 (The Witness
Protection, Security and Benefit Act) (Ampatuan
Jr. vs. Sec. De Lima, G.R. No. 197291, April 3, 2013 ).
7.J.6 Effects of Discharge of Accused as
State Witness(Rule 119, Sec. 18)
If granted – Evidence adduced in support of
the discharge shall automatically form part of
the trial.
General Rule: It operates as an acquittal and
bar to further prosecution for the same offense.
Exception: When the state witness fails or
refuses to testify in accordance with his sworn
statement from which his discharge was based.
If denied – the accused’s sworn statement
shall be inadmissible in evidence.
Exceptions to the Effects of a Motion to
Discharge
1. If the accused fails or refuses to testify
against his co-accused in accordance with his
sworn statement constituting the basis of the
discharge;
2.
3. Failure to testify refers exclusively to
defendant’s will or fault.
4.
 Purple Notes
5. Where an accused who turns state’s
evidence on a promise of immunity later
retracts and fails to keep his part of the
agreement, his confession of his participation
in the commission of the crime is admissible
as evidence against him(People vs Beberino,
G.R. No. L-23092, October 28, 1977).
6.
7. Once discharged, even if one or all of the
conditions required for discharge did not
really exist, that fact does not affect the legal
consequences of the discharge and the
admissibility and credibility of his testimony,
IF otherwise admissible and credible (People
vs Bautista, G.R. No. L- 10029, August 21, 1959).
8.
 If the accused fails or refuses to
testify against his co-accused in
accordance with his sworn
statement constituting the basis of
the discharge;
 Failure to testify refers exclusively
to defendant’s will or fault.
 Where an accused who turns state’s
evidence on a promise of immunity
later retracts and fails to keep his
part of the agreement, his
confession of his participation in the
commission of the crime is
admissible as evidence against
him(People vs Beberino, G.R. No. L-
23092, October 28, 1977).
 Once discharged, even if one or all
of the conditions required for
discharge did not really exist, that
fact does not affect the legal
consequences of the discharge and
the admissibility and credibility of
his testimony, IF otherwise
admissible and credible(People vs
Bautista, G.R. No. L- 10029, August 21,
1959).
Note: Erroneous or improper discharge of a
state witness does not affect the competency
and quality of the testimony of the discharged
defendant.
When Mistake Has been Made in Charging
the Proper Offense (Rule 119, Sec. 19)
Criminal
Remedial
Substitution of the complaint or information
must NOT amount to double jeopardy.
1. The accused shall not be discharged if there
appears a good cause to detain him;
2. Apparently, to raise the defense of double
jeopardy, three requisites must be present:
(FiTer-Sam)
a. A first jeopardy must have attached prior
to the second;
b. The first jeopardy must have been validly
terminated; and,
c. The second jeopardy must be for the
same offense as that in the first.
(Dimayacyac vs. Court of Appeals, G.R. No.
136264, May 28, 2004)
 The accused shall not be discharged
if there appears a good cause to
detain him;
Apparently, to raise the defense of
double jeopardy, three requisites
must be present: (FiTer-Sam)
A first jeopardy must have attached
prior to the second;
The first jeopardy must have been
validly terminated; and,
The second jeopardy must be for the
same offense as that in the first.
(Dimayacyac vs. Court of Appeals, G.R. No.
136264, May 28, 2004)
d.
 Appellant failed to file a motion to quash
within the time prescribed under Section 1,
Rule 117 of the Rules of Court, he is thus
deemed to have waived the defect in the
Information. A duplicitous information is
valid since such defect may be waived and
the accused, because of such waiver, could
be convicted of as many offenses as those
charged in the information and proved
during trial (Mendoza-Ong vs. Sandiganbayan,
et al., G.R. No. 146368-69, October 18, 2004).
 Appellant failed to file a motion to quash
within the time prescribed under Section 1,
Rule 117 of the Rules of Court, he is thus
deemed to have waived the defect in the
Information. A duplicitous information is
valid since such defect may be waived and
Bar
the accused, Operations
because of such
Commissions 535
535
 waiver, could be convicted of as many
offenses as those charged in the information
and proved during trial. (Mendoza-Ong vs.
Sandiganbayan, et al., G.R. No. 146368-69,
October 18, 2004)
Exclusion of the Public (Rule 119, Sec. 21)
Grounds: (OM)
1. When evidence to be presented is offensive
to decency or public morals;
2. On motion of accused; or,
3. Under the Child Witness Rule, because the
child might be intimidated.
 When evidence to be presented is offensive to
decency or public morals;
 On motion of accused; or,
 Under the Child Witness Rule, because the child
might be intimidated.
Consolidation of Trials of Related Offenses
(Rule 119, Sec. 22)
This contemplates a situation where separate
informations are filed for offenses founded on
the same facts and for offenses which form part
of a series of offenses of similar character.
Charges for such offenses may be tried jointly at
the discretion of the court.
7.J.7 Demurrer to Evidence (Rule 119, Sec.
23)
Demurrer to Evidence in Criminal Cases as
Amended by the Revised Guidelines for
Continuous Trial of Criminal Cases (Part III,
13[d], A.M. No. 15-06-10-SC, effective September 1,
2017)
1. After the prosecution has rested its case, the
court shall inquire from the accused if he/she
desires to move for leave of court to file a
demurrer to evidence, or to proceed with the
presentation of his/her evidence.
2. If the accused orally moves for leave of court
to file a demurrer to evidence, the court shall
orally resolve the same.
If the Motion for Leave is Denied
536
1. If the motion for leave is denied, the court
shall issue an order for the accused to
present and terminate his/her evidence on
the dates previously agreed upon, and to
orally offer and rest his/her case on the day
his/her last witness is presented.
2. If despite the denial of the motion for leave,
the accused insists on filing the demurrer to
evidence, the previously scheduled dates for
the accused to present evidence shall be
cancelled.
3. The demurrer to evidence shall be filed
within a non-extendible period of ten (10)
calendar days from the date leave of court
is granted, and the corresponding comment
shall be filed within a non-extendible period
of ten (10) calendar days counted from date
of receipt of the demurrer to evidence.
4. The demurrer shall be resolved by the court
within a non-extendible period of thirty (30)
calendar days from date of the filing of the
comment or lapse of the ten (10)-day period
to file the same.
5.
Ground: Insufficiency of evidence.
Demurrer to Evidence in Criminal Cases as
Amended by the Revised Guidelines for
Continuous Trial of Criminal Cases (Part III,
13[d], A.M. No. 15-06-10-SC, effective September 1,
2017)
 After the prosecution has rested
its case, the court shall inquire
from the accused if he/she
desires to move for leave of
court to file a demurrer to
evidence, or to proceed with the
presentation of his/her
evidence.
 If the accused orally moves for
leave of court to file a demurrer
to evidence, the court shall
orally resolve the same.
If the Motion for Leave is Denied
 If the motion for leave is denied,
the court shall issue an order for the
accused to present and terminate
his/her evidence on the dates

previously agreed upon, and to
orally offer and rest his/her case on
the day his/her last witness is
presented.
 If despite the denial of the motion
for leave, the accused insists on
filing the demurrer to evidence, the
previously scheduled dates for the
accused to present evidence shall
be cancelled.
 The demurrer to evidence shall be
filed within a non-extendible period
of ten (10) calendar days from the
date leave of court is granted, and
the corresponding comment shall be
filed within a non-extendible period
of ten (10) calendar days counted
from date of receipt of the demurrer
to evidence.
 The demurrer shall be resolved by
the court within a non-extendible
period of thirty (30) calendar days
from date of the filing of the
comment or lapse of the ten (10)-
day period to file the same.
If the Motion for Leave is Granted
 If the motion for leave of court to file
demurrer to evidence is granted, and the
subsequent demurrer to evidence is denied,
the accused shall likewise present and
terminate his/her evidence (one day apart,
morning and afternoon) and shall orally
offer and rest his/her case on the day
his/her last witness is presented.
 Jurisprudence recognizes two grounds
 The court shall rule on the oral offer of
evidence of the accused and the comment
or objection of the prosecution on the same
day of the offer. If the court denies the
motion to present rebuttal evidence because
it is no longer necessary, it shall consider
the case submitted for decision.
 Sandiganbayan. Neither was there any
 To determine whether the pleading filed is a
demurer to evidence or a motion to dismiss,
the Court must consider (1) the allegations
in it made in good faith; (2) the stage of the
proceeding at which it is filed; and (3) the
primary objective of the party filing it (People
vs. Cabador, supra citing Enojas, Jr.
Purple Notes
Criminal
Remedial
Commission on Elections, G.R. No. 129938,
December 12, 1997).

 A demurrer to evidence is filed after the
prosecution has rested its case and the trial
court is required to evaluate whether the
evidence presented by the prosecution is
sufficient enough to warrant the conviction
of the accused beyond reasonable doubt. If
the court finds that the evidence is not
sufficient and grants the demurrer to
evidence, such dismissal of the case is one
on the merits, which is equivalent to the
acquittal of the accused.
The court cannot review an order granting
the demurrer to evidence and acquitting the
accused on the ground of insufficiency of
evidence because to do so will place the
accused in double jeopardy. Double
jeopardy attaches even if the dismissal of
the case was made on motion of the
accused if: (1) the dismissal is based on a
demurrer to evidence filed by the accused
after the prosecution has rested, which has
the effect of a judgment on the merits and
operates as an acquittal; and, (2) if the
dismissal is made also on motion of the
accused because of the denial of his right to
a speedy trial which is in effect a failure to
prosecute (Bangayan Jr. vs. Bangayan, G.R. No.
172777, October 19, 2011).
 The proscription against double jeopardy
only envisages appeals based on errors of
judgment, but not errors of jurisdiction.
where double jeopardy will not attach, these
are: (i) on the ground of grave abuse of
discretion amounting to lack or excess of
jurisdiction; and/or (ii) where there is denial
of a party’s due process rights. In this case,
the SC found that the State was not denied
due process in the proceedings before the
indication that the special prosecutor
deliberately and willfully failed to present
available evidence or that other evidence
could be secured (People vs. Sandiganbayan
(Fourth Division), G.R. No. 153304-05, February
7, 2012).
vs.
Bar Operations
Commissions 537
537
 a. If the motion for leave of court to
file demurrer to evidence is granted,
and the subsequent demurrer to
evidence is denied, the accused
shall likewise present and terminate
his/her evidence (one day apart,
morning and afternoon) and shall
orally offer and rest his/her case on
the day his/her last witness is
presented.
b. The court shall rule on the oral offer
of evidence of the accused and the
comment or objection of the
prosecution on the same day of the
offer. If the court denies the motion
to present rebuttal evidence
because it is no longer necessary, it
shall consider the case submitted
for decision.
4.10.2. To determine whether the pleading filed
is a demurer to evidence or a motion to
dismiss, the Court must consider (1) the
allegations in it made in good faith; (2) the
stage of the proceeding at which it is filed;
and (3) the primary objective of the party
filing it (People vs. Cabador, supra citing Enojas,
Jr. vs. Commission on Elections, G.R. No. 129938
, December 12, 1997).
4. A demurrer to evidence is filed after the
prosecution has rested its case and the trial
court is required to evaluate whether the
evidence presented by the prosecution is
sufficient enough to warrant the conviction
of the accused beyond reasonable doubt. If
the court finds that the evidence is not
sufficient and grants the demurrer to
evidence, such dismissal of the case is one
on the merits, which is equivalent to the
acquittal of the accused.
The court cannot review an order granting
the demurrer to evidence and acquitting the
accused on the ground of insufficiency of
evidence because to do so will place the
accused in double jeopardy. Double
jeopardy attaches even if the dismissal of
the case was made on motion of the
accused if: (1) the dismissal is based on a
demurrer to evidence filed by the accused
538
after the prosecution has rested, which has
the effect of a judgment on the merits and
operates as an acquittal; and, (2) if the
dismissal is made also on motion of the
accused because of the denial of his right to
a speedy trial which is in effect a failure to
prosecute (Bangayan Jr. vs. Bangayan, G.R. No.
172777, October 19, 2011).
5. The proscription against double jeopardy
only envisages appeals based on errors of
judgment, but not errors of jurisdiction.
Jurisprudence recognizes two grounds
where double jeopardy will not attach, these
are: (i) on the ground of grave abuse of
discretion amounting to lack or excess of
jurisdiction; and/or (ii) where there is denial
of a party’s due process rights. In this case,
the SC found that the State was not denied
due process in the proceedings before the
Sandiganbayan. Neither was there any
indication that the special prosecutor
deliberately and willfully failed to present
available evidence or that other evidence
could be secured (People vs. Sandiganbayan
(Fourth Division), G.R. No. 153304-05, February
7, 2012).
Q: What is a Demurer to Evidence?
A: A demurrer to evidence is a motion to
dismiss on the ground of insufficiency of
evidence. It is a remedy available to the
defendant, to the effect that the evidence
produced by the plaintiff is insufficient in point
of law, whether true or not, to make out a case
or sustain an issue. The question in a demurrer
to evidence is whether the plaintiff, by his
evidence in chief, had been able to establish a
prima facie case (Republic vs De Borja, G.R.
187448, January 9, 2017).
Q: Can an Appeal from the Grant of a
Demurrer to Evidence be Granted?
A: The grant of a demurrer to evidence amounts
to an acquittal and cannot be appealed because
it would place the accused in double jeopardy
(People vs. Go, G.R. No. 191015, August 6, 2014).
 Purple Notes
Criminal
Remedial
CIVIL CRIMINAL appeals and allowed, EXCEPT
DEMURRER DEMURRER the in the civil
Similariti Demurrer is a kind of a Motion appellate aspect. (Hun
es to Dismiss. court Hyung Park vs.
REVERSES - Choi, G.R. No.
It is NOT a prohibited pleading defendant is 165496,
under the Rules on Summary no longer February 12,
Proceedings because (1) it is allowed to 2007)
there to similarly expedite the present
proceedings and (2) it is not evidence.
among those mentioned under (As discussed by Atty. Brondial)
prohibited pleadings
The ground is the same, that is, Reopening (Rule 119, Sec. 24)
INSUFFICIENCY OF EVIDENCE.
Only available AFTER the a. It must be made before finality of judgment
presentation of the evidence of of conviction.
the plaintiff or prosecution, as b. Its purpose is to avoid a miscarriage of
the case may be. justice.
Court may either grant or deny
c. Proceedings must terminate within 30 days
the Demurrer.
from order granting it.
Differenc More Easier to file
es difficult to because the d. It may be made motu proprio by the judge
file because prosecution is or upon motion, with hearing in either case.
the plaintiff required to
is only prove the guilt 7.J.8 REVISED GUIDELINES ON
required to of accused CONTINUOUS TRIAL (A.M. 15-06-10-SC,
present his beyond effective September 1, 2017)
case by reasonable
prepondera doubt. 7.J.8a In What Cases Applicable (Part I)
nce of
evidence. 1) All newly-filed criminal cases, including those
If DENIED - If DENIED - governed by Special Laws, in the First and
plaintiff distinguish Second Level Courts, Sandiganbayan and
presents whether there Court of Tax Appeals as of effectivity date.
evidence had been prior 2) Pending criminal cases with respect to the
leave of court:
remainder of the proceedings.
(1) if with leave,
accused may Not Applicable to Summary Procedure
proceed with Cases (Part I)
presentation of
his evidence; The Revised Guidelines is NOT applicable to
criminal cases under the Rules on Summary
(2) if without Procedure, UNLESS otherwise specifically
leave, accused provided therein.
can no longer
present his 7.J.8b Motions (Part III, 2)
evidence
If GRANTED If GRANTED -
1. Motion for Inhibition – if based on
- the case is accused is
dismissed; acquitted; order grounds under Rule 137, it shall be resolved
order of of acquittal is immediately within two (2) calendar days
dismissal is NOT appealable; from the date of filing.
a FINAL otherwise, it will
order, be a violation
hence, the right against
appealable. double jeopardy.
If plaintiff No appeal is
Bar Operations
Commissions 539
539
2. Prohibited Motions – shall be denied
outright before the scheduled arraignment
without need of comment and/or opposition.
The following motions are prohibited:
a. Motion for Judicial Determination of
Probable Cause.
b. Motion for Preliminary Investigation filed
beyond the five (5)-day reglementary
period in inquest proceedings, or when
preliminary investigation is required, or
allowed in inquest proceedings and the
accused failed to participate in the
preliminary investigation despite due
notice.
c. Motion for Reinvestigation of the
prosecutor recommending the filing of
information once the information has
been filed before the court (1) if the
motion is filed without prior leave of
court; (2) when preliminary investigation
is not required, and (3) when the regular
preliminary investigation is required and
has been actually conducted,and the
grounds relied upon are not meritorious.
d. Motion to Quash information when the
found is not one of those under Sec. 3,
Rule 117.
e. Motion for Bill of Particulars that does not
conform to Sec. 9, Rule 116.
f. Motion to Suspend Arraignment based on
grounds not under Sec. 11, Rule 116.
g. Petition to Suspend the criminal action
based on prejudicial question, when no
civil case has been filed, pursuant to Sec.
7, Rule 111.
3. Meritorious Motions – those that allege
plausible grounds supported by relevant
documents and/or competent evidence.
a. Motion to Withdraw Information, or to
downgrade the charge in the original
information, or to exclude an accused
originally charged therein, filed by the
prosecutor.
b. Motion to Quash Warrant of Arrest.
c. Motion to Suspend Arraignment based on
unsound mental condition.
540
d. Motion to suspend proceedings based on
prejudicial question.
e. Motion to Quash Information based on
the ground that the facts charged do not
constitute an offense, lack of jurisdiction,
extinction of criminal action or double
jeopardy.
f. Motion to Discharge Accused as a state
witness.
g. Motion to Quash Search Warrant or to
Suppress Evidence.
 h. Motion to Dismiss based on
Strategic Lawsuit Against Public Participation
(SLAPP)Motion for Inhibition – if based on
grounds under Rule 137, it shall be resolved
immediately within two (2) calendar days from
the date of filing.
 Prohibited Motions – shall be denied outright
before the scheduled arraignment without need
of comment and/or opposition.
The following motions are prohibited:
 Motion for Judicial Determination of
Probable Cause.
 Motion for Preliminary Investigation filed
beyond the five (5)-day reglementary period in
inquest proceedings, or when preliminary
investigation is required, or allowed in inquest
proceedings and the accused failed to
participate in the preliminary investigation
despite due notice.
 Motion for Reinvestigation of the
prosecutor recommending the filing of
information once the information has been filed
before the court (1) if the motion is filed without
prior leave of court; (2) when preliminary
investigation is not required, and (3) when the
regular preliminary investigation is required and
has been actually conducted,and the gorunds
relied upon are not meritorious.
 Motion to Quash information when the
fround is not one of those under Sec. 3, Rule
117.
 Motion for Bill of Particulars that does
not conform to Sec. 9, Rule 116.
 Motion to Suspend Arraignment basd on
grounds not under Sec. 11, Rule 116.
 Purple Notes
 Petition to Suspend the criminal action
based on prejudicial question, when no civil case
has been filed, pursuant to Sec. 7, Rule 111.
 Meritorious Motions – those that allege
plausible grounds supported by relevant
documents and/or competent evidence.
 Motion to Withdraw Information, or to
downgrade the charge in the original
information, or to exclude an accused originally
charged therein, filed by the prosecutor.
 Motion to Quash Warrant of Arrest.
 Motion to Suspend Arraignment based on
unsound mental condition.
 Motion to suspend proceedings based on
prejudicial question.
 Motion to Quash Information based on the
ground that the facts charged do not
constitute an offense, lack of jurisdiction,
extinction of criminal action or double
jeopardy.
 Motion to Discharge Accused as a state
witness.
 Motion to Quash Search Warrant or to
Suppress Evidence.
 Motion to Dismiss based on Strategic
Lawsuit Against Public Participation (SLAPP)
Procedure for Meritorious Motions
i. The comment of the adverse party shall be
filed within a non-extendible period of ten
(10) calendar days from notice/receipt of
the order of the court to file the same.
ii. The court shall resolve the motion within a
non-extendible period of ten (10) calendar
days from the expiration of the ten (10)-
day period, with or without a comment.
iii. The court, at its discretion, may set the
motion for hearing within a non-extendible
period of ten (10) calendar days from the
expiration of the ten (10) calendar days to
file comment, in which case, the same shall
be submitted for resolution after the
termination of the hearing.
iv. It shall be resolved within a non-extendible
period of ten (10) calendar days thereafter.
v. Reply and memorandum need not be
submitted.
Criminal
Remedial
vi. In case of a motion to discharge accused as
state witness where the prosecution is
required to present evidence in support
thereof, such motion shall be submitted for
resolution from the termination of the
hearing and shall be resolved within a non-
extendible period of ten (10) calendar days
thereafter.
vii. The motion for reconsideration of the
resolution of a meritorious motion shall be
filed within a non-extendible period of five
(5) calendar days from receipt of such
resolution.
viii. The adverse party shall be given an equal
period of five (5) calendar days from
receipt of the motion for reconsideration
within which to submit its comment.
ix. The motion for reconsideration shall be
resolved within a non-extendible period of
five (5) calendar days from the expiration
of the five (5)-day period to submit the
comment.
 The comment of the adverse party shall be
filed within a non-extendible period of ten
(10) calendar days from notice/receipt of
the order of the court to file the same.
 The court shall resolve the motion within a
non-extendible period of ten (10) calendar
days from the expiration of the ten (10)-
day period, with or without a comment.
 The court, at its discretion, may set the
motion for hearing within a non-extendible
period of ten (10) calendar days from the
expiration of the ten (10) calendar days to
file comment, in which case, the same
shall be submitted for resolution after the
termination of the hearing.
 It shall be resolved within a non-
extendible period of ten (10) calendar
days thereafter.
 Reply and memorandum need not be
submitted.
 In case of a motion to discharge accused
as state witness where the prosecution is
required to present evidence in support
thereof, such motion shall be submitted
for resolution from the termination of the
hearing and shall be resolved within a
non-extendible period of ten (10) calendar
days thereafter.
 The motion for reconsideration of the
Bar resolution of aOperations
meritorious motion
Commissions 541
541
 shall be filed within a non-extendible
period of five (5) calendar days from
receipt of such resolution.
 The adverse party shall be given an equal
period of five (5) calendar days from
receipt of the motion for reconsideration
within which to submit its comment.
 The motion for reconsideration shall be
resolved within a non-extendible period of
five (5) calendar days from the expiration of
the five (5)-day period to submit the
comment.
Note: Motions that do not conform to the
requirements stated above shall be considered
unmeritorious and shall be denied outright.
4. Motion for Postponement
General rule: It is prohibited.
Exceptions: If it is based on:
1) Acts of God;
2) Force majeure; or,
3) Physical inability of the witness to appear
and testify
If the motion is granted based on such
exceptions, the moving party shall be warned
that the presentation of his evidence must still
be finished on the dates previously agreed
upon.
Note: A motion for postponement shall, at all
times, be accompanied by the original receipt
from the Office of the Clerk of Court evidencing
payment of the postponement fee to be
submitted either:
1) At the time of filing of the said motion; or
2) Not later than the next hearing date.
The Clerk of Court shall not accept the motion
UNLESS accompanied by the original receipt.
Consolidations (Part III, 5)
1. Newly-filed Cases – When newly-filed
criminal cases involving offenses based on the
same facts or forming part of a series of
542
offenses of similar character are accompanied
by a motion for consolidation filed by the Office
of the Prosecutor, the Executive Judge shall
cause the raffle to only one court which shall
then resolve the motion for consolidation,
preferably on the date of the arraignment and in
the presence of the accused and counsel.
2. Pending Cases with Multiple Accused –
Where a subsequent information is filed
involving an accused who has been subjected to
further investigation by the Office of the
Prosecutor over an incident which has the same
subject matter as a prior information/s against
different accused, such case, if accompanied by
a motion for consolidation from the Office of the
Prosecutor, shall no longer be raffled.
The subsequent case shall be assigned directly
by the Executive Judge to the court where the
earlier case is pending.
If the earlier case is already at the trial stage
and witnesses have been presented, the parties
may be allowed to adopt the evidence so far
presented, without prejudice to additional direct
examination questions and cross-examinations.
7.J.8c Arraignment and Pre-trial (Part III,
8[a])
General Rule
1. For a Detained Accused: Arraignment and
pre-trial shall be set within ten (10) calendar
days from the date of the court’s receipt of
the case
2. For a Non-detained Accused: Arraignment
and pre-trial shall be set within thirty (30)
calendar days from the date the court
acquires jurisdiction either by arrest or
voluntary surrender
For a Detained Accused: Arraignment and
pre-trial shall be set within ten (10)
calendar days from the date of the court’s
receipt of the case
For a Non-detained Accused: Arraignment
and pre-trial shall be set within thirty (30)
calendar days from the date the court
 Purple Notes
Criminal
Remedial
acquires jurisdiction either by arrest or officer in victimless crimes, is present to give
voluntary surrender his/her consent with the conformity of the public
prosecutor to the plea bargaining. Thereafter,
Exception: When a shorter period is provided judgment shall be immediately rendered in the
by special law or Supreme Court Circular. same proceedings.

Note: The court must set the arraignment in

the commitment order, in case of a detainee. On
the other hand, the court must set the
arraignment in the order of approval of bail, in
any other case.
Notice of Arraignment and Pre-trial (Part
III, 8[b])
2. Plea of Guilty to the Crime Charged in
the Information
General Rule: Judgment shall be immediately
rendered
Exception: Cases involving capital punishment.

Notice shall be sent to the: 3. Where No Plea Bargaining or Plea of

1. Accused; Guilty Takes Place
2. His/her counsel;
3. Private complainant or complaining law The court shall immediately proceed with the
enforcement agent; arraignment and pre-trial.
4. Public prosecutor; and
5. Witnesses whose names appear in the The schedule of the trial dates, for both the
information prosecution and the accused, shall be
continuous and within the periods provided in
Purpose: For plea-bargaining, arraignment and the Regular Rules/Special Rules. The trial dates
pre-trial. may be shortened depending on the numbers of
witnesses to be presented. The court shall
Waiver of the Reading of the Information prepare a flowchart to serve as the final
(Part III, 8[c]) schedule of hearings.

1) May be allowed by the court in multiple

cases
2) Upon personal examination of the accused
3) Upon the full understanding and express
consent of the accused and his/her counsel
4) Such consent shall be expressly stated in
both the minutes/certificate of arraignment
and the order of arraignment

Duty of the court: The court shall explain the

waiver to the accused in the language or dialect
known to him/her, and ensure the accused’s full
understanding of the consequences of the
waiver before approving the same.

Arraignment Proper (Part III, 8[c])

1. Plea Bargaining Except in Drug Cases

If the accused desires to enter a plea of guilty to

a lesser offense, plea bargaining shall
immediately proceed, provided, the private
Bar Operations
offended party in private crimes, or the arresting
Commissions 543
543
SAMPLE OF SCHEDULE OF TRIAL DATES
Trial
(3 months)
A. Regular Rules
Memo
(30
Arraignment and Pre-trial days)

30
days
Decision (60 days
from the last day to
file Memoranda)
Presentation of the
Prosecution’s and the Disposition
Accused’s Evidence period (within 10
(6 months/180 days) months from the
date of
arraignment)

Intellectual Property Rights Cases

Promulgation of Decision Arraignment and Pre-trial

(90 days from submission
of the case for decision) 30
days

B. Special Laws/Rules Trial

(60 days for each
Drug Cases party to present
evidence, or 120
days)

Trial
(to be finished not later Memo
than 60 days from filing of (30
the Information) days)

Decision
(15 days from submission
of the case for resolution)
Environmental Cases
Judgment
(90 days from
submission of the
case for decision)
Arraignment and Pre-trial of Cases
Referred to Mediation

Arraignment and Pre-trial Arraignment and Pre-trial

30 30 days
days Mediation

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Criminal
Remedial

Trial
(6 months/180 days)
Promulgation of Decision
(90 days from submission
of the casefor decision)

B. Special Laws/Rules
Judgment
(90 days from
submission of the Drug Cases
case for decision)
Arraignment and Pre-trial

A. Regular Rules
Trial
(to be finished not later
than 60 days from filing of
the Information)

Decision
(15 days from submission
of the case for resolution)

Environmental Cases

Arraignment and Pre-trial

30
days

Presentation of the
Prosecution’s and the
Accused’s Evidence
(6 months/180 days)

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 Memo
(30
days)

Judgment
30
(90 days from
days submission of the case
for decision)

Trial
(3 months) Arraignment and Pre-trial of Cases
Referred to Mediation

Memo Arraignment and Pre-trial

(30
days) 30 days
Mediation
n

Decision (60 days Trial

from the last day to (6 months/180 days)
file Memoranda)

Disposition
period (within 10
months from the
date of Judgment
(90 days from submission of the
arraignment)
case for decision)

Intellectual Property Rights Cases

Arraignment and Pre-trial Arraignment and Preliminary Conference

of Mediatable Cases subject to the Rules
30 on Summary Procedure (Part III, 8[e])
days
Arraignment and Pre-conference shall be
simultaneously held.

Trial The court shall take up all the matters required

(60 days for each under Sec. 14, Rule on Summary Procedure
party to present during the preliminary conference
evidence, or 120
days)
If the accused pleads guilty to the crime
charged in the information, the process on the
“Plea of Guilty to the Crime Charged” shall be
followed (Subheading III, Item no. 8, [d][ii])

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 Purple Notes
Criminal
Remedial
If the accused pleads guilty to a lesser offense,
the process on the “Plea Bargaining except in
Drug Cases” shall be followed. (Subheading III,
Item no. 8, [d][i])

If the accused does not enter a plea of guilty,

whether to a lesser offense or to the offense
charged, the court shall immediately proceed
with the arraignment and the preliminary 30 days
conference, and thereafter, refer the case to Mediation
mediation.

Rules on Summary Procedure of Criminal

Cases Referred to Mediation Trial
(60 days)

Arraignment and Pre-Conference

30 days
Mediation
Judgment
(30 days from termination of the
hearing)
Trial
(60 days)
Conduct of Pre-Trial (Part III, 8[f])

Absence of Parties in the Pre-trial

The court shall proceed with the pre-trial

Judgment despite the absence of the accused and/or
(30 days from private complainant provided that:
termination of
the hearing) 1) they were duly notified of the same; and,
2) the counsel for the accused, as well as the
public prosecutor, are present.

Proposals for stipulations shall be done with the

Rules on Summary Procedure of Criminal active participation of the court itself and shall
Cases Referred to Mediation not be left alone to the counsels.

The pre-trial order shall immediately be served

Arraignment and Pre-Conference
upon the parties and counsel on the same day
after the termination of the pre-trial.

Courts must strictly comply with the Guidelines

to be Observed in the Conduct of Pre-Trial
under A.M. 03-1-09-SC

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 Mediation (Part III, 9) Exception: When there is prior settlement in
the pre-trial or preliminary conference
General Rule: Cases below are subject to
mediation on the civil liability.  Crimes where payment may prevent
Exception: When there is prior settlement in criminal prosecution or may extinguish
the pre-trial or preliminary conference criminal liability, such as violations of: B.P.
22; SSS Law; and, PAG-IBIG Law.
1. Crimes where payment may prevent  Crimes against property under Title 10 of
criminal prosecution or may extinguish the RPC, where the obligation may be civil
criminal liability, such as violations of: B.P. in nature, such as:
22; SSS Law; and, PAG-IBIG Law.
2. Crimes against property under Title 10 of c) Theft
the RPC, where the obligation may be civil d) Estafa, under Art. 315 (1), except Art. 315
in nature, such as: (2) and (3)
a. a. Theft e) Other forms of Swindling
b. b. Estafa, under Art. 315 (1), f) Swindling of a minor
except Art. 315 (2) and (3) g) Other Deceits
c. c. Other forms of Swindling h) Malicious mischief
d. d. Swindling of a minor
e. e. Other Deceits  Crimes against honor where the liability
f. f. Malicious mischief may be civil in nature, such as:
3. Crimes against honor where the liability
may be civil in nature, such as: a) Libel by means of writing or similar
means
a. a. Libel by means of writing or
b) Threatening to publish and offer to
similar means
present such publication for a
b. b. Threatening to publish and offer
compensation
to present such publication for a
c) Prohibited publication of
compensation
actsreferred to in the course of
c. c. Prohibited publication of
official proceedings
actsreferred to in the course of official
d) Grave slander – of serious and
proceedings
insulting nature
d. d. Grave slander – of serious and
e) Simple slander – not of a serious
insulting nature
and insulting nature
e. e. Simple slander – not of a
f) Grave slander by deed – of a
serious and insulting nature
serious nature
f. f. Grave slander by deed – of a
g) Simple slander by deed – not of a
serious nature
serious nature
g. g. Simple slander by deed – not of
h) Incriminating innocent person
a serious nature
i) Intriguing against honor
h. h. Incriminating innocent person
j) Libel under RA 10175 (Cybercrime
i. i. Intriguing against honor
Prevention Act of 2012);
j. j. Libel under RA 10175
(Cybercrime Prevention Act of 2012);
 Criminal negligence cases where the
liability may be civil in nature;
4. Criminal negligence cases where the liability
 Intellectual property rights cases where the
may be civil in nature;
liability may be civil in nature
5. Intellectual property rights cases where the
liability may be civil in nature
The referral of the case to for mediation to the
Philippine Mediation Center (PMC) Unit shall be
General Rule: Cases below are subject to
made only AFTER the conduct of the
mediation on the civil liability.
arraignment and the pre-trial/preliminary

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 Purple Notes
conference. The court shall serve the Order of
Referral to the PMC Unit.
The mediation shall be terminated within a non-
extendible period of thirty (30) calendar days
from the date of referral by the court to the
Philippine Mediation Unit (PMC).
After the lapse of the mediation period, or if
mediation fails, trial shall proceed.
Note: Except those cases mentioned above,
criminal cases subject to the Rule of Summary
Procedure shall NOT be referred to mediation.
Bail (Part III, 10)
Petition for bail filed after the filing of the
information shall be set for summary hearing
after arraignment and pre-trial.
Testimony of a witness may be in the form
allowed under “Form of Testimony” (Subheading
III, Item no. 11, [b]), provided, the demeanor of
the witness is not essential in determining
his/her credibility.
Period
General Rule: Petition for bail shall be heard
and resolved within a non-extendible period of
thirty (30) calendar days from the date of the
first hearing.
Exception: Drug cases which shall be heard
and resolved within twenty (20) calendar days,
without need of oral argument and submission
of memoranda.Motion for Reconsideration on
the resolution of petition for bail shall be
resolved within a non-extendible period of ten
(10) calendar days from the date of submission
of the motion.
Evidence in Petition for Bail
The resolution of the petition shall be based
solely on the evidence presented during the bail
proceedings by the prosecution.
The prosecution shall present only evidence that
are essential in establishing that the evidence of
guilt is strong.
Criminal
Remedial
The accused need NOT present evidence to
contradict or rebut the prosecution’s evidence.
(A.M. No. 15-06-10-SC, 10(b))
Non-suspension of the Presentation of
Evidence
The court shall NOT suspend the presentation of
the evidence in chief while awaiting resolution of
the petition for bail or the moton for
reconsideration.
Form of Testimony (Part III, 11)
i. For First Level Courts
a) Shall consist of the duly subscribed
written statements given to law enforcers
or peace officers, or the affidavits or
counter-affidavits submitted before the
investigating prosecutor.
b) If such are not available, it shall be in the
form of judicial affidavits, subject to
additional direct and cross-examination
questions.
c) The trial prosecutor may dispense with
the sworn written statements submitted
to the law enforcers or peace officers and
prepare the judicial affidavits of the
affiants or modify or revise the said sworn
statements before presenting it as
evidence.
ii. For Second Level Courts, Sandiganbayan,
and Court of Tax Appeals
 In criminal cases where the demeanor of
the witness is not essential in determining
the credibility of the said witness, and in
criminal cases that are transactional in
character the testimonies of the witnesses
shall:

 Consist of the duly subscribed written
statements given to law enforcers or
peace officers, or the affidavits or
counter-affidavits submitted before the
investigating prosecutor.
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Commissions 549
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  If such are not available, it shall be in the
form of judicial affidavits, subject to
additional direct and cross-examination
questions.
In all other cases where the culpability or the
innocence of the accused is based on the
testimonies of the alleged eyewitnesses, the
testimonies of these witnesses shall be in oral
form.
Stipulations (Part III, 12)
Duty of the court
During pre-trial/pre-conference, the court shall
require the parties to enter into stipulations on
the subject of both direct and cross-
examinations of witnesses who have no
personal knowledge of the material facts. This
rule is without prejudice to allowing additional
direct and cross-examination questions.
When Stipulations Cannot be had in Full
The subject of the direct testimony of the said
witnesses should be stipulated upon, without
prejudice to additional direct and cross-
examination questions.
7.J.8d Trial (Part III, 13)
The court shall encourage the accused and the
prosecution to avail of:
1. For the accused – Sec. 12 and 13, Rule 119
on the application for examination of witness
for accused before trial and how it is made.
2. For the prosecution – Sec. 15, Rule 119 on
the conditional examination of witness for
the prosecution.
Absence of Counsel de parte; Effect (Part
III, 13[b])
The hearing shall proceed upon appointment by
the court of a counsel de officio.
Offer of Evidence [Part III, 13(c)]
How Made: Orally (as well as the
comment/objection to the offer of evidence and
the court ruling).
550
When to Make Offer of Evidence,
Comment and Objection Thereto: On the
same day after the presentation of a party’s last
witness. The opposing party is required to
immediately interpose his/her oral
comment/objection.
The court will then make a ruling on the offer of
evidence in open court. In making the offer, the
counsel shall cite the specific page numbers of
the court record where the exhibits being
offered are found, if attached thereto. The court
shall ensure that all exhibits offered are
submitted to it on the same day of the offer.
When Exhibits are Not Attached to the
Records: The party making the offer must
submit the same during the offer of evidence in
open court.
Demurrer to EvidenceSee: Discussion on Rule
119.
Presentation of Rebuttal and Sur-rebuttal
Evidence (Part III, 13[e])
When the Court Grants the Motion to Present
Rebuttal Evidence
The prosecution shall immediately proceed with
its presentation after the accused had rested
his/her case, and orally rest its case in rebuttal
after the presentation of its last rebuttal
witness.
Thereafter, the accused shall immediately
present sur-rebuttal evidence, if any, and orally
rest the case in sur-rebuttal after the
presentation of its last sur-rebuttal witness.
Thereafter, the court shall submit the case for
decision.
One-day Examination of Witness Rule [Part
III, 13(f)]
A witness has to be fully examined in one
(1) day.
The court shall strictly adhere to this rule.
Lack of Stenographic Notes (Part III, 15)
 Purple Notes
The judge shall not defer the submission
of the case for decision on the ground of
incomplete or missing transcript of
stenographic notes.
If the case was heard by another judge,
not the judge tasked to write the decision,
the latter shall direct the stenographers
concerned to submit the complete
transcripts within thirty (30) calendar
days from the date of his/her assumption
to office.
7.J.8e Promulgation (Part III, 16)
Schedule of Promulgation:
1. Regular Rules (including the
Sandiganbayan and the CTA) = not more
than ninety (90) calendar days from the date
the case is submitted for decision
2. Drug Cases = not more than 15 days from
the date the case is submitted for decision
3. Environmental Cases = not more than 60
days from the date the case is submitted for
decision
4. Intellectual Property Right Cases = not
more than 60 days from the date the case is
submitted for decision
 Regular Rules (including the
Sandiganbayan and the CTA) = not
more than ninety (90) calendar days from
the date the case is submitted for decision
 Drug Cases = not more than 15 days from
the date the case is submitted for decision
 Environmental Cases = not more than 60
days from the date the case is submitted for
decision
 Intellectual Property Right Cases = not
more than 60 days from the date the case is
submitted for decision
Resolution of Motion for Reconsideration
(MR) of Judgment of Conviction or Motion
for New Trial (MNT)
The MR or MNT filed within fifteen (15)
days from promulgation shall be resolved
within a non-extendible period of ten (10)
Criminal
Remedial
calendar days from the submission of the
comment of the prosecution.
With or without comment, the court shall
resolve the motion within the ten (10)-day
period.
Pilot Testing of Hearings of Criminal Cases
Involving Persons Deprived of Liberty
Through Video conferencing (Administrative
Circular No. 37-2020, April 27, 2020)
Administrative Circular No. 37-2020
informs all litigants, justices, judges and
court personnel of the Judiciary, and
members of the Bar of the pilot testing of
the hearings on urgent matters in criminal
cases involving Persons Deprived of
Liberty (PDLs) through videoconferencing
in authorized court stations identified by
the Office of the Court Administrator
(OCA).
The hearings through videoconferencing
shall cover all PDL’s and may apply to all
stages of trial of newly filed and pending
criminal cases. These hearings through
videoconferencing are only for pilot
testing and apply only during the period of
public health emergency.
7.K. JUDGMENT(Rule 120)
It is the adjudication by the court that the
accused is guilty or not guilty of the
offense charged and the imposition of the
proper penalty and civil liability provided
for by law. (Sec. 1, Rule 120)
Note: It is not necessary that the judge
who tried the case be the same judicial
officer to decide it. It is sufficient that he
be apprised of the evidence already
presented by a reading of the transcript of
the testimonies already introduced, in the
same manner as appellate courts review
evidence on appeal.(People vs. Alfredo, G.R.
No. 188560, December 15, 2010).
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7.K. 1 Requisites of a Judgment: (WriPre-
SiSta)
1. Written in the official language;
2. Personally and directly prepared by the
judge;
3. Signed by the judge; and,
4. Contain a clear and distinct statement of the
fact and the law on which it is based.
If judgment is not put in writing, the remedy is
to file a Petition for Mandamus to compel the
judge to put in writing the decision of the court.
 Mandamus is never available to direct the
exercise of judgment or discretion in a
particular way or the retraction or reversal
of an action already taken in the exercise of
either (Hipos, Sr. vs. Bay, G.R. Nos. 174813-15,
March 17, 2009).
9. Mandamus is never available to
direct the exercise of judgment or
discretion in a particular way or the
retraction or reversal of an action
already taken in the exercise of
either (Hipos, Sr. vs. Bay, G.R. Nos.
174813-15, March 17, 2009).
Jurisdictional Requirements Before
Judgment may be Rendered: (Su-TerP)
a) Jurisdiction over the subject matter;
b) Jurisdiction over the territory; and,
c) Jurisdiction over the person of the accused.
(Antiporda, Jr. vs. Garchitorena, G.R. No. 133289,
December 23, 1999)
7.K.2 Contents of Judgment
Contents of Judgment of Conviction (Rule
120, Sec. 2)
1. The legal qualification of the offense
constituted by the acts committed by the
accused and the aggravating and mitigating
circumstances attending its commission.
2. The participation of the accused, whether as
principal, accomplice or accessory.
3. The penalty imposed upon the accused.
4. The civil liability or damages caused by the
wrongful act, UNLESS civil action has been
reserved or waived.
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Note: the judgment of conviction shall
determine if the act or omission from which the
civil liability might arise did not exist. (Rule 120,
Sec. 2)
 It is an injustice when the penalty and
liability imposed are not commensurate to
the actual responsibility of the offender; for
criminal responsibility is individual and not
collective, and each of the participants
should be liable only for the acts actually
committed by him. The proportion of this
individual liability must be graduated not
only according to the nature of the crime
committed and the circumstances attending
it, but also the degree and nature of
participation of the individual
offender(People vs. Montesclaros, G.R. No.
181084, June 16, 2009).

 There is nothing in the law which permits
courts to impose sentences in the
alternative (Abellana vs. People, G.R. No.
174654, August 17, 2011).

 Aside from the civil indemnity arising from
the crime, costs and incidental expenses of
the suit are part of the judgment and it is
a incumbent upon the prevailing party in
whose favor they are awarded to submit
forthwith the itemized bill to the clerk of
court (Basilonia vs. Villaruz, G.R. Nos. 191370-
71, August 10, 2015).

 A judgment of conviction based on
circumstantial evidence can be sustained
when the circumstances proved form an
unbroken chain that results to a fair and
reasonable conclusion pointing to the
accused, to the exclusion of all others, as
the perpetrator (People vs. Baron, G.R. No.
185209, June 28, 2010).
It is an injustice when the penalty and liability
imposed are not commensurate to the actual
responsibility of the offender; for criminal
responsibility is individual and not collective, and
each of the participants should be liable only for
the acts actually committed by him. The
proportion of this individual liability must be
graduated not only according to the nature of
the crime committed and the circumstances
attending it, but also the degree and nature of
 Purple Notes
participation of the individual offender (People vs.
Montesclaros, G.R. No. 181084, June 16, 2009).
There is nothing in the law which permits courts
to impose sentences in the alternative (Abellana
vs. People, G.R. No. 174654, August 17, 2011).
Aside from the civil indemnity arising from
the crime, costs and incidental expenses
of the suit are part of the judgment and it
is incumbent upon the prevailing party in
whose favor they are awarded to submit
forthwith the itemized bill to the clerk of
court (Basilonia vs. Villaruz, G.R. Nos. 191370-
71, August 10, 2015).
A judgment of conviction based on
circumstantial evidence can be sustained
when the circumstances proved form an
unbroken chain that results to a fair and
reasonable conclusion pointing to the
accused, to the exclusion of all others, as
the perpetrator (People vs. Baron, G.R. No.
185209, June 28, 2010).
Q: In case there is a conflict between the
fallo and the body of decision, which one
should prevail?
A:The general rule is where there is a conflict
between the dispositive portion or the falloand
the body of the decision, the fallo controls.
However, where the inevitable conclusion from
the body of the decision is so clear as to show
that there was a mistake in the dispositive
portion, the body of the decision will prevail
(Hipos, Sr. vs. Bay, G.R. No. 133289, March 17,
2009).
Contents of Judgment of ACQUITTAL (Rule
120, Sec. 2)
 That evidence of the prosecution absolutely
failed to prove the guilt of the accused; or,
 That the evidence merely failed to prove his
guilt beyond reasonable doubt.
Note: The judgment of acquittal shall determine
if the act or omission from which the civil liability
might arise did not exist.(Rule 120, Sec. 2)
10. A petition for certiorari under Rule 65, not
appeal, is the remedy to question a verdict
Criminal
Remedial
of acquittal whether at the trial court or at
the appellate level. In our jurisdiction, we
adhere to the finality-of-acquittal
doctrine, that is, a judgment of acquittal is
final and unappealable (People vs. Asis, G.R.
No. 173089, August 25, 2010).
 A judgment of acquittal may be assailed
through a petition for certiorari under
Rule 65 of the Rules of Court showing that
the lower court, in acquitting the accused,
committed not merely reversible errors of
judgment, but also exercised grave abuse
of discretion amounting to lack or excess
of jurisdiction, or a denial of due process,
thereby rendering the assailed judgment
null and void. This is because a judgment
of acquittal is immediately final and
executory, and the prosecution is barred
from appealing lest the constitutional
prohibition against double jeopardy be
violated (Morillo vs. People,  G.R. No. 198270,
December 09, 2015).
 In a recent case, the court held that a
mere manifestation also will not suffice in
assailing a judgment of acquittal. A
petition for certiorari under Rule 65 of the
Rules should have been filed. A judgment
of acquittal may only be assailed in a
petition for certiorari under Rule 65 of the
Rules. If the petition, regardless of its
nomenclature, merely calls for an ordinary
review of the findings of the court a quo,
the constitutional right of the accused
against double jeopardy would be
violated. (People vs. Alejandro, G.R. No.
223099, January 11, 2018)
Reasonable Doubt- Reasonable doubt is that
doubt engendered by an investigation of the
whole proof and an inability after such
investigation to let the mind rest each upon the
certainty of guilt. Absolute certainty of guilt is
not demanded by the law to convict a criminal
charge, but moral certainty is required as to
every proposition of proof requisite to constitute
the offense. (People vs. Santos, G.R. No. 175593,
October 17, 2007)
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Acquittal – a finding of not guilty based on the
merits, that is, the accused is acquitted because
the evidence does not show that his guilt is
beyond reasonable doubt, or a dismissal of the
case after the prosecution has rested its case
upon motion of the accused on the ground that
the evidence fails to show beyond reasonable
doubt that the accused is guilty.
An acquittal of an accused based on reasonable
doubt does not bar the offended party from
filing a separate civil action based on quasi-
delict unless the judgment includes a declaration
that the facts from which the civil liability might
arise did not exist.(Lumantas vs. Calapiz, G.R. No.
163753, January 15, 2014)
Judgment for Two or More Offenses (Rule
120, Sec. 3)
When two or more offenses are charged in a
single complaint or information, and the accused
fails to object to it before trial, the court may
convict the accused of as many offenses as
charged and proved and impose on him the
penalty for each offense, setting out separately
the findings of fact and law in each offense.
Judgment in case of variance between
allegation and proof (Rule 120, Sec. 4)
General Rule:
An accused can be convicted of an offense only
when it is both charged and proved. If it is not
proved although charged, the accused cannot
be convicted thereof.
Exceptions:
1) Where there is a variance between the
offense charged in the information or
complaint and what is proved; and,
2) The offense as charged is included or
necessarily includes the offense proved.
In case of such variance, the accused shall be
convicted of the offense proved which is
included in the offense charged, or of the
offense charged which is included in the offense
proved.
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When Offense Includes or is Included in
Another (Rule 120, Sec. 5)
General Rule: If what is proved by the
prosecution is an offense that is included in the
offense charged in the information, the accused
may validly be convicted of the offense proved.
Exception: Where facts supervened after the
filing of the information, which change the
nature of the offense.
Notes:
1) An offense charged necessarily includes
another when some essential elements or
ingredients of the offense charged constitute
the offense proved.
2) When the essential elements or ingredients
of the offense charged constitute or form
part of those constituting the offense proved,
then one offense is included in the other.
 An accused cannot be convicted for the
lesser offense necessarily included in the
crime charged if at the time of the filing of
the information the lesser offense has
already prescribed (Francisco vs. CA, G.R. No.
L-45674, May 30, 1983).
3) An offense charged necessarily includes another
when some essential elements or ingredients of
the offense charged constitute the offense
proved.
4) When the essential elements or ingredients of
the offense charged constitute or form part of
those constituting the offense proved, then one
offense is included in the other.
 An accused cannot be convicted for the lesser
offense necessarily included in the crime
charged if at the time of the filing of the
information the lesser offense has already
prescribed (Francisco vs. CA, G.R. No. L-45674, May
30, 1983).
7.K.3 Promulgation of Judgment (Rule 120,
Sec. 6)
Promulgation is the official proclamation or
announcement of judgment. It consists of
reading the judgment or sentence in the
presence of the accused and any judge of the
 Purple Notes
court rendering the judgment. It is the point of
reference when the judgment becomes final.
Rules on Validity of Promulgation of
Judgment
 The judgment must have been rendered
and promulgated during the incumbency of
the judge who signed it.
 The presence of counsel during the
promulgation of judgment is not necessary.
 The judgment must have been rendered
and promulgated during the incumbency of the
judge who signed it.
 The presence of counsel during the
promulgation of judgment is not necessary.
Note:
When the judge is absent or outside of the city,
the clerk of court may promulgate the decision.
The executive judge of the Regional Trial Court
having jurisdiction over the place of confinement
or detention upon request of the court which
rendered the judgment. The court promulgating
the judgment shall have authority to accept the
notice of appeal and to approve the bail bond
pending appeal; provided, that if the decision of
the trial court convicting the accused changed
the nature of the offense from non-bailable to
bailable, the application for bail can only be filed
and resolved by the appellate court. (Rule 120,
Sec. 6)
Instances of Promulgation of Judgment in
Absentia (Rule 120, Sec. 6)
Instances when a judgment may be
promulgated even without the personal
presence of the accused: (LiDu)
1. When the judgment is for a light offense, in
which case, the accused’s
counsel/representative may stand in for him;
and.
2.
3. In cases where despite due notice to the
accused or his bondsman or warden and
counsel, the accused failed to appear at the
promulgation of the decision.
Criminal
Remedial
Note: If the judgment is for conviction and the
accused’s failure to appear is without justifiable
cause, he shall lose the remedies available in
the rules against the judgment and the court
shall order his arrest.
Within 15 days from the promulgation of the
judgment, however, the accused may surrender
and file a motion for leave of court to avail of
said remedies. If his motion is granted, he may
avail of the remedies within 15 days from
notice.
This amplifies the need for the presence of the
accused during the promulgation of a judgment
of conviction, especially if it is for a grave
offense. Obviously, a judgment of conviction
cannot be executed — and the sentence meted
to the accused cannot be served — without his
presence. Besides, where there is no
promulgation of the judgment, the right to
appeal does not accrue (People vs. Jaranilla,  G.R.
No. L-28547,February 22, 1974).
Elements for a Valid Promulgation in
Absentia (RecSer)
1. The judgment is recorded in the criminal
docket; and,
2. A copy thereof is served upon the accused
in his last known address or to his counsel.
(Rule 120, Sec. 6)
Note: Rendition comes first before
promulgation. Promulgation without rendition is
null and void.
 The judgment is recorded in the criminal
docket; and,
 A copy thereof is served upon the accused
in his last known address or to his counsel.
(Rule 120, Sec. 6)
Note: Rendition comes first before
promulgation. Promulgation without rendition is
null and void.
Q: How is the judgment recorded in the
criminal docket in cases of promulgation
in absentia?
A: The recording of judgment in the criminal
docket is substantially complied by furnishing
the clerk of court with
Bar the copy of the judgment.
Operations
Commissions 555
555
In the absence of such compliance, there can be
no valid promulgation. Without the same, the …
decision could not attain finality and become
executory. This means that the 15-day period
within which to interpose an appeal did not even
commence.
(Pascua vs. CA, G.R. No. 140243, December 14,
2000).
Modification of Judgment (Rule 120, Sec. 7)
Upon motion of the accused, a judgment of
conviction may be modified or set aside by the
court before it has become final or before an
appeal has been perfected.
Q: Is the remedy of annulment of
judgment available in criminal cases?
A: The remedy of annulment of judgment
cannot be availed of in criminal cases, thus
Section 1 of Rule 47 of the Rules of Court limits
the scope of the remedy to civil actions. The
remedy cannot be resorted to when the RTC
judgment being questioned was rendered in a
criminal case. The 2000 Revised Rules of
Criminal Procedure itself does not permit such
recourse, for it excluded Rule 47 from the
enumeration of the provisions of the 1997
Revised Rules of Civil Procedure which have
suppletory application to criminal cases. (Llamas
vs. CA, G.R. No. 149588, September 29, 2009).
7.K.4 When A Judgment Becomes Final
(LapSer-WaPro)
1. When the period for perfecting an appeal has
lapsed.
2. When the accused commences to serve
sentence.
3. When the accused expressly waives in
writing his right to appeal.
4. When the accused applies for probation,
thereby waiving the right to appeal.(Rule 120,
Sec. 7)
Note: A judgment of acquittal becomes final
immediately after promulgation and cannot be
recalled for correction or amendment.
1. 1.The prosecutor cannot ask for the
modification or setting aside of a judgment
of conviction because the rules clearly
556
provide that a judgment of conviction may
be modified or set aside by the court
rendering upon motion of the accused.
2.
3. 2.The trial court can validly amend the civil
portion of its decision within 15 days from
promulgation thereof even though the appeal
had in the meantime already been perfected
by the accused from judgment of conviction.
Entry of Judgment (Rule 120, Sec. 8)
After a judgment has become final, it shall be
entered in accordance with Rule 36.
The final judgment of the court is carried into
effect by a process called “mittimus”.
Note: Mittimus or Commitment Order is a
process issued by the court after conviction to
carry out the final judgment, such as
commanding a prison warden to hold the
accused in accordance with the terms of the
judgment. (Circular No. 42-93, August 27, 1993)
Finality of Judgment vs. Entry of
Judgment
 The finality of the judgment is entirely
distinct from its entry and the delay in the
latter does not affect the effectivity of the
former which is counted from the expiration
of the period to appeal (Munnez vs. CA, G.R.
No. L-46040, July 23, 1987).

 Findings of the trial courts carry great
weight and respect, and, generally,
appellate courts will not overturn said
findings unless the trial court overlooked,
misunderstood or misapplied some facts or
circumstances of weight and substance
which will alter the assailed decision or
affect the result of the case (People vs.
Monteclaros, G.R. No. 181084, June 16, 2009).
7.L. NEW TRIAL OR RECONSIDERATION
(Rule 121)
New trial is rehearing of a case already
decided but beforethe judgment of conviction
 Purple Notes
therein rendered has become final, whereby
errors of law or irregularities are expunged from
the record, or new evidence is introduced, or
both steps are taken.
A motion for new trial or reconsideration should
be filed with the trial court within 15 days from
the promulgation of the judgment.
Note: The filing of the motion for new trial or
reconsideration interrupts the period for
perfecting an appeal from the time of its filing
until notice of the order overruling the motion
shall have been served upon the accused or his
counsel (Rule 121, Sec. 6).
The Trial Court Loses Jurisdiction Over its
Sentence even BEFORE the Lapse of
Fifteen (15) days when:
1. 1. Defendant voluntarily submits to the
execution of the sentence.
2. 2. The defendant perfects his appeal. The
moment the appeal is perfected, the court a
quo loses jurisdiction over it, EXCEPT for the
purpose of correcting clerical errors.
7.L.1 Grounds for New Trial (Rule 121, Sec. 2)
(ErNe)
 The first ground for new trial requires that
the errors or irregularities prejudicial to the
substantial rights of the accused must have
been committed during the trial. The
phrase “during the trial” refers to that
period from arraignment to the rendition of
judgment and not only to the trial proper,
and considers, as errors committed during
such period, the holding of the trial over
the objection of the accused despite the
lack of preliminary investigation, or where
the accused was denied counsel, or where
such counsel was not afforded at least two
(now 15) days to prepare for trial (People
vs. Tamayo, supra; People vs. Enriquez, supra;
Regalado, p. 602 11th edition).
 evidence does not fall within the statutory
 Mistakes of attorneys as to the competency
of a witness; the sufficiency, relevancy or
irrelevancy of certain evidence, the proper
defense, or the burden of proof; and failure
to introduce certain evidence, to summon
Criminal
Remedial
witness and to argue the case are not
proper grounds for a new trial.
Exceptions:
(1)
3. (1) the counsel’s mistake is so great and
serious that the client is prejudiced and denied
his day in court; or
(2)
(3) (2) the counsel is guilty of gross
negligence resulting in the client’s
deprivation of liberty or property
without due process of law (Ceniza-
Manantanan vs. People of the Philippines,
G.R. No. 156248, August 28, 2007).
 In the case of newly discovered evidence as
a ground for new trial, it should be
established that:
1. That the evidence was discovered after
trial;
2. That such evidence could not have been
discovered and produced at the trial
even with the exercise of reasonable
diligence; and,
3. That the evidence is of such a weight
that it would probably change the
judgment if admitted. (People vs.
Mangulabnan, G.R. No. L-8919, September
28, 1956).
 Evidence is considered material if there is
reasonable likelihood that the testimony or
evidence could have produced a different
result and the accused would have been
acquitted (Tan Ang Bun vs. CA, G.R. No. 47747,
February 15, 1990).

 The decision sought to be reviewed in this
petition for the issuance of a writ of habeas
corpus has long attained finality and entry
of judgment had already been made, upon
examination of the evidence presented by
the petitioner, the court held that the DNA
or jurisprudential definition of “newly
discovered evidence” (De Villa vs. Director of
New Bilibid Prisons, G.R. No. 158802, November
17, 2004).
Bar Operations
Commissions 557
557
 1. Errorsof lawor irregularities committed New Bilibid Prisons, G.R. No. 158802, November
during the trial prejudicial to the substantial 17, 2004).
right of the accused.
2. New and material evidence discovered. 7.L.2 Grounds for Reconsideration (Rule 121,
Sec. 3)
a. The first ground for new trial requires
that the errors or irregularities prejudicial to 1. Errors of law in the judgment
the substantial rights of the accused must Errors of law in the judgment
have been committed during the trial. The 2. Errors of fact in the judgment
phrase “during the trial” refers to that
period from arraignment to the rendition of Errors of fact in the judgment
judgment and not only to the trial proper,
and considers, as errors committed during Civil Action Criminal Action
NEW TRIAL
such period, the holding of the trial over the
objection of the accused despite the lack of
a) Fraud,  Errors of law or
preliminary investigation, or where the accident, irregularities
accused was denied counsel, or where such mistake or committed during
counsel was not afforded at least two (now excusable trial;
15) days to prepare for trial (People vs. neglect  Newly-discovered
Tamayo, supra; People vs. Enriquez, supra; (FAME); Evidence.
Regalado, p. 602 11th edition). b) Newly
Discovered
b. In the case of newly discovered Evidence.
evidence as a ground for new trial, it should
be established that: RECONSIDERATION

a) Award of a) Errors of law in the

e. That the evidence was discovered after trial; excessive judgment;
f. That such evidence could not have been damages; b) Errors of fact in the
discovered and produced at the trial even b) Insufficiency judgment.
with the exercise of reasonable diligence; of evidence;
and, c) Decision or
g. That the evidence is of such a weight that it final order is
would probably change the judgment if contrary to
admitted. (People vs. Mangulabnan,No. L-8919, law.
September 28, 1956).

 Evidence is considered material if there is
reasonable likelihood that the testimony or
evidence could have produced a different
result and the accused would have been
acquitted (Tan Ang Bun vs. CA, G.R. No. 47747,
February 15, 1990).
 The decision sought to be reviewed in this
petition for the issuance of a writ of habeas
corpus has long attained finality and entry
of judgment had already been made, upon
examination of the evidence presented by
the petitioner, the court held that the DNA
evidence does not fall within the statutory
or jurisprudential definition of “newly
discovered evidence” (De Villa vs. Director of
7.L.3 Requisites BEFORE a New Trial may
be Granted on the Ground of Newly-
Discovered Evidence(Rule 121, Sec. 4)
1. It must be in writing.
2. It must be filed with the court.
3. It must state the grounds on which it is
based.
4. If the motion for new trial is based on newly
discovered evidence, it must be supported by
the affidavits of the witness by whom such
evidence is expected to be given, or duly
authenticated copies of documents which it is
proposed to introduce in evidence.
5. Notice of the motion for new trial or
reconsideration shall be given to the fiscal.

558
 Purple Notes
 While the rule requires that an affidavit of
merits be attached to support a motion for
new trial based on newly discovered
evidence, yet the defect of lack of it may be
cured by testimony under oath of the
defendant at the hearing of the motion
(Paredes vs. Borja, G.R. No. L-15559, November
29, 1961).
 the court may, in the interest of justice, allow
 The threshold question in resolving a motion
for new trial based on newly discovered
evidence is whether the [proffered]
evidence is in fact a "newly discovered
evidence which could not have been
discovered by due diligence."
The question of whether evidence is newly
discovered has two aspects: a temporal
one, i.e., when was the evidence
discovered, and a predictive one, i.e.,
when should or could it have been
discovered. It is to the latter that the
requirement of due diligence has relevance.
We have held that in order that a particular
piece of evidence may be properly regarded
as newly discovered to justify new trial,
what is essential is not so much the time
when the evidence offered first sprang into
existence nor the time when it first came to
the knowledge of the party now submitting
it; what is essential is that the offering party
had exercised reasonable diligence in
seeking to locate such evidence before or
during trial but had nonetheless failed to
secure it(Ydiernas vs.Tangco-Gabaldon, G.R. No.
178925, June 1, 2011).
c. While the rule requires that an affidavit
of merits be attached to support a motion for
new trial based on newly discovered evidence,
yet the defect of lack of it may be cured by
testimony under oath of the defendant at the
hearing of the motion (Paredes vs. Borja, G.R. No.
L-15559, November 29, 1961).
7.L.4 Effects of Granting a New Trial or
Reconsideration (Sec. 6, Rule 121)
When a new trial is granted on the ground of:
1. Errors of law or irregularities
committed during the trial – all
proceedings and evidence not affected by
the commission of such errors and
Criminal
Remedial
irregularities shall stand, BUT those affected
thereby shall be set aside and taken anew.
The court may, in the interest of justice,
allow the introduction of additional evidence.
2.
3. Newly discovered evidence – the
evidence already taken shall stand, and the
newly discovered and such other evidence as
to be introduced, shall be taken and
considered together with the evidence
already in the record.
• The concept of newly-discovered evidence is
applicable only when a litigant seeks a new
trial or the re-opening of the case in the trial
court. The first guideline is to restrict the
concept of newly-discovered evidence to only
such evidence that can satisfy the following
requisites, namely: (1) the evidence was
discovered after trial; (2) such evidence
could not have been discovered and
produced at the trial even with the exercise
of reasonable diligence; (3) the evidence is
material, not merely cumulative,
corroborative, or impeaching; and (4) the
evidence is of such weight that it would
probably change the judgment if admitted
(Ladines vs. People, G.R. No. 167333, January 11,
2016).
• In all cases, when the court grants new trial
or reconsideration, the original judgment
shall be set aside and a new judgment
rendered accordingly (Rule 121, Sec. 6).
• The effect of the granting of a new trial is
not to acquit the accused of the crime of
which the judgment finds him guilty, but
precisely to set aside said judgment so that
the case may be tried de novo as if no trial
had been conducted before (Rule 37, Sec. 6).
• An error or mistake committed by a counsel
in the course of judicial proceedings is NOT
a ground for new trial (Briones vs. People,
G.R. No. 156009, June 5, 2009).
• Evidence, to be considered newly
discovered, must be one that could not, by
the exercise of due diligence, have been
discovered before
Bar the trial in the court
Operations
Commissions 559
559
 below. Movant failed to show that the
defense exerted efforts during the trial to
secure testimonies from police officers like
Jurado, or other persons involved in the
investigation, who questioned or objected
following requisites, namely: (1) the evidence was discovered after
trial; (2) such evidence could not have been discovered and
produced at the trial even with the exercise of reasonable diligence;
(3) the evidence is material, not merely cumulative, corroborative, or
impeaching; and (4) the evidence is of such weight that it would
probably change the judgment if admitted. (Ladines vs. People, G.R. No.
167333, January 11, 2016)

to the apprehension of the accused in this

case. Hence, the belatedly executed
1. In all cases, when the court grants new
affidavit of Jurado does not qualify as newly
trial or reconsideration, the original
discovered evidence that will justify re-
judgment shall be set aside and a new
opening of the trial and/or vacating the
judgment rendered accordingly. (Rule
judgment (Lumanog vs. People, G.R. No. 121, Sec. 6)
182555, G.R. No. 185123, G.R. No. 187745,
September 7, 2010).
2. The effect of the granting of a new trial
is not to acquit the accused of the crime
• Unlike the rule in Civil Cases, the remedy of
of which the judgment finds him guilty,
the aggrieved party being appeal in due
but precisely to set aside said judgment
time, such an order rendered in Criminal
so that the case may be tried de novo
Cases is also interlocutory BUT is
as if no trial had been conducted before.
controllable by certiorari or prohibition at
(Rule 37, Sec. 6)
the instance of the prosecution, as the new
trial might result in a judgment of acquittal
g. An error or mistake committed by a counsel
from which the prosecution can no longer
in the course of judicial proceedings is NOT
appeal (People vs. Bocar, supra; People et al.
a ground for new trial (Briones vs. People,
vs. CA, L-45364, August 6, 1979).
G.R. No. 156009, June 5, 2009).
• Although the documents offered by
h. Evidence, to be considered newly
petitioners are strictly not newly discovered,
discovered, must be one that could not, by
it appears to us that petitioners were
the exercise of due diligence, have been
mistaken in their belief that its production
discovered before the trial in the court
during trial was unnecessary. xxx In this
below. Movant failed to show that the
instance, we are inclined to give a more
defense exerted efforts during the trial to
lenient interpretation of Rule 121, Sec. 2 on
secure testimonies from police officers like
new trial in view of the special
Jurado, or other persons involved in the
circumstances sufficient to cast doubt as to
investigation, who questioned or objected to
the truth of the charges against petitioners.
the apprehension of the accused in this
The situation of the petitioners is peculiar,
case. Hence, the belatedly executed
since they were precluded from presenting
affidavit of Jurado does not qualify as newly
exculpatory evidence during trial upon the
discovered evidence that will justify re-
honest belief that they were being tried for
opening of the trial and/or vacating the
nonpayment of RATA under the 1999
judgment (Lumanog vs. People, G.R. No.
budget. 182555, G.R. No. 185123, G.R. No. 187745,
September 7, 2010).
• Nevertheless, they deserve a chance to
prove their innocence. This opportunity  Unlike the rule in Civil Cases, the
must be made available to the accused in remedy of the aggrieved party being
every possible way in the interest of justice. appeal in due time, such an order
A remand of the case for a new trial is in rendered in Criminal Cases is also
order (Estino vs. People, G.R. Nos. 163957-58, interlocutory BUT is controllable by
April 7, 2009). certiorari or prohibition at the instance
The concept of newly-discovered evidence is applicable only when a of the prosecution, as the new trial
litigant seeks a new trial or the re-opening of the case in the trial might result in a judgement of acquittal
court. The first guideline is to restrict the concept of newly-
discovered evidence to only such evidence that can satisfy the from which the prosecution can no

560
 Purple Notes
Criminal
Remedial
longer appeal (People vs. Bocar, supra; MOTION FOR NEW MOTION FOR NEW
People et al. vs. CA, L-45364, August 6, TRIAL IN CRIMINAL TRIAL IN CIVIL
1979). CASES CASES
irregularities prejudicial prudence could not
 Although the documents offered by to the substantial rights have guarded against
petitioners are strictly not newly of the accused have and by reason of
been committed during which such aggrieved
discovered, it appears to us that
the trial. party has probably
petitioners were mistaken in their belief been impaired in his
that its production during trial was rights. (Rule 37, Sec.
unnecessary. xxx In this instance, we 1)
are inclined to give a more lenient The new and material Newly discovered
interpretation of Rule 121, Sec. 2 on evidence has been evidence, which the
new trial in view of the special discovered which the accused could not,
circumstances sufficient to cast doubt as accused could not, with with reasonable
to the truth of the charges against reasonable diligence, diligence, have
have discovered and discovered and
petitioners. The situation of the
produced at the trial produced at the trial,
petitioners is peculiar, since they were and which if introduced and which if presented
precluded from presenting exculpatory and admitted would would probably alter
evidence during trial upon the honest probably change the the result.
belief that they were being tried for judgment.
nonpayment of RATA under the 1999
budget.
Application of Neypes Doctrine in Criminal
 Nevertheless, they deserve a chance to Cases
prove their innocence. This opportunity
must be made available to the accused Q: Does the Neypes Rule find any
in every possible way in the interest of application in Criminal cases?
justice. A remand of the case for a new
trial is in order (Estino vs. People, G.R. A: Yes. While Neypes involved the period to
Nos. 163957-58, April 7, 2009).
appeal in civil cases, the Court’s pronouncement
Q: Does an erroneous rejection of of a "fresh period" to appeal should equally
evidence presented justify a new trial? apply to the period for appeal in criminal cases
A: An erroneous admission or rejection of under Section 6 of Rule 122 of the Revised
evidence by the trial court is not a ground for a Rules of Criminal Procedure(Yu vs. Judge Samson,
new trial or reversal of the decision if there are G.R. No. 170979, February 9, 2011).
other independent evidence to sustain the
decision, or if the rejected evidence, if it had • If the motion is denied, the movants has a
been admitted; would not have changed the fresh period of fifteen (15) days from receipt
decision(People vs. Bande, G.R. No. 26335,March 3, or notice of the order denying or dismissing
1927). the motion for reconsideration within which
to file a notice to appeal.
Note: In trial courts, a second motion for
reconsideration of a final order or judgment is
not allowed (Par. 4, Interim Rules and Guidelines). • This new period becomes significant if
This rule has been adopted in civil actions (Rule either a motion for reconsideration or a motion
37, Sec. 5).In cases covered by the Rules on for new trial has been filed but was denied or
Summary Procedure, a motion for dismissed. X xx Accordingly, this rule was
reconsideration is prohibited(Sec. 15 [c]). adopted to standardize the appeal periods
provided in the Rules to afford fair opportunity
MOTION FOR NEW MOTION FOR NEW
to review the case and, in the process, minimize
TRIAL IN CRIMINAL TRIAL IN CIVIL
CASES CASES errors of judgment. Obviously, the new fifteen
The errors of law or FAME, which ordinary Bar period may
(15)-day Operations
be availed of only
Commissions 561
561
if either motion is filed; otherwise, the decision
becomes final and executory after the lapse of
the original appeal period provided in Rule 41
(Neypes vs. CA, G.R. 141524, September 14, 2005). If
the motion is denied, the movants has a fresh
period of fifteen (15) days from receipt or
notice of the order denying or dismissing the
motion for reconsideration within which to file a
notice to appeal.
This new period becomes significant if either a
motion for reconsideration or a motion for new
trial has been filed but was denied or dismissed.
X x x Accordingly, this rule was adopted to
standardize the appeal periods provided in the
Rules to afford fair opportunity to review the
case and, in the process, minimize errors of
judgment. Obviously, the new fifteen (15)-day
period may be availed of only if either motion is
filed; otherwise, the decision becomes final and
executory after the lapse of the original appeal
period provided in Rule 41(Neypes vs. CA, G.R.
141524, September 14, 2005).
Note: The Neypes ruling shall not be applied
where no motion for new trial or motion for
reconsideration has been filed in which case the
15-day period shall run from notice of the
judgment.
The fresh period rule does not refer to the
period within which to appeal from the order
denying the motion for new trial because the
order is not appealable under Section 9, Rule
37. The non-appealability of the order of denial
is also confirmed by Section 1(a), Rule 41,
which provides that no appeal may be taken
from an order denying a motion for new trial or
a motion for reconsideration.
The Neypes Doctrine applies to the following:
1. Rule 40 governing appeals from MTC to RTC;
2. Rule 41 governing appeals from the RTC;
3. Rule 42 on petitions for review from the RTC
to the CA;
4. Rule 43 on appeal from quasi-judicial
agencies to the CA; and,
5. Rule 45 governing appeals by certiorari to
the SC.
562
Rule 40 governing appeals from MTC to
RTC;
Rule 41 governing appeals from the RTC;
Rule 42 on petitions for review from the
RTC to the CA;
Rule 43 on appeal from quasi-judicial
agencies to the CA; and,
Rule 45 governing appeals by certiorari to
the SC.
7.M. APPEALS (Rules 122 to 125)
APPEAL (Rule 122)
Who may appeal(Rule 122, Sec. 1)
Any party may appeal from judgment or final
order, UNLESSthe accused will be placed in
double jeopardy.
Appeal – a proceeding for review by which the
whole case is transferred to a higher court for a
final determination.
Final Judgment – a judgment which would
become final if no appeal is taken.
Final Order – one which disposes of the whole
subject matter or terminates a particular
proceeding or action, leaving nothing to be done
but to enforce by execution of what has been
determined.
Interlocutory Order – does not dispose of a
case completely, but leaves something more to
be done on the merits.(Banares vs. Balising, G.R.
No.132624, March 13, 2000)
 The disallowance of the notice of appeal
signifies the disallowance of the appeal
itself. A petition for review under Rule 45 of
the Rules of Court is a mode of appeal of a
lower court’s decision or final order direct to
the Supreme Court. However, the
questioned Order denying her notice of
appeal is not a decision or final order from
which an appeal may be taken. The Rules of
Court specifically provides that no appeal
shall be taken from an order disallowing or
dismissing an appeal. Rather, the aggrieved
party can elevate the matter through a
special civil action under Rule 65. Thus, in
 Purple Notes
availing of the wrong mode of appeal in this
petition under Rule 45 instead of the
appropriate remedy of Rule 65, the petition
merits an outright dismissal(Macapagal vs.
People, G.R. No. 193217, February 26, 2014).
The disallowance of the notice of appeal
signifies the disallowance of the appeal itself. A
petition for review under Rule 45 of the Rules of
Court is a mode of appeal of a lower court’s
decision or final order direct to the Supreme
Court. However, the questioned Order denying
her notice of appeal is not a decision or final
order from which an appeal may be taken. The
Rules of Court specifically provides that no
appeal shall be taken from an order disallowing
or dismissing an appeal. Rather, the aggrieved
party can elevate the matter through a special
civil action under Rule 65. Thus, in availing of
the wrong mode of appeal in this petition under
Rule 45 instead of the appropriate remedy of
Rule 65, the petition merits an outright
dismissal(Macapagal vs. People, G.R. No. 193217,
February 26, 2014).
7.M.1 Effect of an Appeal
An appeal in a criminal case opens the whole
case for review and this includes the review of
the penalty, indemnity, and the damages
involved. Consequently, on appeal, the
appellate court may increase the penalty,
indemnity, or the damages awarded by the trial
court, although the offended party had not
appealed from said award, and the party who
sought a review of the decision was the
accused.
 An appeal throws open the entire case for
review and may result in the increase of the
penalty imposed by the trial court (Mercado
vs. People, G.R. No. 149375, November 26,
2002; People vs. Morales, G.R. No. 172873,
March 19, 2010).
An appeal throws open the entire case for
review and may result in the increase of the
penalty imposed by the trial court. (Mercado vs.
People, G.R. No. 149375, November 26, 2002; People
vs. Morales, G.R. No. 172873, March 19, 2010)
Instances When Appeal DOES NOT Put the
Accused in Double Jeopardy
Criminal
Remedial
1. If the dismissal is made upon motion, or with
the express consent of the accused;
2. If the dismissal is not an acquittal or based
upon consideration of the evidence or of the
merits of the case; or,
3. If the question to be passed upon by the
appellate court is purely legal so that the
case should be remanded to the court of
origin for it to determine the guilt or
innocence of the accused.(People vs. Villalon,
G.R. No. 43659, : December 21, 1990)
General Rule: A private prosecutor in a
criminal case has no authority to act for the
People of the Philippines before a court on
appeal. It is the government’s counsel, the
Solicitor General, who appears in criminal cases
or their incidents before the Supreme Court. At
the very least, the Provincial Fiscal himself, with
the conformity of the Solicitor General, shall act
for the People of the Philippines.
Exception: The civil award in a criminal case
may be appealed by the private prosecutor on
behalf of the offended party or his successors.
7.M.2 Where to Appeal(Rule 122, Sec. 2)
1. RTC – In cases decided by the MeTC, MTCC,
MTC, MCTC;
2. CA or SC – decisions by the RTC, in the
proper cases provided by law;
3. SC – in cases decided by the CA and the
Sandiganbayan.
7.M.3 How Appeal Taken (Rule 122, Sec. 3)
Appeal to the RTC, or to the CA in cases decided
by the RTC in exercise of its original jurisdiction
a) By notice of appeal;
b) Filed with the court which rendered the
judgment or final order appealed from; and,
c) By serving a copy thereof to the adverse
party.
Appeal to the CA in cases decided by the RTC in
the exercise of its appellate jurisdiction shall be
by petition for review under Rule 42.
Appeal in cases where the penalty imposed by
BarRTC is reclusion
the Operations
perpetua, life
Commissions 563
563
imprisonment or where a lesser penalty is
imposed for offenses committed on the same
occasion or which arose out of the same
occurrence that gave rise to the more serious
offense for which the penalty of death, reclusion
perpetua, or life imprisonment is imposed
1. By notice of appeal to the CA;
2. Filed with the court which rendered the
judgment or final order appealed from; and
3. By serving a copy thereof to the adverse
party.
Note: Appeals from the Sandiganbayan to the
Supreme Court on pure questions of law,
EXCEPT cases where the penalty imposed is
reclusion perpetua, life imprisonment or death
shall be made by Petition for Review on
Certiorari.(Rule 45, Sec. 1)
Service of Notice of Appeal, How Made
(Rule 122, Sec4)(ParCo-ReSu)
1. Upon the adverse party or his counsel;
2. By registered mail; or
3. By substituted service.
. 4)(ParCo-ReSu)
o Upon the adverse party or his counsel;
o By registered mail; or
o By substituted service.
Waiver of Notice (Rule 122, Sec. 5)
The appellee may waive his right to a notice
that an appeal has been taken. The appellate
court may, in its discretion, entertain an appeal
notwithstanding failure to give such notice if the
interests of justice so require.
When Appeal to be taken (Rule 122, Sec. 6)
An appeal must be taken within 15 days from
promulgation of the judgment or from notice of
the final order appealed from.
The period for appeal is interrupted from the
time the motion for new trial is filed up to the
receipt by the accused of the notice of the order
“overruling the motion.”
564
Appeal to the Regional Trial Courts (Rule
122, Sec. 9)
1. Transmittal of Original Records-Within 5
days from perfection of the appeal, the clerk
of court shall transmit the original record to
the appropriate Regional Trial Court.
2.
3. Notice to the Parties-Upon receipt of the
complete record of the case, transcripts and
exhibits, the clerk of court of the Regional
Trial Court shall notify the parties of such
fact.
4.
5. Submission of Memoranda or Briefs-
Within 15 days from receipt of said notice,
the parties may submit memoranda or briefs,
or may be required by the RTC to do so.
6.
7. Decision-After the submission of such
memoranda or briefs, or upon the expiration
of the period to file the same, the RTC shall
decide the case on the basis of the entire
record of the case and of such memoranda
or briefs as may have been filed.
7.M.4 Effect of Appeal by any of Several
Accused (Rule 122, Sec. 11)
1. An appeal taken by one or more of several
accused shall not affect those who did not
appeal, EXCEPT insofar as the judgment of
the appellate court is favorable and
applicable to the latter.
2. The appeal of the offended party from the
civil aspect shall not affect the criminal
aspect of the judgment or order appealed
from.
3. Upon perfection of the appeal, the execution
of the judgment or final order appealed from
shall be stayed as to the appealing party.
(People vs. Mateo, G.R. Nos. 147678-87, July 7,
2004)
While the Fundamental Law requires a
mandatory review by the Supreme Court of
cases where the penalty imposed is reclusion
perpetua, life imprisonment, or death,
nowhere, however, has it proscribed an
 Purple Notes
intermediate review. If only to ensure utmost
circumspection before the penalty of death,
reclusion perpetua, or life imprisonment is
imposed, the Court now deems it wise and
compelling to provide in these cases a review
by the Court of Appeals before the case is
elevated to the Supreme Court. Where life
and liberty are at stake, all possible avenues
to determine his guilt or innocence must be
accorded an accused, and no care in the
evaluation of the facts can ever be overdone.
 While the Fundamental Law requires a
mandatory review by the Supreme Court of
cases where the penalty imposed is reclusion
perpetua, life imprisonment, or death,
nowhere, however, has it proscribed an
intermediate review. If only to ensure utmost
circumspection before the penalty of death,
reclusion perpetua, or life imprisonment is
imposed, the Court now deems it wise and
compelling to provide in these cases a review
by the Court of Appeals before the case is
elevated to the Supreme Court. Where life
and liberty are at stake, all possible avenues
to determine his guilt or innocence must be
accorded an accused, and no care in the
evaluation of the facts can ever be overdone.
A prior determination by the Court of Appeals
on, particularly, the factual issues, would
minimize the possibility of an error of
judgment. If the Court of Appeals should
affirm the penalty of death, reclusion
perpetua, or life imprisonment, it could then
render judgment imposing the corresponding
penalty as the circumstances so warrant,
refrain from entering judgment and elevate
the entire records of the case to the
Supreme Court for its final disposition (People
vs. Mateo, G.R. Nos. 147678-87, July 7, 2004).
A prior determination by the Court of Appeals
on, particularly, the factual issues, would
minimize the possibility of an error of
judgment. If the Court of Appeals should
affirm the penalty of death, reclusion
perpetua, or life imprisonment, it could then
render judgment imposing the corresponding
penalty as the circumstances so warrant,
refrain from entering judgment and elevate
the entire records of the case to the
Criminal
Remedial
Supreme Court for its final disposition (People
vs. Mateo, G.R. Nos. 147678-87, July 7, 2004).
Q: Is the appellate court bound by the
findings of lower court?
A: The findings of the trial courts carry great
weight and respect and, generally, appellate
courts will not overturn said findings unless
the trial court overlooked, misunderstood or
misapplied some facts or circumstances of
weight and substance which will alter the
assailed decision or affect the result of the
case. The rule finds an even more stringent
application where the said findings are
sustained by the Court of Appeals (People vs.
Tampus and Montesclaros, G.R. No. 181084, June
16, 2009).
Withdrawal of Appeal
The RTC, MeTC, MCTC, MTC, MTCC, as the case
may be, may allow the appellant to withdraw his
appeal before the record has been forwarded by
the clerk of court to the proper appellate court
as provided in Section 8, in which case the
judgment shall become final. This is
notwithstanding the perfection of the appeal.
The RTC may, in its discretion allow the
appellant from the judgment of a lower court to
withdraw his appeal, provided, a motion to that
effect is filed before the rendition of the
judgment in the case on appeal, in which case
the judgment of the court of origin shall become
final and the case shall be remanded to the
latter court for the execution of judgment.(Rule
122, Sec. 12).
Q: Is there such an implied waiver of
appeal?
A: For instance, by escaping prison, accused-
appellant impliedly waived his right to appeal.
The accused cannot be accorded the right to
appeal unless he voluntarily submits to the
jurisdiction of the court or is otherwise arrested
within 15 days from notice of the judgment
against him. While at large, he cannot seek
relief from the court, as he is deemed to have
waived the appeal. Thus, having escaped from
prison
Bar or confinement, he loses his standing in
Operations
court; and unless he surrenders or
Commissions 565
565
submits to its jurisdiction, he is deemed to have
waived any right to seek relief from the court.
(People vs. Taruc, G.R. No. 185202, February 18,
2009)
Appointment of Counsel de officio for
Accused on Appeal
It shall be the duty of the clerk of court of the
trial court upon filing of a notice of appeal:
1. To ascertain from the appellant, if confined
in prison, whether he desires the Regional
Trial Court, Court of Appeals or the Supreme
Court to appoint a counsel de officio to
defend him.
2.
3. To transmit with the record on a form
to be prepared by the clerk of court of
the appellate court, a certificate of
compliance with this duty and of the
response of the appellate to his inquiry.
7.M.5 GROUND FOR DISMISSAL OF
APPEAL
The Court may dismiss the petition if it finds the
same to be: (MeDeUn)
1. Patently without merit;
2. Prosecuted manifestly for delay; or
3. The questions raised therein are too
unsubstantial to require consideration (Rule
45, Sec. 5)
PROCEDURE IN THE MUNICIPAL TRIAL
COURTS (Rule 123)
Uniform Procedure
General Rule: The procedure to be observed in
the MeTC, MTC and MCTC shall be the same as
in the RTCs.
Exception: Where a particular provision applies
only to either of said courts and in criminal
cases governed by the Revised Rule on
Summary Procedure.
PROCEDURE IN THE COURT OF APPEALS
(Rule 124)
Appointment of Counsel de oficio for the
Accused (Rule 124, Sec. 2)
566
The clerk of court of the Court of Appeals shall
designate a counsel de officio if it appears from
the record of the case as transmitted that:
1. The accused is confined in prison;
2. The accused is without counsel de parte on
appeal; or,
3. The accused has signed the notice of appeal
himself.
 The accused is confined in prison;
 The accused is without counsel de parte
on appeal; or,
 The accused has signed the notice of
appeal himself.
Note: An appellant who is not confined in
prison may, upon request, be assigned a
counsel de officio within 10 days from receipt of
the notice to file brief and he establishes his
right thereto.
Dismissal of Appeal for Abandonment or
Failure to Prosecute Grounds (Rule 124, Sec.
8)
a) Appellant fails to file his brief within the time
prescribed by this Rule, except where the
appellant is represented by a counsel de
officio;
b) Appellant escapes from prison or
confinement;
c) Appellant jumps bail; or,
d) Appellant flees to a foreign country during
the pendency of the appeal.
� In case the accused fails to appear at the
scheduled date of promulgation of judgment
despite notice, the promulgation shall be
made by recording the judgment in the
criminal docket and serving him a copy
thereof at his last known address or thru his
counsel. If the judgment is for conviction and
the failure of the accused to appear was
without justifiable cause, he shall lose the
remedies available in these Rules against the
judgment and the court shall order his arrest.
Within fifteen (15) days from promulgation of
judgment, however, the accused may
surrender and file a motion for leave of court
to avail of these remedies. He shall state the
reasons for his absence at the scheduled
promulgation and if he proves that his
 Purple Notes
absence was for a justifiable cause, he shall
be allowed to avail of said remedies within
fifteen (15) days from notice (People vs. Taruc,
G.R. No. 185202, February 18, 2009).
Judgment NOT to be Reversed or Modified
EXCEPT for Substantial Error (Rule 124, Sec.
10)
No judgment shall be reversed or modified
unless, the Court of Appeals, after an
examination of the record and of the evidence
adduced, is of the opinion that an error was
committed which injuriously affected the
substantial rights of the appellant.
Scope of Judgment (Rule 124, Sec. 11)
The Court of Appeals may:
1. 1. Reverse, affirm or modify the judgment;
2. 2. Increase or reduce the penalty imposed by
the trial court;
3. 3. Remand the case to the Regional Trial
Court for new trial or retrial; or,
4. 4. Dismiss the case.
Other Powers of the Court of Appeals (Rule
124, Sec. 12)
1. 1. Try cases and conduct hearings;
2. 2. Receive evidence;
3. 3. Perform all acts necessary to resolve
factual issues raised in cases falling under its
original and appellate jurisdiction; and,
4. 4. Grant and conduct new trials or further
proceedings.
Certification or Appeal of Case to the
Supreme Court (Rule 124, Sec. 13)
Where the CA imposes reclusion perpetua, life
imprisonment or a lesser penalty it shall –
1. Render judgment; and,
2. Enter judgment imposing such penalty.
Note: Such judgment may be appealed to the
SC by notice of appeal filed with the CA.
Motion for New Trial (Rule 124, Sec. 14)
Criminal
Remedial
a) Period for Filing: At any time after the
appeal from the lower court has been
perfected and before the judgment of the
Court of Appeals convicting the appellant
becomes final.
b) Ground: Newly-discovered evidence
material to his defense.
c) If granted, the CA may conduct the new trial
or may refer it to the court of origin.
Motion for Reconsideration (Rule 124, Sec.
16)
A motion for reconsideration shall be filed:
1. Within 15 days from notice of the decision or
final order of the Court of Appeals;
2. With copies thereof served upon the adverse
party; and,
3. Setting forth the grounds in support thereof.
• The mittimus shall be stayed during the
pendency of the motion for
reconsideration.
1) • No party shall be allowed a
second motion for reconsideration of a
judgment or final order (Poliand Industrial Ltd. v.
National Development Co., G.R. No. 143866. August
22, 2005).The mittimus shall be stayed during
the pendency of the motion for reconsideration.
2) No party shall be allowed a second
motion for reconsideration of a judgment or final
order. (Poliand Industrial Ltd. v. National
Development Co., G.R. No. 143866. August 22, 2005)
General Rule: The statutory requirement that
“when no motion for reconsideration is filed
within the reglementary period, the decision
attains finality and becomes executory in due
course” must be STRICTLY ENFORCED as they
are considered indispensable interdictions
against needless delays and for orderly
discharge of judicial business.
The purposes for such statutory requirement are
two-fold:
Bar Operations
Commissions 567
567
a) to avoid delay in the administration of justice
and thus, procedurally, to make orderly the
discharge of judicial business; and,
b) to put an end to judicial controversies, at the
risk of occasional errors, which are precisely
why courts exist.
Controversies cannot drag on indefinitely. The
rights and obligations of every litigant must not
hang in suspense for an indefinite period of
time.
Exceptions: When substantial justice and
equity considerations warrant the giving of due
course to an appeal by suspending the
enforcement of statutory and mandatory rules
of procedure.(Ginete vs. Court of Appeals, G.R. No.
127596, September 24, 1998)
Certain elements are considered for the appeal
to be given due course, such as:
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 the party favored by the
suspension of the rules;
4. Lack of any showing that the review sought
is merely frivolous and dilatory; and,
5. The other party will not be unduly prejudiced
thereby (Guasch vs. Dela Cruz, G.R. No. 176015,
June 16, 2009).
Probation
 The Probation Law never intended to deny
an accused his right to probation through no
fault of his. The underlying philosophy of
probation is one of liberality towards the
accused. Such philosophy is not served by a
harsh and stringent interpretation of the
statutory provisions (Colinares vs. People, G.R.
No. 182748, December 13, 2011).
6. The Probation Law never intended to deny
an accused his right to probation through no
fault of his. The underlying philosophy of
probation is one of liberality towards the
accused. Such philosophy is not served by a
harsh and stringent interpretation of the
statutory provisions. (Colinares vs. People,
G.R. No. 182748, December 13, 2011)
568
Illustrative Case
Facts: The accused was charged with frustrated
homicide and was found guilty thereof and
sentenced to suffer imprisonment from 2 years
and 4 months of prisioncorreccional, as
minimum, to 6 years and 1 day of prision
mayor, as maximum. Since the maximum
probationable imprisonment under the law was
only up to 6 years, accused did not qualify for
probation. Thus, he appealed to the CA invoking
self-defense and alternatively, seeking
conviction for the lesser crime of attempted
homicide with the consequent reduction of the
penalty imposed on him. The CA affirmed the
RTC decision. Accused then went to the SC,
which found that he was guilty of the lesser
crime of attempted homicide with the imposable
penalty of imprisonment of 4 months of arresto
mayor, as minimum, to 2 years and 4 months of
prisioncorreccional, as maximum.
Issue: Whether or not the accused could still
avail of probation in view of the reduction of the
penalty
Ruling: The Court’s finding that accused was
guilty, not of frustrated homicide but only of
attempted homicide, is an original conviction
that, for the first, time imposes on him a
probationable penalty. Had the RTC done him
right from the start, it would have found him
guilty of the correct offense and imposed on him
the right penalty of 2 years and 4 months as
maximum. This would have afforded the
accused the right to apply for probation
(Colinares vs. People, G.R. No. 182748, December 13,
2011).
PROCEDURE IN THE SUPREME COURT (Rule
125)
Uniform Procedure (Rule 125, Sec. 1)
General Rule: The procedure in the SC in
original and in appealed cases shall be the same
as in the CA.
Exceptions: If otherwise provided by:
1) The Constitution; or
2) The law.
 Purple Notes
Criminal
Remedial
Review of Decisions of the Court of be invoked only in furtherance of public
Appeals (Rule 125, Sec. 2) prosecutions.
2) Search warrants have no relation to civil
The procedure for the review by the Supreme process or trials.
Court of decisions in criminal cases rendered by 3) They are not available to individuals in the
the Court of Appeals shall be the same as in civil course of civil proceedings.
cases. 4) It is not for the maintenance of any mere
private right.
5) It is interlocutory in character – it leaves
something more to be done, the
Decision If Opinion is Equally Divided (Rule determination of the guilt of the accused.
125, Sec. 3) (Riano, Criminal Procedure, 2016 Edition, p. 253-
254).
a) When the Supreme Court en banc is equally
divided in opinion or the necessary majority 7.N.2 Distinguished from Warrant of
cannot be had on whether to acquit the Arrest
appellant, the case shall again be deliberated
upon. WARRANT OF
SEARCH WARRANT
b) ARREST
c) If no decision is reached after re- Preliminary examination leads to its
deliberation, the judgment of conviction of issuance or non-issuance.
lower court shall be reversed and the Both rendered by the judge.
accused acquitted. For the purpose of For the purpose of
taking a person into taking personal
the custody of the property into the
7.N. SEARCH AND SEIZURE(Rule 126)
law. (Rule 113, Sec. custody of the law.
1) (Rule 126, Sec. 1)
Search warrantis an order in writing issued in The judge is required The court must
the name of the People of the Philippines, to conduct an always conduct
signed by a judge and directed to a peace investigation or searching
officer, commanding him to search for personal examination but the questions upon the
property described therein and bring it before court may dispense complainant and
the court. (Rule 126, Sec. 1) with the personal his witnesses.
examination and may (Rule 126, Sec. 5)
simply rely on the
Search warrants are in the nature of criminal
report of the fiscal.
process and may be invoked only in furtherance An arrest may be Should be executed
of public prosecutions. They are also in the made on any day and only on daytime
nature of an interlocutory character, because it at any time of the unless otherwise
leaves something more to be done, the day or night. (Rule stated in the
determination of the guilt of the accused. 113, Sec. 6) warrant itself.
(Rule 126, Sec. 9)
Q: Who is vested with authority to issue a Imprescriptible; until Only good for 10
search warrant? and unless days; whether
implemented. implemented or
not, the search
A: The power to issue a search warrants is warrant dies on the
exclusively vested with the trial judges in the 11th day. (Rule 126,
exercise of their judicial functions (Skechers, USA Sec.10)
vs. Inter Pacific Industrial Trading Corporation,G.R. As long as the person The things to be
No. 164321, November 30, 2006). is identifiable, you seized and the
can already person to be
7.N.1 Nature of Search Warrant implement the searched must be
warrant lawfully. specifically
1) Search warrants are in the nature of criminal identified. (Rule
process akin to a writ of discovery and may
Bar Operations
126, Sec. 4)
Commissions 569
569

7.N.3 Application for Search Warrant,
Where Filed (Rule 126, Sec. 2) (TeJuPen)
1. Any court within whose territorial jurisdiction
a crime was committed.
2. For compelling reasons stated in the
application, any court within the judicial
region where the crime was committed if the
place of the commission of the crime is
known, or any court within the judicial region
where the warrant shall be enforced.
3. If the criminal action has already been filed,
the application shall only be made in the
court where the criminal action is pending.
 If the accused committed a continuing
offense, a search warrant may be applied
for in any court where any element of the
alleged offense was committed (Sony
Computer Entertainment, Inc. vs. Evergreen
Incorporated G.R. No. 161823, March 22, 2007).
D. If the accused committed a continuing
offense, a search warrant may be applied
for in any court where any element of the
alleged offense was committed (Sony
Computer Entertainment, Inc. vs. Evergreen
Incorporated G.R. No. 161823, March 22, 2007).
Requisites for Issuing Search Warrant (Rule
126, Sec. 3) (ProDEx-DeP)
1) The warrant must be issued upon probable
cause;
2) Probable cause must be
determinedpersonally by the judge;
3) The judge must have personally examined,
under oath and affirmation, and in the form
of searching questions and answers, the
applicant and his witnesses;
4) The warrant must particularlydescribe the
place to be searched and the things to be
seized which may be anywhere in the
Philippines; and,
5) The warrant must be issued for one
specificpurpose or in connection with one
specific offense.
7.N.4 Probable Cause
It refers to such fact and circumstances which
would lead a reasonably discreet and prudent
570
man to believe that the offense charged has
been committed and that the objects sought in
connection with the offense are in the place
sought to be searched.(Kho v. Lanzanas, G.R. No.
150877, May 4, 2006)
Basis of Probable Cause
The basis must be the personal knowledge of
the complainant or the witnesses he may
produce and not based on mere hearsay.
The test of sufficiency of a deposition or
affidavit is whether it has been drawn in a
manner that perjury could be charged thereon
and the affiant be held liable for damaged
caused.
 Mere affidavits of the complainant and his
witnesses are not sufficient. The judge has
to take depositions in writing of the
complainant and the witnesses and to
attach them to the record (Mata vs. Bayona,
G.R.. No. L-50620, March 26, 1984).
Factors in Determining Probable Cause
 Time of the application in relation to the
alleged offense committed. The nearer the
time at which the observation of the offense
is alleged to have been made, the more
reasonable the conclusion of establishment
of probable cause (Asian Surety Insurance vs.
Herrera, G.R. No. L-25232, Dec. 20, 1973);

 There must be competent proof of particular
acts or specific omissions but only the best
evidence under the circumstances is
required (People vs. Judge Estrada, G.R. No.
124461, September 25, 1998).
d) Time of the application in relation to the
alleged offense committed. The nearer the
time at which the observation of the offense
is alleged to have been made, the more
reasonable the conclusion of establishment
of probable cause (Asian Surety Insurance vs.
Herrera, G.R. No. L-25232, Dec. 20, 1973);
e) There must be competent proof of particular
acts or specific omissions but only the best
evidence under the circumstances is
 Purple Notes
required. (People vs. Judge Estrada, G.R. No.
124461, September 25, 1998).
Who Determines Probable Cause
General Rule: Probable cause must be
determined personally by a judge. (Art. 3, Sec. 2,
1987 Constitution)
Exception: Deportation of illegal and
undesirable aliens, whom the President or the
Commissioner of Immigration may order
arrested, following a final order of deportation,
for the purpose of deportation. (Harvey vs.
Defensor-Santiago, G.R. No. 82544, June 28, 1988).
“Multi-factor balancing test” in
determining probable cause – one which
requires the officer to weigh the manner and
intensity of the interference on the right of the
people, the gravity of the crime committed and
the circumstances attending the incident(Allado
vs Diokno, G.R. No. 113630, May 5, 1994).
Finding of Probable Cause by a Judge may
be Set Aside
The finding of probable cause of the Judge may
be set aside and the search warrant issued by
him based on his finding may be quashed; the
evidence seized by the police officers based on
said search warrant may be suppressed if the
accused presents clear and convincing evidence
that the police officers and/or a government
informant made a deliberate falsehood or
reckless disregard for the truth in said
affidavit/deposition or testimony which is
essential or necessary to a showing of probable
cause. The requirement that a search warrant
not issue but upon probable cause would be
reduced to a nullity if a police officer and his
informant are able to use deliberately falsehood
allegations to demonstrate probable cause and,
having misled the Judge, was able to remain
confident that the ploy succeeded. (Abuan vs.
People, G.R. No. 168773, October 27, 2006)
7.N.5 Personal Examination by the Judge
of the Applicant and His Witnesses
Criminal
Remedial
The judge, before issuing the search warrant
must personally examine on oath or affirmation
the complainant and any witnesses he may
produce. This examination is necessary in order
to ascertain the existence of probable cause, the
determination of which calls for the exercise of
judgment after a judicial appraisal of facts which
may not be delegated.
The examination of the complainant and his
witnesses must be conducted in the form of
searching questions and answer which will have
a tendency to show the commission of a crime
and the perpetrator thereof.
7.N.6 Particularity of Place to be Searched
and Things to be Seized
Purpose: To leave the officers of the law with
no discretion regarding what articles they shall
seize, to the end that unreasonable searches
and seizures may not be made – that abuses
may not be committed (Stonehill vs. Diokno, G.R.
No. L-19550, June 19, 1967).
Q: What is the purpose of such
particularity?
A: The provision requiring a particular
description of the items or things to be seized is
designed to prevent general searches. (United
States vs. Marron, 275 US. 192)
Note:General Warrants – a search or an arrest
warrant that is not particular as to the person
to be arrested or the property to be seized.
(Worldwide Web Corporation vs People, G.R. No.
161106, January 13, 2014)
Test to Determine Particularity
a) When the description therein is as specific as
the circumstances will ordinarily allow;
b) When the description express a conclusion of
fact not of law, which the warrant officer
may be guided in making the search and
seizure; and,
c) When the things described are limited to
those which bear direct relation to the
offense for which the warrant is being
issued.
Bar Operations
Commissions 571
571
  A description of the place to be
searched is sufficient if the officer
serving the warrant can, with
reasonable effort, ascertain and identify
the place intended and distinguish it
from other places in the community. A
designation or description that points
out the place to be searched to the
exclusion of all others, and on inquiry
unerringly leads the peace officers to it,
satisfies the constitutional requirement
of definiteness (People vs. Tuan, G.R. No.
176066, August 11, 2010).
Examination of Complainant; Record (Sec.
5, Rule 126)
Before issuing the warrant:
a) The judge must personally examine in the
form of searching questions and answers the
complainant and the witnesses he may
produce;
b) In writing and under oath;
c) On facts personally known to them; and,
d) Attach to the record their sworn statements,
together with the affidavits submitted.
Note: An application for a search warrant is
heard ex-parte.
The searching questions propounded to the
applicant of the search warrant and his
witnesses must depend to a large extent upon
the discretion of the judge, just as long as the
answers establish a reasonable ground to
believe the commission of a specific offense and
that the applicant is one authorized by law, and
said answers particularly describe with certainty
the place to be searched and the persons or
things to be seized.
Issuance and Form of Search Warrant
(Rule 126, Sec. 6)
If the judge is satisfied of the existence of
facts upon which the application is based or
that there is probable cause to believe that
they exist, he shall issue the warrant. The
warrant must be substantially in the form
prescribed by the Rules.
572
Knock and Announce Principle
Generally, officers implementing a search
warrant must:
a) Announce their presence;
b) Identify themselves to the accused and to
persons who rightfully have possession of
the premises to be searched; and,
c) Show to said accused and persons the
search warrant to be implemented by them
and explain said warrant in a
language/dialect known and understood by
the said accused or persons.(People vs Hua,
G.R. No. 139301, September 29, 2004).
When Unannounced Intrusion is
Permissible
1. 1. The person whose premises or who is
entitled to the possession thereof, refuses,
upon demand, to open it;
2. 2. When such person in the premises already
knew of the identity of the officers and of
their authority;
3. 3. When the officers are justified, in the
honest belief that there is an imminent peril
to life and limb; and,
4. 4. When those in the premises, aware of the
presence of someone outside, are then
engaged in activities which justifies the
officer to believe that an escape or the
destruction of evidence is imminent (Vallejo
vs. CA, G.R. No. 156413, April 14, 2004).
 The person whose premises or who is
entitled to the possession thereof, refuses,
upon demand, to open it;
 When such person in the premises
already knew of the identity of the officers and
of their authority;
 When the officers are justified, in the
honest belief that there is an imminent peril to
life and limb; and,
 When those in the premises, aware of
the presence of someone outside, are then
engaged in activities which justifies the officer
to believe that an escape or the destruction of
evidence is imminent (Vallejo vs. CA, G.R. No.
156413, April 14, 2004).
 Purple Notes
Exclusionary Rule – any evidence obtained
through unreasonable searches and seizures
shall be inadmissible for any purpose in any
proceeding.
Right to Break Door or Window to Effect
Search (Rule 126, Sec. 7)
The officer, if refused admittance to the place of
directed search after giving notice of his
purpose and authority, may break open any
outer or inner door or window of a house or any
part of a house or anything therein to execute
the warrant or liberate himself or any person
lawfully aiding him when unlawfully detained
therein.
Search of House, Room, or Premise to be
Made in Presence of Two Witnesses (Rule
126, Sec. 8)
No search of a house, room, or any other
premises shall be made except in the presence
of: (OcMem-Res)
a) The lawful occupant thereof; or,
b) Any member of his family; or
c) In the absence of the latter, two witnesses of
sufficient age and discretion residing in the
same locality.
7.N.7 Personal Property to be seized.
Note: The personal property under search
warrant is not any kind of property.
Rule 126, Section 3. Personal property to be
seized. — A search warrant may be issued for
the search and seizure of personal property:
(SubPro-Us)
a) Subject of the offense;
b) Stolen or embezzled and other proceeds, or
fruits of the offense; or
c) Used or intended to be used as the means of
committing an offense.
Time of Making Search(Rule 126, Sec. 9)
General Rule: The warrant must direct that it
be served in the day time.
Criminal
Remedial
Exception: When the affidavit asserts that the
property is on the person or in the place ordered
to be searched, in which case a direction may
be inserted that it be served at any time of the
day or night.
Validity of Search Warrant (Rule 126, Sec. 10)
A search warrant shall be valid for ten (10) days
from its date. Thereafter, it shall be void.
General Rule: A search warrant can be used
only once, thereafter, it becomes functus oficio.
Exception: When the search conducted on one
day was interrupted, in which case, the same
may be continued under the same warrant the
following day if not beyond the 10-day period
(UyKheytin vs. Villareal, G.R. No. 16009, September
21, 1920).
Receipt for the Property Seized (Rule 126,
Sec. 11)
The officer seizing the property under the
warrant must:
1. 1. Give a detailed receipt for the same to
the lawful occupant of the premises in
whose presence the search and seizure
were made; or,
2. 2. In the absence of such occupant, leave a
receipt in the place in which he found the
seized property, in the presence of at
least 2 witnesses of sufficient age and
discretion residing in the same locality.
Delivery of Property and Inventory thereof
to Court; Return and Proceedings thereon
(Rule 126, Sec. 12)
The officer must forthwith deliver the property
seized to the judge who issued the warrant,
together with a true inventory thereof duly
verified under oath. The judge shall see to it
that this has been complied with.
Ten (10) days after issuance of the search
warrant, the issuing judge shall ascertain if the
return has been made.
Bar
If not, the judge shall:
Operations
Commissions 573
573
 1. Summon the person to whom the
warrant was issued; and,
2. Require him to explain why no return
was made.
 If Made, the judge shall:
1. Ascertain whether Section 11 of this Rule
on Receipt for the Property Seized has
been complied with; and,
2. Require that the property seized be
delivered to him.
The return on the search warrant shall be filed
and kept by the custodian of the log book on
search warrants who shall enter therein the date
of the return, the result, and other actions of
the judge.
A violation of this rule shall constitute contempt
of court.
Custody of Seized Items
 The responsibilities of the magistrate do not
end with the granting of the warrant, but
extends to the custody of the articles
seized. In exercising custody over these
articles, the property rights of the owner
should be balanced with the social need to
preserve evidence which will be used in the
prosecution of a case (Caterpillar, Inc. vs.
Samson, G.R. No. 164605, October 27, 2006).
Immediate Return of the Seized Items
Where No Criminal Action had been Filed
in Court
 Where the purpose of presenting the articles
seized as evidence is no longer served,
there is no justification for severely
curtailing the rights of a person to his
property. In ordering the return of the
articles seized, the trial court had
reasonably exercised its discretion in
determining from the circumstances of the
case what constitutes a reasonable and
unreasonable search and seizure (Caterpillar,
Inc. vs. Samson, G.R. No. 164605, October 27,
2006).
574
7.N.8 Exceptions to Search Warrant
Requirements
1) When the owner of the premises waives his
right against such incursion;
2) When the search is incidental to a lawful
arrest;
3) When it is made on vessels and aircraft,
such as for violation of customs laws;
4) When it is made on automobiles or motor
vehicles generally for the purpose of
preventing violations of smuggling or
immigration laws;
5) When it involves prohibited articles in plain
view; or,In cases of inspection of buildings
and other premises for the enforcement of
fire, sanitary and building regulations (People
vs. Rodriguez, G.R. No. 95902, February 4,
1992).
7.N.8a Search Incident to Lawful Arrest
(Rule 126, Sec. 13)
A person lawfully arrested may, without search
warrant, be searched: (DangPro)
1) For dangerous weapons; or,
2) Anything which may have been used or
which may constitute as proof of the
commission of an offense.
1. When the search is incidental to a lawful
arrest, the scope thereof should be limited
to the area within which the arrestee can
reach for a weapon or for evidence in order
to destroy it. (Valeroso vs CA, G.R. No. 164815,
September 3, 2009)
 In the latter case, the person making the
arrest may take from the arrestee any
property which was the fruit or proceeds
thereof or, which may furnish the arrestee
with a means of committing violence or
effecting an escape or which may be used
as evidence at the trial of the case. (Malacat
vs CA, G.R. No. 123595, December 12,
1997)When the search is incidental to a
lawful arrest, the scope thereof should be
limited to the area within which the arrestee
can reach for a weapon or for evidence in
order to destroy it(Valeroso vs CA, G.R. No.
164815, September 3, 2009).
 In the latter case, the person making the
arrest may take from the arrestee any
 Purple Notes
property which was the fruit or proceeds
thereof or, which may furnish the arrestee
with a means of committing violence or
effecting an escape or which may be used
as evidence at the trial of the case. (Malacat
vs CA, G.R. No. 123595, December 12, 1997)
7.N.8b Consented Search
Elements of a Valid Consented Search
To constitute a waiver, it must appear that:
(Ex-KInt)
1. The right exists;
2. The person involved had knowledge, actual
or constructive, of the existence of such
rights; and,
3. There is actual intention to relinquish such
rights (People vs. Burgos, GR. No. 92739,
August. 2, 1991).
Note: Consent cannot be presumed simply
because the accused failed to object to the
search.
7.N.8c Search of Moving Vehicle
Search and seizure without warrant include that
of vessels and aircrafts for violation of the
customs laws, including violations of forestry
laws. These are the traditional exceptions to the
constitutional requirement of a search warrant.
The reason for this is the ease of moving the
vessel/aircraft out of the locality or jurisdiction
where the warrant was secured. In such a case,
it would not be practical to acquire a warrant
before the search and seizure could be made.
(Riano, Criminal Procedure, 2016 Edition, pp. 283-
284,)
However, for the warrantless search and seizure
to be valid, the officers conducting it should
have reasonable or probable cause to believe,
before the search is conducted, that they will
find the instrumentality or evidence pertaining
to a crime, in the vehicle to be searched. (People
vs Tuazon, G.R. No. 175783, September 3, 2007)
Criminal
Remedial
 Over the years, the rules governing search
and seizure have been steadily liberalized
whenever a moving vehicle is the object of
the search on the basis of practicality. This
is so considering that before a warrant could
be obtained, the place, things and persons
to be searched must be described to the
satisfaction of the issuing judge – a
requirement which borders on the
impossible in instances where moving
vehicle is used to transport contraband from
one place to another with impunity. This
exception is easy to understand. A search
warrant may readily be obtained when the
search is made in a store, dwelling house or
other immobile structure. But it is
impracticable to obtain a warrant when the
search is conducted on a mobile ship, on an
aircraft, or in other motor vehicles since
they can quickly be moved out of the
locality or jurisdiction where the warrant
must be sought. (People vs. Mariacos, G.R. No.
188611, June 16, 2010)
Over the years, the rules governing search and
seizure have been steadily liberalized whenever
a moving vehicle is the object of the search on
the basis of practicality. This is so considering
that before a warrant could be obtained, the
place, things and persons to be searched must
be described to the satisfaction of the issuing
judge – a requirement which borders on the
impossible in instances where moving vehicle is
used to transport contraband from one place to
another with impunity. This exception is easy to
understand. A search warrant may readily be
obtained when the search is made in a store,
dwelling house or other immobile structure. But
it is impracticable to obtain a warrant when the
search is conducted on a mobile ship, on an
aircraft, or in other motor vehicles since they
can quickly be moved out of the locality or
jurisdiction where the warrant must be sought.
(People vs. Mariacos, G.R. No. 188611, June 16,
2010)
7.N.8d Check Points;: Body Checks in
Airport
 A warrantless search conducted at police or
military checkpoints has been upheld for as
long as the vehicle
Bar is neither searched nor
Operations
Commissions 575
575
 its occupants subjected to body search, and
the inspection of the vehicle is merely
limited to visual search (Aniag, Jr. vs.
COMELEC,G.R. No. 104961, October 07, 1994).
7.N.8e Plain View Doctrine
Under this doctrine, objects within the sight of
an officer who has the right to be in a position
to have that view are subject to seizure and
may be presented as evidence (i.e. objects open
to the eye and hand).
Elements: (VaIn-Im)
1. A prior valid intrusion based on the valid
warrantless arrest in which the police are
legally present in the pursuit of their official
duties;
2. The evidence was inadvertently discovered
by the police who have the right to be
where they are; and,
3. The evidence must be immediately
apparent.
4. A prior valid intrusion based on the valid
warrantless arrest in which the police are
legally present in the pursuit of their official
duties;
5. The evidence was inadvertently discovered
by the police who have the right to be
where they are; and,
6. The evidence must be immediately
apparent.
 Plain view justified mere seizure of
evidence without further search (Rosario
vs. People, G.R. No. 142295, May 31, 2001).
 2. What is, therefore, essential is that a genuine
 The law enforcement officer must
lawfully make an initial intrusion or
properly be in a position from which he
can particularly view the area. In the
course of such lawful intrusion, he came
inadvertently across a piece of evidence
incriminating the accused. The object
must be open to eye and hand and its
discovery inadvertent [Under Section 21,
paragraphs 1 and 2, Article II of RA No.
9165; and the implementing provision of
Section 21 (a), Article II of the
Implementing Rules and Regulations (IRR)
of RA No. 9165].

576
 The failure of the law enforcers to
comply strictly with the rule is not fatal.
It does not render petitioner’s arrest
illegal nor the evidence adduced against
him inadmissible. What is essential is
"the preservation of the integrity and
the evidentiary value of the seized
items, as the same would be utilized in
the determination of the guilt or
innocence of the accused." (Miclat Jr vs.
People, G.R. No. 176077, August 31, 2011)
Note: The Tariff and Customs Code does not
require a search warrant for purposes of
enforcing customs and tariff laws.
7.N.8f Stop and Frisk Situation
1. Its object is either to determine the identity
of a suspicious individual or to maintain the
status quo momentarily while the police
officer seeks to obtain more information.
The officer may search the outer clothing of
the person in an attempt to discover
weapons which might be used to assault
him. (Terry vs. Ohio, 392 U.S. 1, Manalili vs. CA,
GR No. 113447, October 9, 1997).
 The remedy for questioning the validity of
a search warrant can only be sought in
the court that issued it, not in the sala of
another judge of concurrent jurisdiction.
Except where there is already a case
filed, the latter shall acquire jurisdiction to
the exclusion of other courts.(Rule 126,
Sec. 14)
reason must exist, in light of the police
officer’s experience and surrounding
conditions, to warrant the belief that the
person who manifests unusual suspicious
conduct has weapons or contraband
concealed about him. Such a "stop-and-frisk"
practice serves a dual purpose: (1) the
general interest of effective crime prevention
and detection, which underlies the
recognition that a police officer may, under
appropriate circumstances and in an
appropriate manner, approach a person for
purposes of investigating possible criminal
behavior even without probable cause; and
 Purple Notes
(2) the more pressing interest of safety and
self-preservation which permit the police
officer to take steps to assure himself that
the person with whom he deals is not armed
with a deadly weapon that could
unexpectedly and fatally be used against the
police officer (Esquillo vs. People, G.R. No.
182010, August 25, 2010).
7.N.8g Enforcement of Customs Law
The Collector of Customs is authorized to
enforce customs duties and tariff laws following
the laws governing it. Custom laws authorize
persons with police authority under Section
2203 of the Tariff and Customs Code to enter,
pass through or search any land, enclosure,
warehouse, store or building not being a
dwelling house; and also to inspect search and
examine any vessel or aircraft and any trunk,
package, box or envelope or any person on
board, or to stop and search and examine any
vehicle, beast or person suspected of holding or
conveying any dutiable or prohibited article
introduced into the Philippines. (Papa vs Mago,
G.R. No. L-27360, February 28, 1968)
7.N.9 Remedies Against an Unlawful
Search and Seizure (Rule 126, Sec. 14)
(QuaSu-CeR)
1. A motion to quash the search warrant;
2. A motion to suppress as evidence the
objects illegally taken;
3. Certiorari, to nullify the search warrant when
it is a patent nullity; and,
4. Replevin, if the objects are legally possessed.
Where to File Motion to Quash the Search
Warrant (Rule 126, Sec. 14)
a. Under the Criminal Case Rule, all the
incidents arising from the Search Warrant
should be consolidated in the court where
the criminal action has been instituted;
b. Under the Alternative Remedy Rule, with
the court that issued the search warrant. All
grounds for objection existent or available
Criminal
Remedial
and known at the time must be invoked.
Otherwise, they are deemed waived.
Note:If the court failed to resolve the motion
and a criminal case is subsequently filed in
another court, the motion shall be resolved by
the latter court.(Riano, Criminal Procedure, 2016
Edition, pp. 273-274)
7.N.10. RULE ON CYBECRIME WARRANTS
(A.M. No. 17-11-03-SC, effective August 15, 2018)
7.N.10.a Scope and Applicability
The Rule sets forth the procedure for the
application and grant of warrants and related
orders involving the preservation, disclosure,
interception, search, seizure, and/or
examination, as well as the custody, and
destruction of computer data. (Section 1.2, A.M.
No. 17-11-03-SC)
Supplementary Nature of this Rule
Remedies provided under existing procedural
rules shall, whenever applicable, be made
available to any party who seeks relief against
any of the orders provided under this Rule.
(Section 1.3, A.M. No. 17-11-03-SC)
7.N.10.b General Provisions
Venue of Criminal Actions
The criminal actions for violation of Section 4
(Cybercrime offenses) and/or Section 5 (Other
offenses), Chapter II of R.A. No. 10175
(Cybercrime Prevention Act of 2012), shall be
filed before the designated cybercrime court:
1. of the province or city where the offense or
any of its elements is committed;
2. where any part of the computer system used
is situated; or
3. where any of the damage caused to a
natural or juridical person took place
Note: The court where the criminal action is
first filed shall acquire jurisdiction to the
exclusion of the other courts.
AllBar
other crimes defined and penalized by the
Operations
Revised Penal Code, as amended, and
Commissions 577
577
other special laws, committed by, through, and
with the use of Information and
Communications Technology (ICT), as provided
under Section 6, Chapter II of R.A. No. 10175 ,
shall be filed before the regular or other
specialized regional trial courts, as the case may
be (Sec. 2.1, A.M. No. 17-11-03-SC).
Where to File an Application for a Warrant
For violation of Secs. 4 (Cybercrime Offenses)
and 5 (Other Offenses) of R.A. 10175, the
application shall be filed by the law enforcement
authorities before any of the designated
cybercrime courts of the province or the city:
(ComSit-Dam)
 where the offense or any of its
elements has been committed, is
being committed, or is about to be
committed;
 where any part of the computer
system used is situated; or
 where any of the damage caused
to a natural or juridical person took
place.
1. 1. where the offense or any of its elements
has been committed, is being committed, or
is about to be committed;
2. 2. where any part of the computer system
used is situated; or
3. 3. where any of the damage caused to a
natural or juridical person took place
Note: However, the cybercrime courts in
Quezon City, the City of Manila, Makati City,
Pasig City, Cebu City, Iloilo City, Davao City and
Cagayan De Oro City shall have the special
authority to act on applications and issue
warrants which shall be enforceable
nationwide and outside the Philippines .
For violation of Sec. 6 (all crimes defined and
penalized by the Revised Penal Code , as
amended, and other special laws, if committed
by, through, and with the use of ICT), the
application shall be filed by the law enforcement
authorities with the regular or other specialized
regional trial courts, as the case may be, within
578
its territorial jurisdiction in the places above-
described (Sec. 2.2, A.M. No. 17-11-03-SC).
Incidents Related to the Warrant When a
Criminal Action is Instituted
A motion to quash and other incidents that
relate to the warrant shall be heard and
resolved by the court that subsequently
acquired jurisdiction over the criminal action.
The prosecution has the duty to move for the
transmittal of the records, as well as the transfer
of the items' custody to the latter court (Sec. 2.3,
A.M. No. 17-11-03-SC).
Examination of Applicant and Record
Before issuing a warrant, the judge must
personally examine the applicant and the
witnesses he may produce on facts personally
known to them and attach to the record their
sworn statements, together with the judicial
affidavits submitted.
The examination shall be in the form of:
1. searching questions and answers;
2. in writing; and
3. under oath (Sec. 2.4, A.M. No. 17-11-03-SC)
Effective Period of Warrants
It shall only be effective for the length of time
as determined by the court, which shall not
exceed a period often (10) days from its
issuance.
Extension of Time of Effectivity of the
Warrant
The court issuing the warrant may, upon
motion, extend its effectivity based only on
justifiable reasons for a period not exceeding
ten (10) days from the expiration of the
original period (Sec. 2.5, A.M. No. 17-11-03-SC).
Requisites: (MoJu-10)
1. 1. upon motion
2. 2. based on justifiable reasons
 Purple Notes
3. 3. not exceeding ten (10) days from the
expiration of the original period
Contempt
Failure to timely file the returns for any of the
issued warrants under this Rule or to duly turn-
over to the court's custody any of the items
disclosed, intercepted, searched, seized, and/or
examined, shall subject the responsible law
enforcement authorities to an action for
contempt, which procedures shall be governed
by Rule 71 of the Rules of Civil Procedure ,
insofar as they are applicable . (Sec. 2.6, A.M. No.
17-11-03-SC)
Obstruction of Justice for Non-
Compliance; Where to File
Failure to comply with the orders from law
enforcement authorities, shall be punished as a
violation of P.D. No. 1829, entitled "Penalizing
Obstruction of Apprehension and Prosecution of
Criminal Offenders."
Note: The criminal charge for obstruction of
justice shall be filed before the designated
cybercrime court that has jurisdiction over the
place where the non-compliance was
committed(Sec. 2.7, A.M. No. 17-11-03-SC).
Extraterritorial Service of Warrants and
Other Court Processes
Service of warrants and/or other court processes
shall be coursed through the Department of
Justice -Office of Cybercrime, in line with all
relevant international instruments and/or
agreements on the matter (Sec. 2.8 A.M. No. 17-
11-03-SC).
7.N.10.c Preservation of Computer Data
Pursuant to Section 13, Chapter IV of RA 10175 ,
the integrity of traffic data and subscriber's
information shall be kept, retained, and
preserved by a service provider for a minimum
period of six (6) months from the date of the
transaction.
Traffic data – refers to any computer data
other than the content of the communication,
Criminal
Remedial
including, but not limited to, the
communication's origin, destination, route, time,
date, size, duration, or type of underlying
service(Sec. 1.4(s), A.M. No. 17-11-03-SC).
Subscriber's information – refers to any
information contained in the form of computer
data or any other form that is held by a service
provider, relating to subscribers of its services,
other than traffic or content data, and by which
any of the following can be established:
a. The type of communication service used, the
technical provisions taken therewith, and the
period of service;
b. The subscriber's identity, postal or
geographic address, telephone and other
access number, any assigned network
address, billing and payment infonnation that
are available on the basis of the service
agreement or arrangement; or
c. Any other available information on the site of
the installation of communication equipment
that is available on the basis of the service
agreement or arrangement. (Sec. 1.4(r), A.M.
No. 17-11-03-SC)
On the other hand, content data shall be
preserved for six (6) months from the date of
receipt of the order from law enforcement
authorities requiring its preservation.
Content data – refers to the content of the
communication, the meaning or purported
meaning of the communication, or the message
or information being conveyed by the
communication, other than traffic data. (Sec.
1.4(e), A.M. No. 17-11-03-SC)
Law enforcement authorities may order a one-
time extension for another six (6) months:
Provided, that once computer data that is
preserved, transmitted or stored by a service
provider is used as evidence in a case, the
receipt by the service provider of a copy of the
transmittal document to the Office of the
Prosecutor shall be deemed a notification to
preserve the computer data until the final
termination of the case and/or as ordered by the
court, as the case maybe.
Bar Operations
Commissions 579
579
The service provider ordered to preserve
computer data shall keep the order and its
compliance therewith confidential (Sec. 3.1, A.M.
No. 17-11-03-SC).
Warrants that may be issued in the Rule
on Cybercrime Warrants.
4. 1. Warrant to Disclose Computer Data
(WDCD)
2. Warrant to Intercept Computer Data (WICD)
3. Warrant to Search, Seize, and Examine
Computer Data (WSSECD)
4. Warrant to Examine Computer Data (WECD)
7.N.10.d Disclosure of Computer Data
Law enforcement authorities, upon securing a
Warrant to Disclose Computer Data (WDCD)
under this Rule, shall issue an order requiring
any person or service provider to disclose or
submit subscriber's information, traffic data or
relevant data in his/her or its possession or
control within seventy-two (72) hours from
receipt of the order in relation to a valid
complaint officially docketed and assigned for
investigation and the disclosure is necessary and
relevant for the purpose of investigation. (Sec.
4.1, A.M. No. 17-11-03-SC)
Warrant to Disclose Computer Data
(WDCD)
A WDCD is:
1. an order in writing
2. issued in the name of the People of the
Philippines
3. signed by a judge
4. upon application of law enforcement
authorities, authorizing the latter:
580
a. to issue an order to disclose; and,
b. require any person or service provider to
disclose or submit subscriber's
information, traffic data, or relevant data
in his/her or its possession or control.
(Sec. 4.2, A.M. No. 17-11-03-SC)
Contents of Application for a WDCD
a. The Probable Offense involved;
b. Relevance and necessity of the computer
data or subscriber's information sought to be
disclosed for the purpose of the
investigation;
c. Names of the individuals or entities whose
computer data or subscriber's information
are sought to be disclosed, including the
names of the individuals or entities who have
control, possession or access thereto, if
available;
d. Particular description of the computer data or
subscriber's information sought to be
disclosed;
e. Place where the disclosure of computer data
or subscriber's information is to be enforced,
if available;
f. Manner or method by which the disclosure of
the computer data or subscriber's
information is to be carried out, if available;
and
g. Other relevantinformation that will persuade
the court that there is a probable cause to
issue a WDCD. (Sec. 4.3, A.M. No. 17-11-03-SC)
Note: The application must be verified.
Return on the WDCD; Retained Copy
The authorized law enforcement officer shall
submit a return on the WDCD to the court that
issued it and simultaneously turn over the
custody of the disclosed computer data or
subscriber's information thereto:
a. Within forty-eight (48) hours from
implementation; or
b. After the expiration of the effectivity of the
WDCD, whichever comes first.
 Purple Notes
Duty of the Judge in Relation to the WDCD
It is the duty of the issuing judge:
a. to ascertain if the return has been made, and
if none,
b. to summon the law enforcement officer to
whom the WDCD was issued and require him
to explain why no return was made, without
prejudice to any action for contempt as
provided under Section 2.6 of this Rule.
Law enforcement authorities are allowed to
retain a copy of the disclosed computer data or
subscriber's information subject of the WDCD
which may be utilized for case build-up or
preliminary investigation purposes, without the
need of any court intervention; Provided,
that the details thereof are kept strictly
confidential and that the retained copy shall be
labelled as such.
The retained copy shall be turned over upon the
filing of a criminal action involving the disclosed
computer data or subscriber's information to the
court where such action has been instituted, or
if no criminal action has been filed, upon order
of the issuing court under the under this Rule.
Upon its turn-over, the retained copy shall
always be kept, destroyed, and/or returned
together with the computer data or subscriber's
information that was originally turned over to
the issuing court under the first paragraph of
this Section (Sec. 4.5, A.M. No. 17-11-03-SC).
Criminal
Remedial
A WICD is:
1. an order in writing;
2. issued in the name of the People of the
Philippines;
3. signed by a judge; and
4. upon application of law enforcement
authorities, authorizing the latter to carry
out any or all of the following activities:
a. listening to;
b. recording;
c. monitoring; or,
d. surveillance of the content of
communications, including procuring of
the content of computer data, either
directly, through access and use of a
computer system or indirectly, through
the use of electronic eavesdropping or
tapping devices, at the same time that
the communication is occurring(Sec. 5.2,
A.M. No. 17-11-03-SC).
Contents of Application for WICD
The verified application for a WICD, as well as
the supporting affidavits, shall state the
essential facts similar to those in Section 4.3
[Contents for WDCD] of this Rule, except that
the subject matter is the communication or
computer data sought to be intercepted. (Sec.
5.3, A.M. No. 17-11-03-SC)
Return on the WICD

Contempt The authorized law enforcement officers shall

submit a return on the WICD to the court that
Non-compliance with the order to disclose issued it and simultaneously turn-over the
issued by law enforcement authorities shall be custody of the intercepted communication or
deemed non-compliance with the WDCD on computer data thereto as provided under
which the said order is based, and shall likewise Section 7 .1 of this Rule:
give rise to an action for contempt (Sec. 4.6, A.M.
No. 17-11-03-SC). 1. Within forty-eight (48) hours from
implementation; or
7.N.10.e Interception of Computer Data 2. after the expiration of the effectivity of the
WICD, whichever comes first
Interception may be carried out only by virtue of
a court-issued warrant, duly applied for by law Duty of the judge in relation to the WICD
enforcement authorities (Sec. 5.1, A.M. No. 17-11-
03-SC).
It is the duty of the issuing judge to ascertain:
Warrant to Intercept Computer Data Bar Operations
(WICD)
Commissions 581
581
a. if the return has been made, and if none,
b. to summon the law enforcement officer to
whom the WICD was issued and require him
to explain why no return was made, without
prejudice to any action for contempt (Sec.
5.5, A.M. No. 17-11-03-SC).
Notice after Filing of Return
The authorized law enforcement officer has the
duty to notify the person whose communications
or computer data have been intercepted of the
activities conducted pursuant to the WICD:
1. Within thirty (30) days from the filing of the
return; or
2. If no return is filed, from the lapse of the
forty-eight (48) hour period to file the return
If Return has been Filed: a copy of the same
shall be attached to the notice.
If Return has not been Filed: the notice shall
state the details of the interception activities,
including the contents of the intercepted
communication or computer data.
Remedy of a Person whose
Communications or Computer Data have
been Intercepted
Within ten (10) days from notice, the person
whose communications or computer data have
been intercepted may challenge, by motion,
the legality of the interception before the issuing
court (Sec. 5.6, A.M. No. 17-11-03-SC).
7.N.10.f Warrant to Search, Seize and
Examine Computer Data (WSSECD)
A Warrant to Search, Seize and Examine
Computer Data (WSSECD) is:
1. 1. an order in writing;
2. 2. issued in the name of the People of the
Philippines;
3. 3. signed by a judge; and
4. 4. upon application of law enforcement
authorities, authorizing the latter to search
the particular place for items to be seized
and/ or examined. (Sec. 6.1, A.M. No. 17-11-03-
SC)
582
Contents of Application for a WSSECD
The verified application for a WSSECD, as well
as the supporting affidavits, shall state the
essential facts similar to those in Section 4.3
[Contents for WDCD] of this Rule, except that
the subject matter is the computer data sought
to be searched, seized, and examined, and all
other items related thereto.
In addition, the application shallcontain an
explanation of the search and seizure
strategy to be implemented, including a
projection of whether or not an off-site or on-
site search will be conducted, taking into
account the nature of the computer data
involved, the computer or computer system's
security features, and/or other relevant
circumstances, if such information is available
(Sec. 6.2, A.M. No. 17-11-03-SC).
Off-site and On-site Principle; Return of
Items Seized Off-site
If the circumstances so allow, law enforcement
authorities shall endeavor to first:
1. 1. make a forensic image of the computer
data on-site; and
2. 2. limit their search to the place specified in
the warrant.
Otherwise, an off-site search may be conducted,
provided:
1. 1. that a forensic image is made, and
2. 2. that the reasons for the said search are
stated in the initial return. (A.M. No. 17-11-03-
SC, Sec. 6.4).
Remedy of a person whose Computer
Devices or Computer System have been
Searched and Seized Off-site
A person whose computer devices or computer
system have been searched and seized off-site
may, upon motion, seek the return of the said
items from the court issuing the WSSECD:
Provided, that a forensic image of the computer
data subject of the WSSECD has already been
made.
 Purple Notes
The court may grant the motion upon its
determination that no lawful ground exists to
otherwise withhold the return of such items to
him (Sec. 6.4, A.M. No. 17-11-03-SC).
Allowable Activities During the
Implementation of the WSSECD
The interception of communications and
computer data may be conducted during the
implementation of the WSSECD provided:
1. that the interception activities shall only be
limited to communications and computer
data that are reasonably related to the
subject matter of the WSSECD; and
2. that the said activities are fully disclosed, and
the foregoing relation duly explained in the
initial return.
Likewise, law enforcement authorities may
order any person, who has knowledge about the
functioning of the computer system and the
measures to protect and preserve the computer
data therein, to provide, as is reasonable, the
necessary information to enable the undertaking
of the search, seizure and examination (Sec. 6.5,
A.M. No. 17-11-03-SC).
Initial Return
Within ten (10) days from the issuance of the
WSSECD, the authorized law enforcement
officers shall submit an initial return that
contains the following information:
1) A list of all the items that were seized, with a
detailed identification of:
a) the devices of the computer system
seized, including the name, make, brand,
serial numbers, or any other mode of
identification, if available; and
b) the hash value of the computer data
and/or the seized computer device or
computer system containing such data;
2) A statement on whether a forensic image of
the computer data was made on-site, and if
Criminal
Remedial
not, the reasons for making the forensic
image off-site;
3)
4) A statement on whether the search was
conducted on-site, and if not, the reasons for
conducting the search and seizure off-site;
5)
6)
7) A statement on whether interception was
conducted during the implementation of the
WSSECD, together with:
a) a detailed identification of all the
interception activities that were
conducted;
b) the hash value/s of the communications
or computer data intercepted; and
c) an explanation of the said items'
reasonable relation to the computer data
subject of the WSSECD;
8) 5. List of all the actions taken to enforce the
WSSECD, from the time the law enforcement
officers reached the place to be seized until
they left the premises with the seized items
and reached the place where the items
seized were stored and secured for
examination; and
9)
10) 6. A reasonable estimation of how long
the examination of the items seized will be
concluded and the justification therefor.
Duty of the Judge in relation to the
WSSECD
It is the duty of the issuing judge:
1) to ascertain if the initial return has been
made, and if none,
2) to summon the law enforcement authority to
whom the WSSECD was issued and require
him to explain why no initial return was
made, without prejudice to any action
for contempt(Sec. 6.6, A.M. No. 17-11-03-SC).
Period to Examine and Order to Return
After the initial return is submitted to the court
pursuant to the WSSECD, the court shall issue
an order fixing the period to conclude the
examination of all the items seized, which period
Bar Operations
Commissions 583
583
may be extended not exceeding thirty (30) days,
upon motion, for justifiable reasons.
Requisites for Extension of Period (30-
MoJu)
1. Not exceeding thirty (30) days;
2. Upon motion; and
3. For justifiable reasons(A.M. No. 17-11-03-SC,
Sec. 6.7)
Final Return on the WSSECD
Within forty-eight (48) hours after the expiration
of the period to, the authorized law enforcement
officers shall submit a final return on the
WSSECD to the court that issued it, and
simultaneously turn-over the custody of the
seized computer data, as well as all other items
seized and/or the communications or computer
data intercepted in relation thereto(A.M. No. 17-
11-03-SC, Sec. 6.8)
Duty of the Judge in relation to the Final
Return on the WSSECD
It is the duty of the issuing judge:
1. to ascertain if the final return has been
made, and if none,
2. to summon the law enforcement officer to
whom the WSSECD was issued and require
him to explain why no final return was
made, without prejudice to any action
for contempt. (Sec. 6.8, A.M. No. 17-11-03-
SC)
Examination where Lawful Possession of
Device is Obtained; Warrant to Examine
Computer Data (WECD)
Upon acquiring possession of a computer device
or computer system via a lawful warrantless
arrest, or by any other lawful method, law
enforcement authorities shall first apply for a
warrant before searching the said computer
device or computer system for the purpose of
obtaining for forensic examination the computer
data contained therein.
The warrant therefor shall be denominated as a
Warrant to Examine Computer Data (WECD).
584
The verified application for a WECD, as well as
the supporting affidavits, shall state the
essential facts similar to those in Section 4.3 of
this Rule, except that the subject matter is
the computer data sought to be examined.
In addition, the application shall disclose the
circumstances surrounding the lawful acquisition
of the computer device or computer system
containing the said computer data.
If the judge is satisfied that there is probable
cause to believe that the facts upon which the
application for WECD exists, he shall issue the
WECD, which must be substantially in the form
prescribed under this Rule.
The initial and final returns, as well as the
period to examine under a WECD, shall be
similarly governed by the procedures set forth in
Sections 6.6 to 6.8 of this Rule.
Interception of communications and computer
data may be likewise conducted during the
implementation of the WECD under the same
conditions stated in Section 6.5 of this Rule (Sec.
6.9, A.M. No. 17-11-03-SC).
7.N.10.g Deposit and Custody of Seized
Computer Data
Upon the filing of the return for a WDCD or
WICD, or the final return for a WSSECD or
WECD, all computer data subject thereof
shall be simultaneously deposited in a
sealed package with the same court that
issued the warrant.
It shall be accompanied by a complete and
verified inventory of all the other items seized in
relation thereto, and by the affidavit of the duly
authorized law enforcement officer containing:
1. 1. The date and time of the disclosure,
interception, search, seizure, and/or
examination of the computer data, as the
case may be. If the examiner or analyst has
recorded his/her examination, the recording
shall also be deposited with the court in a
sealed package and stated in the affidavit;
 Purple Notes
2. 2. The particulars of the subject
computer data, including its hash value;
3. 3. The manner by which the computer data
was obtained;
4. 4. Detailed identification of all items
seized in relation to the subject computer
data, including the computer device
containing such data and/or other parts of
the computer system seized, indicating the
name, make, brand, serial numbers, or any
other mode of identification, if available;
5. 5. The names and positions of the law
enforcement authorities who had access
to the computer data from the time of its
seizure until the termination of the
examination but prior to depositing it with
the court, and the names of officers who will
be delivering the seized items to the court;
6. 6. The name of the law enforcement
officer who may be allowed access to
the deposited data. When the said officer
dies, resigns of severs tie with the office,
his/her successor may, upon motion, be
granted access to the deposit; and
7. 7. A certification that no duplicates or
copies of the whole or any part thereof
have been made, or if made, all such
duplicates or copies are included in the
sealed package deposited, except for the
copy retained by law enforcement authorities
pursuant to paragraph 3 of Section 4.5 of
this Rule. (A.M. No. 17-11-03-SC, Sec. 7.1).
Note: The return on the warrant shall be
filed and kept by the custodian of the log
book on search warrants who shall enter
therein the date of the return, the description of
the sealed package deposited, the name of the
affiant, and other actions of the judge.(Sec. 7.1,
A.M. No. 17-11-03-SC).
Duty of the Prosecutor When Criminal
Action is Instituted
Once a criminal action is instituted, it shall be
the duty of the prosecutor, or his/her duly
authorized representatives to move for the
immediate transmittal of the records as well as
the transfer of the intercepted, disclosed,
searched, seized and/or examined computer
data and items, including the complete and
verified inventory thereof, to the court that
Criminal
Remedial
subsequently acquired jurisdiction over the
criminal action.
The motion for the purpose shall be filed before
the court that issued the warrant and has
custody of the computer data within ten (10)
days from the time the criminal action is
instituted and shall be acted upon by the court
within a period of five (5) days. conditions
stated in Section 6.5 of this Rule (Sec. 7.2, A.M.
No. 17-11-03-SC).
Access to and Use of Computer Data
General Rule: The package containing the
computer data so deposited shall not be
opened, or the recordings replayed, or its
contents revealed, or, in any manner, used as
evidence.
Exception: Upon motion duly granted by the
court.
The motion for the purpose shall state:
1. 1. The relevance of the computer data
sought to be opened, replayed, revealed, or
used as evidence; and
2. 2. The names of the persons who will be
allowed to have access thereto, if the motion
is granted.
The motion shall further include proof of service
of copies sent to the person or persons whose
computer data is the subject of the motion.
The said person or persons shall be given ten
(10) days from receipt of notice thereof to file a
comment, after which the comi shall rule on the
motion, unless it finds it necessary to conduct a
clarificatory hearing for the purpose (Sec. 7.3,
A.M. No. 17-11-03-SC).
Duty of Service Providers and Law
Enforcement Authorities to Destroy
Pursuant to Section 17 of RA 10175, upon
expiration of the periods as provided in Sections
13 [Preservation of Computer Data] and 15
[Search, Seizure and Examination of Computer
Data] of the said law, service providers and law
Bar
enforcement Operations
authorities, as the case may be,
Commissions 585
585
shall immediately and completely destroy the
computer data subject of preservation and
examination (Sec. 8.1, A.M. No. 17-11-03-SC).
Destruction and Return of Computer Data
in the Custody of the Court
Upon motion and due hearing, the court may,
for justifiable reasons, order:
1) the complete or partial destruction, or
2) the return to its lawful owner or possessor
…of the computer data or any of the related
items turned over to its custody.
Likewise, the court may, motu proprio, and
upon written notice to all the parties concerned,
order:
1) the complete or partial destruction, or
2) the return to its lawful owner or possessor
…of the computer data or any of the related
items turned over to its custody if no preliminary
investigation or case involving these items has
been instituted after thirty-one (31) days
from their deposit, or if preliminary
investigation has been so instituted within this
period, upon finality of the prosecutor's
resolution finding lack of probable cause.
In its sound discretion, the court may conduct a
clarificatory hearing to further determine if there
is no reasonable opposition to the items'
destruction or return.
If the court finds the destruction or return of
disclosed computer data or subscriber's
information subject of a WDCD to be justified
under this Section, it shall first issue an order
directing the law enforcement authorities to
turnover the retained copy.
Upon its turn-over, the retained copy shall be
simultaneously destroyed or returned to its
lawful owner or possessor together with the
computer data or subscriber's information that
was originally turned over to the issuing court
(Sec. 8.2, A.M. No. 17-11-03-SC).
586
7.N.10.h Destruction of Computer Data;
How Made
The destruction of computer data and related
items, if so allowed under Section 8.2 of this
Rule, shall be made:
1) in the presence of the Branch Clerk-of-
Court, or
2) in his/her absence, in the presence of any
other person duly designated by the court to
witness the same.
The accused or the person/s from whom such
items were seized, or his/her representative or
counsel, as well as the law enforcement officer
allowed access to such items as indicated in the
inventory, or his/her duly authorized
representative, may also be allowed to witness
the said activity.
Requisite: that they appear during the
scheduled date of destruction upon written
notice to them by the Branch Clerk-of-Court at
least three (3) days prior to the aforementioned
date.
Within twenty-four (24) hours from the
destruction of the computer data, the Branch
Clerk-of-Court or the witness duly designated by
the court shall issue a sworn certification as to
the fact of destruction and file the said
certificate with the same court.
How is a storage device destroyed?
The storage device, or other items turned over
to the court's custody, shall be destroyed:
(ShreD-PrO)
1) by shredding;
2) drilling of four holes through the device;
3) prying the platters apart; or
4) other means in accordance with
international standards that will sufficiently
make it inoperable. (Sec. 8.3, A.M. No. 17-11-
03-SC)
RULE GOVERNING THE APPLICATION,
ISSUANCE, AND ENFORCEMENT BY THE
PHILIPPINE COMPETITION COMMISSION
(“PCC”) OF INSPECTION ORDERS.
 Purple Notes
(Administrative Matter No. 19-08-06-SC,
effective November 16, 2019)
Cases Covered (Sec. 1)
Administrative investigations on alleged
violations of the Philippine Competition Act, its
implementing rules and regulations, and other
competition laws.
Inspection Order (Sec. 2)
An order which authorizes the Philippine
Competition Commission to search and inspect
business premises and other offices, land and
vehicles, in aid of administrative investigations
on alleged violations of the Philippine
Competition Act, its implementing rules and
regulations, and other competition laws.
The Inspection Order allows information to be
examined, copied, photographed, recorded, or
printed to prevent the removal, concealment,
tampering with, or destruction of such
information.
Application for the issuance of an
inspection order where filed (Sec. 3)
An application for the issuance of an inspection
order is filed with the Special Commercial Court
of the judicial region where the place to be
inspected is located.
Special Commercial Courts in Quezon City,
Manila, Makati, Pasig, Cebu City, Iloilo City,
Davao City and Cagayan De Oro City shall have
authority to act on applications for the issuance
of inspection orders, which shall be enforceable
nationwide.
When an Inspection Order may be issued
(Sec. 6)
If there is reasonable ground to suspect:
a) that the information is kept, found, stored
or accessible at the premises indicated in
the application;
b) the information relates to any matter
relevant to the investigation; and
c) the issuance of the order is necessary to
prevent the removal, concealment,
tampering with, or destruction of the books,
Criminal
Remedial
records, or other documents to be
inspected.
Period of Effectivity of the Inspection
Order (Sec. 7)
The Inspection Order shall be effective for the
length of time as determined by the court but
shall not exceed fourteen (14) days from
issuance, unless extended for another period
not exceeding fourteen (14) days from
expiration of the original period.
When Inspection Order may be served (Sec.
8)
It may be served during business hours of the
premises, or at any time on any day, as may be
determined by the court for compelling reasons
stated in the application.
Use of Reasonable Force to effect order
(Sec. 12)
The PCC, if refused admission into the premises
despite giving notice of their purpose and
authority may use reasonable force to gain entry
to enforce the inspection order or liberate
themselves or any person lawfully aiding them
when lawfully detained therein.
Motion to Quash Inspection Order(Sec. 13)
If the Inspection Order has been improperly
issued or implemented, the entity or individual
against whom the said inspection order is issued
may file a written motion with the issuing
Special Commercial Court to quash the
Inspection Order before the PCC files its return.
Consequence for Refusal to comply with
Inspection Order(Sec. 15)
Any person or entity who refuses or fails to
comply with an inspection order or any provision
of this Rule shall be cited for contempt of court
under Rule 71 of the Rules of Court.
7.O. PROVISIONAL REMEDIES IN
CRIMINAL CASES (Rule 127)
Bar Operations
Commissions 587
587
Availability of provisional remedies(Rule
127, Sec. 1)
The requisites and procedure for availing of
provisional remedies shall be the same as those
for civil cases.
Attachment (Rule 127, Sec. 2)
When the civil action is properly instituted in the
criminal action as provided in Rule 111, the
offended party may have the property of the
accused attached as security for the satisfaction
of any judgment that may be recovered from
the accused in the following cases: (AbCla-
ConOut)
1) When the accused is about to abscond from
the Philippines.
2) When the criminal action is based on a claim
for money or property embezzled or
fraudulently misapplied or converted to the
use of the accused who is a public officer,
officer of a corporation, attorney, factor,
broker, agent or clerk, in the course of his
employment as such, or by any other person
in a fiduciary capacity, or for a willful
violation of duty.
3) When the accused has concealed, removed,
or disposed of his property, or is about to do
so; and,
4) When the accused resides outside the
Philippines.
Support in Criminal Cases (Rule 61, Sec. 6)
In criminal actions where the civil liability
includes support for the offspring as a
consequence of the crime and the civil aspect
thereof has not been waived, reserved or
instituted prior to its filing, the accused may be
ordered to provide support pendente lite to the
child born to the offended party allegedly
because of the crime.
The application therefor may be filed
successively by the offended party, her parents,
grandparents or guardian and the State in the
corresponding criminal case during its pendency,
in accordance with the procedure established
under this Rule.
588
Nature
These are remedies which the party litigants
may resort to for the preservation or protection
of their rights or interests during the pendency
of the action.(Ma. Carminia C. Calderon v. Jose
Antonio F. Roxas, G.R. No. 185595, January 9, 2013)
When Proper in Criminal Proceedings
In relation to criminal proceedings, the
provisional remedies under Rule 127 are proper
only where the civil action for the recovery of
civil liability ex delicto has not been waived, or is
not reserved when such reservation of a
separate action may be made.
Kinds of Provisional Remedies (AtIn-
ReDS)
1) Attachment;
2) Injunction;
3) Receivership;
4) Delivery of personal property;
5) Support pendente lite
Q: Is a Petition for Relief from Judgment
under Rule 38 available in a criminal case?
A: Yes. In Hilario v. People, G.R. No. 161070,
April 14, 2008, the accused unassisted by
counsel filed a petition for relief from the
decision of the RTC convicting him of the crime
of homicide. According to his affidavit of merit,
at the time of the promulgation of the
judgment, he was already confined with the QC
jail and was directed to be committed to the
National Penitentiary in Muntinlupa. He further
claimed that he instructed his counsel to appeal
the case but learned that this was not done and
the decision then became final. The RTC denied
the petition. It was unconvinced that the
accused was prevented from filing a notice of
appeal. The CA denied the petition for certiorari
filed by the accused himself questioning the
denial of the petition for relief. The SC in this
case remanded the case to the trial court for the
proper determination of the merits of the
petition for relief from judgment. It held that in
criminal cases, the right of an accused to be
assisted by a member of the bar is immutable;
 Purple Notes
otherwise, there would be a grave denial of due
process.
Moreover, in all criminal prosecutions, the
accused shall have the right to appeal in the
manner prescribed by law. The appeal is an
essential part of the judicial system and the trial
courts are advised to proceed with caution so as
not to deprive a party of the right to appeal and
instructed that every party-litigant should be
afforded the amplest opportunity for the proper
and just disposition of his cause, freed from the
restraints of technicalities. While this right is
statutory, once it is granted by law, however, its
suppression would be a violation of a due
process, a right guaranteed by the Constitution.
8. EVIDENCE
8.A. GENERAL PRINCIPLES
8.A.1. CONCEPT OF EVIDENCE
Evidence is the means, sanctioned by the Rules
of Court, of ascertaining in a judicial proceeding
the truth respecting a matter of fact (Rule 128,
Sec. 1).
Evidence prescribes the manner of presenting
evidence, as by requiring that it shall be given in
an open court by one, who personally knows the
thing to be true, appearing in person, and
subject to cross-examination (RIANO, Evidence
(The Bar Lecture Series), 2016 Ed.).
 Evidence is the mode and manner of
proving the competent facts and
circumstances on which a party relies to
establish the fact in dispute in judicial
proceedings (Bustos vs. Lucero, G.R. No. L–
2068, October 20, 1948).
CLASSIFICATION OF EVIDENCE
8.A.2. SCOPE OF THE RULES ON EVIDENCE
PRINCIPLE OF UNIFORMITY:
Criminal
Remedial
General Rule: The rules of evidence shall be
the same in all courts and in all trials and
hearings. (Rule 128, Section 2)
Exception:
When otherwise provided by law or these rules,
such as those enumerated under Rule 1, Sec. 4
of the Rules of Court: (NICOLE)
1. Election cases;
2. Land registration cases;
3. Cadastral cases;
4. Naturalization proceedings;
5. Insolvency proceedings; and
6. Other cases not herein provided for by law.
Exception to the Exception:
These rules may applyto the aforementioned
proceedings by analogy or in suppletory
character and whenever practicable and
convenient (Rule 1, Sec. 4).
 The rule on formal offer of evidence (Rule
132, §34) is clearly not applicable to a
petition for naturalization; Decisions in
naturalization proceedings are not covered
by the rule on res judicata.

 The NLRC may consider evidence, such as
documents and affidavits, submitted by the
parties for the first time on appeal. The
submission of additional evidence on
appeal does not preclude the other party
for the latter could submit counter-
evidence(Rolando Sasan, Sr. vs. National Labor
Relations Commission, G.R. No. 176240,
October 17, 2008).

 The ParolEvidence Rule, like other rules of
evidence, should not be strictly applied in
labor cases. In labor cases pending before
the Commission or the Labor Arbiter, the
rules of evidence prevailing in courts of law
or equity are not controlling. Rules of
procedure and evidence are not applied in
a very rigid and technical sense in labor
cases (Cirtek Employees Labor Union-
Federation of Free Workers vs. Cirtek
Electronics, Inc., G.R. No. 190515, June 6,
2011).
Bar Operations
Commissions 589
589
The rules on evidence, being components of the a. Prosecution of quasi-
Rules of Court, apply only to judicial offenses; and
proceedings (RIANO, Evidence (The Bar Lecture b. Criminal cases
Series), 2016 Ed., allowed by law to be
p. 3). compromised. (Rule
130, Section 28,)
The rules on evidence may be waived. When Rules on sufficiency of Circumstantial evidence
circumstantial evidence is sufficient for conviction
otherwise objectionable evidence is not
does not apply if:
objected, the evidence becomes admissible  There is more than
because of waiver. (RIANO, Evidence (The Bar one circumstance;
Lecture Series), 2016 Ed.,  The facts from which
p. 15) the inferences are
derived are proven;
Evidence is required only when the court has to and
resolve a question of fact. Where no factual  The combination of
issue exists in a case, there is no need to all the circumstances
present evidence because where the case is such as to produce
presents a question of law, such question is a conviction beyond
reasonable doubt.
resolved by the mere application of the relevant
statutes or rules of this jurisdiction to which no Inferences cannot be
evidence is required (RIANO, Evidence (The Bar based on other
Lecture Series), 2016 Ed., inferences (Rule 133,
p. 6). Sec. 4). (n)
A party or defendant may The accused cannot be
Factual findings of administrative bodies be compelled to be a compelled to be a
charged with their specific field of expertise, are witness provided written witness against himself
interrogatories (Rules 25, (Art. III, Sec. 17, 1987
afforded great weight by the courts, and in the
Sec. 6) and request for Constitution).
absence of substantial showing that such admission (Rules 26, Sec.
findings were made from an erroneous 5) have been served
estimation of the evidence presented, they are upon him.
conclusive, and in the interest of stability of the The concept of The accused enjoys the
governmental structure, should not be presumption of constitutional
disturbed. (Sugar Regulatory Administration vs. innocence does not apply presumption of
Encarnacion B. Tormon, G.R. No. 195640, December and generally there is no innocence. (RIANO, 2016
4, 2012). presumption for or Ed.)
against a party except in
Evidence in Civil Cases distinguished from certain cases provided for
by law.
evidence in Criminal Cases
(RIANO, 2016 Ed.)
Evidence of the moral General Rule:
Civil Cases Criminal Cases character of a party in a The prosecution is not
The party having the The accused is entitled to civil case is admissible allowed to prove the bad
burden of proof must an acquittal, unless his or only when pertinent to moral character of the
establish his or her case her guilt is shown beyond the issue of character accused even if it is
by a preponderance of reasonable doubt. (Rule involved in the case [Rule pertinent to the moral
evidence. (Rule 133, 133, Section 2) 130, Sec. 54 (b)]. trait involved.
Section 1)
An offer of compromise is General rule: Exception:
not an admission of any If done in rebuttal [Rule
liability, and is not an offer of compromise 130, Sec. 54 (a)(2)].
admissible in evidence by the accused may be Rule on Doctor-Patient The rule does not apply.
against the offeror. (Rule received in evidence as privileged communication
130, Section 28) an implied admission of applies [Rule 130, Sec.
guilt. 24(c)].
Exceptions:

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 Purple Notes
Criminal
Remedial
8.A.3. DISTINGUISH: PROOF AND 2) Competency – it must not be excluded by
EVIDENCE the Constitution, the law or by the rules (Rule
128, Sec. 3, as amended).
Evidence Proof Admissibility vs. Probative Value
It is the medium or It is the effect and result
means of proving or of evidence. It is the ADMISSIBILITY PROBATIVE VALUE
disproving a fact (RIANO, probative effect of As to question resolved
Evidence (The Bar evidence and is the It refers to the It refers to the question of
Lecture Series), 2016 conviction or persuasion question of whether or whether or not the
Ed., p. 11). of the mind resulting not the evidence is to evidence proves an issue.
from the consideration of be considered at
the evidence (RIANO, all(Republic of the
Evidence (The Bar Philippines vs. Carmen
Lecture Series), 2016 SantorioGaleno, G.R.
Ed., p. 10). No. 215009, January
23, 2017).
As to characteristic of evidence to which it
8.A.4. DISTINGUISH: FACTUM PROBANS pertains
AND FACTUM PROBANDUM It pertains to It pertains to its tendency
relevance and to convince and persuade
Factum Probans Factum Probandum competence.
Intermediate or Ultimate Facts As to basis
Evidentiary Facts It depends on logic It depends on the
The fact by which the The fact or proposition to and law. guidelines provided in Rule
factum probandum is to be established. 133 and doctrines laid
be established. down by the Supreme
The fact to be proved; The probative or Court.
the fact which is in issue evidentiary fact tending
and to which the to prove the fact in issue.  The admissibility of evidence should not be
evidence is directed. confused with its probative value.
Existent Hypothetical – what one Admissibility refers to the question of
party affirms and the whether certain pieces of evidence are to be
other denies
considered at all, while probative value
refers to the question of whether the
8.A.5 ADMISSIBILITY OF EVIDENCE admitted evidence proves an issue. Thus, a
particular item of evidence may be
Admissibility of evidence refers to the admissible, but its evidentiary weight
question of whether or not the circumstance (or depends on judicial evaluation within the
evidence) is to be considered at all. On the guidelines provided by the rules of evidence
other hand, the probative value of evidence (Heirs of Sabanpan vs. Comorposa, G.R. No.
refers to the question of whether or not it 152807, August 12, 2003).
proves an issue (PNOC Shipping and Transport 
Corporation v. CA, G.R. No. 107518, October 8,  There is no issue in the admissibility of the
1998). subject sworn statement. However, the
admissibility of evidence should not be
8.A.5.a. Requisites for admissibility of equated with weight of evidence. The
evidence; exclusions under the admissibility of evidence depends on its
Constitution, laws, and the Rules of Court relevance and competence while the weight
of evidence pertains to evidence already
For evidence to be admissible, two elements admitted and its tendency to convince and
must concur: persuade. Thus, a particular item of
evidence may be admissible, but its
1) Relevancy – it must have such a relation to evidentiary weight depends on judicial
the fact in issue as to induce belief in its
Bar Operations
evaluation within the guidelines provided by
existence or non-existence.
Commissions 591
591
 the rules of evidence (Tating vs. Marcella, G.R.
No. 155208, March 27, 2007).
Admissibility vs. Credibility
 Admissibility of evidence is determined by
the concurrence of the two requisites of
relevancy and competency; credibility is a
matter for the court to appreciate (People v.
Abellera, G.R. No. 23533, August 1, 1925).
 the subject of the inquiry is the contents of
 Trial courts may allow a person to testify as
a witness upon a given matter because he is
competent but may thereafter decided
whether to believe or not to believe his
testimony. Credibility depends on the
appreciation of his testimony and arises
from the brief conclusion of the court that
said witness is telling the truth (Gonzales vs.
Court of Appeals, G.R. No. L-37453, May 25,
1979).
Exclusionary Rules of Evidence
A. Constitutional exclusionary rules
1. 1. Unreasonable searches and seizures
(Sec. 2, Art. III, Constitution);
2. 2. Privacy of communication and
correspondence (Sec. 3, Art. III, Constitution);
3. 3. Right to counsel, prohibition on torture,
force, violence, threat, intimidation or other
means which vitiate the free will;
prohibition on secret detention places,
solitary, incommunicado (Sec. 12, Art. III,
Constitution);and
4. 4. Right against self-incrimination (Sec. 17,
Art. III, Constitution)
B. Statutory exclusionary rules
1. Lack of documentary stamp tax to
documents required to have one makes
such document inadmissible as evidence in
court until the requisite stamp/s shall have
been affixed thereto and cancelled (Sec.
201, NIRC); and
2. Any communication obtained by a person,
not being authorized by all the parties to
any private communication, by tapping any
wire/cable or using any other
device/arrangement to secretly
overhear/intercept/record such information
592
by using any device, shall not be admissible
in evidence in any judicial, quasi-judicial,
legislative or administrative hearing, or
investigation [Sec. 1 and 4, R.A. No. 4200
(Wire-Tapping Act)]
C. Exclusionary Rules under Rule 130
1. Original Document Rule – Originally
known as the “Best Evidence Rule”. When
the document, no evidence shall be
admissible other than the original
document (Rule 130, Sec. 3, as amended).
2. Parol Evidence Rule – When the terms of
the agreement have been reduced to
writing, it is considered as containing all the
terms agreed upon and there can be,
between the parties and their successors in
interest, NO evidence of such terms other
than the contents of the written agreement
(Rule 130, Sec. 10, as amended).
3. Hearsay Evidence Rule – a witness can
testify only to those facts which he knows
of his personal knowledge; that is, which
are derived from his own perception (Rule
130, Sec. 22, as amended).
4. Offer of Compromise in Civil Cases –
In civil case, an offer of compromise is NOT
admission of any liability and is NOT
admissible in evidence against the offeror
(Rule 130, Sec. 28, as amended).
5. Dead Man’s Statute – Disqualification by
Reason of Death or Insanity of Adverse
Party (Rule 130, Sec. 39, as amended).
6. Disqualification by Reason of
Marriage(Rule 130, Sec. 23, as amended).
7. Disqualification by Reason of
Privileged Communication(Rule 130, Sec.
24).
D. Court issuances, such as:
1. Rule on Electronic Evidence (e.g.
compliance with authentication
requirements for electronic evidence);
2. Child Witness Rule (e.g. Sexual Abuse
Shield Rule); and
3. Judicial Affidavit Rule
Doctrine of the Fruit of the Poisonous Tree
 Purple Notes
Once the primary source ( the "tree") is shown
to have been unlawfully obtained, any
secondary or derivative evidence (the "fruit")
derived from it is also inadmissible. Stated
otherwise, illegally seized evidence is obtained
as a direct result of the illegal act, whereas the
"fruit of the poisonous tree" is the indirect result
of the same illegal act. The "fruit of the
poisonous tree" is at least once removed from
the illegally seized evidence, but it is equally
inadmissible.
The rule is based on the principle that evidence
illegally obtained by the State should not be
used to gain other evidence because the
originally illegally obtained evidence taints all
evidence subsequently obtained (People vs.
Samontañez, G.R. No. 134530 December 4,
2000).
8.A.5.b. Relevance of evidence and
collateral matters
Relevancy
Evidence is relevant when it is related to the
fact in issue as to induce belief in its existence
or non-existence(RIANO, Evidence (The Bar Lecture
Series), 2016 Ed., p. 18).
Collateral Matters
General Rule:
Evidence on collateral matters shall not be
allowed(RIANO, Evidence (The Bar Lecture Series),
2016 Ed., p. 20).
Exception:
Collateral evidence shall be allowed when it
tends in any reasonable degree to establish the
probability or improbability of the fact in
issue(Rule 128, Sec. 4).
8.A.5.c. Multiple admissibility
Where the evidence is relevant and competent
for two or more purposes, such evidence may
be admitted for any or all the purposes for
which it is offered provided it satisfies all the
Criminal
Remedial
requirements of law for admissibility (People vs.
Sagario, G.R. No. L-18659, June 29, 1965).
8.A.5.d. Conditional admissibility
Where the evidence at the time of its offer
appears to be immaterial or irrelevant unless it
is connected with the other facts to be
subsequently proved, such evidence may be
received on the condition that the other facts
will be proved thereafter;otherwise, the
evidence given will be stricken out from the
record(RIANO, Evidence (The Bar Lecture Series),
2016 Ed., p. 26).
8.A.5.e. Curative admissibility
Where improper evidence was admitted over the
objection of the opposing party, he should be
permitted to contradict it with similar improper
evidence. This is evidence introduced to cure,
contradict or neutralize improper evidence
presented by the other party.
If one side introduces evidence irrelevant to the
issue, which is prejudicial and harmful to the
other party, then, although it comes in without
objection, the other party is entitled to introduce
evidence which will directly and strictly
contradict it (State vs. Witham, 72. Me. 531, 535).
8.A.5.f. Direct and circumstantial
evidence
Direct Evidence
Evidence which proves that the fact in dispute
without the aid of any inference or
presumption(People vs. Fronda, G.R. No. 130602,
March 15, 2000).
Circumstantial Evidence
Evidence which indirectly proves a fact in issue
through an inference drawn from the
evidence(People vs. Matito, G.R. No. 144405,
February 24, 2004).
8.A.5.g. Positive and negative evidence
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Commissions 593
593
Positive evidence – when a witness affirms in amount of evidence required by law. Burden of
the stand that a certain state of facts does exist proof never shifts(RIANO, Evidence (The Bar
or that a certain event happened. Lecture Series), 2016 Ed., p. 49).

Negative evidence – when the witness state Burden of Evidence is the duty of a party to
that an event did not occur or that the state of present evidence sufficient to establish or rebut
facts alleged to exist does not actually exist. a fact in issue to establish a prima facie case.
Burden of Evidence may shift from one party to
 Denial is a self-serving negative evidence the other in the course of the proceedings,
that cannot be given greater weight than the depending on the exigencies of the case (RIANO,
declaration of credible witnesses who Evidence (The Bar Lecture Series), 2016 Ed., p. 49).
testified on affirmative matters (Roque vs.
People, G.R. No. 138954, November 25, 2004) . It BURDEN OF PROOF
BURDEN OF
is a long recognized general rule of evidence (Onus Probandi/ Risk
EVIDENCE
that all other things being equal, positive Of Non-Persuasion)
evidence is stronger than negative evidence Burden of proof is Burden of evidence is the
(Wa-acon vs. People, G.R. No. 164575, December theduty of a party to duty of aparty to present
present evidenceon the evidencesufficient to
06, 2006).
facts in issue necessary establish or rebut afact
toestablish his or her in issue to establish a
8.A.5.h. Competent and credible evidence claim or defenseby the prima facie case(Rule
amount of evidence 131, Sec. 1).
Competent evidence is one that is not excluded requiredby law(Rule 131,
by law or rules in a particular case. Sec. 1).

Competence, in relation to evidence in general, Burden of proof never Burden of evidence

refers to the eligibility of an evidence to be shifts (Rule 131, Sec. 1) mayshift from one party
and remains throughout to the other inthe course
received as such. However, when applied to a
the entire case exactly of the
witness, the term competent refers to the where the pleadings proceedings,depending
qualifications of the witness. In other words, originally placed it. on the exigencies of
competence refers to his eligibility to take the thecase(Rule 131, Sec.
stand and testify (Riano, Evidence: The Bar Lecture 1).
Series, p.23, 2016 ed.). Generally determined by Generally determined by
the pleadings filed by the the developments of the
Jurisprudence is settled that whatever is parties in litigation. trial, or by the provisions
repugnant to the standards of human of substantive law or
knowledge, observation and experience procedural rules which
becomes incredible and lies outside judicial may relieve the party
from presenting evidence
cognizance. Evidence, to be believed, must
on the facts alleged.
proceed not only from the mouth of a credible
witness but must be credible in itself as to
 The burden of proof in establishing adoption
hurdle the test of conformity with the
is upon the person claiming such
knowledge and common experience of
relationship (Vda. de Jacob vs. Court of
mankind(Zapatos vs. People, G.R. Nos. 147814-15,
Appeals, G.R. No. 135216, August 19, 1999).
September 16, 2003).

 It is basic that once an accused in a
prosecution for murder or homicide
8.A.6. BURDEN OF PROOF AND BURDEN
admitted his infliction of the fatal injuries on
OF EVIDENCE
the deceased, he assumed the burden to
prove by clear, satisfactory and convincing
Burden of Proof is the duty of a party to
evidence the justifying circumstance that
present evidence on the facts in issue necessary
would avoid his criminal liability. He should
to establish his or her claim or defense by the
discharge the burden by relying on the

594
 Purple Notes
Criminal
Remedial
strength of his own evidence, because the Plaintiff has the Prosecution has the burden
Prosecution’s evidence, even if weak, would burden of proof to of proving guilt of the
not be disbelieved in view of his admission show the truth of accused because of the
of the killing. Nonetheless, the burden to his allegations if presumption of
prove guilt beyond reasonable doubt the defendant innocence(Macayan,Jr., vs.
remained with the State until the end of the raises a negative People, G.R. No. 175842,
proceedings (People of the Philippines vs. defense. March 18, 2015).
Fontanilla, G.R. No. 177743, January 25, 2012). Defendant has the
 burden of proof if
 An admission of carnal knowledge of the he raises an
victim consequently places on the accused affirmative
the burden of proving the supposed defense on the
relationship by substantial evidence (People complaint of the
vs. Antonio, G.R. No. 157269, June 3, 2004). plaintiff.

 As an affirmative defense, sweetheart
defense must be established with convincing NNote: In Burden of Proof, the plaintiff is
evidence – by some documentary and/or always compelled to allege affirmative
other evidence of relationship (People vs. assertions in his complaint. When he alleges a
Bautista, G.R. No. 140278, June 3, 2004). cause of action, he will be forced to allege that
 he has a right and that such right was violated
 As a rule, forgery cannot be presumed and by the other party. Thus, he has the duty to
must be proved by clear, positive and prove the existence of this affirmative allegation.
convincing evidence; the burden of proof
lies on the party alleging forgery. One who If the defendant files his answer and sets up
alleges forgery has the burden to establish purely a negative defense and no evidence is
his case by a preponderance of evidence or presented by both sides, it is the defendant who
evidence which is of greater weight or more would win the case since the plaintiff has not
convincing than that which is offered in presented the quantum of evidence required by
opposition to it. The fact of forgery can only law.
be established by a comparison between the
alleged forged signature and the authentic On the other hand, when the defendant in his
and genuine signature of the person whose answer sets up an affirmative defense, if there
signature is theorized to have been forged is no evidence presented by both sides, it is the
(Gepulle-Garbo vs. Spouses Garabato, G.R. No.
defendant who will lose the case.
200013, January 14, 2005).

BURDEN OF PROOF, Upon Whom it Rests Test for determining where the burden of
proof lies
Civil Cases Criminal Cases
Plaintiff has the burden Prosecution has the burden The test for determining where the burden of
of proof to show the of proving guilt of the proof lies is to ask which party to an action or
truth of his allegations accused because of the
suit will lose the case if he offers no evidence
if the defendant raises presumption of
a negative defense. innocence(Macayan,Jr., vs.
competent to show the facts averred as the
Defendant has the People, G.R. No. 175842, basis for the relief he seeks to obtain (Aznar
burden of proof if he March 18, 2015). Brothers Realty Company vs. LaurencioAying, G.R.
raises an affirmative No. 144773, May 16, 2005).
defense on the
complaint of the Degree of Proof that Satisfies the Burden
plaintiff. of Proof

Civil Cases Criminal Cases

Bar Operations
Commissions 595
595
1. Civil Cases: Preponderance of evidence Refers to a situation where:
(Tan jr., vs. Hosana, G.R. No. 190846,
February 3, 2016). 1. The evidence of the plaintiff and
defendant are evenly balanced; or
2. There is doubt on which side the
2. Criminal Cases: evidence preponderates;
a. To sustain conviction: Evidence of guilt
beyond reasonable doubt (Macayan, Jr., vs. Equipoise Doctrine, the court shall decide
People, G.R. No. 175842, March 18, 2015).
against the party who has the burden of
b. Preliminary Investigation: Prima facie
proof.
Case – sufficient to engender a well-
founded belief that a crime has been This rule is based on the principle that no
committed and that the accused is one shall be deprived of his life, liberty or
probably guilty thereof (Yusop vs. property without due process of law (Sec. 1,
Sandiganbayan, G.R. No. 138859–60, February Art. III, 1987 Constitution).
22, 2001).
c. For Issuance of Warrant of Arrest:  Under the equipoise rule, where the
Probable Cause – that there is reasonable evidence on an issue of fact is in
ground to believe that the accused has equipoise or there is doubt on which side
committed an offense (Hao vs. People, G.R. the evidence preponderates, the party
No. 183345, September 17, 2014). having the burden of proof loses (Candao
vs. People,G.R. Nos. 186659-710, October 19,
3. Administrative Cases: Substantial 2011).
evidence – such amount of relevant evidence 
which a reasonable mind might accept as  Where the inculpatory facts and
adequate to justify a conclusion (Glenda circumstances are capable of two or
Rodriguez–Angat vs. GSIS, G.R. No. 204738, July more explanations, one of which is
29, 2015). consistent with the innocence of the
accused and the other consistent with his
guilt, then the evidence does not fulfill
BURDEN OF EVIDENCE, the test of moral certainty and is not
Upon Whom it Rests sufficient to support a conviction (Peope
of the Philippines vs. Urzais, et al., G.R. No.
CIVIL CASES CRIMINAL CASES 207662, April 13, 2016).
Plaintiff has to prove his Prosecution has to
affirmative allegations prove its affirmative Application of the Equipoise Doctrine
in the complaint. allegations in the
information regarding Civil Cases Criminal Cases
the elements of the Where the burden of Where the evidence is
crime as well as the proof is on the plaintiff evenly balanced, the
attendant and the evidence does constitutional
circumstances. not suggest that the presumption of
Defendant has to prove Defense has to prove scale of justice should innocence tilts the scales
the affirmative its affirmative weigh in his favor, the in favor of the accused.
allegations in his allegations regarding court should render a
counterclaim and his the existence of verdict for the
affirmative defenses. justifying or exempting defendant.
circumstances,
absolutory causes or 8.A.7. PRESUMPTIONS
mitigating
circumstances. Presumption is an inference of the existence
or non-existence of a fact which is permitted to
Equipose or Equiponderance Doctrine be drawn from the proof of other facts(Delgado

596
 Purple Notes
Criminal
Vda. de De la Rosa vs. Heirs of MarcianaRustiaVda.
Remedial
direction from the law to that effect (Martin
de Damian, G.R. No. 155733, January 27, 2006). vs. CA, G.R. No. 82248 January 30, 1992).

 Where there is an entire lack of competent Presumptions of facts are borne by reason
evidence to the contrary, and unless or until through human experience.
it is rebutted, it has been held that a
presumption may stand in lieu of evidence Presumption of Law vs. Presumption of
and support a finding or decision. Perforce, Fact
a presumption must be followed if it is
uncontroverted. This is based on the theory PRESUMPTION OF PRESUMPTION OF
that a presumption is prima facieproof of LAW FACT
the fact presumed, and unless the fact thus Certain inference A discretion is vested in
established prima facie by the legal must be made the tribunal as to
presumption of its truth is disproved, it must whenever the facts drawing the inference.
stand as proved (Tison vs. Court of Appeals, appear which furnish
G.R. No. 121027, July 31, 1997). the basis of the
 inference.
 Indeed, she overlooked or disregarded the Reduced to the fixed Derived wholly and
rules and form part of directly from the
evidential rule that presumptions like judicial
the system ofcircumstances of the
notice and admissions, relieve the jurisprudence particular case by means
proponent from presenting evidence on the of the common
facts he alleged and such facts are thereby experience of man
considered as duly proved (Tison vs. Court of (Robert P. Wa–acon v. People of the Philippines, G.R.
Appeals, G.R. No. 121027, July 31, 1997). No. 164575, December 6, 2006).

 Ordinarily, when a fact is presumed, it Kinds of Presumptions of Law:
implies that the party in whose favor the
presumption exists does not have to 1) Conclusive Presumption (juris et de jure)
introduce evidence to establish that fact, is not permitted to be overcome by any proof
and in any litigation where that fact is put in to the contrary(RIANO, Evidence (The Bar
issue, the party denying it must bear the Lecture Series), 2016 Ed., p. 59).
burden of proof to overthrow the
presumption(Tison vs. Court of Appeals, G.R. 2) Rebuttable Presumption (juris tantum) is
No. 121027, July 31, 1997). that which the law permits to be overcome
or contradicted by proofs to the contrary,
Classification of Presumptions: otherwise, the same remains satisfactory and
is considered sufficient evidence of the fact
1) Presumption of Law(Presumptio Juris) is in dispute(RIANO, Evidence (The Bar Lecture
a deduction which the law expressly directs Series), 2016 Ed., p. 60).
to be made from the facts proven. It is a
presumption determined by law and it 8.A.7.a. Conclusive Presumptions
consists of a presumption juris et de jure or
conclusive presumptions, which is not Classes of Conclusive Presumptions:
permitted to be overcome by any proof to
the contrary, however strong; and a 1) Estoppel In Pais– Whenever a party has,
presumption juris tantum or disputable by his own declaration, act, or omission,
presumption, which is presumption that intentionally and deliberately led another to
stands unless rebutted by evidence. believe a particular thing true, and to act
2) upon such belief, he cannot, in any litigation
arising out of such declaration, act or
3) Presumption of Fact (Presumptio omission, be permitted to falsify it [Rule 131,
Hominis) is a deduction which reason draws Sec. 2(a), as amended].
from facts proved without an express Bar Operations
Commissions 597
597
2) Estoppel by Deed– The tenant is not
permitted to deny the title of his landlord at
the time of the commencement of the
relation of landlord and tenant between
them[Rule 131, Sec. 2(b), as amended].
Instances of Conclusive Presumptions:
1) Whenever a party has, by his own
declaration, act, or omission, intentionally
and deliberately led another to believe a
particular thing true, and to act upon such
belief, he cannot, in any litigation arising out
of such declaration, act or omission, be
permitted to falsify it; and
2) The tenant is not permitted to deny the title
of his landlord at the time of
commencement of the relation of landlord
and tenant between them [Rule 131, Sec.
2(b)].
 Scientific experts concur in the view that the
result of a paraffin test is not conclusive.
While it can establish the presence of
nitrates or nitrites on the hand, it does not
always indubitably show that said nitrates or
nitrites were caused by the discharge of
firearm. The person tested may have
handled one or more of a number of
substances which give the same positive
reaction for nitrates or nitrites, such as
explosives,fireworks, pharmaceuticals, and
leguminous plants such as peas, beans, and
alfalfa. A person who uses tobacco may also
have nitrate or nitrite deposits on his hands
since these substances are present in the
products of combustion of tobacco. The
presence of nitrates, therefore, should be
taken only as an indication of a possibility
but not of infallibility that the person tested
has fired a gun (People vs. Baconguis, G.R. No.
149889, December 2, 2003).
Essential Elements in Relation to the Party
Sought to be Estopped: (CIK)
1. 1.Conduct amounting to false
representation or concealment of material
facts;
598
2. Conduct amounting to false
representation or concealment of material
facts;
3. 2.Intent, or at least expectation that this
conduct shall be acted upon; and
4.
5. 3.Knowledge, actual or constructive, of
the actual facts (Planters Development Bank
vs. Sps. Lopez, G.R. No. 186332, October 23,
2013).
Essential Elements in Relation to the Party
Claiming Estoppel: (LRA)
1. 1. Lack of knowledge and of the means of
knowledge of the truth as to the facts in
question;
2.
3. 2. Reliance in good faith, upon the
conduct or statements of the party to be
estopped; and
4.
5. 3. Action or inaction based thereon of
such character as to change the position
or status of the party claiming the
estoppel, to his injury, detriment or
prejudice (Estacio vs. PELCO, G.R. No.
183196, August 19, 2009).
Statutory Instances of Estoppel:
1. Non-owner transferor who later acquires title
passes ownership to the transferee by
operation of law (Art. 1434, NCC);
2. Agent who alienates cannot claim title
against the transferee (Art. 1435, NCC);
3. A lessee or a bailee is estopped from
asserting title to the thing leased or received,
as against the lessor or bailor (Art. 1436, NCC);
4. In a contract between 3rd persons
concerning immovable property, if one of
them is misled by a person with respect to
the ownership or real right over the real
estate, the latter is precluded from asserting
his legal title or interest therein, provided
ALL these requisites are present:
a. Fraudulent representation or wrongful
concealment of facts is known to the
party estopped;
 Purple Notes
b. Party precluded must intend that the
other should act upon the facts as
misrepresented;
c. Party misled must have been unaware of
the true facts; and,
d. Party defrauded must have acted in
accordance with the
misrepresentation (Art. 1437, NCC).
8.A.7.b. DisputablePresumptions
5. One who has allowed another to assume
1. That a person is innocent of crime or wrong;
apparent ownership of personal property for
the purpose of making any transfer of it,
cannot, if he received the sum for which a
pledge has been constituted, set up his own
title to defeat the pledge of the property,
made by the other to a pledgee who received
the same in good faith and for value (Art. 1438
NCC).
 At the time of the perfection of the contract,
the petitioner spouses, as lessees, were
aware that the NHA, and not Virginia (the
lessor) owned the land on which the rented
house stood, yet they signed the same,
obliged themselves to comply with the
terms thereof for five years and performed
their obligations as lessees for two years.
Now they assume a completely different
legal position. They claim that the lease
contract ceased to be effective because
Virgilio’s assumption of ownership of the
land stripped the respondents of ownership
of the building. They argue that, under
Article 440 of the Civil Code, Virgilio’s title
over the lot necessarily included the house
on the said lot, thus automatically canceling
the contract. After recognizing the validity of
the lease contract for two years, the
petitioner spouses are barred from alleging
the automatic cancellation of the contract
on the ground that the respondents lost
ownership of the house after Virgilio
acquired title over the lot (Alcaraz vs. Tangga-
an, G.R. No. 128568, 401 SCRA 84, April 9,
2003).
 A party may not go back on his own acts
and representations to the prejudice of the
other party who relied upon them. In the
law of evidence, whenever a party has, by
his own declaration, act or omission,
intentionally and deliberately led another to
Criminal
Remedial
believe a particular thing true, and to act
upon such belief, he cannot, in any litigation
arising out of such declaration, act, or
omission, be permitted to falsify it
(Metropolitan Bank and Trust Company vs. Court
of Appeals, G.R. No. 122899, 333 SCRA 212,
June 8, 2000).
Note: The presumption of innocence is a
constitutional prerogative embodied in the
Bill of Rights. It requires that an accused
person shall be presumed innocent until the
contrary is provided in all criminal
prosecutions [Sec. 14(2), Art. III, 1987
Constitution]. This presumption continues
until overthrown by proof of guilt beyond
reasonable doubt. In this regard, any
judgment of conviction should depend upon
the strength of the evidence of the
prosecution and not on the weakness of the
defense (ANNOTATION: The Effect of
Presumption in the Prosecution of a Criminal Case,
245 SCRA 750, July 11, 1995).
2. That an unlawful act was done with an
unlawful intent;
3. That a person intends the ordinary
consequences of his voluntary act;
4. That a person takes ordinary care of his
concerns;
5. That evidence wilfully suppressed would be
adverse if produced;
6. That money paid by one to another was
due to the latter;
7. That a thing delivered by one to another
belonged to the latter;
8. That an obligation delivered up to the
debtor has been paid;
9. That prior rents or instalments had been
paid when a receipt for the later one is
produced;
10.That a person found in possession of a
thing taken in the doing of a recent
wrongful act is the taker and the doer of
the whole act; otherwise, that things which
a person possess, or exercises acts of
ownership over, are owned by him;
11.That a person in possession of an order on
Bar Operations
himself for the payment of the
Commissions 599
599
 money, or the delivery of anything, has paid
the money or delivered the thing
accordingly;
12.That a person acting in a public office was
regularly appointed or elected to it;
13.That official duty has been regularly
performed;
14.That a court, or judge acting as such,
whether in the Philippines or elsewhere,
was acting in the lawful exercise of
jurisdiction;
15.That all the matters within an issue raised
in a case were laid before the court and
passed upon by it; and in like manner that
all matters within an issue raised in a
dispute submitted for arbitration were laid
before the arbitrators and passed upon by
them;
16.That private transactions have been fair and
regular;
17.That the ordinary course of business has
been followed;
18.That there was a sufficient consideration for
a contract;
19.That a negotiable instrument was given or
indorsed for a sufficient consideration;
20.That an endorsement of negotiable
instrument was made before the instrument
was overdue and at the place where the
instrument is dated;
21.That a writing is truly dated;
22.That a letter duly directed and mailed was
received in the regular course of the mail;
23.That after an absence of seven years, it
being unknown whether or not the
absentee still lives, he is considered dead
for all purposes, except for those of
succession.
The following shall be considered dead for
all purposes including the division of the
estate among the heirs:
a. A person on board a vessel lost during a
sea voyage, or an aircraft with is missing,
who has not been heard of for four years
since the loss of the vessel or aircraft;
b. A member of the armed forces who has
taken part in armed hostilities, and has
been missing for four years;
c. A person who has been in danger of
death under other circumstances and
600
whose existence has not been known for
four years;
d. If a married person has been absent for
four consecutive years, the spouse
present may contract a subsequent
marriage if he or she has well-founded
belief that the absent spouse is already
dead. In case of disappearance, where
there is a danger of death under the
circumstances hereinabove provided, an
absence of only two years shall be
sufficient for the purpose of contracting a
subsequent marriage. However, in any
case, before marrying again, the spouse
present must institute a summary
proceedings as provided in the Family
Code and in the rules for declaration of
presumptive death of the absentee,
without prejudice to the effect of
reappearance of the absent spouse.
24.That acquiescence resulted from a belief
that the thing acquiesced in was
conformable to the law or fact;
25.That things have happened according to the
ordinary course of nature and ordinary
nature habits of life;
26.That persons acting as co-partners have
entered into a contract of co-partnership;
27.That a man and woman deporting
themselves as husband and wife have
entered into a lawful contract of marriage;
28.That property acquired by a man and a
woman who are capacitated to marry each
other and who live exclusively with each
other as husband and wife without the
benefit of marriage or under void marriage,
has been obtained by their joint efforts,
work or industry.
29.That in cases of cohabitation by a man and
a woman who are not capacitated to marry
each other and who have acquired properly
through their actual joint contribution of
money, property or industry, such
contributions and their corresponding
shares including joint deposits of money
and evidences of credit are equal.
30.That if the marriage is terminated and the
mother contracted another marriage within
three hundred days after such termination
of the former marriage, these rules shall
 Purple Notes
govern in the absence of proof to the
contrary:
a) A child born before one hundred eighty
(180) days after the solemnization of
the subsequent marriage is considered
to have been conceived during such
marriage, even though it be born within
the three hundred days after the
termination of the former marriage.
b) A child born after one hundred eighty
(180) days following the celebration of
the subsequent marriage is considered
to have been conceived during such
marriage, even though it be born within
the three hundred days after the
termination of the former marriage.
Note: It is submitted that the first rule
suffers from a typographical error. This rule
is based on Art. 168 of the Family Code,
which provides that:
“A child born before one hundred eighty
days after the solemnization of the
subsequent marriage is considered to have
been conceived during the former
marriage, provided it be born within three
hundred days after the termination of the
former marriag
31.That a thing once proved to exist continues
as long as is usual with things of the
nature;
32.That the law has been obeyed;
33.That a printed or published book,
purporting to be printed or published by
public authority, was so printed or
published;
34.That a printed or published book,
purporting contain reports of cases
adjudged in tribunals of the country where
the book is published, contains correct
reports of such cases;
35.That a trustee or other person whose duty
it was to convey real property to a
particular person has actually conveyed it to
him when such presumption is necessary to
perfect the title of such person or his
successor in interest;
36.That except for purposes of succession,
when two persons perish in the same
Criminal
Remedial
calamity, such as wreck, battle, or
conflagration, and it is not shown who died
first, and there are no particular
circumstances from which it can be
inferred, the survivorship is determined
from the probabilities resulting from the
strength and the age of the sexes,
according to the following rules:
a) If both were under the age of fifteen
years, the older is deemed to have
survived;
b) If both were above the age sixty, the
younger is deemed to have survived.
c) If one is under fifteen and the other
above sixty, the former is deemed to
have survived.
d) If both be over fifteen and under sixty,
and the sex be different, the male is
deemed to have survived, if the sex be
the same, the older.
e) If one be under fifteen or over sixty,
and the other between those ages, the
latter is deemed to have survived.
37.That if there is a doubt, as between two or
more persons who are called to succeed
each other, as to which of them died first,
whoever alleges the death of one prior to
the other, shall prove the same; in the
absence of proof, they shall be considered
to have died at the same time (Rule 131,
Sec. 3, as amended).
Evidence Suppressed Would be Adverse if
Produced, When Presumed
1. The evidence tends to prove a material
fact which imposes a liability on a party;
2. That party has it in his power to produce
evidence;
3. The evidence, from its very nature, must
overthrow the case made against the
party if it is not founded on fact; and,
4. The party refuses to produce such
evidence.
Note: Here, the presumption arises that the
evidence, if produced, would operate to the
party’s prejudice, and support the case of his
adversary.
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Commissions 601
601
 No rule of law is better settled than that a
party having it in his power to prove a fact,
if it exists, which, if proved, would benefit
him, his failure to prove it must be taken as
conclusive that the fact does not exist
(Metropolitan Bank and Trust Company vs.
Court of Appeals, G.R. No. 122899, 333 SCRA
212, June 8, 2000 quoting Manila Bay Club
Corporation vs. Court of Appeals, G.R. No.
110015 October 13, 1995).
Where facts are in evidence affording legitimate
inferences to establish the ultimate fact that the
evidence is designed to prove, and the party to
be affected by the proof, with an opportunity to
do so, fails to deny or explain them, they may
well be taken as admitted with all the effect of
the inferences afforded.
 The ordinary rule is that one who has
knowledge peculiarly within his own
control, and refuses to divulge it, cannot
complain if the court puts the most
unfavorable construction upon his silence,
and infers that a disclosure would have
shown the fact to be as claimed by the
opposing party (Metropolitan Bank and Trust
Company vs. Court of Appeals, G.R. No. 122899,
333 SCRA 212, June 8, 2000 quoting Manila Bay
Club Corporation vs. Court of Appeals, G.R. No.
110015 October 13, 1995).
Cases where the presumption that
“evidence suppressed would be adverse if
produced” does NOT apply: (DNCE)
1. the evidence is at the Disposal of both
parties;
2. the suppression was Not willful;
3. the evidence is merely Corroborative or
cumulative; and,
4. the suppression is an Exercise of a
privilege(Angeles vs. People, G.R. No. 172744,
September 29, 2008).
Plainly, there was no suppression of
evidence in this case. First, the defense had
the opportunity to subpoena Rowena even if
the prosecution did not present her as a
witness. Instead, the defense failed to call
her to the witness stand. Second, Rowena
was certified to be suffering from "Acute
Psychotic Depressive Condition" and thus
602
"cannot stand judicial proceedings yet." The
non-presentation, therefore, of Rowena was
not willful. Third, in any case, while Rowena
was the victim, Nimfa was also present and
in fact witnessed the violation committed on
her sister (People vs. Padrigone, G.R. No.
137664, May 9, 2002).
No presumption of legitimacy or
illegitimacy
There is no presumption of legitimacy or
illegitimacy of a child born three hundred (300)
days after the dissolution of the marriage or the
separation of the spouses. Whoever alleges the
legitimacy or illegitimacy of such child must
prove his allegation (Rule 131, Sec. 4).
8.A.7.c. Presumptions in civil actions and
proceedings; against an accused in
criminal cases
In Civil Actions and Proceedings
A presumption imposes on the party against
whom it is directed the burden of going forward
with evidence to rebut or meet the presumption.
Note: If the presumptions are inconsistent, the
presumption that is founded upon weightier
considerations of policy shall apply. If
considerations of policy are equal weight,
neither presumption applies(Rule 131, Sec. 5). (n)
Bursting-Bubble Theory
Once the other party produces evidence on the
issue sufficient to support a finding contrary to
the presumed fact, the bubble is burst, and the
presumption no longer exists in the case
(Wigmore, Evidence, p. 9, 1981).
Presumption Against an Accused in
Criminal Cases
If a presumed fact that establishes guilt, is an
element of the offense charged, or negates a
defense, the existence of the basic fact must be
proved beyond reasonable doubt and the
presumed fact follows from the basic fact
beyond doubt(Rule 131, Sec. 6). (n)
 Purple Notes
Illustration:
Under the first paragraph of Article 308 the
essential elements of theft are (1) the taking of
personal property; (2) the property belongs to
another; (3) the taking away was done with
intent of gain; (4) the taking away was done
without the consent of the owner; and (5) the
taking away is accomplished without violence or
intimidation against person or force upon
things(People vs. Rodrigo, G.R. No. L-18507, March
31, 1966). Furthermore, jurisprudence provides
that intent to gain or animus lucrandi is an
internal act which can be established through
the overt acts of the offender and is presumed
from the proven unlawful taking(People vs.
Manlao, G.R. No. 234023, September 03, 2018).
Criminal
Remedial
 To sustain conviction: Evidence of guilt
beyond reasonable doubt(Macayan, Jr., vs.
People, G.R. No. 175842, March 18, 2015).

 Preliminary Investigation: Prima facie
Case – sufficient to engender a well-
founded belief that a crime has been
committed and that the accused is
probably guilty thereof(Yusop vs.
Sandiganbayan, G.R. No. 138859–60, February
22, 2001).

 For Issuance of Warrant of Arrest:
Probable Cause – that there is reasonable
ground to believe that the accused has
committed an offense(Hao vs. People, G.R.
No. 183345, September 17, 2014).

In the above scenario, intent to gain or animus  Administrative Cases: Substantial

lucrandi is the “presumed fact”, while the evidence – such amount of relevant evidence
unlawful taking is the “basic fact”. Proof of which a reasonable mind might accept as
unlawful taking beyond reasonable doubt adequate to justify a conclusion (Glenda
permits the inference that intent to gain was Rodriguez–Angat vs. GSIS, G.R. No. 204738, July
present upon the commission of the crime 29, 2015).
charged. 
 Bail in Extradition Cases:The potential
Note:For the presumption to arise, the extraditee must prove by "clear and
presumed fact must either: convincing evidence" that he is not a flight
risk and will abide with all the orders and
a) Be an element of the offense charged; or processes of the extradition court (Government
b) Negate a defense. of Hong Kong Special Administrative Region vs.
Olalia Jr., G.R. No. 153675, April 19, 2007).
8.A.8. CONSTRUCTION OF THE RULES ON
EVIDENCE Hierarchy of evidence (from most
burdensome to least)
Liberal Construction of the Rules on
Evidence 1) Proof beyond reasonable doubt
The Rules on Evidence shall be liberally 2) Clear and convincing evidence
construed in order to promote their objective of 3) Preponderance of evidence
securing a just, speedy and inexpensive 4) Substantial evidence
disposition of every action and proceeding (Rule 5) Prima facie evidence
1, Sec. 6). 6) Probable cause

8.A.9. QUANTUM OF EVIDENCE Proof Beyond Reasonable Doubt does not

mean such a degree of proof as, excluding
 Civil Cases: Preponderance of evidence(Tan possibility of error, produces absolute certainty.
jr., vs. Hosana, G.R. No. 190846, February 3,
2016). Note: Only moral certainty is required, or that
 degree of proof which produces conviction in an
unprejudiced mind (Rule 134, Sec. 2).
 Criminal Cases:
Bar Operations
Commissions 603
603
 A conviction in a criminal case must be
supported by proof beyond reasonable
doubt, which means a moral certainty that
the accused is guilty; the burden of proof
rests upon the prosecution (People of the
Philippines vs. Patentes, G.R. No. 190178,
February 12, 2014).
 latter has been positively identified as the
 Moral certainty is that degree of certainty
that convinces and directs the
understanding and satisfies the reason and
judgment of those who are bound to act
conscientiously upon it. It is certainty
beyond reasonable doubt. This requires that
the circumstances, taken together, should
be of a conclusive nature and tendency;
leading, on the whole, to a satisfactory
conclusion that the accused, and no one
else, committed the offense charged (People
of the Philippines vs. Yatar, G.R. No. 150224,
May 19, 2004).
Denial and Alibi
G.R. No. 211082, 211082, December
December 13, 2017). 13, 2017).
Motive
General Rule: The prosecution need not prove
motive on the part of the accused when the
author of the crime. Motive would not bar
conviction of the accused as long as the crime
itself and the identity of the perpetrator had
been indubitably established (Gorong vs. People,
G.R. No. 148971, November 29, 2006).
Exception: Motive becomes important when
the evidence on the commission of the crime is
purely circumstantial or inconclusive (Crisostomo
vs. Sandiganbayan, G.R. No. 152398, April 14, 2005).
In a criminal case, the prosecution must prove
two things:
1. the fact of the crime; and
2. the fact that the accused is the perpetrator
of the crime (People vs. Dela Peña, G.R. No.
183567, January 19, 2009).

Denial Alibi Preponderance of Evidenceis that which is

A defense which The evidence offered by more convincing and more credible than the one
traverses an allegation one charged with a crime offered by the adverse party (Glenda Rodriguez–
made in the pleading of to support the statement
Angat vs. GSIS, G.R. No. 204738, July 29, 2015).
an adverse party or in that at the time of its
the direct examination commission, he was at a
by the prosecution and place so remote or that  Preponderance of evidence" is the weight,
puts the matter so the crime took place credit, and value of the aggregate evidence
denied in issue, to be under such on either side and is usually considered to
resolved upon the trial circumstances that he be synonymous with the term "greater
of the action could not possibly have weight of the evidence" or "greater weight
(ANNOTATION: Denial committed it of the credible evidence." Preponderance of
and Alibi, 84 Phil., 945, (ANNOTATION: Denial evidence is a phrase which, in the last
November 09, 1949). and Alibi, 84 Phil., 945,
analysis, means probability of the truth. It is
November 09, 1949)
evidence which is more convincing to the
A defense of denial For the defense of alibi to
which is unsupported prosper, accused- court as worthy of belief than that which is
and unsubstantiated by appellant must prove offered in opposition thereto (Philippine
clear and convincing that: Commercial International Bank vs. Balmaceda,
evidence becomes 1. He was at some G.R. No. 158143, September 21, 2011 quoting
negative and self- other place when Encinas v. National Bookstore, Inc., 485 Phil.
serving, deserving no the crime was 683, 2004).
weight in law, and committed; and 
cannot be given greater 2. It was physically  In civil cases, the degree of evidence
evidentiary value over impossible for him required of a party in order to support his
convincing, to be at the locus claim is preponderance of evidence or that
straightforward and criminis at the time evidence adduced by one party which is
probable testimony on of its commission more conclusive and credible than that of
affirmative matters (People vs.
the other party (Stronghold Insurance
(People vs. Villanueva, Villanueva, G.R. No.

604
 Purple Notes
Criminal
Company, Inc. vs. Court of Appeals, et al., G.R.
Remedial
presumption of find for the defendant
No. 83376, May 29, 1989, 173 SCRA 619, 625 innocence should tilt the (Republic vs. Mupas, G.R.
cited in Philippine Airlines Inc. vs. Ramos, G.R. scales in favor of the No. 181892, September
No. 92740, March 23, 1992). accused (Malana vs. 8, 2015).
People, G.R. No.
In civil cases, the party having burden of proof 173612, March 26,
must establish his or her case by a 2008).
preponderance of evidence.

In determining where the preponderance or Substantial Evidence is such relevant

superior weight of evidence on the issues evidence as a reasonable mind might accept as
involved adequate to support a conclusion. (Rule 133, Sec.
lies, the court may consider the following: 6, as amended)

1. Facts and circumstances of the case;  Substantial evidence means more than a
2. Witnesses’ manner of testifying; scintilla, but may be somewhat less than
3. Witnesses’ intelligence; preponderance, even if other reasonable
4. Witnesses’ means and opportunity of minds might conceivably opine otherwise
knowing the facts to which they are (Spouses Manalo vs. Hon. Roldan-Confessor,
G.R. No. 102358, November 19, 1992).
testifying;
5. Nature of the facts to which they testify;
To satisfy the substantial evidence requirement
6. Probability or improbability of their
for administrative cases, hearsay evidence
testimony;
should necessarily be supplemented and
7. Witnesses’ interest or want of interest; and
corroborated by other evidence that are not
8. Witnesses’ personal credibility so far as the
hearsay (Gumaton vs. Amador, A.C. No. 8962, July
same may legitimately appear upon the trial. 09, 2018).

Clear and Convincing Evidenceis that

Note: The court may also consider the number evidence which produces in the mind of the trier
of witnesses, though the preponderance is not of fact a firm belief or conviction as to
necessarily with the greater number (Rule 133, allegations sought to be established (Dela Paz vs.
Sec. 1, as amended). Republic, G.R. No. 195726, November 20, 2017).

Equiponderance of Evidence Clear and convincing proof is more than mere

When the evidence in an issue of fact is in
equipoise, that is, when the respective sets of
evidence of both parties are evenly balanced,
the party having the burden of proof fails in that
issue(Lico vs. COMELEC, G.R. No. 205505,
September 29, 2015).
preponderance, but not to the extent of such
certainty as is required beyond reasonable
doubt as in criminal cases(Pangasinan vs.
Disonglo-Almazora, G.R. No. 200558, July 01, 2015) .
Clear and Convincing Evidence in Granting
Bail in Extradition Cases

The potential extraditee must prove by "clear

Equiponderance of Evidence in Criminal and convincing evidence" that he is not a flight
and Civil Cases risk and will abide with all the orders and
processes of the extradition court (Government of
Criminal Cases Civil Cases Hong Kong vs. Olalia, Jr., G.R. No. 153675, April 19,
The equipoise rule When the scale of justice 2007).
provides that where the shall stand on equipoise
evidence of the parties and nothing in the  In his Separate Opinion in Purganan, then
in a criminal case is evidence inclines a
Associate Justice, now Chief Justice Reynato
evenly balanced, the conclusion to one side or
S. Puno, proposed that a new standard
constitutional the other, the court will Bar Operations
which he termed "clear and
Commissions 605
605
 convincing evidence" should be used in
granting bail in extradition cases. According
to him, this standard should be lower than
proof beyond reasonable doubt but higher
than preponderance of evidence
(Government of Hongkong Special Administrative
Region vs. Olalia, Jr., G.R. No. 153675, April 19,
2007).
 The foregoing standard of proof required to
establish one's filiation is founded on the
principle that an order for recognition and
support may create an unwholesome
atmosphere or may be an irritant in the
family or lives of the parties, so that it must
be issued only if paternity or filiation is
established by clear and convincing
evidence (Jison vs. Court of Appeals, G.R. No.
124853, February 24, 1998).
 We begin our resolution of this issue with
the well-settled rule that the party alleging
fraud or mistake in a transaction bears the
burden of proof. The circumstances
evidencing fraud are as varied as the people
who perpetrate it in each case. It may
assume different shapes and forms; it may
be committed in as many different ways.
Thus, the law requires that it be established
by clear and convincing evidence (Republic of
the Philippines vs. Heirs of Alejaga, G.R. No.
146030, December 3, 2002).
 The defense of alibi cannot save the
appellants from conviction. They have not
established by clear and convincing
evidence that they were at some other place
and for such a period of time as to negate
their presence at the time when and the
place where the crimes were committed
(People of the Philippines vs. Flores, G.R. No.
71980, March 18, 1991).
 Appellant’s bare denial is not only an
inherently weak defense. It is not supported
by clear and convincing evidence. It cannot
thus prevail over the positive declaration of
Evelyn who convincingly identified him as
her rapist (People of the Philippines vs.
Golimlim, G.R. No. 145225, April 2, 2004).
 An allegation that one was framed can be
made with ease. That allegation must
606
therefore be proved by clear and convincing
evidence. The presumption that law
enforcers have regularly performed their
duties perforce requires that proof of a
frame-up must be strong (People of the
Philippines vs. Tranca, G.R. No. 110357 August
17, 1994).
Extrajudicial Confession, not sufficient
ground for conviction.
A confession is a declaration of an accused
acknowledging guilt for the offense charged, or
for any offense necessarily included therein. It is
something less than a confession and is but an
acknowledgment of some fact or circumstance
which in itself is insufficient to authorize a
conviction, and which tends only to establish the
ultimate fact of guilt(People vs. Licayan, G.R. No.
144422, February 28, 2002).
A confession is admissible in evidence if it is
satisfactorily shown to have been obtained
within the limits imposed by the 1987
Constitution. Furthermore, in order for an
extrajudicial confession to be admissible, it must
conform to the following requisites: (WAVE)
1. 1. the confession must be in Writing.
2. 2. the confession must be made with the
Assistance of a competent and independent
counsel, preferably of the confessant’s
choice;
3. 3. the confession must be Voluntary; and
4. 4. the confession must be Express(People vs.
Tuniaco, G.R. No. 185710, January 19, 2010).
General Rule: An extrajudicial confession
made by an accused shall not be sufficient
ground for conviction.
Exception:When corroborated by evidence of
corpus delicti(Rule 133, Sec. 3).
Corpus delictiis defined as the body or
substance of the crime and, in its primary sense,
refers to the fact that a crime was actually
committed. It is a compound fact made up of
two elements, namely:
 Purple Notes
1. The existence of a certain act or result
forming the basis of the criminal charge; and
2. The existence of a criminal agency as the
cause of the act or result (People vs.
Nepomuceno, G.R. No. 216062, September 19,
2018).
Circumstantial Evidence
Circumstantial evidence is sufficient for
conviction if:(MIC)
1. There is More than one circumstance;
2. The facts from which the Inferences are
derived are proven; and
3. The Combination of all the circumstances is
such as to produce a conviction beyond
reasonable doubt(Espineli vs. People, G.R. No.
179535, June 9, 2014).
Note: Inferences cannot be based on other
inferences(Rule 133, Sec. 4, as amended).
Direct Circumstantial
Evidence Evidence
It proves a challenged It indirectly proves a fact
fact without drawing any in issue, such that the
inference. factfinder must draw an
inference or reason from
circumstantial evidence.
The difference between direct evidence and
circumstantial evidence involves the relationship of
the fact inferred to the facts that constitute the
offense. Their difference does not relate to the
probative value of the evidence. The probative value
of direct evidence is generally neither greater than
nor superior to circumstantial evidence. The Rules of
Court do not distinguish between direct evidence of
fact and evidence of circumstances from which the
existence of a fact may be inferred (Tabones vs.
People, G.R. No. 204544, July 3, 2017).
Weight to be given opinion of expert
witness (Rule 133, Sec. 5, as amended)
In any case where the opinion of an expert
witness is received in evidence, the court has a
wide latitude of discretion in determining the
weight to be given to such opinion, and for that
purpose may consider the following:
Criminal
Remedial
1. 1. Where the opinion is based upon
sufficient facts or data;
2. 2. Whether it is the product of reliable
principles and methods;
3. 3. Whether the witness has applied the
principles and methods reliably to the facts
of the case; and
4. 4. Such other factors as the court may deem
helpful to make such determination.
Power of the court to stop further
evidence
The court may stop the introduction of further
testimony upon any particular point when the
evidence upon it is already so full that more
witnesses to the same point cannot be
reasonably expected to be additionally
persuasive. This power shall be exercised with
caution(Rule 133, Sec. 7, as amended).
Evidence on Motion
When a motion is based on facts not appearing
of the record, the court may hear the matter on
affidavits or depositions presented by the
respective parties, but the court may direct that
the matter be heard wholly or partly on oral
testimony or depositions(Rule 133, Sec. 8, as
amended).
8.B. JUDICIAL NOTICE AND JUDICIAL
ADMISSIONS
 Judicial notice takes the place of proof and
is of equal force. It displaces evidence and
fulfills the purpose for which the evidence is
designed to fulfill. Hence, it makes evidence
unnecessary (Moran, Comments on the Rules
of Court, 1980, p. 38 citing Alzua vs. Johnson,
21 Phil. 308).

 It is the cognizance of certain facts which
judges may properly take and act upon
without proof because they are supposed to
be known to them. It is based on
considerations of expediency and
convenience. It displaces evidence, being
equivalent to proof (Regalado,2008).
8.B.1. WHAT NEED NOT TO BE PROVED
Bar
(DASMA-P) Operations
Commissions 607
607

1. Matters which are subject of Mandatory
judicial notice of(Rule 129, Sec. 1, as
amended);
2. Matters which are subject of Discretionary
judicial notice of(Rule 129, Sec. 1, as
amended);
3. Those which are judicially Admitted(Rule
129, Sec. 4, as amended); and,
4. Matters which are legally Presumed (Rule
131, Secs. 2 to 3, as amended);
5. Matters which are not Specifically denied in
the Answer (Rule 8, Sec. 11, as amended); and
6. Facts Agreed upon by the parties (Rule 30,
Sec. 7, as amended).
8.B.2. MATTERS OF JUDICIAL NOTICE
Judicial notice is the cognizance of certain facts
that judges may properly take and act on
without proof because these facts are already
known to them. It is the assumption by a court
of a fact without need of further traditional
evidentiary support(Juan vs. Juan, G.R. No.
221732, August 23, 2017).
Basis: This rule is based on consideration of
expediency and convenience.
Purpose:It aims to dispense the presentation of
evidence and fulfills the purpose for which the
evidence is designed to fulfill . Its purpose is to
abbreviate litigation by admission of matters
that needs no evidence because judicial notice is
a substitute for formal proof of a matter by
evidence (RIANO, Evidence (The Bar Lecture Series),
2016 Ed., p. 74).
Note: Judicial notice is not judicial knowledge.
The mere personal knowledge of the judge is
not the judicial knowledge of the court, and he
is not authorized to make his individual
knowledge of a fact, not generally or
professionally known, the basis of his action (LBP
vs. Wycoco, G.R. No. 140160, January 13, 2004).
Requisites of Judicial Notice:
1) The matter must be of common knowledge;
608
2) It must be well and authoritatively settled
and not doubted or uncertain; and,
3) It must be known to be within the limits of
the jurisdiction of the court(South Davao
Development Company Inc., vs. Sergio L. Gamo,
G.R. No. 171814, May 8, 2009).
Three Kinds of Judicial Notice
1. Mandatory;
2. Discretionary; and
3. That which requires a hearing.
 True, as a general rule, courts should not
take judicial notice of the evidence
presented in other proceedings, even if
these have been tried or are pending in the
same court, or have been heard and are
actually pending before the same judge.
This is especially true in criminal cases,
where the accused has the constitutional
right to confront and cross-examine the
witnesses against him (People vs. Kulais, ,
G.R. No. 100901, July 16, 1998).

 The doctrine of judicial notice rests on the
wisdom and discretion of the courts. The
power to take judicial notice is to be
exercised by courts with caution; care must
be taken that the requisite notoriety exists;
and every reasonable doubt on the subject
should be promptly resolved in the negative
(State Prosecutors vs. Muro, A.M. No. RTJ-92-
876 September 19, 1994).

 Jurisprudence dictates that judicial notice
cannot be taken of a statute before it
becomes effective. The reason is simple. A
law which is not yet in force and hence, still
inexistent, cannot be of common knowledge
capable of ready and unquestionable
demonstration, which is one of the
requirements before a court can take
judicial notice of a fact. Evidently, it was
impossible for respondent judge, and it was
definitely not proper for him, to have taken
cognizance of CB Circular No. 1353, when
the same was not yet in force at the time
the improvident order of dismissal was
issued (State Prosecutors vs. Muro, A.M. No.
RTJ-92-876 September 19, 1994).

 Purple Notes
 The allegation of the assessed value of the
realty must be found in the complaint, if the
action (other than forcible entry or unlawful
detainer) involves title to or possession of
the realty, including quieting of title of the
realty. If the assessed value is not found in
the complaint, the action should be
dismissed for lack of jurisdiction because the
trial court is not thereby afforded the means
of determining from the allegations of the
basic pleading whether the jurisdiction over
the subject matter of the action pertains to
it or to another court. Courts cannot take
judicial notice of the assessed or market
value of the realty (Penta Pacific Realty
Corporation vs Ley Construction and
Development Corporation, G.R. No. 161589,
November 24, 2014).
8.B.2.a. Mandatory
As a general rule, when the matter is subject to
a mandatory judicial notice, no motion or
hearing is necessary for the court may take
judicial notice of a fact.
1. Existence and territorial extent of states;
2. Their political history, forms of government
and symbols of nationality;
3. The law of nations;
The Law of Nations is the body of legal
rules, norms, and standards that apply
between sovereign states and other entities
that are legally recognized as international
actors(Bentham).
Doctrine of Incorporation: as expressed
in Section 2, Article II of the 1987
Constitution, the Philippines adopts the
generally accepted principles of international
law and international jurisprudence as part of
the law of the land and adheres to the policy
of peace, cooperation, and amity with all
nations(Bayan Muna vs. Romulo, G.R. No.
159618, February 1, 2011).
4. The admiralty and maritime courts of the
world and their seals;
Criminal
Remedial
5. The political constitution and history of the
Philippines;
6. The official acts of the legislative, executive
and judicial departments of theNational
Governmentof the Philippines;
Note:While courts are required to take
judicial notice of the laws enacted by
Congress, the rule with respect to local
ordinances is different. Ordinances are not
included in the enumeration of matters
covered by mandatory judicial notice under
Section 1, Rule 129 of the Rules of Court.
Even where there is a statute that requires a
court to take judicial notice of municipal
ordinances, a court is not required to take
judicial notice of ordinances that are not
before it and to which it does not have
access. The party asking the court to take
judicial notice is obligated to supply the court
with the full text of the rules the party
desires it to have notice of.Counsel should
take the initiative in requesting that a trial
court take judicial notice of an ordinance
even where a statute requires courts to take
judicial notice of local ordinances.
The intent of a statute requiring a court to
take judicial notice of a local ordinance is to
remove any discretion a court might have in
determining whether or not to take notice of
an ordinance. Such a statute does not direct
the court to act on its own in obtaining
evidence for the record and a party must
make the ordinance available to the court for
it to take notice(SJS vs. Atienza, Jr., G.R. No.
156052, February 13, 2008).
7. The laws of nature;
8. The measure of time; and
9. The geographical divisions.
Note: Courts CANNOT take judicial notice of
FOREIGN LAWS (Relate to Rule 39, Sec. 4;
Laureano vs. CA and Singapore Airlines, G.R. No.
114776, February 2, 2000).
 It would be error for the court not to take
judicial notice of an amendment to the
Rules of Court (Siena Realty v. Gal-lang, G.R.
Bar
No. 145169, MayOperations
13, 2004).
Commissions 609
609

Laws of Nations Subject to Judicial Notice
The law of nations is subject to a mandatory
judicial notice. Under the Philippine Constitution,
we adopt the generally accepted principles of
international law as forming part of the law of
the land. Being parts of the law of the land, they
are therefore technically in the nature of local
laws and thus subject to mandatory judicial
notice.
Doctrine of Processual Presumption
(Doctrine of Presumed-Identity Approach)
It lays down the presumption that the foreign
law is the same as the law of the forum. It
arises if the foreign law, though properly
applicable, is either NOT alleged, or if alleged, is
NOT duly proved before a competent court (ATCI
Overseas Corporation vs. Echin, G.R. No. 178551,
October 11, 2010).
 The Philippines does not take judicial notice
of foreign laws, hence, they must not only
be alleged; they must be proven(ATCI
Overseas Corporation vs. Echin, G.R. No.
178551, October 11, 2010).
8.B.2.b.Discretionary
When the matter is subject to discretionary
judicial notice, a hearing is necessary before
judicial notice istaken of a matter.(PUJ)
1) Matters which are of Public knowledge
These are those matters coming to the
knowledge of men generally in the course of
ordinary experiences of life, or they may be
matters which are generally accepted by
mankind as true and are capable of ready
and unquestioned demonstration.
Examples: The fact that three (3) senators
have been indicted; that Mayor Lim lost in
the elections, etc.
2) Matters capable of Unquestionable
demonstration
610
These are facts, theories and conclusions
which have come to be established and
accepted by the specialists in the areas of
natural science, natural phenomena,
chronology, technology, geography,
statistical facts and other fields of
professional and scientific knowledge
(Francisco, 1996).
Example: That April 4, 2002 falls on a
Thursday
3) Matters ought to be known to judges
because of their Judicial functions
Example: That Filipino women as witnesses
are ordinarily docile and timid).
 Judicial notice is not judicial knowledge. The
mere personal knowledge of the judge is
not the judicial knowledge of the court, and
he is not authorized to make his individual
knowledge of a fact, not generally or
professionally known, the basis of his action.
Judicial cognizance is taken only of those
matters which are "commonly" known (State
Prosecutors vs. Muro, A.M. No. RTJ-92-876,
September 19, 1994).
The principal guide in determining what facts
may be assumed to be judicially known is that
of notoriety. Hence, it can be said that judicial
notice is limited to facts evidenced by public
records and facts of general notoriety.
Judicially noticed fact must be one not subject
to a reasonable dispute in that it is either:
a. a. Generally known within the territorial
jurisdiction of the trial court; or,
b. b. Capable of accurate and ready
determination by resorting to sources whose
accuracy cannot reasonably be questionable
(Expertravel& Tours, Inc. v. CA, G.R. No. 152392,
May 26, 2005).
Judicial Notice of Records of Another Case
General Rule: Courts should not take judicial
notice of the evidence presented in other
proceedings, even if these have been tried or
are pending in the same court or have been
heard and are actually pending before the same
 Purple Notes
judge (People vs. Kulais, G.R. No. 100901-08, July
16, 1998).
Exceptions:
1. When, with the knowledge of, and absent any
objection from, the opposing party, reference is
made to it for that purpose by name and
number or in some other manner by which it is
sufficiently designated; or
1. When, with the knowledge of, and absent
any objection from, the opposing party,
reference is made to it for that purpose by
name and number or in some other manner
by which it is sufficiently designated; or
2. 2. When the original record of the former
case or any part of it is actually withdrawn
from the archives by the court’s direction at
the request or with the consent of the parties
and admitted as a part of the record of the
case then pending(Republic vs. Sandiganbayan
G.R. No. 152375, December 13, 2011).
Criminal
Remedial
e) When the action is closely interrelated to
another case pending between the same
parties;
f) Where there is finality of a judgment in
another case that was previously pending
determination and therefore, res judicata
(Herrera, 1999);
g.) Where the interest of the public in ascertain
the truth are of paramount importance.
g) Where the interest of the public in
ascertaining the truth are of paramount
importance.
Note: The appreciation of one judge of the
testimony of a certain witness is not binding on
another judge who heard the testimony of the
same witness on the same matter. Each
magistrate who hears the testimony of a witness
is called upon to make his own appreciation of
the evidence (People v. Langit, G.R. Nos. 134757-
58, August 4, 2000).

Judicial notice of foreign laws

General Rule:Courts cannot take judicial notice

of foreign laws. They must be alleged and
proved.
8.B.2.c.When Hearing is Necessary
Exceptions:
During the Pre-Trial Before Judgment or
and the Trial on Appeal
The court, motu proprio General Rule: The court
a) When the representations of the parties in
or upon motion, shall CANNOT take judicial
action in regard to the foreign laws hear the parties on the notice of any matter.
constitute admissions of fact which the other propriety of taking
parties and the Court are being made to rely judicial notice of any Exception: the court,
and act upon; matter. motu proprio or upon
b) When the foreign laws are well and generally motion, may take judicial
known; or notice of any matter and
c) When the foreign laws have been actually shall hear the parties
ruled upon in other cases before it and none thereon if such matter
isdecisive of a material
of the parties claim otherwise (PCIB v. Escolin,
issue in the case.
G.R. Nos. L-27860 L-278896, March 29, 1974);
(Rule 129, Sec. 3, as amended)
d) When the foreign law is part of a published
treatise, periodical or pamphlet and the
writer is recognized in his profession or Hence, the court can take judicial notice of any
calling as expert in the subject, the court, it matter during [the pre-trial and] the trial as long
is submitted, may take judicial notice of the as there is a hearing. If trial is already over, the
treatise containing the foreign law (Rule 130, court can take judicial notice only of matters
Sec. 48, as amended); decisive of a material issue in the case as long
asBar Operations
there is a hearing (Francisco, p. 88).
Commissions 611
611

Court’s Own Acts and Records
 A court will take judicial notice of its own
acts and records in the same case, of facts
established in prior proceedings in the
same case, of the authenticity of its own
records of another case between the same
parties, of the files of related cases in the
same court, and of public records on file in
the same court (Republic vs. Court of Appeals,
G.R. No. 119288, August 18, 1997).
Mandatory vs. Discretionary Judicial
Notice
Mandatory Judicial Discretionary Judicial
Notice Notice
Court is compelled to Court is not compelled to
take judicial notice take judicial notice
Takes place at court’s May be at court’s own
initiative initiative or on request of
a party
No motion or hearing Needs hearing
presentation of evidence.
8.B.3. JUDICIAL ADMISSIONS
An admission, oral or written, made by a party
in the course of the proceedings in the same
case, does not require proof. The admission
may be contradicted only by showing that it was
through palpable mistake or that the imputed
admission was not, in fact, made (Rule 129, Sec.
4, as amended).
General Rule: A judicial admission is
conclusive upon the party making it and does
not require proof.
Exceptions:
 Upon showing that the admission was made
through palpable mistake; or
 Upon showing that the imputed admission
was not, in fact, made(Rule 129, Sec. 4, as
amended).
Elements of Judicial Admission (PC-OW)
612
1. The admission must be made by a Party to
the case.
Note: Admissions of a non-party do NOT fall
within the definition of Rule 129, Sec 4.
2. The admission, to be judicial, must be made
in the course of the proceedings in the Same
case.
General Rule: Judicial admissions should be
made in the same case.
Exception: Where there is identity of parties
in interest (Republic Glass vs. Qua, G.R. No.
144413, July 30, 2004 ).
3. An admission may either be Oral or Written.
Note: There is no particular form for an
admission
and  It is settled that judicial admissions may be
made: (a) in the pleadings filed by the
parties; (b) in the course of the trial either by
verbal or written manifestations or
stipulations; or (c) in other stages of judicial
proceedings, as in the pre-trial of the case.
Thus, facts pleaded in the petition and
answer, as in the case at bar, are deemed
admissions of petitioner and respondents,
respectively, who are not permitted to
contradict them or subsequently take a
position contrary to or inconsistent with such
admissions (Republic vs. Sandiganbayan, G.R.
No. 152154, July 15, 2003).

A written statement is nonetheless
competent as an admission even if it is
contained in a document which is not in itself
effective for the purpose for which it is
made, either by reason of illegality, or
incompetency of a party thereto, or by
reason of not being signed, executed or
delivered. Accordingly, contracts have been
held as competent evidence of admissions,
although they may be unenforceable
(Republic of the Philippines vs. Sandiganbayan,
G.R. No. 152154, July 15, 2003).

 Once the stipulations are reduced into
writing and signed by the parties and their
counsels, they become binding on the
 Purple Notes
parties who made them. They become
judicial admissions of the fact or facts
stipulated.29 Even if placed at a
disadvantageous position, a party may not
be allowed to rescind them unilaterally; it
must assume the consequences of the
disadvantage. (Bayas vs. Sandiganbayan, G.R.
Nos. 143689-91, November 12, 2002)
 cease to be judicial admissions. While they
 The rule is that the testimony on the
witness stand partakes of the nature of a
formal judicial admission when a party
testifies clearly and unequivocally to a fact
which is peculiarly within his own
knowledge (Republic of the Philippines vs.
Sandiganbayan, G.R. No. 152154, July 15,
2003).
Admission and Confession
Admission is an act, declaration or omission of
a party as to a relevant fact(Rule 130, Sec. 27).
Confession is a categorical acknowledgement
of guilt made by an accused of the offense
charged or any offense necessarily included
therein(Rule 130, Sec. 34).
Instances of Judicial Admissions
1. Admissions made in the course of the
proceedings (Rule 129, Sec. 4).
2. The genuineness and due execution of an
actionable document copied or attached to a
pleading, when the other party fails to
specifically deny under oath (Rule 8, Sec. 8, as
amended);
3. Material averments in a pleading asserting a
claim or claims, when not specifically denied
(Rule 8, Sec. 11, as amended);
4. Negative Pregnant Denial;
Note: A defense is considered a negative
pregnant when it contains a denial pregnant
with an admission of the substantial facts
alleged in the pleading. Where a fact is
alleged with qualifying or modifying language
and the words of the allegation as so
qualified or modified are literally denied, it
has been held that the qualifying
circumstances alone are denied while the
fact itself is admitted (Republic of the
Criminal
Remedial
Philippines vs. Sandiganbayan, G.R. No. 152154,
July 15, 2003).
5. Admissions in amended pleadings (Rule 10,
Sec. 8, as amended);
Note: Admissions in the superseded
pleading disappear from the record and
may nonetheless be utilized against the
pleader as extra-judicial admissions, they
must, in order to have such effect, be
formally offered in evidence (Director of Lands
vs. CA, G.R. No. L-31408, April 22, 1991).
6. Admissions made by counsel;
General Rule: The statements of counsel
made in open court during the hearing in his
capacity as counsel of record of a party is
deemed to be in the nature of judicial
admission made by him on behalf of his
client (SURICON vs. PLASLU, G.R. No. L-22970,
June 9, 1969).
Exceptions:
a. Upon showing that the admissions had
been made through palpable mistake;
b. Unauthorized admissions during the pre-
trial made by counsel should not bind the
client (Macaraeg vs. CA, G.R. No. L-48008,
January 20, 1989);
c. An admission which operates as a waiver,
surrender, or destruction of the client’s
cause is beyond the scope of the
attorney’s implied authority (People vs.
Hermanes, G.R. No. 139416, March 12, 2002).
7. Admissions obtained through depositions,
written interrogatories or requests for
admissions (Rules 23-26, as amended).
8.B.3.a. Effect of judicial admissions
General Rule: A judicial admission is
conclusive upon the party making it and does
not require proof.
Bar Operations
Exceptions:
Commissions 613
613
 Must be offered in Need not be offered in
a) Upon showing that the admission was made evidence in order to be evidence since they
through palpable mistake; or considered by the court. already form part of the
b) Upon showing that the imputed admission records.
May be given in evidence Not only is it evidence
was not, in fact, made (Rule 129, Sec. 4, as
against the admitter. against the admitter but
amended).
is binding upon him.
May be contradicted by May not be contradicted
8.B.3.b. How judicial admissions may be the admitter. by the admitter except
contradicted upon showing that the
admission was made
a) Upon showing that the admission was made through palpable mistake
through palpable mistake; or or that the imputed
b) Upon showing that the imputed admission admission was not, in
was not, in fact, made (Rule 129, Sec. 4, as fact, made.
amended). (Riguera)

Judicial Admissions in Pleadings Later Self-serving Rule

Amended
In civil cases, an amended pleading becomes a
judicial admission; and the contents of the
pleading it amended which are not included in
the amended pleading becomes extra-judicial
admissions which must be offered in evidence
for it to be considered by the trial court (Ching
vs. Court of Appeals, G.R. No. 110844, April 27,
2000).
1) It prohibits the admission of declaration of a
witness in his favor.
2) It applies only to extra-judicial admission
and not to those made in open court. The
admission made in open court is admissible
because the witness may be cross-examined
on the matter. It is however up to the court
to appreciate the same.

General Rule: Judicial admissions made in one 8.b.3c. Pre-Trial Admissions

case are admissible at the trial of another case
provided they are proved and are pertinent to Pre-Trial Admissions in Civil Cases
the issue involved in the latter.
The parties shall file with the court and serve on
Exceptions: the adverse party, in such manner as shall
ensure their receipt thereof at least three (3)
a) The said admissions were made only for calendar days before the date of the pre-trial,
purposes of the first case, as in the rule of their respective pre-trial briefs which shall
implied admissions and their effects under contain, among others, A summary of admitted
Rule 26; facts and proposed stipulation of facts [Rule 18,
b) The same were withdrawn with the Sec. 6(b), as amended].
permission of the court therein; or
c) The court deems it proper to relieve the The contents of the pre-trial order shall control
party therefrom. the subsequent proceedings, unless modified
before trial to prevent manifest injustice (Rule
18, Sec. 7, as amended).
Extrajudicial Admission and Judicial
The Pre-trial order shall include an enumeration
Admission, Distinguished
of the admitted facts [Rule 18, Sec. 7(a), as
amended].
Extrajudicial Judicial
Admission Admission
Should there be no more controverted facts, or
Made outside of the Made in the course of the
proceedings in the same proceedings in the same
no more genuine issue as to any material fact,
case. case. or an absence of any issue, or should the

614
 Purple Notes
answer fail to tender an issue, the court shall,
without prejudice to a party moving for
judgment on the pleadings under Rule 34 or
summary judgment under Rule 35, motu proprio
include in the pre-trial order that the case be
submitted for summary judgment or judgment
on the pleadings, without need of position
papers or memoranda(Rule 18. Sec. 10). (n)
Pre-Trial Admissions in Criminal Cases
All agreements or admissions made or entered
during the pre-trial conference shall be reduced
in writing and signed by the accused and
counsel, otherwise, they cannot be used against
the accused(Rule 118, Sec. 2).
8.C. OBJECT (REAL) EVIDENCE
Note: Professor Wigmore adopted the term
“autoptic preference” to describe evidence
presented directly to the senses of the tribunal.
Objects as evidence are those addressed to the
senses of the court. When an object is relevant
to the fact in issue, it may be exhibited to,
examined or viewed by the court (Rule 130, Sec.
1).
It is not limited to the view of an object. It
covers the entire range of human senses:
hearing, taste, smell, and touch (Riano, 2016).
Physical evidence is a mute but eloquent
manifestation of truth and it ranks high in our
hierarchy of trustworthy evidence- where
physical evidence runs counter to testimonial
evidence, the physical evidence should prevail
(Bank of the Philippine Islands vs. Reyes, G.R. No.
149840-41, March 31, 2006).
 The circumstances of force and intimidation
attending the instant case were manifested
clearly not only in the victim's testimony but
also in the physical evidence presented
during the trial consisting of her torn dress
and underwear as well as the medico-legal
report. Such pieces of evidence indeed are
more eloquent than a hundred witnesses
(People of the Philippines vs. Ulzoron, G.R. No.
121979, March 2, 1998).
Criminal
Remedial
8.C.1. NATURE OF OBJECT EVIDENCE
Object evidence refers to those which are
addressed to the senses of the court and is not
limited to the view of an object but also to
visual, auditory, tactile, gustatory and olfactory
perception.
Note: Documents are object (real) evidence if
the purpose is to prove their existence or
condition, or the nature of the handwriting
thereon, or to determine the age of the paper
used, or the blemishes or alterations thereon, as
where falsification is alleged (Regalado, 2008).
Examples of Object Evidence
1. 1. Any article or object which may be known
or perceived using the senses;
2. 2. Examination of the anatomy of a person or
of anysubstance taken therefrom;
 A person's appearance, where relevant,
is admissible as object evidence, the
same being addressed to the senses of
the court. A person's appearance, as
evidence of age (for example, of
infancy, or of being under the age of
consent to intercourse), is usually
regarded as relevant; and, if so, the
tribunal may properly observe the
person brought before it (People vs.
Rullepa, G.R. No. 131516, March 5, 2003) .

 The right against self-incrimination is
simply a prohibition against legal
process to extract from the accused's
own lips, against his will, admission of
his guilt. It CANNOT be invoked against
object evidence (People v. Malimit, G.R.
No. 109775, November 14, 1996).
3. 3. Conduct of tests, demonstrations or
experiments;
4. 4. Examination of representative portrayals
of the object in question (e.g. maps,
diagrams);
5. 5. Documents, if the purpose is to prove their
existence or condition, or the nature of the
handwriting thereon or to determine the age
of the paper used, or the blemishes or
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alterations (Regalado, 2008);and
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6. 6. A person’s appearance, where relevant
(People v. Rullepa, G.R. No. 131516, March 5,
2003).
 When the trier of facts observes the
appearance of a person to ascertain his
or her age, he is not taking judicial
notice of such fact; rather, he is
conducting an examination of the
evidence, the evidence being the
appearance of the person. Such a
process militates against the very
concept of judicial notice, the object of
which is to do away with the
presentation of evidence. This is not to
say that the process is not sanctioned
by the Rules of Court; on the contrary, it
does. A person's appearance, where
relevant, is admissible as object
evidence, the same being addressed to
the senses of the court (People of the
Philippines vs. Rullepa, G.R. No. 131516,
March 5, 2003).
8.C.2. REQUISITES FOR ADMISSIBILITY
1) Relevant;
2) Competent;
3) Identified;
4) Authenticated;
5) Duly Marked;
6) Formally Offered
Notes:
 Identification, authentication, and marking
are not required in Testimonial Evidence.
 Every pleading stating a party’s claims or
defenses shall, in addition to those
mandated by Section 2, Rule 7, state the
documentary and object evidence in support
of the allegations contained in the pleading
(Rule 7, Sec. 6, as amended). (n)
Witness Needed
For the object not to be excluded by the Rules,
the same must be authenticated.
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To authenticate the object, there must be
someone who should identify the object to be
the actual thing involved in the litigation. This
someone is the witness.
It must be emphasized that every evidence,
whether it be a document or an object, needs a
witness.Even object evidence requires
statements from a witness to make its way into
the realm of admissible evidence.
Testimonial evidence provides the foundation for
all types of evidence. This is a very basic rule.
8.C.3. CATEGORIES OF OBJECT EVIDENCE
1. 1. Direct Evidence –Can prove directly the
fact for which it is offered.
2. 2.Circumstantial Evidence - Facts about
the object are proved as the basis for an
inference that other facts are true.
Demonstrative Evidence - tangible evidence
that merely illustrate a matter of importance in
the litigation.
It is NOT the actual thing, rather it represents or
“demonstrates” the real thing. It is not strictly
“real” evidence because it is not the very thing
involved in the case.
Note:Photographs, when offered as proof of
their contents, are considered documentary
evidence. The term “photographs” include still
pictures, drawings, stored images, x-ray films,
motion pictures or videos(Rule 130, Sec. 2, as
amended).
Demonstrative
Real Evidence
Evidence
Tangible object that Tangible evidence that
played some actual role merely illustrate a
in the matter that gave matter of importance in
rise to the litigation. the litigation.
View of an Object or Scene
When an object is relevant to the fact in issue, it
may be exhibited to, examined or viewed by the
court.Court has an inherent power to order view
when there is a need to do so (Rule 130, Sec. 1).
 Purple Notes
Inspection may be made inside or outside the
courtroom. An inspection outside should be
made in the presence of the parties or at least
with the previous notice to them (In: Re Climaco,
A.C. No. 134-J (1974); Riano, citing Moran).
Categories of object evidence for purposes
of authentication
1. Unique objects– Those that have readily
identifiable marks (e.g. a caliber 40 gun with
serialnumber XXX888);
2. Objects made unique– Those that are
made readily identifiable (e.g.a bolo knife with
identifying marks on it); and
3. Non-unique objects– Those which have
noidentifying marks and cannot be marked
(e.g.drops of blood) (Riano, 2016).
NOTE: In case of non-unique objects, the
proponent of the evidence must establish the
chain of custody.
8.C.4. CHAIN OF CUSTODY IN RELATION
TO SECTION 21 OF THE COMPREHENSIVE
DANGEROUS DRUGS
“Chain of Custody” means the duly recorded
authorized movements and custody of seized
drugs or controlled chemicals or plant sources of
dangerous drugs or laboratory equipment of
each stage, from the time of
seizure/confiscation to receipt in the forensic
laboratory to safekeeping to presentation in
court for destruction. Such record of movements
and custody of seized item shall include the
identity and signature of the person who held
temporary custody of the seized item, the date
and time when such transfer of custody were
made in the course of safekeeping and use in
court as evidence, and the final
disposition[People vs.Moner, G.R. No. 202206,
March 5, 2018, citing Section 1(b) of DDB Regulation
No. 1, Series of 2002].
Note:Sec. 21 of R.A. No. 9165and its
Implementing Rules and Regulations providefor
the meticulous requirement as to the chain of
custody of seized drugs and paraphernalia.
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Remedial
The teaching consistently upheld in our
jurisdiction is that in all prosecutions for
violations of R.A. No. 9165, the corpus delicti is
the dangerous drug itself, the existence of
which is essential to a judgment of conviction;
thus, its identity must be clearly established.
The prosecution must be able to account for
each link in the chain of custody over the
dangerous drug from the moment of seizure up
to its presentation in court as evidence of the
corpus delicti(People vs. Lumagui, G.R. No. 224293,
July 23, 2018).
Purpose:The function of the chain of custody
requirement is to ensure that the integrity and
evidentiary value of the seized items are
preserved, so much so that unnecessary doubts
as to the identity of the evidence are
removed(People vs. Langcua, G.R. No. 190343,
February 06, 2013).
Links in the Chain of Custody
Since it is called a chain, there must be links to
the chain. The links are the people who actually
handled or had custody ofthe object. Each link
must show how he received the object, how he
handled it to prevent substitution and how it
wastransferred to another. Each must testify to
make thefoundation complete.
The chain of custody of the dangerous drugs
has been jurisprudentially established as
follows:
First, the seizure and marking, if practicable, of
the illegal drug recovered from the accused;
Note:The apprehending team having initial
custody and control of the drugs shall,
immediately after seizure and confiscation,
physically inventory and photograph the
same in the presence of: (DAME)
 the Accused or his counsel,
 a representative from the Media,
 a representative from the DOJ, and
 any Elected public official who shall be
Bar required toOperations
sign the copies of
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 the inventory and be given a copy
thereof[R.A. No. 9165, Sec. 21(1)].
"Marking" means the apprehending officer or
the poseur-buyer places his/her initials and
signature on the seized item. The marking of
the evidence serves to separate the marked
evidence from the corpus of all other similar
or related evidence from the time they are
seized from the accused until they are
disposed of at the end of the criminal
proceedings, thus, preventing switching,
planting or contamination of evidence(People
of the Philippines vs. Omamos,G.R. No. 223036,
July 10, 2019).
Second, the turnover of the illegal drug by the
apprehending officer to the investigating officer;
Third, the turnover by the investigating officer
to the forensic chemist for laboratory
examination; and
Fourth, the turnover and submission of the
marked illegal drug by the forensic chemist to
court (People vs. Lumagui, G.R. No. 224293, July 23,
2018).
 The failure of the arresting officers to
prepare the required inventory and
photograph of the seized dangerous drug
militated against the guilt of an accused. For
under these circumstances, the integrity and
evidentiary value of the corpus delicti
cannot be deemed to have been
preserved(People of the Philippines vs.
Omamos, G.R. No. 223036, July 10, 2019).
 information directly generated from DNA testing
 Generally, non-compliance with the chain of
custody rule results to the acquittal of the
accused, for it compromises the identity and
integrity of the corpus delicti. The exception
is whenever compelling reasons exist that
would otherwise warrant deviation from the
established protocol so long as the integrity
and evidentiary value of the seized items
are properly preserved(Ibid.).
 17, 2007).
 The amendment under R.A. No. 10640 uses
the disjunctive "or," i.e., "with an elected
public official and a representative of the
National Prosecution Service or the media."
Thus, a representative from the media and
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a representative from the
NationalProsecution Service are now
alternatives to each other(People of the
Philippins vs. Alibudbud, G.R. No. 237850,
September 16, 2020).

 Jurisprudence has consistently held that in
the seizure and confiscation of seized drugs
in the implementation of a search warrant,
the Court religiously applies Sec. 21 of R.A.
No. 9165, as amended, including the
mandatory presence of the required
witnesses during the physical inventory and
taking of photographs of the seized drugs,
and the preservation of the integrity and
evidentiary value of the same in applying
the saving clause under the IRR (Tumabini vs.
People of the Philippines, G.R. No. 224495,
February 19, 2020).
8.C.5. DNA EVIDENCE (A.M. No. 06-11-5-SC,
October 2, 2007)
8.C.5.a. Meaning of DNA
“DNA” means deoxyribonucleic acid, which is
the chain of molecules found in every nucleated
cell of the body. The totality of an individual’s
DNA is unique for the individual, except identical
twins.
“DNA evidence” constitutes the totality of the
DNA profiles, results and other genetic
of biological samples.
 Biological sample is any organic
material originating from a person’s body,
even if found in inanimate objects, that is
susceptible to DNA testing. This includes
blood, saliva, and other body fluids,
tissues, hairs and bones (Estate of Rogelio
G. Ong vs. Diaz, G.R. No. 171713, December
“DNA profile” means genetic information
derived from DNA testing of a biological sample
obtained from a person, which biological sample
 Purple Notes
is clearly identifiable as originating from that
person.
“DNA testing” means verified and credible
scientific methods which include the extraction
of DNA from biological samples, the generation
of DNA profiles and the comparison of the
information obtained from the DNA testing of
biological samples for the purpose of
determining, with reasonable certainty, whether
or not the DNA obtained from two or more
distinct biological samples originates from the
same person (direct identification) or if the
biological samples originate from related
persons (kinship analysis)(A.M. No. 06-11-5-SC,
Sec.3).
 In case proof of filiation or paternity
would be unlikely to satisfactorily
establish or would be difficult to obtain,
DNA testing, which examines genetic
codes obtained from body cells of the
illegitimate child and any physical residue
of the long dead parent could be resorted
to (Tecson vs. Commission on Elections, G.R.
No. 161434, March 3, 2004). Stated
differently, even if the putative parent
had already died, any of the biological
samples, as may be available, may be
used for DNA testing.
8.C.5.b. Application for DNA testing order
The appropriate court may, at any time, either
motu proprio or on application of any person
who has a legal interest in the matter in
litigation, order a DNA testing.
Such order shall issue after due hearing and
notice to the parties upon a showing of the
following:
1. A biological sample exists that is relevant to
the case;
2. The biological sample:
a) was not previously subjected to the type
of DNA testing now requested; or
b) was previously subjected to DNA testing,
but the results may require confirmation
for good reasons;
3. The DNA testing uses a scientifically valid
technique;
Criminal
Remedial
4. The DNA testing has the scientific potential
to produce new information that is relevant
to the proper resolution of the case; and
5. The existence of other factors, if any, which
the court may consider as potentially
affecting the accuracy of integrity of the DNA
testing.
This shall not preclude a DNA testing, without
need of a prior court order, at the request of
any party, including law enforcement agencies,
before a suit or proceeding is commenced (A.M.
No. 06-11-5-SC, Sec.4).
Note: A court order is not always required
before undertaking a DNA testing. The last
paragraph of Sec. 4 allows a testing without a
prior court order, if done before a suit or
proceeding is commenced, at the request of any
party, including law enforcement agencies
(Riano).
The grant of DNA testing application shall not be
construed as an automatic admission into
evidence of any component of the DNA evidence
that may be obtained as a result thereof (A.M.
No. 06-11-5-SC, Sec. 5).
Remedies against an order granting DNA
testing
An order granting the DNA testing shall be
immediately executory and shall not be
appealable.
Any petition for certiorari initiated therefrom
shall not, in any way, stay the implementation
thereof, unless a higher court issues an
injunctive order(A.M. No. 06-11-5-SC, Sec. 5).
8.C.5.c.Post-conviction DNA testing;
remedy
Post-conviction DNA testing may be available,
without need of prior court order, to the
prosecution or any person convicted by final and
executory judgment provided that:(ERP)
1. A biological sample Exists;
2. Such sample is Relevant to the case; and
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3. 3. The testing would Probably result in the
reversal or modification of the judgment of
conviction.
Confidentiality: DNA profiles and all results or
other information obtained from DNA testing
shall be confidential.
General Rule:
A DNA profile and all results or other
information obtained from DNA testing shall only
be released to any of the following, under such
terms and conditions as may be set forth by the
court:
1. Person from whom the sample was taken;
2. Lawyers representing parties in the case or
action where the DNA evidence is offered
and presented or sought to be offered and
presented;
3. Lawyers of private complainants in a criminal
action;
4. Duly authorized law enforcement agencies;
and
5. Other persons as determined by the court.
Exception: Unless the court orders the
disclosure to some other entities (A.M. No. 06-11-
5-SC, Sec. 11).
Remedy if the Results Are Favorable to the
Convict
The convict or the prosecution may file a
petition for a writ of habeas corpus in the court
of origin if the results of the post-conviction
DNA testing are favorable to the convict. In the
case the court, after due hearing finds the
petition to be meritorious, if shall reverse or
modify the judgment of conviction and order the
release of the convict, unless continued
detention is justified for a lawful cause.
A similar petition may be filed either in the Court
of Appeals or the Supreme Court, or with any
member of said courts, which may conduct a
hearing thereon or remand the petition to the
court of origin and issue the appropriate
orders(A.M. No. 06-11-5-SC, Sec. 10).
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8.C.5.d. Assessment of probative value of
DNA evidence and admissibility
In assessing the probative value of the DNA
evidence presented, the court shall consider the
following:
 The chain of custody, including how the
biological samples were collected, how they
were handled, and the possibility of
contamination of the samples;
 The DNA testing methodology, including the
procedure followed in analyzing the samples,
the advantages and disadvantages of the
procedure, and compliance with the
scientifically valid standards in conducting
the tests;
 The forensic DNA laboratory, including
accreditation by any reputable standards-
setting institution and the qualification of the
analyst who conducted the tests. If the
laboratory is not accredited, the relevant
experience of the laboratory in forensic
casework and credibility shall be properly
established; and
 The reliability of the testing result.
Note: The provisions of the Rules of Court
concerning the appreciation of evidence shall
apply suppletorily (A.M. No. 06-11-5-SC, Sec. 7).
8.C.5.e.Rules on evaluation of reliability of
the DNA testing methodology
In evaluating whether the DNA testing
methodology is reliable, the court shall consider
the following:
 The falsifiability of the principles or methods
used, that is, whether the theory or
technique can be and has been tested;
 The subjection to peer review and
publication of the principles or methods;
 The general acceptance of the principles or
methods by the relevant scientific
community;
 The existence and maintenance of standards
and controls to ensure the correctness of
data generated;
 The existence of an appropriate reference
population database; and
 Purple Notes
 The general degree of confidence attributed
to mathematical calculations used in
comparing DNA profiles and the significance
and limitation of statistical calculations used
in comparing DNA profiles(A.M. No. 06-11-5-
SC, Sec. 8).
8.D. DOCUMENTARY EVIDENCE
8.D.1. MEANING OF DOCUMENTARY
EVIDENCE
Documentary evidenceconsists of writings,
recordings, photographs or any material
containing letters, words, sounds, numbers,
figures, symbols, or their equivalent, or other
modes of written expression offered as proof of
their contents.
Photographs include still pictures, drawings,
stored images, x-ray films, motion pictures or
videos (Rule 130, Sec. 2, as amended). (n)
Criminal
Remedial
 While baptismal certificates may be
considered public documents, they can only
serve as evidence of the administration of
the sacraments on the dates so specified.
They are not necessarily competent
evidence of the veracity of entries therein
with respect to the child’s paternity (Salas vs.
Matusalem, G.R. No. 180284, September 11,
2013).

 A certificate of live birth purportedly
identifying the putative father is not
competent evidence of paternity when there
is no showing that the putative father had a
hand in the preparation of the certificate.
The local civil registrar has no authority to
record the paternity of an illegitimate child
on the information of a third person (Puno
vs. Puno Enterprise Inc., G.R. No. 177066,
September 11, 2009).

Any object or material having any matter

expressed or described upon it by marks 8.D.3. ORIGINAL DOCUMENT RULE
capable of being read. (Formerly known as the “Best Evidence Rule”)

Note: A document may be offered as object General Rule: When the subject of inquiry is
evidence or documentary evidence depending the contents of a document, writing, recording,
on the purpose for which it is presented in photograph or other record, no evidence is
court. It is object evidence if the purpose of its admissible other than the original document
presentation is to prove its existence. In itself.
contrast, it is documentary evidence if the
purpose is to prove the contents of the  The [Original Document] Rule stipulates
document. that in proving the terms of a written
document the original of the document
8.D.2 REQUISITES FOR ADMISSIBILITY must be produced in court. When the
evidence sought to be introduced
a) Relevant concerns external facts, such as the
b) Competent existence, execution or delivery of the
c) Identified Not present in writing, without reference to its terms,
d) Authenticated Testimonial the [Original Document] Rule cannot be
e) Duly Marked; and Evidence invoked. In such a case, secondary
f) Formally Offered evidence may be admitted even without
accounting for the original(Heirs of
Rules in Documentary Evidence Margarita Prodon vs. Heirs of Maximo S.
Alvarez and Valentina Clave, G.R. No. 170604,
September 2, 2013).
1) Original Document Rule
2) Parol Evidence Rule
Exceptions: (CLAP-N)
3) Electronic Evidence Rule
1.Bar
When the original has been Lost or
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destroyed, or cannot be produced in
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 court, without bad faith on the part of the
offeror;
Laying the Foundation
When the original document has been lost or
destroyed, or cannot be produced in court,
the offeror must prove the following: (ELR)
a. Existence or due execution of the original;
b. Loss and destruction of the original or the
reason for its non-production in court,
without bad faith on the part of the
offeror (Rule 130, Sec. 5); and
c. Reasonable diligence and good faith on
the part of the offeror in the search for or
attempt to produce the originals (Citibank
vs. Teodoro, G.R. No. 150905, September 23,
2003).
The offeror may prove the contents on the
original document: (CRT)
i. By a Copy of the original;
ii. By a Recital of its contents in some
authentic document; or
iii. By the Testimony of a witnesses (Rule
130, Sec. 5).
Note: The order stated must be followed.
2. When the original is in the Custody or under
the control of the party against whom the
evidence is offered, and the latter fails to
produce it after reasonable notice, or the
original cannot be obtained by local judicial
processes or procedures;
Laying the Foundation
If the document is in the custody or under
the control of adverse party, the offeror must
prove the following: (PERF)
a. Existence of the original;
b. Possession of the original by the adverse
party;
c. Reasonable notice to produce to the
adverse party; and
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d. Failure of the adverse party to produce
the original despite such notice (Rule 130,
Sec. 6).
Note: The non-production by the accused of
the original document unless justified under
the exceptions in Section [3], Rule 130 of the
Rules of Court, gives rise to the presumption
of suppression of evidence adverse to him
(Vallarta vs. CA, G.R. No. L-36543, July 27, 1988).
3. When the original consists of numerous
Accounts or other documents which cannot
be examined in court without great loss of
time and the fact sought to be established
from them is only the general result of the
whole;
Note: When the contents of documents,
records, photographs, or numerous accounts
are voluminous and cannot be examined in
court without great loss of time, and the fact
sought to be established is only the general
result of the whole, the contents of such
evidence may be presented in the form of a
chart, summary, or calculation.
The originals shall be available for
examination or copying, or both, by the
adverse party at a reasonable time and
place. The court may order that they be
produced in court (Rule 130, Sec. 7). (n)
Laying the Foundation
a. When the contents of documents,
records, photographs, or numerous
accounts are voluminous;
b. Such account or documents cannot be
examined in court without great loss of
time; and
c. The fact sought to be established is only
the general result of the whole.
4. When the original is a Public record in the
custody of a public officer or is recorded in a
public office; and
Note: When the original of document is in
the custody of public officer or is recorded in
a public office, its contents may be proved by
 Purple Notes
a certified copy issued by the public officer in
custody thereof (Rule 130, Sec. 8, as amended).
5. When the original is Not closely-related to a
controlling issue (Rule 130, Sec. 3).(n)
Purposes:
1. To prevent fraud – If a party is in
possession of such evidence and withholds it,
and seeks to substitute inferior evidence in
its place, the presumption naturally arises
that the better evidence is withheld for
fraudulent purposes which its production
would expose and defeat.
2. To exclude uncertainties in the
contents of a document – the best
evidence rule accepts the document itself as
the best evidence of its contents because it is
certain; and rejects a copy thereof, because
of the uncertainty of its contents caused by
the hazards of faulty duplication, or an oral
description thereof, because of the
uncertainty caused by the frailties of human
recollection.
The primary purpose of the [Original Document]
Rule is to ensure that the exact contents of a
writing are brought before the court,
considering that (a) the precision in presenting
to the court the exact words of the writing is of
more than average importance, particularly as
respects operative or dispositive instruments,
because a slight variation in words may mean a
great difference in rights; (b) there is a
substantial hazard of inaccuracy in the human
process of making a copy by handwriting or
typewriting; and (c) as respects oral testimony
purporting to give from memory the terms of a
writing, there is a special risk of error, greater
than in the case of attempts at describing other
situations generally. The rule further acts as an
insurance against fraud (Heirs of Margarita Prodon
vs. Heirs of Maximo S. Alvarez and Valentina Clave,
G.R. No. 170604, September 2, 2013).
8.D.3.a. Meaning of Original Document
Rule
Under the Original Document Rule which
requires that the highest available degree of
Criminal
Remedial
proof must be produced, no evidence which is
merely substitutionary in its nature shall be
received so long as the original evidence can be
had. In other words, the contents of a
document must be proved by producing the
document itself (ANNOTATION: Admissibility of
Documentary Evidence, 241 SCRA 225, February 09,
1995).
8.D.3.b. When not applicable
When Original Document Rule does NOT
apply:
The [Original Document Rule] applies only when
the content of such document is the subject of
the inquiry.
Where the issue is only as to whether such
document was actually executed, or exists, or
on the circumstances relevant to or surrounding
its execution, the best evidence rule does not
apply and testimonial evidence is admissible.
Any other substitutionary evidence is likewise
admissible without need for accounting for the
original(Citibank, N.A. vs. Sabeniano, G.R. No.
156132, October 12, 2006).
 The [original document] rule does NOT
apply to the marked money in a buy bust
operation because the inquiry is not on the
contents of the marked bill, but merely its
existence (People vs. Tandoy, G.R. No. 80505,
December 4, 1990).
Waiver of the Original Document Rule
 The [original document] rule may be
waived if not raised in the trial. In one
case, although the marriage certificate, the
marriage license, and other pieces of
documentary evidence were only
photocopies, the fact that these have been
examined and admitted by the trial court,
with no objections having been made as to
their authenticity and due execution, means
that these documents are deemed
sufficient proof of the facts contained
therein (Sy vs. Court of Appeals, 330 SCRA
550).
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8.D.3.c. Meaning of Original Document and
Duplicate
An Original Documentrefers to:
a) The document itself; or
b) Any counterpart intended to have the same
effect by a person executing or issuing it.
An original of a photograph includes:
a) The negative; or
b) Any print therefrom.
If data is stored in a computer or similar
device, any printout or other output readable by
sight or other means, shown to reflect the data
accurately, is an original[Rule 130, Sec. 4(a)]. (n)
 A facsimile transmission is not the
functional equivalent of an original under
the Best Evidence Rule. In an ordinary
facsimile transmission, there exists an
original paper-based information or data
that is scanned, sent through a phone line,
and re-printed at the receiving end(MCC
Industrial Sales Corporation vs. Ssangyong
Corporation, G.R. No. 170633, October 17,
2007).
A Duplicate is a counterpart produced:
(IMPRRO)
 By the same Impression as the original;
 From the same Matrix
 By means of Photography, including
enlargementsand miniatures;
 By mechanical or electronic Re-recording;
 By chemical Reproduction; or
 By Other equivalent techniques which
accurately reproduce the original [Rule 130,
Sec. 4(b)].
General Rule: A duplicate is admissible to the
same extent as an original.
Exceptions:
a.) a) When a genuine question is raised as to
the authenticity of the original, or
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b.) b) In the circumstances, it is unjust or
inequitable to admit the duplicate in lieu of
the original[Rule 130, Sec. 4(c)].
 When carbon sheets are inserted between
two or more sheets of writing paper so that
the writing of a contract upon the outside
sheet, including the signature of the party
to be charged thereby, produces facsimile
upon the sheets beneath, such signature
being thus reproduced by the same stroke
of the pen which made the surface or
exposed impression, all of the sheets so
written on are regarded as duplicate
originals and either of them may be
introduced in evidence as such without
accounting for the non-production of the
others (People of the Philippines vs. Tan, G.R.
No. L-14257, July 31, 1959).
 While we generally admit in evidence and
give probative value to photocopied
documents in administrative proceedings,
allegations of forgery and fabrication should
prompt the adverse party to present the
original documents for inspection. It was
incumbent upon the respondents to present
the originals, especially in this case where
the petitioners had submitted their
specimen signatures. Instead, the
respondents effectively deprived the
petitioners of the opportunity to examine
and controvert the alleged spurious
evidence by not adducing the originals. This
Court is thus left with no option but to rule
that the respondents’ failure to present the
originals raises the presumption that
evidence willfully suppressed would be
adverse if produced (Loon vs. Power Master,
Inc., G.R. No. 189404, December 11, 2013).
8.D.3.d. Secondary Evidence; Summaries
When and How Secondary Evidence May
Be Admitted
First Situation: When original document is
unavailable
Laying the Foundation
 Purple Notes
When the original document has been lost or
destroyed, or cannot be produced in court, the
offeror must prove the following:(ELR)
1. 1.Existence or due execution of the original;
2. 2. Loss and destruction of the original or the
reason for its non-production in court,
without bad faith on the part of the
offeror(Rule 130, Sec. 5); and
3. 3.Reasonable diligence and good faith on the
part of the offeror in the search for or
attempt to produce the originals(Citibank vs.
Teodoro, G.R. No. 150905, September 23, 2003).
Note: The correct order of proof is as
follows: existence, execution, loss, and
contents. At the sound discretion of the
court, this order may be changed if
necessary(Citibank Mastercard vs. Teodoro, G.R.
No. 150905, September 23, 2003).
The offeror may prove the contents on the
original document: (CRT)
a.) a) By a Copy of the original;
b.) b) By a Recital of its contents in some
authentic document; or
c.) c) By the Testimony of a witnesses (Rule
130, Sec. 5).
Note: The order stated must be followed.
 In establishing the execution of a document,
the same may be established by the person
or persons who executed it, by the person
before whom its execution was
acknowledged, or by any person who was
present and saw it executed or who, after
its execution, saw it and recognized the
signatures; or by a person to whom the
parties to the instrument had previously
confessed the execution thereof (De Vera
vs. Aguilar, G.R. No. 83377, February 9,
1993).
 2. Possession of the original by the adverse
 Where the original has been lost or
destroyed, the offeror may prove its
contents by a recital of its contents in some
authentic document or by testimony of
witnesses. The certificate is one such
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authentic document (Municipality of
Victorias vs. CA, 149 SCRA 32).

 Failure to prove loss of all the originals
without fault of the offeror renders
secondary evidence inadmissible (De Vera
vs. Aguilar, 218 SCRA 602).

 Secondary evidence is admissible when the
original documents were actually lost or
destroyed. But prior to the introduction of
such secondary evidence, the proponent
must establish the former existence of the
instrument. The correct order of proof is as
follows: Existence; execution; loss; contents
although this order may be changed, if
necessary, in the discretion of the court.
The sufficiency of proof offered as a
predicate for the admission of an alleged
lost deed lies within the judicial discretion of
the trial court under all the circumstances of
the particular case (De Vera vs. Aguilar, 218
SCRA 602).
 For secondary evidence to be admissible,
there must be satisfactory proof of (1) the
due execution of the original; (2) the
original’s loss, destruction or unavailability
that is not due to the offeror’s bad faith;
and (3) reasonable diligence and good faith
in the search for or attempt to produce the
original (Citibank Mastercard vs. Teodoro, G.R.
No. 150905, September 23, 2003).
Second Situation: When original document is
in adverse party's custody or control
Laying the Foundation
If the document is in the custody or under the
control of adverse party, the offeror must prove
the following: (PERF)
1. Existence of the original;
party;
3. Reasonable notice to produce to the adverse
party; and
4. Failure of the adverse party to produce the
original despite such notice (Rule 130, Sec. 6).
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625
 It is not necessary for a party seeking to
introduce a copy, to prove that the original is
in actual possession of the adverse party as
long as it is under his control; the adverse
party need not admit that it is in his
possession before a copy may be introduced
(Villa Rey Transit, Inc. vs. Ferrer, G.R. No. L-
23893, October 29, 1968).
General Rule:
If the original is not available, the same may be
substituted by presenting the following in the
order stated:(CRT)
1. By a Copy of the original;
2. By a Recital of its contents in some authentic
document; or
3. By the Testimony of a witnesses (Rule 130,
Sec. 5).
Note: This principle is commonly known as the
“Substitutionary Rule.”
Exception:
The order does not apply where the law
specifically provides for the class or quantum of
secondary evidence to establish the contents of
the document.
Note:This principle is commonly known as the
“Definite Evidentiary Rule.”
Third Situation: When the original consists of
numerous accounts;Summaries(n)
Laying the Foundation
1. When the contents of documents, records,
photographs, or numerous accounts are
voluminous;
2. Such account or documents cannot be
examined in court without great loss of time;
and
3. The fact sought to be established is only the
general result of the whole.
Note: When the contents of documents,
records, photographs, or numerous accounts are
voluminous and cannot be examined in court
without great loss of time, and the fact sought
626
to be established is only the general result of
the whole, the contents of such evidence may
be presented in the form of a chart, summary,
or calculation.
The originals shall be available for examination
or copying, or both, by the adverse party at a
reasonable time and place. The court may order
that they be produced in court (Rule 130, Sec. 7).
(n)
 As a condition precedent to the admission of
a summary of numerous documents:
a. The proponent must prove that the source
documents being summarized are also
admissible if presented in court;
b. The source documents must be shown to
be original, and not secondary; and
c. The source documents must likewise be
accessible to the opposing party so that
the correctness of the summary of the
voluminous records may be tested on
cross-examination and/or may be refuted
in pleadings.
In ordinary trial-type proceedings, a proper
foundation for the introduction of a summary
may be established through the “testimony
of the person who is responsible for the
summary's preparation, or the person who
supervised the preparation of the summary.”
If the source documents of the summary are
non-original, the trial court would commit a
grave error in admitting and/or giving
probative value to the summary of non-
original documents; the evidence admitted
would be double hearsay(Republic vs.
Mupas,G.R. No. 181892, September 08, 2015).
Fourth Situation: Evidence admissible
whenoriginaldocument is a public record.
When the original of document is in the custody
of public officer or is recorded in a public office,
its contents may be proved by a certified copy
issued by the public officer in custody thereof.
Note: A party who calls for the production of a
document and inspects the same is not obliged
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to offer it as evidence(Rule 130, Sec. 9, as information, data, by electronic, optical or
amended). figures, symbols, or other similar means[Rule 2,
modes of written Sec. 1(g)].
8.D.4 ELECTRONIC EVIDENCE expression, described or
however represented, by
(A.M. No. 01-7-01-SC)
which a right is
established or an
Electronic Documents as Functional obligation extinguished,
Equivalent of Paper-Based Documents or by which a fact may
be proved and affirmed,
Whenever a rule of evidence refers to the term which is received,
of writing, document, record, instrument, recorded, transmitted,
memorandum or any other form of writing, such stored, processed,
retrieved, or produced
term shall be deemed to include an electronic
electronically. It includes
document as defined in these Rules (Rule 3, Sec. digitally signed
1). documents and any print-
out or output, readable
Cases Covered by sight or other means,
which accurately reflects
The Rules on Electronic Evidence shall apply to the electronic data
all civil actions and proceedings, as well as message or electronic
quasi-judicial and administrative cases (Rule 1, document [Rule 2, Sec.
1(h)].
Sec. 2).

Electronic Document
While "data message" has reference to
information electronically sent, stored or
1) Refers to information or the representation of
transmitted, it does not necessarily mean that it
information, data, figures, symbols, or other
will give rise to a right or extinguish an
modes of written expression, described or
obligation, unlike an electronic document(MCC
however represented, by which a right is Industrial Sales Corporation vs. Ssangyong
established or an obligation extinguished, or Corporation, G.R. No. 170633, October 17, 2007).
by which a fact may be proved and affirmed,
which is received, recorded, transmitted,  An electronic document, also known
stored, processed, retrieved, or produced interchangeably as electronic data message.
electronically; and It is submitted that the rule does not
2) It includes digitally signed documents and absolutely require that the electronic
any print-out or output, readable by sight or document be initially generated or produces
other means, which accurately reflects the electronically. A contract, for instance,
electronic data message or electronic prepared through the traditional written way
document[Rule 2, Sec. 1(h)]. may be converted to an electronic document
if transmitted or received or later recorded
Electronic Data Message refers to electronically (Riano, 2016).
information generated, sent, received or stored
by electronic, optical or similar means [Rule 2, The confidential character of a privileged
Sec. 1(g)].
communication is not lost solely on the ground
that it is in the form of an electronic document
Electronic Document vs. Electronic Data (Rule 3, Sec. 3).
Message
Method of Proof
ELECTRONIC ELECTRONIC DATA
DOCUMENT MESSAGE Affidavit of Evidence
Information or the Information generated,
representation of sent, received or stored Bar Operations
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All matters relating to the admissibility and
evidentiary weight of an electronic document
may be established by an affidavit stating facts
of direct personal knowledge of the affiant or
based on authentic records. The affidavit must
affirmatively show the competence of the affiant
to testify on the matters contained therein (Rule
9, Sec. 1).
Cross-Examination of Deponent
The affiant shall be made to affirm the contents
of the affidavit in open court and may be cross-
examined as a matter of right by the adverse
party (Rule 9, Sec. 2).
Authentication of electronic documents
and electronic signatures
Burden of Proving Authenticity
The person seeking to introduce an electronic
document in any legal proceeding has the
burden of proving its authenticity (Rule 5, Sec. 1).
Manner of Authentication:
Before any private electronic document offered
as authentic is received in evidence, its
authenticity must be proved by any of the
following means:
a) By evidence that it had been digitally signed
by the person purported to have signed the
same;
b) By evidence that other appropriate security
procedures or devices as may be authorized
by the Supreme Court or by law for
authentication of electronic documents were
applied to the document; or
c) By other evidence showing its integrity and
reliability to the satisfaction of the judge (Rule
5, Sec. 2).
Electronically Notarized Document
A document electronically notarized in
accordance with the rules promulgated by the
Supreme Court shall be considered as a public
document and proved as a notarial document
under the Rules of Court (Rule 5, Sec. 3).
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Electronic Signature
An electronic signature or a digital signature
authenticated in the manner prescribed
hereunder is admissible in evidence as the
functional equivalent of the signature of a
person on a written document (Rule 6, Sec. 1).
Authentication of Electronic Signature
An electronic signature may be authenticated in
any of the following manner:
a) By evidence that a method or process was
utilized to establish a digital signature and
verify the same;
b) By any other means provided by law; or
c) By any other means satisfactorily to the judge
as establishing the genuineness of the
electronic signature (Rule 6, Sec. 2).
Disputable Presumptions relating to
Electronic Signatures
Upon the authentication of an electronic
signature, it shall be presumed that:
1. 1. The electronic signature is that of the
person to whom it correlates;
2. 2. The electronic signature was affixed by
that person with the intention of
authenticating or approving the electronic
document to which it is related or to indicate
such person’s consent to the transaction
embodied therein; and
3. 3. The methods or processes utilized to affix
or verify the electronic signature operated
without error or fault (Rule 6, Sec. 3).
Digital signature refers to an electronic
signature consisting of a transformation of an
electronic document or an electronic data
message using an asymmetric or public
cryptosystem such that a person having the
initial untransformed electronic document and
the signer’s public key can accurately determine:
1. 1. Whether the transformation was created
using the private key that corresponds to the
signer’s public key; and
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2. 2. Whether the initial electronic document Copies as Equivalent to the Originals
had been altered after the transformation
was made [Rule 2, Sec. 1(e)]. General Rule:

When a document is in two or more copies

Disputable Presumptions in relation to
executed at or about the same time with
Digital Signatures
identical contents, or is a counterpart produced
by the same impression as the original, or from
Upon the authentication of a digital signature, it
the same matrix, or by mechanical or electronic
shall be presumed that:
re-recording, or by chemical reproduction, or by
other equivalent techniques which accurately
1. 1. The electronic signature is that of the
reproduces the original, such copies or
person to whom it correlates;
duplicates shall be regarded as the equivalent of
2.
the original.
3. 2. The electronic signature was affixed by
that person with the intention of
Exceptions:
authenticating or approving the electronic
document to which it is related or to indicate
Copies or duplicates shall not be admissible to
such person’s consent to the transaction
the same extent as the original if:
embodied therein; and
4.
a) A genuine question is raised as to the
5. 3. The methods or processes utilized to affix
authenticity of the original; or
or verify the electronic signature operated
b) In the circumstances it would be unjust or
without error or fault (Rule 6, Sec. 3).
inequitable to admit a copy in lieu of the
6.
original(Rule 4, Sec. 2).
7. 4. The information contained in a certificate
is correct;
 Facsimile transmissions are not, in this
8.
sense, “paperless,” but verily are paper-
9. 5.T The digital signature was created during
based. Furthermore, the terms “electronic
the operational period of a certificate;
data message” and “electronic document,”
10.
as defined under the Electronic Commerce
11.6. No cause exists to render a certificate
Act of 2000, do not include a facsimile
invalid or revocable;
transmission. Accordingly, a facsimile
12.
transmission cannot be considered as
13.7. The message associated with a digital
electronic evidence. It is not the
signature has not been altered from the time
functional equivalent of an original under
it was signed; and
the Best Evidence Rule and is not
14.
admissible as electronic evidence. Since a
15.8. A certificate had been issued by the
facsimile transmission is not an “electronic
certification authority indicated therein (Rule
data message” or an “electronic
6, Sec. 4).
document,” and cannot be considered as
16.
electronic evidence by the Court, with
Best Evidence Rule greater reason is a photocopy of such a fax
(Referred to as the “Original Document Rule” in transmission not electronic evidence (MCC
the 2019 Revised Rules of Evidence) Industrial Sales Corporation vs. Ssangyong
Corporation, G.R. No. 170633, October 17,
2007).
An electronic document shall be regarded as the
equivalent of an original document under the
Business Records as Exception to the
Best Evidence Rule if it is a printout or output
Hearsay Rule
readable by sight or other means, shown to
reflect the data accurately (Rule 4, Sec. 1).
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A memorandum, report, record or data
compilation of acts, events, conditions, opinions,
or diagnoses, made by electronic, optical or
other similar means at or near the time of or
from transmission or supply of regular course of
conduct of a business activity, and such was the
regular practice to make the memorandum,
report, record or data compilation by electronic,
optical or similar means, all of which are shown
by the testimony of the custodian or other
qualified witnesses, is excepted from the rule on
hearsay evidence (Rule 8, Sec. 1).
Such presumption may be overcome by
evidence of the untrustworthiness of the:
a) Source of information; or
b) Method or circumstances of the preparation,
transmission or storage thereof (Rule 8, Sec.
2).
Audio, video and similar evidence
Audio, photographic and video evidence of
events, acts or transactions shall be inadmissible
provided it shall be shown, presented or
displayed to the court and shall be identified,
explained or authenticated by:
a) The person who made the recording; or
b) Some other person competent to testify on
the accuracy thereof (Rule 11, Sec. 1).
 The rule in this jurisdiction is that
photographs, when presented in evidence,
must be identified by the photographer as
to its production and testified as to the
circumstances under which they were
produced. The value of this kind of evidence
lies in its being a correct representation or
reproduction of the original, and its
admissibility is determined by its accuracy in
portraying the scene at the time of the
crime. The photographer, however, is not
the only witness who can identify the
pictures he has taken. The correctness of
the photograph as a faithful representation
of the object portrayed can be proved prima
facie, either by the testimony of the person
who made it or by other competent
witnesses, after which the court can admit it
subject to impeachment as to its accuracy.
630
Photographs, therefore, can be identified by
the photographer or by any other
competent witness who can testify to its
exactness and accuracy (Sison vs. People of
the Philippines, G.R. Nos. 108280-83 November
16, 1995).
Ephemeral Electronic Communication
Refers to telephone conversations, text
messages, chatroom sessions, streaming audio,
streaming video, and other electronic forms of
communication the evidence of which is not
recorded or retained [Rule 2, Sec 1(k)].
It shall be proven by: (PPO)
a) The testimony of a person who was a Party
to the same;
b) The testimony of a person who has Personal
knowledge thereof; or
c) In the absence or unavailability of such
witnesses, Other competent evidence may
be admitted (Rule 11, Sec. 2).
 Text messages have been classified as
ephemeral electronic communication under
Section 1(k), Rule 2 of the Rules on
Electronic Evidence, and shall be proven by
the testimony of a person who was a party to
the same or has personal knowledge thereof
(Vidallon-Magtolis vs. Salud, A.M. No. CA-05-20-P,
September 09, 2005).
8.D.5. PAROL EVIDENCE RULE
Parol Evidenceis any evidence aliunde,
whether oral or written, which is intended or
tends to vary or contradict a complete and
enforceable agreement embodied in a
document(ANNOTATION: Equitable Mortgage, 339
SCRA 111, August 25, 2000).
The Parol Evidence Ruleforbids any addition
to or contradiction of the terms of a written
instrument by testimony purporting to show
that, at or before the signing of the document,
other or different terms were orally agreed upon
by the parties.
It is based upon the consideration that when the
parties have reduced their agreement on a part
 Purple Notes
matter into writing, all their previous and
contemporaneous agreements on the matter are
merged therein(ANNOTATION: Essentials of Parol
Evidence, 108 SCRA 64, September 30, 1981).
 The reason for the rule is the presumption
that when the parties have reduced their
agreement to writing they have made such
writing the only repository and memorial of
the truth, and whatever is not found in the
writing must be understood to have been
waived or abandoned (Cruz vs. Court of
Appeals, G.R. No. 79962, December 10, 1990).
Purpose of the Parol Evidence Rule:
1) To give stability to written agreement;
2) To remove the temptation and possibility of
perjury, which would be afforded if parol
evidence was admissible; and
3) The prevent possible fraud (Herrera).
8.D.5.aApplication of the Parol Evidence
Rule
It becomes operative when the issues in the
litigation are the terms of a written agreement.
General Rule:
When the terms of an agreement have been
reduced to writing, it is considered as containing
all the terms agreed upon and there can be, as
between the parties and their successors in
interest, NO evidence of such terms other than
the contents of the written agreement.
 The ParolEvidence Rule forbids any addition
to the terms of a written instrument by
testimony purporting to show that, at or
before the signing of the document, other or
different terms were orally agreed upon by
the parties (Ortañez vs. Court of Appeals, G.R.
No. 107372, January 23, 1997).
Exceptions:
A party may present evidence to modify, explain
or add to the terms of the written agreement if
he or she puts in issue in a verified pleading:
(FIVE)
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1. 1.An Intrinsic ambiguity, mistake or
imperfection in the written agreement;
2. 2. Failure of the written agreement to
express the true intent and agreement of
the parties;
3. 3. Validity of the written agreement; or
4. 4. The Existence of other terms agreed to
by the parties or their successors in interest
after the execution of the written
agreement.
Note: The term “agreement” includes wills.
 The Parol Evidence Rule does not apply
when third parties or those not privy to the
written instrument are involved and does
not base a claim or assert a right originating
in the instrument (Lechugas vs. CA, G.R. No. L-
39972 & L-40300, August 6, 1986).

 The Parol Evidence Rule is predicated on the
existence of a document embodying the
terms of an agreement.A receiptdoes not
contain such an agreement. It is only a
receipt attesting to the fact that on May 4,
1982, the petitioner received from the
private respondent the amount of P35,000.
At most, the receipt can only be considered
a casual memorandum of a transaction
between the parties and an
acknowledgment of the receipt of money
executed by the petitioner for the private
respondent's satisfaction. A writing of this
nature, as Wigmore observed, is not
covered by the ParolEvidence Rule (Cruz vs.
Court of Appeals, G.R. No. 79962, December 10,
1990).
Requisites for the Applicability of Parol
Evidence Rule (PWV3)
1. 1. There must be a Valid contract;
2. 2. The terms of the agreement must be
reduced into Writing;
3. 3.Evidence aliundeVary the terms of the
written contract;
4. 4. The dispute is between the Parties to the
written instrument; and
5. 5. Grounds for the applicability must be put
in issue in the Verified pleading.
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 The parol evidence rule applies only to the Latent Patent Ambiguity
parties to the contract and their successors- Ambiguity Ambiguity
in-interest. Where the proponent of the When the Ambiguity is where the
parol evidence is a stranger to the deed of writing, on its patent on the ambiguity
face appears face of the consists in the
sale, he is not bound by the parol evidence
clear and writing itself use of equivocal
rule (Lechugas vs. Court of Appeals, G.R. No. L- unambiguous, and requires words
39972, August 6, 1986). BUT there are something to designating the
collateral be added in person or subject
Previous acts and contemporaneous transaction matters or order to matter, parol
of the parties are deemed integrated and circumstances ascertain the evidence of
merged in the written instrument which they which makes meaning of the collateral or
have executed. the meaning words used. extrinsic matter
uncertain. may be
General Rule: When the parties have reduced introduced for
the purpose of
their agreement to writing, it is presumed that
aiding the court
they have made the writing the only repository in arriving at the
and memorial of the truth, and whatever is not meaning of the
found in the writing must be understood to have language used.
been waived and abandoned. Curable by Cannot be Curable by
evidence cured by evidence aliunde
Exception: Collateral Oral Agreement A aliunde or evidence or extraneous
contract made prior to or contemporaneous with extraneous aliunde evidence as long
another agreement and if oral and not evidence as as such
long as such ambiguity is put
inconsistent with written contract, it is
ambiguity is put in issue in the
admissible within the exception to parol in issue in the proponent’s
evidence rule. proponent’s verified pleading.
verified
An agreement is “collateral” if it meets the pleading.
following requirements: (RIANO, Evidence (The Bar Lecture Series), 2016 Ed.,
p. 160-161)
1. 1. It is NOT a part of the integrated written
agreement in any way; In order that parol evidence may be
2. 2.It is not inconsistent with the written admissible to show a mistake in the written
agreement in any way, including both the instrument, the concurrence of three things
express and implied provisions of the written are necessary:(FCC)
agreement; and, i. The mistake should be of a Fact and not
3. 3. It is not closely connected with the a mistake of law;
principal transaction as to form part and ii. The mistake should be proved by Clear
parcel thereof. and convincing evidence; and
iii. The mistake should be Common to both
8.D.5.b. When Parol Evidence Can Be parties to the instrument
Introduced
b. b)Failure of the written agreement to
A party may present evidence to modify, explain express the true intent and agreement of the
or add to the terms of the written agreement if parties;
he or she puts in issue in a verified pleading:
(FIVE) Parol evidence is competent and admissible
in support of allegations that an instrument
a. a)An Intrinsic ambiguity, mistake or in writing, purporting on its face to transfer
imperfection in the written agreement; the title with a mere right to repurchase
under specific conditions reserved to the
Intrinsic or Extrinsic or Intermediate vendor, was in truth and in fact given merely

632
 Purple Notes
as a security for the repayment of loan
(Madrigal vs. Court of Appeals, G.R. No. 142944,
April 15, 2005). Similarly, parol evidence is
admissible to show that an endorsement was
made wholly without consideration and, and,
that in making it, the endorser acted as
agent for the endorsee and as mere vehicle
for the transfer of the naked title from the
maker to the endorsee (Maulini vs. Serrano,
G.R. No. L-8844, December 16, 1914).
c. c) Validity Validity of the written agreement; or
Parol Evidence Rule does not apply where
the purpose of parol evidence is to show that
no written contract ever existed (Maulini vs.
Serrano, G.R. No. L-8844, December 16, 1914).
The operation of the parol evidence rule
requires the existence of a valid written
agreement. It is, thus, not applicable in a
proceeding where the validity of such
agreement is the fact in dispute, such as
when a contract may be void for lack of
consideration(Heirs of Policronio M. Ureta, Sr. vs.
Heirs of Liberato M. Ureta, G.R. No. 165748,
September 14, 2011).
Inducement by fraud may be proved by
parol because it goes into the validity of the
agreement (Woodhouse vs. Halili, 93 Phil. 526).
d. d) The Existence of other terms agreed to by
the parties or their successors in interest
after the execution of the written agreement.
Parol evidence may be received to determine
whether the written agreement contains any
reference to the collateral agreement and
whether the action is at law or in equity even
if it deals with related matters (Robles vs.
Lizarraga, GR No. L-16736, December 22, 1921).
Rule on Conditional Agreements
1. Conditions Precedent – may be
established by parol evidence because there
is no varying of the terms of the written
contract by extrinsic agreement for the
reason that there is no contract in
existence; there is nothing upon which to
apply the excluding rule.
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2. Conditions Subsequent – may NOT be
established by parol evidence(Herrera).
Rule on Subsequent Agreements
The rule forbidding the admission of parol
evidence to alter or contradict a written
instrument does NOT apply so as to prohibit the
establishment by parol evidence of an
agreement between the parties in writing,
entered into subsequent to the time when the
written instrument was executed,
notwithstanding that such agreement may have
the effect of changing the contract of the parties
as evidenced by the writing; for parol evidence
merely goes to show that the parties have
exercised their right to change the same, or to
make a new and independent contract, provided
such contract is not invalid under the statute of
frauds or otherwise.
Express Trusts on Immovables cannot be
proved by parol evidence(Art. 1443, NCC).
 An implied trust is neither dependent upon
an express agreement nor required to be
evidenced by writing. Article 1457 of our
Civil Code authorizes the admission of parol
evidence to prove their existence. Parol
evidence that is required to establish the
existence of an implied trust necessarily has
to be trustworthy and it cannot rest on
loose, equivocal or indefinite declarations
(Tong vs. TiatKun, G.R. No. 196023, April 21,
2014).
Statute of Frauds
If the following agreements are NOT in writing
and subscribed, it is unenforceable and evidence
thereof is inadmissible:
1. 1. Special promise to answer for the debt,
default, or miscarriage of another;
2. 2. Obligations not to be performed within a
year from the making thereof;
3. 3. Agreement made in consideration of
marriage, other than a mutual promise to
marry;
4. 4. Agreement for the sale of goods, chattels
or things in action, at a price not less than
Bar
P500, unless theOperations
buyer accept and
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633
 receive part of such goods and chattels, or PAROL EVIDENCE ORIGINAL
the evidences, or some of them, of such RULE DOCUMENT RULE
things in action or pay at the time some part As to availability of the original As to
of the purchase money; availability of the original
Presupposes that the Contemplates a situation
5. 5. Lease for more than 1 year, or sale of real
original is available in when the original is not
property or of an interest therein;
court. available in court and/or
6. 6. Representation as to the credit of a third there is a dispute as to
person(Art. 1403, NCC). whether said writing is
the original.
Exceptions to the Statute of Frauds:
As to what is prohibited by the rule
a) Failure to object to the presentation of oral Prohibits the varying Prohibits the introduction
of the terms of a of substitutionary
evidence; or
written agreement. evidence in lieu of the
b) Acceptance of benefit under the agreement.
original document
. regardless of whether or
not it varies the contents
 Parol Evidence is inadmissible to incorporate of the original
additional contemporaneous conditions As to who may invoke the rule
which are not mentioned at all in the Can be invoked only Can be invoked by any
writing, unless there is fraud or mistake (Yu when the party to an action
Tek & Co. vs. Gonzales, 29 Phil. 384). controversy is regardless of whether
between the parties such party participated
Waiver of the Parole Evidence Rule to the written or not in the writing
agreement, their involved.
privies, or any party
The parol evidence rule can be waived by failure
directly affected
to invoke the benefits of the rule. This waiver thereby.
may be made by failure to object to the
introduction of evidence aliunde. Inadmissible As to documents to which it may be
evidence may be rendered admissible by failure applicable
to object. Failure to object to the parol evidence With the exception of Applies to all kinds of
presented by the adverse party operates as a wills, applies only to writing.
waiver of the protection of the parol evidence documents which are
rule (Riano, 2016, citing Santiago vs. CA, GR No. contractual in nature.
103959, August 21, 1997).
(Riano, Evidence (The Bar Lecture Series), 2016 Ed.,
p. 165)
Probative Value
Principle of “falsademonstratio non nocet
Even if patrol evidence is admitted, such
cum de corporeconstat"
admission would not mean that the court would
give probative value to the parol evidence.
False description does NOT injure or vitiate a
Admissibility is not equivalent of probative value
document, provided that the thing or person
or credibility (RIANO, Evidence (The Bar Lecture
intended has once been sufficiently described.
Series), 2016 Ed., p. 164).
8.D.6. AUTHENTICATION AND PROOF OF
DOCUMENTS
8.D.5.c. Distinguish: Original Document
Rule and Parol Evidence Rule
8.D.6.a. Meaning of Authentication
PAROL EVIDENCE RULE vs.
Authentication is the process of proving the due
ORIGINAL DOCUMENT (BEST) EVIDENCE
execution and genuineness of the document. It
RULE
refers to a rule of evidence which requires that

634
 Purple Notes
evidence must be sufficient to support a finding
that the matter in question is what its proponent
claims.
Private documents, as a rule, must be
authenticated before they may be received in
evidence (Rule 132, Sec. 20). Public documents,
however, may be received in evidence without
the need for authentication (Riguera). Public
documents enjoythe presumption of regularity
and is a prima facieevidence of the facts
statedtherein – which may only be overcome by
evidence that is clear,convincing and more than
merely preponderant(Heirs of Spouses Angel
Liwagon and Francisca Dumalagan vs. Heirs of
Spouses Liwagon, G.R. No. 193117, November 26,
2014).
When Authentication NOT Required:
a.) a) The writing is an ancient document;
b.) b) The writing is a public document or
record;
c.) c) The writing is a notarial document,
except last wills and testaments;
d.) d)The authenticity and due execution of the
document has been expressly admitted or
impliedly admitted by failure to deny the
same under oath; or
e.) e) When such genuineness and due
execution are immaterial to the
issue(RIANO, Evidence (The Bar Lecture
Series), 2016 Ed., p. 169-170).
8.D.6.b. Classes of Documents
For the purpose of their presentation in
evidence, documents are either public or
private. 
Public documents are:  or written
1. 1. The written official acts, or records of the
sovereign authority, official bodies and
tribunals, and public officers, whether of the
Philippines, or of a foreign country;  signature or handwriting of the maker; or
2.
3. 2. Documents acknowledged before a notary
public, except last wills and testaments; 
4.
5. 3.Documents that are considered public
documents under treaties and conventions
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which are in force between the Philippines
and the country of source; and 
6.
7. 4. Public records, kept in the Philippines, of
private documents required by law to be
entered therein. 
All other writings are private (Rule 132, Sec. 19, as
amended).
A private documentis a document other than
a public document (Riguera).
 The act of notarization by a notary public
converts a private document into a public
document, making it admissible in evidence
without further proof of its authenticity. By
law, a notarial document is entitled to full
faith and credit upon its face. It enjoys the
presumption of regularity and is a prima
facieevidence of the facts statedtherein –
which may only be overcome by evidence
that is clear,convincing and more than
merely preponderant. Without such
evidence, the presumption must be
upheld(Heirs of Spouses Angel Liwagon and
Francisca Dumalagan vs. Heirs of Spouses
Liwagon, G.R. No. 193117, November 26,
2014).
8.D.6.c. When a Private Writing Requires
Authentication
Before any private document offered as
authentic is received in evidence, its due
execution and authenticity must be proved by
any of the following means: (AGO)
a. By Anyone who saw the document executed
8. a) By Anyone who saw the document
executed or written; 
b. b) By evidence of the Genuineness of the
 
c. c)By Other evidence showing its due
execution and authenticity. (n)
Any other private document need only be
identified as that which it is claimed to be (Rule
Bar
132, Operations
Sec. 20, as amended) .
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8.D.6.d. When Evidence of Authenticity of
a Private Writing is NOT Required
a) Where a private document is more than
thirty (30) years old, is produced from a
custody in which it would naturally be found
if genuine, and is unblemished by any
alterations or circumstances of suspicion, no
other evidence of its authenticity need be
given (Rule 132, Sec. 21).
Note: This provision is commonly referred to
as the “Ancient Document Rule”.
Requisites:
i. The private document is more than thirty
(30) years old;
ii. It is produced from a custody in which it
would naturally be found if genuine; and
iii. It is unblemished by any alterations or
circumstances of suspicion.
b) The authenticity and due execution of the
document has been expressly admitted or
impliedly admitted by failure to deny the
same under oath; or
c) When such genuineness and due execution
are immaterial to the issue.
8.D.6.e. Genuineness of Handwriting
The handwriting of a person may be proved by:
a) The person whose signature is disputed;
Note: Section 22 of Rule 132 accommodates
the testimony of the very person whose
signature is disputed as a means to establish
the genuineness of handwriting. After all, the
owner of such disputed signature may fall
within the category of “any witness who
believes it to be the handwriting of such
person because he has seen the person
write' and has thus acquired knowledge of
the handwriting of such person (Dela Rama vs.
Papa, G.R. No. 142309, January 30, 2009).
b) Any witness has seen the person write; or
636
c) A comparison, made by the witness or the
court, with writings admitted or treated as
genuine by the party against whom the
evidence is offered, or proved to be genuine
to the satisfaction of the judge (Rule 132, Sec.
22).
Note: The opinions of handwriting experts,
even those from the NBI and the PC, are not
binding upon courts. Handwriting experts are
usually helpful in the examination of forged
documents because of the technical procedure
involved in analyzing them. But resort to these
experts is not mandatory or indispensable to the
examination or the comparison of handwriting.
A finding of forgery does not depend entirely on
the testimonies of handwriting experts, because
the judge must conduct an independent
examination of the questioned signature in order
to arrive at a reasonable conclusion as to its
authenticity (Multi-International Business Data
System, Inc. vs. Martinez, G.R. No. 175378,
November 11, 2015).
8.D.6.f. Public Documents as Evidence;
Proof of Official Record
Documents consisting of entries in public
records made in the performance of a duty by a
public officer are prima facieevidence of the
facts therein stated. All other public documents
are evidence, even against a third person, of the
fact which gave rise to their execution and of
the date of the latter(Rule 130, Sec. 23).
Proof of Official Record
1. Public documents referred to in Sec.
19(a), Rule 132
a) Domestic records:
1. By an official publication thereof; or
2.
3. i. By an official publication thereof;
or
4. ii. By a copy attested by the officer
havingg the legal custody of the
record, or by his or her deputy (Rule
132, Sec. 24, paragraph 1).
 Purple Notes
b) Foreign recordskept in a foreign country
which is a contracting party to a treaty or
convention to which the Philippines is also
a party:
1. i. By an official publication thereof;
or
2. ii. By a copy attested by the officer
having the legal custody of the
record, or by his or her deputy, and
accompaniedwith a certificate that
such officer has the custody (Rule
132, Sec. 24, paragraph 1).
Note: The certificate or its equivalent
shall be in the form prescribed by such
treaty or convention subject to reciprocity
granted to public documents originating
from the Philippines(Rule 132, Sec. 24,
paragraph 2);(n)
c) Foreign records originating from aforeign
country which is nota contracting party to
a treaty or convention referred to in the
next preceding section
1. By an official publication thereof; or
2.
3. By a copy attested by the officer
having the legal custody of the
record, or by his or her deputy, and
accompanied with a certificate that
such officer has the custody (Rule
132, Sec. 24, paragraph 1).
4.
Note: The certificate may be made by a
secretary of the embassy or legation, consul
general, consul, vice-consul, or consular
agent or by any officer in the foreign service
of the Philippines stationed in the foreign
country in which the record is kept, and
authenticated by the seal of his or her
office(Rule 132, Sec. 24, paragraph 3).
2. Public documents referred to in Sec.
19(c), Rule 132
By a certificate or its equivalent which shall
be in the form prescribed by such treaty or
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convention subject to reciprocity granted to
public documents originating from the
Philippines (Rule 132, Sec. 24, paragraph 2).(n)
A document that is accompanied by a certificate
or its equivalent may be presented in evidence
without further proof, the certificate or its
equivalent being prima facie evidence of the due
execution and genuineness of the document
involved.
The certificate shall not be required when a
treaty or convention between a foreign country
and the Philippines has abolished the
requirement, or has exempted the document
itself from this formality (Rule 132, Sec. 24,
paragraph 4). (n)
Hague Convention Abolishing the
Requirement of Legalization for Foreign
Public Documents
On May 14, 2019, the Philippines’ accession to
the Hague Convention Abolishing the
Requirement of Legalization for Foreign Public
Documents (the “Apostille Convention”) took
effect. The Apostille Convention was created to
abolish the requirement for diplomatic or
consular legalization of foreign public
documents.
Each Contracting State shall exempt from
legalisation documents to which the present
Conventionapplies and which have to be
produced in its territory.
For the purposes of the present
Convention,legalisation means only the
formality by which the diplomatic or consular
agents of the country in whichthe document has
to be produced certify the: (ACId)
1.Authenticity of the signature;
2. Capacity in which the person signing the
document has acted; and
3. Where appropriate, the Identity of the seal or
stamp which it bears(Apostille Convention, Art, 3).
The present Convention shall apply to public
Bar
documents which Operations
have been executed
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in the territory of one Contracting State and
which have to be produced in the territory of
another Contracting State(Apostille Convention,
Art, 2).
For the purposes of the present Convention, the
following are deemed to be public documents:
(DANO)
1. 1.Documents emanating from an authority
or an official connected with the courts or
tribunals of the State, including those
emanating from a public prosecutor, a clerk
of a court or a process-server (“huissier de
justice”);
2. 2.Administrative documents;
3. 3.Notarial acts; and
4. 4.Official certificates which are placed on
documents signed by persons in their private
capacity, such as official certificates
recording the registration of a document or
the fact that it was in existence on a certain
date and official and notarial authentications
of signatures.
5.
However, the present Convention shall not apply
to:
1. Documents executed by diplomatic or
consular agents; or
2. Administrative documents dealing directly
with commercial or customs operations
(Apostille Convention, Art, 1).
Formality Required to Certify Authenticity
General Rule: The only formality that may be
required is the addition of the certificate
issued by the competent authority of the State
from which the document emanates (Apostille
Convention, Art, 3).
The certificate shall be:
1. Placed on the document itself or on an
“allonge”;
638
2. In the form of the model annexed to the
present Convention.
The certificate may, however, be drawn up in
the official language of the authority which
issues it. The standard termsappearing therein
may be in a second language also. The title
“Apostille (Convention de La Haye du 5 octobre
1961)” shall be in the French language (Apostille
Convention, Art, 4).
Exception: When either the laws,regulations,
or practice in force in the State where the
document is produced or an agreement
betweentwo or more Contracting States have
abolished or simplified it, or exempt the
document itself from legalization (Apostille
Convention, Art, 3).
8.D.6.g. Attestation of a Copy
Whenever a copy of a document or record is
attested for the purpose of evidence:
1. The attestation must state that the copy is a
correct copy of the original, or a specific part
thereof, as the case may be; and
2. The attestation must be under the official seal
of the attesting officer, if there be any, or if
he or she be the clerk of a court having a
seal, under the seal of such court (Rule 132,
Sec. 25).
8.D.6.h. Public Record of a Public
Document
Any public record, an official copy of which is
admissible in evidence, must not be removed
from the office in which it is kept, except upon
order of a court where the inspection of the
record is essential to the just determination of a
pending case (Rule 132, Sec. 26).
Doctrine of Irremovability of Public Record
General Rule: Any public record, an official
copy of which is admissible in evidence, must
not be removed from the office in which it is
kept.
 Purple Notes
Exception: Upon order of a court, where
inspection of the record is exercised to the just
determination of a pending case.
 Anent the best evidence rule, Section 3(d)
of Rule 130 of the Rules of Court provides
that when the subject of inquiry is the
contents of a document, no evidence shall
be admissible other than the original
document itself, except when the original is
a public record in the custody of a public
officer or is recorded in a public office.
Section 7 of the same Rule provides that
when the original of a document is in the
custody of a public officer or is recorded in
a public office, its contents may be proved
by a certified copy issued by the public
officer in custody thereof. [Rule 132,
Section 24, as amended] provides that the
record of public documents may be
evidenced by a copy attested by the officer
having the legal custody or the record
(Dimaguila vs. Monteiro, G.R. No. 201011,
January 27, 2014).
8.D.6.i. Proof of Lack of Record
The absence of an official record is proven by a
written statement signed by an officer having
the custody of an official record or by his or her
deputy. The written should state that:
1. There has been a diligent search for the
record; and
2. Despite diligent search, no record or entry of
a specified tenor is found to exist in the
records of his or her office (Rule 132, Sec. 28).
8.D.6.j. How a Judicial Record is
Impeached
Any judicial record may be impeached by
evidence of:  been altered after its execution, in a part
a) Want of jurisdiction in the court or judicial
officer; 
b) Collusion between the parties; or  He or she may show that: (WINC)
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c) Fraud in the party offering the record, in
respect to the proceedings (Rule 132, Sec. 29).
8.D.6.k. Proof of Notarial Documents
Every instrument duly acknowledged or proved
and certified as provided by law, may be
presented in evidence without further proof, the
certificate of acknowledgment being prima facie
evidence of the execution of the instrument or
document involved (Rule 132, Sec. 30).
Note: Not all types of public documents are
deemed prima facie evidence of the facts
therein stated. “Public records made in the
performance of a duty by a public officer”
include those specified as public documents
under Section 19(a), Rule 132 of the Rules of
Court and the acknowledgement, affirmation or
oath, or jurat portion of public documents under
Section 19(d). Hence, under Section 23,
notarized documents are merely proof of the
fact which gave rise to their execution, and of
the date of the latter, but is not prima facie
evidence of the facts therein stated.
Additionally, under Section 30 of the same Rule,
the acknowledgement in notarized documents is
prima facie evidence of the execution of the
instrument or document involved (Republic vs.
Gimenez, G.R. No. 174673, January 11, 2016).
Seal refers to a device for affixing a mark,
image or impression on all papers officially
signed by the notary public(A.M. No. 02-8-13-SC,
Sec. 13).
There shall be no difference between sealed and
unsealed private documents insofar as their
admissibility as evidence is concerned (Rule 132,
Sec. 32).
8.D.6.l. Alterations in a Document
The party producing a document as genuine
which has been altered and appears to have
material to the question in dispute, must
account for the alteration.
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Commissions 639
639
a.) a)The alteration was made by another,
Without his or her concurrence;
b.) b) It was made with the Consent of the
parties affected by it;
c.) c) It was otherwise properly or Innocently
made; or
d.) d) The alteration did Not change the
meaning or language of the instrument.
If he or she fails to do that, the document shall
not be admissible in evidence (Rule 132, Sec. 31).
8.D.6.m. Documentary Evidence in an
Unofficial Language
General Rule:Documents written in an
unofficial language shall not be admitted as
evidence
Exception: When accompanied with a
translation into English or Filipino.
Note: To avoid interruption of proceedings,
parties or their attorneys are directed to have
such translation prepared before trial (Rule 132,
Sec. 33).
8.E. TESTIMONIAL EVIDENCE
Testimonial evidenceconsists of the narration
or deposition by one who has observed or has
personal knowledge of that to which he is
testifying. Thus, the narration of events given
orally in court by a witness is a testimonial
evidence of the event in question (ANNOTATION:
Fundamental Concepts in the Handling of Evidence,
238 SCRA 626, December 05, 1994).
8.E.1. QUALIFICATION OF WITNESSES
Witness is a person who testifies in a case or
gives evidence before a judicial tribunal.
Qualification of Witnesses
General Rule: All persons who can perceive,
and perceiving, can make known their
perception to others, may be witnesses.
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Exception: Unless the law or the Rules render
a person disqualified from being a witness.
An intellectually disabled person is not, solely by
this reason, ineligible from testifying in court.
"He or she can be a witness, depending on his
or her ability to relate what he or she knows." If
an intellectually disabled victim's testimony is
coherent, it is admissible in court (People vs.
Corpuz, G.R. No. 226679, August 15, 2017 – J.
Leonen penned case).
Note:Religious or political belief, interest in the
outcome of the case, or conviction of a crime
unless otherwise provided by law, shall not be
ground for disqualification(Rule 130, Sec. 21, as
amended).
The following persons cannot be witnesses: (not
exclusive)
1. 1. Spouses under the marital disqualification
rule (Rule 130, Sec. 23, as amended);
2. 2. Those who are disqualified by reason of
privileged communication (Rule 130, Sec. 24,
as amended);
3. 3. Those who are disqualified from being
discharged to be state witness (Rule 119, Sec.
17); and
4. 4. Those who are disqualified from being
witnesses to a will (Art., 821, NCC).
5.
When Determined
Qualification of a witness is determined at the
time the said witness is produced for
examination or at the taking of his deposition.
 With exceptions provided in the Rules of
Court, all persons who can perceive, and
perceiving, can make known their
perception to others, may be witnesses.
That is even buttressed by the Rule on
Examination of a Child Witness which
specifies that every child is presumed
qualified to be a witness. To rebut this
presumption, the burden of proof lies on the
party challenging the child's competence.
Only when substantial doubt exists
regarding the ability of the child to perceive,
remember, communicate, distinguish truth
from falsehood, or appreciate the duty to
 Purple Notes
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tell the truth in court will the court, motu (See: 8.E.5.ii Hearsay Rule: Statement of
proprio or on motion of a party, conduct a decedent or person of unsound mind.)
competency examination of a child. Thus,
petitioners’ flimsy objections on Rachel’s Absolute Relative
lack of education and inability to read and Disqualification Disqualification
tell time carry no weight and cannot Objections based on Objections based on
overcome the clear and convincing absolute relative disqualifications
disqualifications may be may be raised when it
testimony of Rachel as to who killed her
raised upon the calling becomes apparent that
father (People of the Philippines vs. Ibañez, G.R. of the disqualified the subject matter of the
No. 197813, September 25, 2013). witness. testimony covers
inadmissible matters.
Competency vs. Credibility of a Witness

Competency of a Credibility of the  The specific enumeration of disqualified

Witness Witness witnesses excludes the operation of causes
It refers to the basic It refers to the
of disability other than those mentioned in
qualification of a witness believability of the
as his capacity to witness and has nothing
the Rules. It is a maxim of recognized utility
perceive and to to do with the law or the and merit in the construction of statutes
communicate the same rules. It refers to the that an express exception, exemption, or
to others. weight and the saving clause excludes other exceptions. As
trustworthiness or a general rule, where there are express
It also includes the reliability of the exceptions, these comprise the only
absence of any of the testimony. limitations on the operation of a statute and
qualifications imposed no other exception will be implied. The
upon a witness.
Rules should not be interpreted to include
an exception not embodied therein (Marcos
8.E.2. DISQUALIFICATION OF WITNESSES vs. Heirs of Navarro, G.R. No. 198240, July 3,
2013).
Persons Disqualified to be A Witness:
ABSOLUTE disqualifications:
1. Persons disqualified by reason of marriage or
the “Marital Disqualification Rule”(Rule 130, 1. Cannot perceive (Rule 130, Sec. 20);
Sec. 23, as amended); and 2. Cannot make known their perception to
2. Persons disqualified on ground of privileged others (Rule 130, Sec. 20);
communication (Rule 130, Sec. 24, as 3. Those disqualified by reason of insanity or
amended); immaturity;
4. Marital disqualification (Rule 130. Sec. 22);and
5. Parental and filial privilege (Rule 130, Sec. 25).

Notable Changes Brought About by the RELATIVE disqualifications:

2019 Amendments:
1. Dead man’s statute (Rule 130, Sec. 39, as
6. 1. Disqualification by reason of mental amended);
incapacity or immaturity (formerly Rule 130, 2. Marital communication privilege [Rule 130,
Sec. 21)has been deleted; and Sec. 24(a)];
7. 3. Attorney-client privilege [Rule 130, Sec. 24(b),
8. 2. Disqualification by reason of death or as amended];
insanity of adverse party or the “Dead Man’s 4. Physician/Psychotherapist -Patient Privilege
Statute (formerly Rule 130, Sec. 23) has been [Rule 130, Sec. 24(c), as amended];
modified. The party or assignor of a party or 5. Minister/Priest-Penitent Privilege[Rule 130,
a person in whose behalf a case is Sec. 24(d)]; and
prosecuted can testify subject to Hearsay 6. State Secrets [Rule 130, Sec. 24(e)].
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Rule;
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NOT grounds for disqualification:
a) Religious belief;
b) Political belief;
c) Interest in the outcome of the case; or
d) Conviction of a crime, unless otherwise
provided by law.
General Rule: A person convicted of a crime is
NOT disqualified to be a witness (Rule 130, Sec.
21, as amended).
Exception: When otherwise provided by law.
1. Under Art. 821 of the Civil Code, a person
convicted of any of the following crimes
cannot be a witness to a will:
a) Falsification of documents;
b) Perjury; or
c) False testimony
2. A state witness must not have been
convicted of any crime involving moral
turpitude [Rule 119, Sec. 17 (e)].
When to Raise Objection to Competency
Objection to the offer of evidencemust be orally
immediately after the offer is made (Rule 132,
Sec. 36, as amended).
 The acceptance of an incompetent witness
to testify in a civil suit, as well as the
allowance of improper questions that may
be put to him while on the stand is a matter
resting in the discretion of the litigant. He
may assert his right by timely objection or
he may waive it, expressly or by silence. In
any case the option rests with him. Once
admitted, the testimony is in the case for
what it is worth and the judge has no power
to disregard it for the sole reason that it
could have been excluded, if it had been
objected to, nor to strike it out on its own
motion (Razon vs. Intermediate Appellate Court,
G.R. No. 74306, March 16, 1992 quoting Cruz vs.
Court of Appeals, GR No. 79962, December 10,
1990).
Test of Competency
642
Whether the individual has sufficient
understanding to appreciate the nature and
obligation of an oath, and sufficient capacity to
observe and describe the facts in regard to
which he is called to testify.
Voir dire Examination is a preliminary
examination conducted by the trial judge where
the witness is duly sworn to answer as to his
competency. This is conducted by asking leading
questions.
There is no provision of the Rules disqualifying
parties declared in default from taking the
witness stand for non-disqualified parties (Marcos
vs. Heirs of Navarro, G.R. No. 198240, July 3, 2013) .
8.E.2.a. Disqualification By Reason of
Marriage
During their marriage, the husband or the wife
cannot testify against the other without the
consent of the affected spouse, except in a civil
case by one against the other, or in a criminal
case for a crime committed by one against the
other or the latter's direct descendants or
ascendants(Rule 130, Sec. 23, as amended).
Note: The spouse-witness can now testify in
favor of the spouse-litigant even without the
latter’s consent.
Rationale:
1. 1.There is identity of interests between
husband and wife;
2. 2. If one were to testify for or against the
other, there is consequent danger of perjury;
3. 3. The policy of the law is to guard the
security and confidences of private life, even at the
risk of an occasional failure of justice, and to
prevent domestic disunion and unhappiness;
and
4. 4. Where there is want of domestic
tranquility there is danger of punishing one
spouse through the hostile testimony of the
other(Alvarez vs. Ramirez, G.R. No. 143439,
October 14, 2005).
General Rule: During their marriage, the
husband or the wife cannot testify against the
other without the consent of the affected
spouse.
 Purple Notes
Exceptions:
1. a)In a civil case by one against the other;
2. b) In a criminal case for a crime committed
by one against the other or the latter's direct
descendants or ascendants;
3. c) Where the testimony was made outside
the marriage;
4. d) Where the spouse-litigant gives consents
to the testimony;
5. e) Where the spouse-litigant fails to timely
object to the admission of the testimony of
the spouse-witness; or
6. f) Where the marital and domestic relations
are so strained that there is no more
harmony to be preserved nor peace and
tranquility of interests disappears and the
consequent danger of perjury based on that
identity is non-existent (People vs. Francisco,
G.R. No. L-568, July 16, 1947);
Requisites: (MPCE)
1. The spouses are legally Married;
2. The spouse against whom the testimony is
offered is a Party-litigant;
3. The spouse-litigant does not Consent to the
testimony; and
4. The case is not one of the Exceptions
provided in the rule.
Duration
The privilege lasts only during the marriage and
terminates upon divorce or annulment or death.
Scope of the Rule
The rule also includes utterance as to facts or
mere production of documents. It does not only
prevent disclosure of matters communicated in
nuptial confidence but is an absolute prohibition
against the spouse’s testifying to any facts
affecting the other however these facts may
have been acquired.
 The law insures absolute freedom of
communication between the spouses by
making it privileged. Neither husband nor
wife may testify for or against the other
without the consent of the affected spouse
Criminal
Remedial
while the marriage subsists. Neither may be
examined without the consent of the other
as to any communication received in
confidence by one from the other during the
marriage, save for specified exceptions. But
one thing is freedom of communication;
quite another is a compulsion for each one
to share what one knows with the other.
And this has nothing to do with the duty of
fidelity that each owes to the other (Zulueta
vs. Court of Appeals, G.R. No. 107383, February
20, 1996).
 But like all other general rules, the marital
disqualification rule has its own exceptions,
both in civil actions between the spouses
and in criminal cases for offenses committed
by one against the other. Like the rule itself,
the exceptions are backed by sound reasons
which, in the excepted cases, outweigh
those in support of the general rule. For
instance, where the marital and domestic
relations are so strained that there is no
more harmony to be preserved nor peace
and tranquility which may be disturbed, the
reason based upon such harmony and
tranquility fails. In such a case, identity of
interests disappears and the consequent
danger of perjury based on that identity is
non-existent. Likewise, in such a situation,
the security and confidences of private life,
which the law aims at protecting, will be
nothing but ideals, which through their
absence, merely leave a void in the unhappy
home (Alvarez vs. Ramirez, G.R. No. 143439,
October 14, 2005).

 The rule that the injury must amount to a
physical wrong upon the person is too
narrow; and the rule that any offense
remotely or indirectly affecting domestic
harmony comes within the exception is too
broad. The better rule is that, when an
offense directly attacks, or directly and
vitally impairs, the conjugal relation, it
comes within the exception to the statute
that one shall not be a witness against the
other except in a criminal prosecution for a
crime committee (by) one against the other
(People of the Philippines vs. Castañeda, Jr., G.R.
No.L-46306, February 27, 1979 quoting Ordoño
vs. Daquigan, G.R. No. L-39012,62 SCRA 270,
Bar Operations
Commissions 643
643
 January 31, 1975 quoting Cargill vs. State, 35
ALR, 133, 220, Pac 64, 26 OkL 314).
 It should be stressed that as shown by the
records, prior to the commission of the
offense, the relationship between petitioner
and his wife was already strained. In fact,
they were separated de facto almost six
months before the incident. Indeed, the
evidence and facts presented reveal that the
preservation of the marriage between
petitioner and Esperanza is no longer an
interest the State aims to protect (Alvarez vs.
Ramirez, G.R. No. 143439, October 14, 2005).
Example of offenses which impair conjugal
relation:
1. Falsification of public document forging wife’s
signature;
 The act complained of as constituting the
crime of Falsification of Public Document is
the forgery by the accused of his wife's
signature in a deed of sale, thereby making
it appear therein that said wife consented to
the sale of a house and lot belonging to
their conjugal partnership when in fact and
in truth she did not. It must be noted that
had the sale of the said house and lot, and
the signing of the wife's name by her
husband in the deed of sale, been made
with the consent of the wife, no crime could
have been charged against said husband.
Clearly, therefore, it is the husband's breach
of his wife's confidence which gave rise to
the offense charged. And it is this same
breach of trust which prompted the wife to
make the necessary complaint with the
Office of the Provincial Fiscal which,
accordingly, filed the aforesaid criminal case
with the Court of First Instance of
Pampanga. To rule, therefore, that such
criminal case is not one for a crime
committed by one spouse against the other
is to advance a conclusion which completely
disregards the factual antecedents of the
instant case (People of the Philippines vs.
Castañeda, Jr., G.R. No. L-46306, February 27,
1979).
2. Rape of their common daughter;
644
 Applying the foregoing criterion in said case
of Ordoño vs. Daquiganthis Court held that
the rape committed by the husband of the
witness-wife against their daughter was a
crime committed by the husband against his
wife. Although the victim of the crime
committed by the accused in that can was
not his wife but their daughter, this Court,
nevertheless, applied the exception for the
reason that said criminal act "Positively
undermine (d) the connubial relationship
(People of the Philippines vs. Castañeda, Jr., G.R.
No. L-46306, February 27, 1979).
3. Committing arson of the house of the sister
of the wife knowing that the wife was in the
house
 Obviously, the offense of arson attributed to
petitioner, directly impairs the conjugal
relation between him and his wife
Esperanza. His act, as embodied in the
Information for arson filed against him,
eradicates all the major aspects of marital
life such as trust, confidence, respect and
love by which virtues the conjugal
relationship survives and flourishes (Alvarez
vs. Ramirez, G.R. No. 143439, October 14,
2005).
Marrying the Witness
An accused can effectively “seal the lips” of a
witness by marrying the witness. As long as
marriage is in existence at the time of the trial,
the witness-spouse cannot be compelled to
testify even though the marriage was entered
into for the express purpose of suppressing the
testimony.
Who May Object
Only the spouse-party may object on the
testimony and not the spouse who is offered as
a witness.
 A wife who is a co-defendant of her
husband in a case of collusive fraud, where
their interests are not separate, cannot be
examined as a hostile witness by the
adverse party (Lezama vs. Rodriguez, GR No. L-
25643, June 27, 1968).
 Purple Notes
Note: Disqualification by reason of death or
insanity of adverse party or the “Dead Man’s
Statute”or the“Survivorship Rule”, has been
removed as a ground for disqualification.
(See: 8.E.5.ii Hearsay Rule: Statement of
decedent or person of unsound mind.)
8.E.2.a. Disqualification By Reason of
Privileged Communication; Rule on Third
Parties
Privileged communications:
1. 1. Husband and Wife [Rule 130, Sec 24(a)];
2. 2. Attorney and Client [Rule 130, Sec. 24(b), as
amended];
3. 3. Physician and Patient [Rule 130, Sec. 24)(c),
as amended];
4. 4. Minister/Priest and Penitent [Rule 130, Sec.
24(d), as amended]; and
5. 5. Public Officers and Third Person [Rule 130,
Sec. 24(e), as amended].
Note:There are, however, other privileged
matters that are not mentioned by Rule 130.
Among others are the following:
1. Editors may not be compelled to disclose the
source of published news;
2. Voters may not be compelled to disclose for
whom they voted[B.P. No. 881, Sec. 261(z)(5)];
3. Information contained in tax census returns ;
and
4. Bank deposits (Air Philippines Corporation vs.
Pennswell, Inc., G.R. No. 172835, December 13,
2007);
5. National security matters and intelligence
information.
i. Marital Privilege, Husband and Wife
The husband or the wife, during or after the
marriage, cannot be examined without the
consent of the other as to any communication
received in confidence by one from the other
during the marriage except in a civil case by one
against the other, or in a criminal case for a
crime committed by one against the other or the
latter's direct descendants or ascendants [Rule
130, Sec. 24(a)].
Criminal
Remedial
General Rule: There is a presumption of
confidentiality on all communications between
husband and wife.
Exceptions:
(b) a) In a civil case by one against the other;
(c) b) In a criminal case for a crime committed
by one against the other or the latter's direct
descendants or ascendants;
(d) c) When the communication was not
intended to be kept in confidence, like the
husband’s dying declaration for instance (U.S.
vs. Antipolo, GR No. L-13109, March 6, 1918); or
(e) d) Where the spouse-litigant gives consents
to the testimony.
Note: The marital privilege rule, being a rule of
evidence, may be waived by failure of the
claimant to object timely to its presentation or
by any conduct that may be construed as
implied consent(Lacurom vs. Jacoba, A.C. No. 5921,
March 10, 2006).
Requisites: (DEV-CoCo)
1. 1. There must be a Valid marriage between
husband and wife;
2. 2.There is communication received in
Confidence by one from the other;
3. 3.The confidential communication was
received During the marriage;
4. 4. The spouse against whom such evidence
is being offered has not given his or her
Consent to such testimony.
5. 5. The case is not one of the Exceptions
provided in the rule[Rule 130, Sec. 24 (a)].
The communication shall remainprivileged, even
in the hands of athird person who may
haveobtained the information,provided that the
original partiesto the communication
tookreasonable precaution to protect
itsconfidentiality(Rule 130, Sec. 24, last paragraph).
The law insures absolute freedom of
communication between the spouses by making
it privileged. Neither husband nor wife may
testify for or against the other without the
consent of the affected spouse while the
Bar
marriage subsists.Operations
Neither may be
Commissions 645
645
examined without the consent of the other as to
any communication received in confidence by
one from the other during the marriage, save
for specified exceptions. But one thing is
freedom of communication; quite another is a
compulsion for each one to share what one
knows with the other. And this has nothing to
do with the duty of fidelity that each owes to
the other(Zulueta vs. Court of Appeals, G.R. No.
107383, February 20, 1996).
Communications overheard by third persons
without knowledge of spouses are still
confidential between the spouses, and neither of
them can testify without the consent of the
other (Francisco, Vicente J., Revised Rules on Court:
Evidence).
Marital Disqualification Rule (Rule 130, Sec.
23, as amended)
 The marital disqualification rule refers to all
matters, whether or not communicated by
one spouse to the other. It applies only
during the existence of the marriage. It can
be invoked only if one spouse is a party to
the action. It is an absolute disqualification
and can be invoked the moment that one
spouse is called to testify.
Marital Privilege Rule, being a rule of
evidence, can be waived for failure of the
claimant to object timely to its presentation
or by any conduct that may be construed as
an implied consent (Lacurom vs. Jacoba, A.C.
No. 5921, March 10, 2006).
 Where the privilege communication from
one spouse to the other comes into the
hands of a 3rd party, without collusion or
voluntary disclosure on the part of either
spouse, it is not privileged; illegality of
seizure must be raised by motion before
trial for return of letter; unanswered letter is
inadmissible (People vs. Carlos, GR No. L-
22948, March 17, 1925).
Spousal Immunity vs. Marital Privilege
MARITAL
DISQUALIFICATIO MARITAL PRIVILEGE
N [Sec. 24(a)]
(Sec. 23)
646
Covers all matters Covers only those
regardless of source communicated by one
spouse to another
Applies during the Applies during and after
marriage the marriage
A spouse must be a A spouse need not be a
party-litigant party-litigant
Invoked when a Invoked when the
spouse is called to testimony appears to
testify cover privileged matters
Absolute Relative disqualification
disqualification
ii. Attorney-Client Privilege.
An attorney or person reasonably believed by
the client to be licensed to engage in the
practice of law cannot, without the consent of
the client, be examined as to any
communication made by the client to him or
her, or his or her advice given thereon in the
course of, or with a view to, professional
employment, nor can an attorney's secretary,
stenographer, or clerk, or other persons
assisting the attorney be examined without the
consent of the client and his or her employer,
concerning any fact the knowledge of which has
been acquired in such capacity, except in the
following cases:
a) Furtherance of crime or fraud. If the services
or advice of the lawyer were sought or
obtained to enable or aid anyone to commit
or plan to commit what the client knew or
reasonably should have known to be a crime
or fraud;
b) Claimants through same deceased client. As
to a communication relevant to an issue
between parties who claim through the same
deceased client, regardless of whether the
claims are by testate or intestate or by inter
vivos transaction;
c) Breach of duty by lawyer or client. As to a
communication relevant to an issue of breach
of duty by the lawyer to his or her client, or
by the client to his or her lawyer;
d) Document attested by the lawyer. As to a
communication relevant to an issue
 Purple Notes
concerning an attested document to which
the lawyer is an attesting witness; or
e) Joint clients. As to a communication relevant
to a matter of common interest between two
or more clients if the communication was
made by any of them to a lawyer retained or
consulted in common, when offered in an
action between any of the clients, unless
they have expressly agreed otherwise [Rule
130, Sec. 24(b), as amended]. (n)
Requisites: (PEA-CoCo)
1. There must be a communication made by the
client to the Attorney or to a person
reasonably believed by the client to be
licensed to engage in the practice of law;
2. The communication made by the client to
him/her is to be examined without the
Consent of the client;
3. Communication must have been made in
Confidence;
4. The communication must have been given
either in the course of or with a view to
Professional employment; and
5. The case is not one of the Exceptions
provided in the rule[Rule 130, Sec. 24(b)].
Note: The privilege extends to the attorney’s
secretary, stenographer, or clerk, or other
persons assisting the attorney concerning any
fact the knowledge of which has been acquired
in such capacity.
The phrase “with a view to” includes those
communication made during consultation
preparatory to professional employment.
Preliminary communication made for the
purpose of creating attorney-client relationship
is within the privilege(RIANO, Evidence (The Bar
Lecture Series), 2016 Ed., p. 209).
The relationship between the attorney and the
client is said to exist where a person employs
the professional services of an attorney or seeks
professional guidance, even though the attorney
declines to handles the case.
Criminal
Remedial
However, if the communications were not made
for the purpose of creating that relationship,
they will not be covered by the privilege.
 The reason for the prohibition is found in
the relation of attorney and client, which is
one of trust and confidence of the highest
degree. A lawyer becomes familiar with all
the facts connected with his client's case.
He learns from his client the weak points of
the action as well as the strong ones. Such
knowledge must be considered sacred and
guarded with care (Samala vs. Valencia, A.C.
No. 5439, January 22, 2007).
Not Applicable:
a.) a) When the communication was made in
furtherance of crime or fraud [Rule 130, Sec.
24(b)(i)];
b.) b) When the communication is relevant to
an issue between parties who claim
through the same deceased client[Rule 130,
Sec. 24(b)(ii)];
c.) c) When the communication is relevant to
an issue ofbreach of duty by lawyer or
client[Rule 130, Sec. 24(b)(iii)];
d.) d) When the communication is relevant to
an issue concerningdocuments attested by
the lawyer[Rule 130, Sec. 24(b)(iv)];
e.) e) When the communication is relevant to a
matter of common interest between joint
clients, unless they have expressly agreed
otherwise[Rule 130, Sec. 24(b)(v)];
f.) f) When the communication is intended to
be made public;
g.) g) When the communication is intended to
be communicated to others;
h.) h) When the communication is made in the
presence of 3rd persons; or
i.) i) When the communication is received
from third persons not acting in behalf of or
as agents of the client.
Note: The lawyer-client privilege extends to the
attorney’s secretary, stenographer, or clerk.
Hence, in this case, the rule that “if made in the
presence of 3rd persons, it is not considered
confidential” is not applicable.
Bar Operations
Commissions 647
647
General Rule: A lawyer may invoke the
privilege and refuse to divulge the name or
identify of his client.
Exceptions:
a.) a) Furtherance of Crime or Fraud
(Future Crime-Fraud Exception)
Condition: The legal services or advice of
the lawyer were sought or obtained to
enable or aid anyone to commit or plan to
commit what the client knew or reasonably
should have known to be a crime of
fraud[Rule 130, Sec. 24(b)(i)].
Rationale: clients are not entitled to use
lawyers tohelp them in pursuing unlawful or
fraudulent objectives. If the privilege were
tocloak such activity, the result would be
loss of public confidence and corruption
ofthe profession [Mueller & Kirkpatrick,
Modern Evidence, Section 5.22 (1995)]
The policy of the privilege is that of
promoting the administration of justice and
itwould be a perversion of the privilege to
extend it to the client who seeks adviceto
aid him in carrying out an illegal fraudulent
scheme. This would be tantamountto
participating in a conspiracy(McCormick on
Evidence, 3rd ed., p. 229 [1984]).
b.) bC)Claimants Through Same
Deceased Client
Condition:The communication is relevant
to an issue between parties who claim
through the same deceased client,
regardless of whether the claims are by
testate or intestate or by inter vivos
transaction[Rule 130, Sec. 24(b)(ii)].
Rationale:While the attorney-client
privilege survives the death of the client,
there is noprivilege in a will contest or
other case between parties who both claim
throughthat very client. This is because his
communications may be essential to
anaccurate resolution of competing claims
of succession, and the testator
wouldpresumably favor disclosure in order
648
to dispose of his estate accordingly [Mueller
& Kirkpatrick, Modern Evidence, Section 5.24
(1995)].
c.) c) Breach of Duty by Lawyer or Client
(Self-Defense Exception)
Condition: The communication is relevant
to an issue of breach of duty by the lawyer
to his or her client, or by the client to his or
her lawyer[Rule 130, Sec. 24(b)(iii)].
Rationale: If the lawyer and client become
involved in a dispute between
themselvesconcerning the services provided
by the lawyer, the privilege does not apply
totheir dispute. Thus, where a client alleges
a breach of duty on the part of thelawyer,
i.e. professional malpractice, incompetence,
or ethical violations – orwhere the lawyer
sues a client for his fee, either the lawyer
or the client maytestify as to
communications between them.
In theory, the client has impliedly “waived”
the privilege by making allegations
ofbreach of duty against lawyer[Mueller &
Kirkpatrick, Modern Evidence, Section 5.23
(1995)].
A lawyer may reveal secrets when
necessary to collect fees or to defend
himself, his associates or employees (Rule
21.01[c], Code of Professional Responsibility).
d.) d) Document Attested by the Lawyer
Condition:The communication is relevant
to an issue concerning an attested
document to which lawyer is an attesting
witness[Rule 130, Sec. 24(b)(iv)].
Rationale: The privilege does not apply
to “a communication relevant to an issue
concerningan attested document to which
the lawyer is an attesting witness.” This
shouldnot really be an exception because
the privilege never arises, as a lawyer
whoacts as an attesting witness is not
providing professional legal services.
 Purple Notes
When anattorney serves as an attesting
witness, he is not acting as a lawyer and
theclient’s obvious intent is to have him
available to testify to the matter
attested[Mueller & Kirkpatrick, Modern
Evidence, Section 5.25 (1995); Lempert, R.
&Saltzburg, S., A Modern Approach to
Evidence, 3rd ed., pp. 269-370 (1982)] .
e.) e) Joint Clients
f.)
Condition:The communication is relevant
to a matter of common interest between
two or more clients if the communication
was made by any of them to a lawyer
retained or consulted in common, when
offered in an action between any of the
clients, unless they have expressly agreed
otherwise[Rule 130, Sec. 24(b)(v)].
Rationale: Joint clients do not intend
theircommunication to be confidential from
each other, and typically
theircommunications are made in each
other’s presence. xxx Agreeing to
jointrepresentation means that each joint
client accepts the risk that another
jointclient may later use what he or she has
said to the lawyer [Mueller & Kirkpatrick,
Modern Evidence, Section 5.14 (1995)].
 If the unlawful purpose is avowed, as in this
case, the complainant’s alleged intention to
bribe government officials in relation to his
case, the communication is not covered by
the privilege as the client does not consult
the lawyer professionally. It is not within the
profession of a lawyer to advise a client as
to how he may commit a crime as a lawyer
is not a gun for hire. Thus, the attorney-
client privilege does not attach, there being
no professional employment in the strict
sense (Genato vs. Silapan, Adm. Case. No.
4078, July 14, 2003)..

 A lawyer should not, even after the
severance of the relation with his client, do
anything which will injuriously affect his
former client in any matter in which he
previously represented him nor should he
disclose or use any of the client's
confidences acquired in the previous
Criminal
Remedial
relation. The reason for the rule is that the
client's confidence once reposed cannot be
divested by the expiration of the
professional employment(Samala vs.
Valencia, A.C. No. 5439, January 22, 2007).
The communication shall remainprivileged,
even in the hands of athird person who may
haveobtained the information,provided that
the original partiesto the communication
tookreasonable precaution to protect
itsconfidentiality(Rule 130, Sec. 24, last
paragraph).
iii. Physician/Psychotherapist–Patient
Privilege
A physician, psychotherapist or person
reasonably believed by the patient to be
authorized to practice medicine or
psychotherapy cannot in a civil case, without the
consent of the patient, be examined as to any
confidential communication made for the
purpose of diagnosis or treatment of the
patient's physical, mental or emotional
condition, including alcohol or drug addiction,
between the patient and his or her physician or
psychotherapist. This privilege also applies to
persons, including members of the patient's
family, who have participated in the diagnosis or
treatment of the patient under the direction of
the physician or psychotherapist.
A psychotherapist is:
a) A person licensed to practice medicine
engaged in the diagnosis or treatment of a
mental or emotional condition; or
b) A person licensed as a psychologist by the
government while similarly engaged [Rule
130, Sec. 24(c)].
 The physician-patient privileged
communication rule essentially means that
a physician who gets information while
professionally attending a patient cannot
in a civil case be examined without the
patient’s consent
Bar as to any facts which
Operations
Commissions 649
649
 would blacken the latter’s reputation. This
rule is intended to encourage the patient
to open up to the physician, relate to him
the history of his ailment, and give him
access to his body, enabling the physician
to make a correct diagnosis of that ailment
and provide the appropriate cure. Any fear
that a physician could be compelled in the
future to come to court and narrate all
that had transpired between him and the
patient might prompt the latter to clam up,
thus putting his own health at great risk
(Chan vs. Chan, G.R. No. 179786, July 24,
2013).
Requisites: (PCo-CiM)
a. a. There must be a communication made by
the patient to thePhysician, psychotherapist
or person reasonably believed by the patient
to be authorized to practice medicine or
psychotherapy;
b. b. Such communication is to be examined
without the Consent of the patient;
c. c.The privilege is invoked in a Civil case; and
d. d. The confidential information was made for
the purpose of Medical diagnosis or
treatment of the patient.
e.
Note:The privilege survives the death of the
patient.
Not applicable:
a. a. When the communication was not given in
confidence;
b. b. When the communication is irrelevant to
the professional employment;
c. c. Then the communication was made for an
unlawful purpose;
d. d. When the information was intended to be
made public;
e. e. When there was a waiver of the privilege
either by provisions of contract or law;
f. f. When the doctor is a medico-legal;
g. g.The physician-patient privilege is not
violated by permitting physician to give
650
expert testimony regarding hypothetical facts
(Lim vs. CA, G.R. No. 91114, September 25,
1992); or
h. h. Non-physician testimony on a medical
psychologist’s report is not covered by the
physician-patient privilege (Krohn vs. CA, G.R.
NO. 108854, June 14, 1994).
The communication shall remainprivileged, even
in the hands of athird person who may
haveobtained the information,provided that the
original partiesto the communication
tookreasonable precaution to protect
itsconfidentiality(Rule 130, Sec. 24, last paragraph).
iv. Priest–Penitent Privilege
A minister, priest or person reasonablybelieved
to be so cannot, without theconsent of the
affected person, beexamined as to any
communication orconfession made to or any
advice givenby him or her, in his or her
professionalcharacter, in the course of
disciplineenjoined by the church to which
theminister or priest belongs [Rule 130, Sec.
24(d), as amended].
Requisites: (PrEn-Co)
3. The communication or confession must be
made to the minister or Priest or person
reasonably believed to be so, in his
professional character;
4. The communication or confession must be
made in the course of discipline Enjoined by
the church to which her belongs; and
5. The communication or confession was being
examined without the Consent of the
penitent (affected person).
Note: The old provision limited the privilege to
“penitential communications” made to a minister
or priest in the course of discipline enjoined by
the church to which the priest or minister
belongs. As worded, it is unduly preferential to
the Roman Catholic Church. The amendment
expands the privilege to embrace any
confidential communication by a person to a
minister or priest in his professional character as
a spiritual advisor.
Not applicable:
 Purple Notes
Criminal
Remedial
3. The communication was made during his or
1. 1. When the communication was not given in her Tenure; and
confidence; 4. Public interest would suffer by the disclosure
2. 2. Then the communication was made for an of the communication.
unlawful purpose;
3. 3. When the information was intended to be
made public; or  Absent a claim of need to protect military,
4. 4. When there was a waiver of the privilege. diplomatic or sensitive national security
5. secrets, executive privilege cannot prevail
over due process (US vs. Nixon, 418 U.S. 683).
The communication shall remainprivileged, even 
in the hands of athird person who may  At common law a governmental privilege
haveobtained the information,provided that the against disclosure is recognized with respect
original partiesto the communication to state secrets bearing on military,
tookreasonable precaution to protect diplomatic and similar matters. This privilege
itsconfidentiality(Rule 130, Sec. 24, last paragraph). is based upon public interest of such
paramount importance as in and of itself
transcending the individual interests of a
Not applicable: private citizen, even though, as a
1. 1. When the communication was not given in consequence thereof, the plaintiff cannot
confidence; enforce his legal rights (Almonte vs. Vasquez,
G.R. No. 95367, May 23, 1995).
2. 2. Then the communication was made for an

unlawful purpose;
 The expectation of a President to the
3. 3. When the information was intended to be
confidentiality of his conversations and
made public; or
correspondence, like the claim of
4. 4. When there was a waiver of the privilege.
confidentiality of judicial deliberations, for
example, has all the values to which we
The communication shall remainprivileged, even
accord deference for the privacy of all
in the hands of athird person who may
citizens and, added to those values, is the
haveobtained the information,provided that the
necessity for protection of the public
original partiesto the communication
interest in candid, objective, and even
tookreasonable precaution to protect
blunt or harsh opinions in Presidential
itsconfidentiality(Rule 130, Sec. 24, last paragraph).
decision-making. A President and those
who assist him must be free to explore
alternatives in the process of shaping
policies and making decisions and to do so
v. Public Officers and Third Person in a way many would be unwilling to
express except privately. These are the
A public officer cannot beexamined during or considerations justifying a presumptive
after his or hertenure as to communications privilege for Presidential communications.
madeto him or her in official confidence,when The privilege is fundamental to the
the court finds that thepublic interest would operation of the government and
suffer by thedisclosure[Rule 130, Sec. 24(e), as inextricably rooted in the separation of
amended]. powers under the Constitution (Almonte vs.
Vasquez, G.R. No. 95367, May 23, 1995
quoting United States vs. Nixon, 418 U.S. 683,
Requisites: (GCo-PuT)
1973).

1. The holder of the privilege is the Government
 Judicial control over the evidence in a case
which acts through the public officer.
cannot be abdicated to the caprice of
2. The communication must have been made to
executive officers. Yet we will not go so far
a public officer in Confidence; Bar
as to say that Operations
the court may
Commissions 651
651
 automatically require a complete
disclosure to the judge before the claim of
privilege will be accepted in any case. It
may be possible to satisfy the court, from
all the circumstances of the case, that
there is a reasonable danger that
compulsion of the evidence will expose
military matters which, in the interest of
national security, should not be divulged.
When this is the case, the occasion for the
privilege is appropriate, and the court
should not jeopardize the security which
the privilege is meant to protect by
insisting upon an examination of the
evidence, even by the judge alone, in
chambers.
In each case, the showing of necessity
which is made will determine how far the
court should probe in satisfying itself that
the occasion for invoking the privilege is
appropriate. Where there is a strong
showing of necessity, the claim of privilege
should not be lightly accepted, but even
the most compelling necessity cannot
overcome the claim of privilege if the court
is ultimately satisfied that military secrets
are at stake. A fortiori, where necessity is
dubious, a formal claim of privilege, made
under the circumstances of this case, will
have to prevail (Almonte vs. Vasquez, G.R.
No. 95367, May 23, 1995 quoting United States
vs. Reynolds, 345 U.S. 1, 1953).
 The confidentiality of judicial deliberations"
mentioned in the opinion of the Court
referred to the fact that Justices of the
U.S. Supreme Court and judges of lower
federal courts have traditionally treated
their working papers and judicial notes as
private property. A 1977 proposal in the
U.S. Congress that Justices and judges of
lower federal courts "should be
encouraged to make such arrangements
as will assure the preservation and
eventual availability of their personal
papers, especially the deposit of their
papers in the same depository they select
for [their] Public Papers" was rebuffed by
the Justices who, in a letter to the
Chairman of the Subcommittee on
Regulation and Government Information of
652
the U.S. Senate, referred to "difficult
concerns respecting the appropriate
separation that must be maintained
between the legislative branch and this
Court." (Almonte vs. Vasquez, G.R. No. 95367,
May 23, 1995).

 There are, in addition to such privileges,
statutorily-created ones such as the
Government's privilege to withhold the
identity of persons who furnish information
of violations of laws (Almonte vs. Vasquez,
G.R. No. 95367, May 23, 1995).
Note: The Supreme Court clarified that the
President or the Executive Secretary can invoke
the executive privilege. Once invoked, then the
Senate cannot compel the members of the
executive to testify before it (Neri vs. Senate
Committee, G.R No. 169777, April 20, 2006).
Members of the executive or cabinet secretaries
do not enjoy the presumption of privilege but
the President does (Neri vs. Senate Committee,
G.R. No. 180643, September 4, 2008).
Not applicable:
a) When the information is useful evidence to
vindicate the innocence of an accused
person;
b) When such information would lessen the risk
of a false testimony;
c) When it is essential to the proper disposition
of the case; or
d) When the benefit to be gained is greater than
any injury that could inure to the relation by
a disclosure of the information, then
disclosure will be compelled.
 On the other hand, where the claim of
confidentiality does not rest on the need to
protect military, diplomatic or other national
security secrets but on a general public
interest in the confidentiality of his
conversations, courts have declined to find
in the Constitution an absolute privilege of
the President against a subpoena
considered essential to the enforcement of
criminal laws(Almonte vs. Vasquez, G.R. No.
95367, May 23, 1995)
 Purple Notes
 With these safeguards outlined, it is
believed that a satisfactory resolution of the
conflicting claims of the parties is achieved.
It is not amiss to state that even matters of
national security have been inquired into in
appropriate in camera proceedings by the
courts. In Lansang vs. Garcia this Court held
closed door sessions, with only the
immediate parties and their counsel present,
to determine claims that because of
subversion there was imminent danger to
public safety warranting the suspension of
the writ of habeas corpus in 1971. Again in
Marcos vs. Manglapus the Court met behind
closed doors to receive military briefings on
the threat posed to national security by the
return to the country of the former
President and his family. In the United
States, a similar inquiry into the danger to
national security as a result of the
publication of classified documents on the
Vietnam war was upheld by the U.S.
Supreme Court. We see no reason why
similar safeguards cannot be made to
enable an agency of the Government, like
the Office of the Ombudsman, to carry out
its constitutional duty to protect public
interests while insuring the confidentiality of
classified documents (Almonte vs. Vasquez,
G.R. No. 95367, May 23, 1995).
The communication shall remainprivileged, even
in the hands of athird person who may
haveobtained the information,provided that the
original partiesto the communication
tookreasonable precaution to protect
itsconfidentiality(Rule 130, Sec. 24, last paragraph).
Special Laws with Regard to State Secrets:
R.A. No. 7653 (New Central Bank Act), Sec.16
General Rule: Non-disclosure of any
information of a confidential nature or any
information on the discussions or resolutions of
the Monetary Board.
Exception: when such data or information is
required to be submitted to the President and/or
Congress, or required to be published.
Criminal
Remedial
R.A. No. 6981 (Witness Protection Act), Sec.7
All proceedings involving application for
admission into the program and the action taken
thereon shall be confidential in nature.
S.C. Circular (A.M. No. 01-10-5-SC-PHILJA)
The mediation proceedings and all incidents
thereto shall be kept strictly confidential, unless
otherwise specifically provided by law, and all
admissions or statements made therein shall be
inadmissible for any purpose in any proceeding.
Other Privileged Matters:
1. Newsman’s privilege
General Rule: The publisher, editor,
columnist or duly accredited reporter of any
newspaper, magazine or periodical of general
circulation cannot be compelled to reveal the
source of any news report or information
appearing in said publication which was
related in confidence to such publisher,
editor or reporter.
Exception: When the Court or a House or
Committee of Congress finds that such
revelation is demanded by the security of the
State (R.A. No. 53 as amended by R.A. No. 1477,
Sec. 1).
2. Rule on Examination of Child Witness
General Rule: The guardian ad litem shall
not testify in any proceeding concerning any
information, statement, or opinion received
from the child in the course of serving as a
guardian ad litem.
Exception: When the court finds it
necessary to promote the best interests of
the child.
3. Election Offenses Under the Omnibus
Election Code
Voters may not be compelled to disclose for
whom they voted [B.P. No. 881, Sec. 261(z)(5)]
4.Bar Operations
Secrecy of Bank Deposits
Commissions 653
653

General Rule: All deposits of whatever
nature with banks or banking institutions in
the Philippines including investments in
bonds issued by the Government of the
Philippines, its political subdivisions and its
instrumentalities, are hereby considered as
of an absolutely confidential nature and may
not be examined, inquired or looked into by
any person, government official, bureau or
office.
Exceptions:
a) Upon written permission of the depositor;
b) In cases of impeachment;
c) Upon order of a competent court in cases
of bribery or dereliction of duty of public
officials;
d) In cases where the money deposited or
invested is the subject matter of the
litigation (R.A. No. 1405, Sec. 2); or
e) In cases of violation of the Anti-Money
Laundering Act, the Anti-Money
Laundering Council may inquire into a
bank account upon order of any
competent court (Doña Adela Export
International, Inc. vs. TIDCORP, G.R. No.
201931, February 11, 2015).
Note: The privilege applies only to bank
deposits. As to other property being held by
a bank, bank personnel may be examined
upon order of a court [R.A. No. 8791, Sec. 55.1
(d)].
5. Privileged Communication Under the
Labor Code
Information and statements made at
conciliation proceedings shall be treated as
privileged communication and shall not be
used as evidence in the Commission.
Conciliators and similar officials shall not
testify in any court or body regarding any
matters taken up at conciliation proceedings
conducted by them (Art. 233, LC).
8.E.2.c. Parental and Filial Privilege
Rule(Rule 130, Sec. 25, as amended)
654
General Rule: No person shall be compelled to
testify against his or her parents, other direct
ascendants, children or other direct
descendants.
Exception: When such testimony is
indispensable in a crime against that person or
by one parent against the other.
Note: There is no distinction between legitimate
or illegitimate relations.
This is a testimonial privilege, not a testimonial
disqualification, found in Sections 22-24 of Rule
130 [careful not to be confused in the multiple
use of the word “privilege”]. Here, the witness is
the holder of the privilege and has the power to
invoke or waive the privilege. The relative
against whom he is testifying cannot invoke nor
waive the privilege. However, this must be
construed in the light of Art. 215 of the Family
Code, viz:
No descendant shall be compelled, in a criminal
case, to testify against his parents and
grandparents, except when such testimony is
indispensable in a crime against the descendant
or by one parent against the other.
Hence, a descendant may be compelled to
testify in a criminal case where:
 The descendant-witness himself is the victim;
or,
 The descendant-witness’s parent commits a
crime against the descendant-witness’s other
parent.
A stepmother can be compelled to testify
against stepdaughter considering that they have
no common ancestry. The privilege applies only
to “direct” ascendants and descendants (Lee v.
CA, G.R. No. 177861, July 13, 2010).
The privilege is not strictly a rule on
disqualification because a descendant isnot
incompetent or disqualified to testify against an
ascendant. This refers to aprivilege not to
testify, which can be invoked or waived like
other privileges(People vs. Invencion, G.R. No.
131636, March 05, 2003).
 Purple Notes
Criminal
Remedial
Filial Privilege under Rules of Court vs. formula, pattern, device or compilationof
Filial Privilege Under the Civil Code information that (1) is used in one’s business,
and (2) gives the employer anopportunity to
Distinction Rule 130 Art. 215 of obtain an advantage over competitors who do
Sec.25, as Family Code not possess theinformation.
amended
As to who A person may A descendant may 8.E.3. EXAMINATION OF WITNESS
may not be not be not be compelled
compelled compelled to to testify against
testify against his parents and
The examination of witnesses presented in a
his ascendants grandparents. trial or hearing shall be done in open court, and
or descendants. under oath or affirmation. Unless the witness is
As to Both parental Filial privilege incapacitated to speak, or the questions calls for
Coverage and filial only. a different mode of answer, the answers of the
privilege. witness shall be given orally(Rule 132, Sec. 1).
As to Civil and Criminal cases
Applicability criminal cases only General Rule: Examination of witness
As to When such testimony is indispensable presented in a trial or hearing:
Exceptions in a crime against that person or by
one parent against the other.
1. Done in open court;
2. Under oath or affirmation; and
8.E.2.d. Trade Secrets
3. Answers of the witness shall be given orally.
A person cannot be compelledto testify about
Exceptions:
any trade secret, unless the non-disclosure will
conceal fraud orotherwise work injustice. When
a. a. When the witness is incapacitated to
disclosure is directed, the court shall take
speak; or
suchprotective measure as the interest of the
b. b. When the question calls for a different
owner of the trade secret and of the partiesand
mode of answer.
the furtherance of justice may require (Rule 130,
c. c. In civil cases, by depositions pursuant to
Sec. 26). (n)
and under the limitations of Rules 23 and
24(Regalado, 2008);
General Rule: A person cannot be compelled
d. d. In criminal cases, by depositions or
to testify about any trade secret.
conditional examinations, pursuant to Secs.
12 to 15, Rule 119, and Sec. 1, Rule 123; or,
Exception: The non-disclosure will conceal
by the records of the Preliminary
fraud or otherwise work injustice.
Investigation, under the circumstance of Sec.
1(f) of Rule 115(Regalado, 2008);
Note: When disclosure is directed, the court
e. e. In criminal cases covered by the Rule on
shall take such protective measure as the
Summary Procedure, the affidavits of the
interest of the owner of the trade secret and of
parties shall constitute the direct testimonies
the parties and the furtherance of justice.
of the witnesses who executed the same
(RIANO, Criminal Procedure, 2016 ed., citing Sec.
A trade secret was defined in Air Philippines 15, Rules on Summary Procedure);
Corporation vs. Pennswell, Inc. (G.R. No. 172835, f. f. In civil cases covered by the Rules on
December 13, 2007) “as a plan or process, Summary Procedure, the parties are merely
tool,mechanism or compound known only to its required to submit the affidavits of their
owner and those of his employees towhom it is witnesses and other pieces of evidence on
necessary to confide.” The definition was held to the factual issues, together with their
extend to “a secretformula or process not position papers, setting forth the law and the
patented, but known only to certain individuals facts relied upon (RIANO, Civil Procedure, Vol. I,
using it incompounding some article of trade 2016 ed., citing Sec. 9 Rules on Summary
having a commercial value.” The Court went on Procedure); and Operations
Bar
toexplain that a trade secret may “consist of any
Commissions 655
655
g. g. Under the Judicial Affidavit Rule, the 8.E.3.a. Rights and Obligations of a
judicial affidavit shall take the place of direct Witness
testimonies of witnesses (Sec. 2, Judicial
Affidavit Rule). Obligation of a Witness

Purpose: To enable the court to judge the To answer questions, although his or her answer
credibility of the witness by the witness’ manner may tend to establish a claim against him or
of testifying, his intelligence and her.
demeanor(Francisco).
Rights of a Witness (PI-DDS)
Oath vs. Affirmation
1. 1. To be protected from Irrelevant,
improper, or insulting questions, and from
Oath Affirmation
An appeal by a person to A solemn and formal
harsh or insulting demeanor;
a God to witness the declaration or assertion 2. 2. Not to be Detained longer than the
truth of what he that the witness will tell interests of justice require;
declares, and an the truth, etc., this being 3. 3. Not to be examined except only as to
imprecation of Divine substituted for an oath in matters Pertinent to the issue;
punishment or certain cases. 4. 4. Not to give an answer which will tend to
vengeance upon him if Subject him or her to a penalty for an
what he says is false. offense, unless otherwise provided by law;
and
The One-Day Examination of Witness Rule, 5. 5. Not to give an answer which will tend to
that is, a witness has to be fully examined in Degrade his or her reputation, unless it be to
one (1) day only, shall be strictly adhered to the fact at issue or from which the fact in
subject to the courts' discretion during trial on issue would be presumed of his or her
whether or not to extend the direct and/or previous final conviction for an offense (Rule
cross-examination for justifiable reasons[A.M. No. 132, Sec. 3, as amended).
03-1-09-SC, paragraph 5(i)]. 6.
Note: The exception in number (4) above refers
Most Important Witness Rule to immunity statutes wherein the witness is
granted immunity from criminal prosecution for
The trial judge shall determine the most offenses admitted in his testimony (Section 14,
important witnesses to be heard and limit the R.A. No. 6981 or the Witness Protection Act).
number of witnesses. The facts to be proven by
each witness and the approximate number of Kinds of Immunity Statutes
hours per witness shall be fixed[A.M. No. 03-1-09-
SC, paragraph 5(j)]. Transactional Use-and-Derivative-
Immunity Use Immunity
Grants immunity to the Prohibits the use of
Requisites for transcript to be deemed
witness from prosecution witness' compelled
prima facie a correct statement of the for an offense to which testimony and its fruits in
proceedings: his compelled testimony any manner in
relates (Galman vs. connection with the
a. a. Made by the official stenographer, Pamaran, G.R. Nos. criminal prosecution of
stenotypist or recorder; and 71208-09, August 30, the witness (Galman vs.
b. Certified as correct by him(Rule 132, Sec. 2). 19850). Pamaran, G.R. Nos.
71208-09, August 30,
1985).
Note: The rules now require even the
statements of the judge be recorded. Broader in the scope of A witness is only assured
its protection in the that his or her particular
sense that by its grant, a testimony and evidence

656
 Purple Notes
Criminal
Remedial
witness can no longer be derived from it will not Direct examination is the examination-in-chief
prosecuted for any be used against him or of a witness by the party presenting him or her
offense whatsoever her in a subsequent on the facts relevant to the issue (Rule 132, Sec.
arising out of the act or prosecution (Tanchanco 5, as amended).
transaction to which the vs. Sandiganbayan, G.R.
testimony relates Nos. 141675-96, Submission of Judicial Affidavits and
(Tanchanco vs. November 25, 2005).
Exhibits in Lieu of Direct Testimonies
Sandiganbayan, G.R.
Nos. 141675-96, In civil actions, the parties shall file with the
November 25, 2005). court and serve on the adverse party:

A witness need not worry that the oral
examination might subject him or her
tobadgering by adverse counsel. The trial court’s
duty is to protect every witnessagainst
oppressive behavior of an examiner and this is
especially true where thewitness is of advanced
age (Lee vs. Court of Appeals, G.R. No. 177861, July
13, 2010).
Testifying in Narrative Form
General Rule:The witness’ testimony should be
elicited by way of questions and answers, and
not in the narrative form. The reason is that if
witness testifies in narrative form, the adverse
party is deprived of the opportunity to object to
the testimony beforehand (Riguera).
Exception:The court may allow the child
witness to testify in a narrative form(A.M. No.
004-07-SC, Rule on Examination of a Child Witness,
Sec. 19).
Recantation of a Witness
Courts must NOT automatically exclude the
original statement based solely on recantation.
It should determine which statement should be
given credence through a comparison of the
original and the new statements, applying the
general rules of evidence (PLDT vs. Bolso, G.R No.
159701, August 17, 2007).
8.E.3.b. Order in the examination of an
individual witness
1. 1. The judicial affidavits of their witnesses,
which shall take the place of such witnesses'
direct testimonies; and
2. 2. The parties' documentary or object
evidence, if any, which shall be attached to
the judicial affidavits and marked as Exhibits
A, B, C, and so on in the case of the
complainant or the plaintiff, and as Exhibits
1, 2, 3, and so on in the case of the
respondent or the defendant (A.M. No. 12-8-8-
SC, Judicial Affidavit Rule, Sec. 2, as amended).
Note: Every pleading stating a party's claims or
defenses shall, in addition to those mandated by
Rule 7, Sec. 2, state the following:
1. Names of witnesses who will be presented to
prove a party's claim or defense;
2. Summary of the witnesses' intended
testimonies, provided that the judicial
affidavits of said witnesses shall be attached
to the pleading and form an integral part
thereof.
Only witnesses whose judicial affidavits are
attached to the pleading shall be presented
by the parties during trial. Except if a party
presents meritorious reasons as basis for the
admission of additional witnesses, no other
witness or affidavit shall be heard or
admitted by the court; and
Documentary and object evidence in support
of the allegations contained in the pleading
(Rule 7, Sec. 6).(n)

1. Direct examination by the proponent. The Judicial Affidavit Rule shall apply to all
2. Cross-examination by the opponent. criminal actions:
3. Re-direct examination by the proponent.
4. Re-cross-examination by the opponent. a) Where the maximum of the imposable
penalty does not exceed six years;
Bar Operations
Commissions 657
657
b) Where the accused agrees to the use of
judicial affidavits, irrespective of the penalty
involved; or
c) With respect to the civil aspect of the
actions, whatever the penalties involved are
[A.M. No. 12-8-8-SC, Judicial Affidavit Rule, Sec.
9(a)].
Cross-Examination
Upon the termination of the direct examination,
the witness may be cross-examined by the
adverse party on any relevant matter, with
sufficient fullness and freedom to test his or her
accuracy and truthfulness and freedom from
interest or bias, or the reverse, and to elicit all
important facts bearing upon the issue (Rule 132,
Sec. 6, as amended).
Purpose:
1. To discredit the witness;
2. To discredit the testimony of the witness;
3. To elicit admissions from a witness; and
4. To clarify certain matters.
 The cross-examination of a witness is a
prerogative of the party against whom the
witness is called. The purpose of cross-
examination is to test the truth or accuracy
of the statements of a witness made on
direct examination. The party against whom
the witness testifies may deem any further
examination unnecessary and instead rely
on any other evidence theretofore adduced
or thereafter to be adduced or on what
would be believed is the perception of the
court thereon. Certainly, the trial court is
not bound to give full weight to the
testimony of a witness on direct
examination merely because he is not cross-
examined by the other party (People of the
Philippines vs. Fabre, G.R. No. 146697, July 23,
2002).

 In formulating those questions on cross-
examination, defense counsel obviously did
not take into account that he was cross-
examining a child of tender age (Michelle
was approximately nine [9] years of age at
the time she gave her testimony in open
court), susceptible to confusion and
658
probably easily intimidated. The questions
posed by defense counsel to Michelle
appear to us to have been long, elaborate
and circumlocutious difficult to comprehend
even for adults. Thus, at one point, the trial
court directed the defense counsel to
simplify his questions. Defense counsel,
after that directive from the trial court, tried
once more but did not succeed in simplifying
his questions. Promptly thereafter, defense
counsel ceased cross-examination after
stating for the record that Michelle was
"unable to answer the question propounded
by him" and that such counsel would "just
leave it to the sound discretion of the
honorable court. No further questions." It is
clear to this Court that defense counsel
exercised no substantial effort to present
intelligible questions to complaining witness
Michelle Dolorical designed to elicit
straightforward answers. We consider that
Michelle in all probability, simply failed to
grasp some of the questions put to her on
cross-examinations. The defense had made
it very difficult if not practically impossible
for her to answer those questions
intelligently and truthfully (People of the
Philippines vs. Guamos, G.R. No. 109662,
February 21, 1995).
Scope or Limits of Cross-Examination
The rule on cross-examination has shifted from
the American Rule to English Rule.
American Rule English Rule
Commonly known as the Commonly known as the
“Scope-of-Direct Rule”. “Wide-Open Rule”.
The cross-examination of The witness may be fully
the witness shall be cross-examined upon all
limited to the matters matters material to the
taken up in the direct issue, the examination
examination or anything not being confined to the
connected therewith. matters inquired about in
the direct examination.
Witness may be cross-examined by the
adverse party
1. As to any relevant matter;
2. With sufficient fullness and freedom, to test
his accuracy and truthfulness and freedom
from interest or bias, or the reverse; and
 Purple Notes
3. To elicit all important facts bearing upon the
issue.
Doctrine of Incomplete Testimony
When cross-examination cannot be done or
completed due to causes attributable to the
party who offered the witness, the incomplete
testimony is rendered incompetent and should
be stricken from the record (People of the
Philippines vs. Seneris, G.R. No. L-48883, August 6,
1980).
Effect of death or absence of a witness
after the direct examination by the
proponent
a) If the witness was not cross-examined
because of causes attributable to the cross-
examining party and the witness had always
made himself available for cross-
examination, the direct testimony of the
witness shall remain on record and cannot be
stricken off because the cross-examiner is
deemed to have waived his right to cross-
examine (Dela Paz vs. IAC, G.R No. 71537,
September 17, 1987).
b) If the witness was partially cross-examined
but died before the completion of his cross-
examination, his testimony on direct may be
stricken out but only with respect to the
testimony not covered by the cross-
examination (People vs. Seneris, G.R No. L-
48883, August 6, 1980).
c) The absence of a witness is NOT sufficient to
warrant the striking out of his testimony for
failure to appear for further cross-
examination where the witness has already
been sufficiently cross-examined, and the
matter on which cross-examination is sought
is not in controversy (People vs. Seneris, G.R
No. L-48883, August 6, 1980).
Re-Direct Examination
After the cross-examination of the witness has
been concluded, he or she may be re-examined
by the party calling him or her, to explain or
supplement his or her answers given during the
cross-examination. On re-direct examination,
questions on matters not dealt with during the
Criminal
Remedial
cross-examination, may be allowed by the court
in its discretion (Rule 132, Sec. 7, as amended).
Purpose: To explain or supplement the
answers given during the cross-examination.
Note: Court may allow questions on matters
not dealt with during the cross-examination.
Re-cross-examination
Upon the conclusion of the re-direct
examination, the adverse party may re-cross-
examine the witness on matters stated in his or
her re-direct examination, and also on such
other matters as may be allowed by the court in
its discretion (Rule 132, Sec. 8, as amended).
Note: Court may allow questions on matters
not dealt with during the re-direct examination.
Recalling Witness
When made: After the examination of a
witness by both sides has been concluded.
The witness cannot be recalled without leave of
the court. The court will grant or withhold leave
in its discretion, as the interests of justice may
require (Rule 132, Sec. 9).
The discretion to recall a witness is not properly
invoked or exercisable by an applicant’s mere
general statement that there is a need to recall
a witness “in the interest of justice,” or “in order
to afford a party full opportunity to present his
case,” or that, as here, “there seems to be many
points and questions that should have been
asked” in the earlier interrogation. Something
more than the bare assertion of the need to
propound additional questions is essential
before the Court’s discretion may rightfully be
exercised to grant or deny recall. There must be
a satisfactory showing of some concrete,
substantial ground for the recall. Absent such
particulars there would be no foundation for a
trial court to authorize the recall of any witness
(People vs. Rivera, G.R. No. 98376, August 16, 1991).
Exclusion and Separation of Witnesses
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General Rule: The court, motu proprio or upon
motion, shall order the witnesses excluded so
that they cannot hear the testimony of other
witnesses.
Exceptions: (ERNA)
a) A party who is a Natural person;
b) A duly designated Representative of a
juridical entity which is a party to the case;
c) A person whose presence is Essential to the
presentation of the party’s cause; or
d) A person Authorized by statute to be
present.
Note: The court may also cause witnesses to be
kept separate and to be prevented from
conversing with one another, directly or through
intermediaries, until all shall have been
examined (Rule 132, Sec. 15, as amended).
8.E.3.c. Leading and Misleading Questions
Leading question – a question which suggests
to the witness the answer which the examining
party desires.
General Rule: Leading questions are NOT
allowed.
Exceptions: (PCAChU-D-ChIFD)
1. On Cross-examination;
2. On Preliminary matters;
3. There is Difficulty in getting direct and
intelligible answers from a witness who is:
a) Ignorant;
b) A Child of tender years;
c) Feeble mind; or
d) A Deaf-mute;
4. On an Unwilling or hostile witness;
5. Witness is an Adverse party or an officer,
director, or managing agent of a public or
private corporation or of a partnership or
association which is an adverse party (Rule
132, Sec. 10, as amended).
6. In all stages of examination of a Child IF the
same will further the interests of justice (Sec.
20, Rule on Examination of a Child Witness, A.M
No. 004-07 SC).
660
A child of tender years may be asked leading
questions under Section 10(c), Rule 132 of the
Rules of Court. Section 20 of the 2000 Rule on
Examination of a Child Witness also provides
that the court may allow leading questions in all
stages of examination of a child if the same will
further the interests of justice. This rule was
formulated to allow children to give reliable and
complete evidence, minimize trauma to children,
encourage them to testify in legal proceedings
and facilitate the ascertainment of truth (People
v. Ilogon, G.R. No. 206294, June 29, 2016).
Note: A witness may be considered as unwilling
or hostile only if so declared by the court upon
adequate showing of his or her: (MAU)
a) Adverse interest;
b) Unjustified reluctance to testify; or
c) Having Misled the party into calling him or
her to the witness stand (Rule 132, Sec. 13,
as amended).
Misleading question – one which assumes as
true a fact not yet testified to by the witness, or
contrary to that which he has previously stated
(Rule 132, Sec. 10, as amended).
Note: Misleading questions are never allowed;
there are no exceptions (Ibid.).
8.E.3.d. Impeachment of Witness
Impeachment of a witness means to destroy or
put in doubt the credibility of the witness or his
testimony. It is not limited to showing that the
witness is lying but also to show that witness
may be mistaken in his observation or narration
(Riguera).
Impeachment is an attack against the credibility
of a witness (Sheppard v. State, 145 S.E. 654;
Words & Phrases, 1940 ed., Vol. 20, pp. 195, 196). It
constitutes then a grave challenge to a witness’
veracity (People vs. Kali, G.R. No. L-1175, December
22, 1948).
Adverse Party's Witness
 Purple Notes
Criminal
Remedial
Means of Impeaching Adverse Party’s Witness: predicate has been laid by the party against
(GP-CoCo) whom said witness was called (People of the
Philippines vs. De Guzman, G.R. No. 117217,
a) Contradictory evidence; December 2, 1996).
b) By evidence that his General reputation for
truth, honesty, or integrity is bad; Prior Inconsistent Statements
c) By urior inconsistent statements; or
d) Conviction. General Rule: A witness may be impeached by
evidence contrary to his testimony or by
Note: A witness may not be impeached by involving him in material or serious
evidence of particular wrongful acts, except that contradiction.
it may be shown by the examination of the
witness, or the record of the judgment, that he Exceptions:
or she has been convicted of an offense (Rule
132, Sec. 11, as amended). 1. Where contradictions are natural
concomitants to human limitations;
Contradictory Prior Inconsistent 2. Where contradiction is overcome by the
Evidence Statements probable nature of the witness’ story;
Evidence that the Evidence that the witness 3. Contradiction of aged and ignorant
witness’ testimony is has made at other times witnesses;
wrong or untrue. The statements inconsistent 4. Contradiction in details by confusion,
purpose is not just to with his present
excitement, and fright;
show an inconsistency testimony (Riguera).
but to prove outright that
5. Where discrepancies refer to minor details;
the witness is mistaken and
or lying (Riguera). 6. Where contradictions are satisfactorily
Predicate need not be The predicate must first explained (ANNOTATION: Impeachment of
laid (Riguera). be laid (Riguera). The Witness, 53 SCRA 309, October 23, 1973).
witness needs to be
cross-examined upon the How the Witness is Impeached by Evidence of
point of prior Inconsistent Statements?
contradictory statements.
Unless a ground is thus 1. The statements must be related to the
laid upon cross-
witness, with the circumstances of the times
examination, evidence of
contradictory statements
and places and the persons present.
are not admissible to 2. the witness must be asked whether he made
impeach a witness such statements, and if so, he must be
(People vs. Badilla,G.R. allowed to explain them.
No. L-23792, February 3. If the statements are in writing, they must
17, 1926). be shown to the witness before any question
is put to him concerning them (Rule 132, Sec.
 Laying the predicate means that it is the 14).
duty of a party trying to impugn the
testimony of a witness by means of prior or  The witness must be given a chance to
subsequent inconsistent statements, recollect and to explain the apparent
whether oral or in writing, to give the inconsistency between his two statements
witness a chance to reconcile his conflicting and state the circumstances under which
declaration (People of the Philippines vs. they were made. This Court held in People
Relucio,G.R. Nos. 132484-85, November 15, vs. Escosura that the statements of a
2002). witness prior to her present testimony
cannot serve as basis for impeaching her
 A witness cannot be impeached by evidence credibility unless her attention was directed
of contradictory or prior inconsistent to the inconsistencies or discrepancies and
statements until the proper foundation or Bar Operations
she was given an opportunity to
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661
 explain said inconsistencies (People of the d) By showing bias, interest or hostile feeling
Philippines vs. Castellano, G.R. No. 139412, 400 against the adverse party (Herrera, 1999).
SCRA 401, April 2, 2003).
Impeaching a Witness By Evidence of
Witness ADMITS the Witness DENIES the
Making of Making of Conviction of Crime.
Contradictory Contradictory
Statements Statements General Rule:
The accused has the The accused has the
benefit of the right to prove that the The witness may be impeached if he or she has
admission, while the witness made such been convicted by final judgment of:
witness has the statement.
opportunity to explain a) A crime punishable by a penalty in excess of
the discrepancy, if he If the fiscal should one year; or
can (People vs refuse, upon due notice,
Castillano G.R No. b) A crime involving moral turpitude, regardless
to produce the
139412, April 2, 2003). document, secondary of penalty.
evidence of the contents
thereof would be Exceptions: If the conviction has been the
admissible (People vs subject of an amnesty or annulment of the
Castillano, G.R No. conviction (Rule 132, Sec. 12).(n)
139412, April 2, 2003).
Impeaching a Party’s Own Witness

Falsus in Uno, Falsus in Omnibus
The maxim falsus in uno, falsus in omnibus
deals only with the weight of evidence and is
not a positive rule of law; the rule is not an
inflexible one of universal application. Modern
trend in jurisprudence favors more flexibility
when the testimony of a witness may be partly
believed and partly disbelieved depending on
the corroborative evidence presented at the
trial. Thus, where the challenged testimony is
sufficiently corroborated in its material points, or
where the mistakes arise from innocent lapses
and not from an apparent desire to pervert the
truth, the rule may be relaxed. It is a rule that is
neither absolute nor mandatory and binding
upon the court, which may accept or reject
portions of the witness testimony based on its
inherent credibility or on the corroborative
evidence in the case (People vs. Lucena, G.R. No.
137281, April 3, 2001).
Other Modes of Impeaching a Witness:
a) By involving him during cross-examination in
contradiction;
b) By showing the impossibility or improbability
of his testimony;
c) By proving action or conduct of the witness
inconsistent with his testimony; or
General Rule: The party producing a witness is
NOT allowed to impeach his credibility.
Exceptions: When the witness is: (UHA)
a) An Unwilling witness;
b) A Hostile witness; or
c) An Adverse party or an officer, director, or
managing agent of a public or private
corporation or of a partnership or association
which is an adverse party (Rule 132, Sec. 13).
Note: A witness may be considered as unwilling
or hostile only if so declared by the court upon
adequate showing of his or her: (MAU)
a) Adverse interest;
b) Unjustified reluctance to testify; or
c) Having Misled the party into calling him or
her to the witness stand.
An unwilling or hostile witness may also be
impeached and cross-examined by the adverse
party, but such cross-examination must only be
on the subject matter of his or her examination-
in-chief (Rule 132, Sec. 13, as amended).
8.E.3.e. Referral of Witness to
Memorandum

662
 Purple Notes
Criminal
Remedial
Present Recollection Revived from his now refreshed
memory.
A witness may be allowed to refresh his or her It is the testimony of the It is the writing itself, not
memory respecting a fact, by anything written witness, not the memory the oral testimony, that
aid, that serves as the becomes the evidence.
or recorded by himself or herself or under his or
evidence.
her direction at the time when the fact occurred,
The witness simply Witness must swear that
or immediately thereafter, or at any other time testifies that he knows the writing correctly
when the fact was fresh in his or her memory that the memorandum is states the transaction.
and he or she knew that the same was correctly correctly written by him
written or recorded. or under his direction; no
need to swear.
Note: The writing or record must be produced
and may be inspected by the adverse party, 8.E.3.f. Examination of a Child Witness
who may, if he or she chooses, cross-examine (A.M. NO. 004-07-SC, November 21, 2000)
the witness upon it, and may read it in evidence
(Rule 132, Sec. 16, as amended). Applicability of the rule

Past Recollection Recorded General Rule: This Rule shall apply in all
criminal proceedings and non-criminal
A witness may testify from such a writing or proceedings involving child witnesses.
record, though he or she retain no recollection
of the particular facts, if he or she is able to This Rule shall govern the examination of child
swear that the writing or record correctly stated witnesses who are: (VAW)
the transaction when made.
1. Victims of crime;
Note: Such evidence must be received with 2. Accused of a crime; and
caution (Rule 132, Sec. 16, as amended). 3. Witnesses to crime.

Requisites: Exception: Where the Rule provides otherwise

1. The written record or memorandum must
have been written by the witness himself or
by someone under his direction;
2. It must have been written at the time the
fact or event occurred or immediately
thereafter or at any time when the facts
were still fresh in his mind;
3. The record or memorandum must be
produced and may be inspected by the
adverse party who may cross-examine the
witness on it, and may read it in evidence.
(Sec. 1).
Construction of the Rule
This Rule shall be liberally construed to uphold
the best interests of the child and to promote
maximum accommodation of child witnesses
without prejudice to the constitutional rights of
the accused (Sec. 3).
Meaning of “Child Witness"

Present Recollection Past Recollection General Rule: A “child witness” is any person
Revived Recorded who at the time of giving testimony is below the
The memory of the The witness fails to have age of eighteen (18) years, and
witness is obscure but her memory refreshed
there is still memory. after being presented Exception: In child abuse cases, a child
The witne with the writing. includes one over eighteen (18) years but is
ss is presented the found by the court as unable to fully take care
memorandum or record of himself or protect himself from abuse,
with the expectation that
neglect, cruelty, exploitation, or discrimination
it will jog his memory so
that the he can testify Bar Operations
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663
because of a physical or mental disability or
condition [Sec. 4(a)].
Guardian ad Litem
A “guardian ad litem” is a person appointed by
the court where the case is pending for a child
who is a victim of, accused of, or a witness to a
crime to protect the best interests of the said
child [Sec. 4(e)].
Relative Disqualification of Guardian ad
Litem
The guardian ad litem shall not testify in any
proceeding concerning any information,
statement, or opinion received from the child in
the course of serving as a guardian ad litem,
unless the court finds it necessary to promote
the best interests of the child [Sec. 5(e)].
Competency of a Child Witness
General Rule: Every child is presumed
qualified to be a witness.
Exception: When substantial doubt exists
regarding the ability of the child to: (PCARD)
a) Perceive;
b) Remember;
c) Communicate;
d) Distinguish truth from falsehood; or
e) Appreciate the duty to tell the truth in court.
Note: The court shall conduct a competency
examination of a child, motu proprio or on
motion of a party when it finds that such
substantial doubt exists.
1. Proof of necessity. - A party seeking a
competency examination must present
proof of necessity of competency
examination. The age of the child by itself is
not a sufficient basis for a competency
examination.
2. Burden of proof. - To rebut the
presumption of competence enjoyed by a
child, the burden of proof lies on the party
challenging his competence.
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3. Persons allowed at competency
examination. Only the following are
allowed to attend a competency
examination:
a. The judge and necessary court
personnel;
b. The counsel for the parties;
c. The guardian ad litem;
d. One or more support persons for the
child; and
e. The defendant, unless the court
determines that competence can be fully
evaluated in his absence.
4. Conduct of examination. - Examination
of a child as to his competence shall be
conducted only by the judge. Counsel for
the parties, however, can submit questions
to the judge that he may, in his discretion,
ask the child.
5. Developmentally appropriate
questions. - The questions asked at the
competency examination shall be
appropriate to the age and developmental
level of the child; shall not be related to the
issues at trial; and shall focus on the ability
of the child to remember, communicate,
distinguish between truth and falsehood,
and appreciate the duty to testify truthfully.
6. Continuing duty to assess
competence. - The court has the duty of
continuously assessing the competence of
the child throughout his testimony (Sec. 6).
Examination of a Child Witness
General Rule: The examination of a child
witness presented in a hearing or any
proceeding shall be done in open court. The
answers shall be given orally.
Exceptions:
a) When witness is incapacitated to speak; or
b) When the question calls for a different mode
of answer.
 Purple Notes
Note: The party who presents a child witness or
the guardian ad litem of such child witness may,
however, move the court to allow him to testify
in the manner provided in this Rule (Sec. 8).
Mode of Questioning
The court shall exercise control over the
questioning of children so as to:
1. Facilitate the ascertainment of the truth;
2. Ensure that questions are stated in a form
appropriate to the developmental level of the
child;
3. Protect children from harassment or undue
embarrassment; and
4. Avoid waste of time (Sec. 19).
Testifying in Narrative Form
The court may allow the child witness to testify
in a narrative form (Sec. 19).
Leading Questions, When Allowed
The court may allow leading questions in all
stages of examination of a child if the same will
further the interests of justice (Sec. 20).
Under Section 20 of A.M. No. 004-07-SC or the
Rule on the Examination of a Child Witness, ,
the court may allow leading questions in all
stages of examination of a child if the same will
further the interests of justice. This rule was
formulated to allow children to give reliable and
complete evidence, minimize trauma to children,
encourage them to testify in legal proceedings
and facilitate the ascertainment of truth (People
vs. Golidan, G.R. No. 205307, January 11, 2018).
Child witnesses may testify in narrative form and
leading questions may be allowed by the trial
court in all stages of the examination if the
same will further the interest of justice (People
vs. Santos, G.R. No. 172322, September 8, 2006).
Corroboration
Corroboration shall not be required of a
testimony of a child. His testimony, if credible by
itself, shall be sufficient to support a finding of
Criminal
Remedial
fact, conclusion, or judgment subject to the
standard of proof required in criminal and non-
criminal cases.
Live-Link Television Testimony of a Child
Witness
When Applicable
In a criminal case where a child is a witness or a
victim, the prosecutor, counsel or the guardian
ad litem may apply for an order that the
testimony of the child be taken in a room
outside the courtroom and be televised to the
courtroom by live-link television.
Application by Guardian ad Litem
General Rule: Before the guardian ad litem
applies for an order under this section, he shall
consult the prosecutor or counsel and shall defer
to the judgment of the prosecutor or counsel
regarding the necessity of applying for an order.
Exception: In case the guardian ad litem is
convinced that the decision of the prosecutor or
counsel not to apply will cause the child serious
emotional trauma, he himself may apply for the
order [Sec. 25(a)].
Period of Application
General Rule: The person seeking such an
order shall apply at least five (5) days before
the trial date.
Exception: When the court finds on the record
that the need for such an order was not
reasonably foreseeable [Sec. 25(a)].
Determination by the Judge
The court may motu proprio hear and
determine, with notice to the parties, the need
for taking the testimony of the child through
live-link television [Sec. 25(b)].
The judge may question the child in chambers,
or in some comfortable place other than the
courtroom, in the presence of the support
person, guardian ad litem, prosecutor, and
Bar for the parties.
counsel Operations
The questions of
Commissions 665
665
the judge shall not be related to the issues at
trial but to the feelings of the child about
testifying in the courtroom [Sec. 25(c)].
The court may order that the testimony of the
child be taken by live-link television if there is a
substantial likelihood that the child would suffer
trauma from testifying in the presence of the
accused, his counsel or the prosecutor as the
case may be. The trauma must be of a kind
which would impair the completeness or
truthfulness of the testimony of the child [Sec.
25(f)].
Exclusion of Any Person
The judge may exclude any person, including
the accused, whose presence or conduct causes
fear to the child [Sec. 25(d)].
Videotaped Deposition of a Child Witness
Who may apply
The prosecutor, counsel, or guardian ad litem
may apply for an order that a deposition be
taken of the testimony of the child and that it be
recorded and preserved on videotape [Sec.
27(a)].
Before the guardian ad litem applies for an
order under this section, he shall consult with
the prosecutor or counsel subject to the second
and third paragraphs of section 25(a) .
When applicable
If the court finds that the child will not be able
to testify in open court at trial, it shall issue an
order that the deposition of the child be taken
and preserved by videotape [Sec. 27(b)].
Conduct of Deposition
The judge shall preside at the videotaped
deposition of a child. Objections to deposition
testimony or evidence, or parts thereof, and the
grounds for the objection shall be stated and
shall be ruled upon at the time of the taking of
the deposition [Sec. 27(c)].
666
Persons Who May be Permitted to be
Present
1. The prosecutor;
2. The defense counsel;
3. The guardian ad litem;
4. The accused, subject to sub-section (e);
5. Other persons whose presence is determined
by the court to be necessary to the welfare
and well-being of the child;
6. One or both of his support persons, the
facilitator and interpreter, if any;
7. The court stenographer; and
8. Persons necessary to operate the videotape
equipment [Sec. 27(c)].
Exclusion of the Accused
If the order of the court is based on evidence
that the child is unable to testify in the physical
presence of the accused, the court may direct
the latter to be excluded from the room in which
the deposition is conducted. In case of exclusion
of the accused, the court shall order that the
testimony of the child be taken by live-link
television in accordance with Section 25 of this
Rule. If the accused is excluded from the
deposition, it is not necessary that the child be
able to view an image of the accused [Sec.
27(e)].
Videotape Deposition in Lieu of Testimony
at the Trial
The court may admit into evidence the
videotaped deposition of the child in lieu of his
testimony at the trial if at the time of trial, the
court finds that the child is:
a) Unable to testify for a reason stated in
Section 25(f) of this Rule; or
b) Unavailable for any reason described in
Section 4(c), Rule 23 of the 1997 Rules of
Civil Procedure [Sec. 27(i)].
Note: The court shall issue an order stating the
reasons therefor.
Hearsay Exception in Child Abuse Cases
A statement made by a child describing any act
or attempted act of child abuse, not otherwise
 Purple Notes
admissible under the hearsay rule, may be
admitted in evidence in any criminal or non-
criminal proceeding (Sec. 28).
Rules in Admitting Hearsay Statement
Before such hearsay statement may be
admitted, its proponent shall make known to the
adverse party the intention to offer such
statement and its particulars to provide him a
fair opportunity to object. If the child is
available, the court shall, upon motion of the
adverse party, require the child to be present at
the presentation of the hearsay statement for
cross-examination by the adverse party. When
the child is unavailable, the fact of such
circumstance must be proved by the
proponent[Sec. 28(a)].
Ruling on the Admissibility
In ruling on the admissibility of such hearsay
statement, the court shall consider the time,
content and circumstances thereof which
provide sufficient indicia of reliability. It shall
consider the following factors:
1. Whether there is a motive to lie;
2. The general character of the declarant child;
3. Whether more than one person heard the
statement;
4. Whether the statement was spontaneous;
5. The timing of the statement and the
relationship between the declarant child and
witness;
6. Cross-examination could not show the lack of
knowledge of the declarant child;
7. The possibility of faulty recollection of the
declarant child is remote; and
8. The circumstances surrounding the
statement are such that there is no reason to
suppose the declarant child misrepresented
the involvement of the accused [Sec. 28(b)].
Unavailable Child Witness
The child witness shall be considered
unavailable if the child: (SEx-DAb)
a) Is Deceased;
b) Suffers from physical infirmity, lack of
memory, mental illness;
Criminal
Remedial
c) Will be Exposed to severe psychological
injury; or
d) Is Absent from the hearing and the
proponent of his statement has been unable
to procure his attendance by process or
other reasonable means [Sec. 28(c)].
When the child witness is unavailable, his
hearsay testimony shall be admitted only if
corroborated by other admissible evidence [Sec.
28(d)].
Sexual Abuse Shield Rule
General Rule: The following evidence is not
admissible in any criminal proceeding involving
alleged child sexual abuse:
1. Evidence offered to prove that the alleged
victim engaged in other sexual behavior; and
2. Evidence offered to prove the sexual
predisposition of the alleged victim [Sec.
30(a)].
Exception: Evidence of specific instances of
sexual behavior by the alleged victim to prove
that a person other than the accused was the
source of semen, injury, or other physical
evidence shall be admissible [Sec. 30(b)].
Procedure
A party intending to offer such evidence must:
1. File a written motion at least fifteen (15)
days before trial, specifically describing the
evidence and stating the purpose for which it
is offered, unless the court, for good cause,
requires a different time for filing or permits
filing during trial; and
2. Serve the motion on all parties and the
guardian ad litem at least three (3) days
before the hearing of the motion.
Before admitting such evidence, the court must
conduct a hearing in chambers and afford the
child, his guardian ad litem, the parties, and
their counsel a right to attend and be heard.
The motion and the record of the hearing must
be sealed and remain under seal and protected
byBar Operations
a protective order set forth in section 31(b).
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667
The child shall not be required to testify at the 110290, January 25,
hearing in chambers except with his consent 1995).
(Sec. 30). There is merely a There is an
statement of fact not acknowledgment of guilt
Confidentiality of Records directly involving an (Ladiana vs. People, G.R.
acknowledgment of guilt No. 144293, December 4,
or of the criminal intent 2002).
General Rule: to commit the offense
with which one is
Any record regarding a child shall be confidential charged (Ladiana vs.
and kept under seal. record shall only be People, G.R. No. 144293,
released to the following: (PD-GAMOt) December 4, 2002).
May be made by a third Can be made only by the
1. Members of the court staff for administrative person party himself
use; May be express or Must be in express terms
2. The Prosecuting attorney; implied
3. Defense counsel;
4. The Guardian ad litem; Classifications of Admissions:
5. Agents of investigating law enforcement
agencies; and 1. Judicial Admissions
6. Other persons as determined by the court. a. Formal judicial admissions; and
b. Informal judicial admissions
Exception: Upon written request and order of
the court [Sec. 31(a)]. 2. Extrajudicial Admissions
a. Express extrajudicial admissions; and
Note: Whoever publishes or causes to be b. Implied extrajudicial admissions
published in any format the name, address,
telephone number, school, or other identifying A formal judicial admission is a party’s own,
information of a child who is or is alleged to be deliberate, clear, and unequivocal statement
a victim or accused of a crime or a witness about a material fact. Once made, the
thereof, or an immediate family of the child shall statement cannot be contradicted and is
be liable to the contempt power of the court therefore conclusively bound to the party.
[Sec. 31(d)].
 The rule is that the testimony on the
8.E.4. ADMISSIONS AND CONFESSIONS witness stand partakes of the nature of a
formal judicial admission when a party
Admission is an act, declaration or omission of a testifies clearly and unequivocally to a fact
party as to a relevant fact (Rule 130, Sec. 27). which is peculiarly within his own
knowledge(Republic vs. Sandiganbayan, G.R.
Confession is a categorical acknowledgement of No. 152154, July 15, 2003).
guilt made by an accused of the offense
charged or any offense necessarily included Informal judicial admissions are facts that
therein (Rule 130, Sec. 34). are “incidentally” admitted during the judicial
proceeding and are simply regarded as a piece
Admission Confession of evidence that is not binding or conclusive.
An acknowledgment of An acknowledgment in Similar to any other form of evidence, informal
some fact or express terms, by a party admissions are subject to contradiction or
circumstance which in in a criminal case, of his explanation.
itself is insufficient to guilt of the crime
authorize a conviction, charged (People vs. Express extrajudicial admissions are those
and which tends only to Agustin, G.R. No. made in definite, certain and unequivocal
establish the ultimate 110290, January 25,
manner.
fact of guilt (People vs. 1995).
Agustin, G.R. No.

668
 Purple Notes
Criminal
Remedial
Implied extrajudicial admissions are those “hearsay” (People vs. Singco, G.R. No. 188130, July
which may be inferred from the act, conduct, 26, 2010).
declaration, silence or omission of a party
(Herrera). Self-serving statements are those made by a
party out of court advocating his own interest;
Admissions that are admissible against a they do not include a party’s testimony as a
party: (PACo-ACo-Si-JC) witness in court. Self-serving statements are
inadmissible because the adverse party is not
1. Admissions Against interest (Rule 130, Sec. given the opportunity for cross-examination, and
27); their admission would encourage fabrication of
2. Compromises (Rule 130, Sec. 28); testimony. This cannot be said of a party’s
3. Exceptions to Res Inter Alios Acta: testimony in court made under oath, with full
a. Co-partner’s admissions (Rule 130, Sec. opportunity on the part of the opposing party
30); for cross-examination(People vs. Singco, G.R. No.
b. Agent’s admissions (Rule 130, Sec. 30); 188130, July 26, 2010).
c. Admissions by a Joint owner, joint debtor,
or other person jointly interested with the
party (Rule 130, Sec. 30);
d. Co-conspirator’s statements (Rule 130,
Sec. 31);
e. Admission by Privies (Rule 130, Sec. 32);
and
4. Admission by Silence (Rule 130, Sec. 33) Extrajudicial Admission and Judicial
Admission, Distinguished
8.E.4.a. Admission by a Party Extrajudicial Judicial
Admission Admission
The act, declaration or omission of a party as to Made outside of the Made in the course of the
a relevant fact may be given in evidence against proceedings in the same proceedings in the same
him. His admission is, however, not admissible case. case.
in his favor because it would be self-serving Must be offered in Need not be offered in
evidence. evidence in order to be evidence since they
considered by the court. already form part of the
records.
An admission may be in the form of: (ASO)
May be given in evidence Not only is it evidence
against the admitter. against the admitter but
a. An Act; is binding upon him.
b. A Statement or declaration; or May be contradicted by May not be contradicted
c. An Omission (Riguera). the admitter. by the admitter except
upon showing that the
Elements for an Admission to be admission was made
Admissible: (FACK) through palpable mistake
or that the imputed
1. 1. Must involve matters of Fact, not of law; admission was not, in
fact, made.
2. 2. Must be Categorical and definite;
(Riguera)
3. 3. Must be Knowingly and voluntarily made;
and,  The admission having been made in a
4. 4.Must be Adverse to the admitter’s interest. stipulation of facts at pre-trial by the parties,
Otherwise, it would be self-serving and it must be treated as a judicial admission.
generally inadmissible. Under Section, 4 Rule 129 of the Rules of
Court, a judicial admission requires no proof
The common objection known as “self-serving” (SCC Chemicals Corporation vs. Court of Appeals,
is not correct because almost all testimonies are Bar
G.R. No. 128538,Operations
February 28, 2001).
self-serving. The proper basis for objection is
Commissions 669
669
  A party who judicially admits a fact cannot Civil Cases Criminal Cases
later challenge the fact as judicial General Rule: General Rule:
admissions are a waiver of proof; The following are An offer of compromise by
neither admissions of the accused may be
production of evidence is dispensed with. A
guilt nor admissible in received in evidence as an
judicial admission also removes an evidence: (PESO) implied admission of guilt.
admitted fact from the field of controversy. 1.Offer of
Consequently, an admission made in the compromise;
pleadings cannot be controverted by the 2.Evidence of Exceptions:
party making such admission and are conduct; (PAWUK-AQu)
conclusive as to such party, and all proofs 3.Statements made
to the contrary or inconsistent therewith in compromise 1. Those involving Quasi-
should be ignored, whether objection is negotiations; and offenses;
4. Offer to pay or the 2. Those Allowed by law
interposed by the party or not. The
Payment of to be compromised
allegations, statements or admissions medical, hospital
contained in a pleading are conclusive as (i.e. Tax Cases);
or other expenses 3. Plea of guilty later
against the pleader. A party cannot occasioned by the Withdrawn;
subsequently take a position contrary of or injury. 4. As Unaccepted offer of
inconsistent with what was pleaded a plea of guilty to a
(Constantino vs. Heirs of Costantino, Jr., G.R. Exceptions: lesser offense;
No. 181508, October 2, 2013). (DA-PNP) 5. An offer or Payment of
 a) When the evidence medical, hospital or
 The extrajudicial admission or confession of is otherwise other expenses
a co-conspirator out of court is different Discoverable; or occasioned by an
b) When the evidence injury; and
from the testimony given by a co-accused
is offered for 6. Those covered by the
during trial. The first is admissible against Another purpose, KatarungangPambaran
the declarant alone, but the second is such as: gay Law.
perfectly admissible against his co-accused’ i.Proving bias or
who had the right and opportunity to cross- prejudice of a
examine the declarant (People of the witness;
Philippines vs. Flores, G.R. No. 71980, March 18, ii. Negativing a
1991). contention of
undue delay; or
Party Admission and Declaration Against iii. Proving an
Interest, Distinguished effort to
obstruct a
criminal
Party Declaration Against
investigation of
Admission Interest
prosecution.
Made by party. Made by a non-party, i.e.
(Rule 130, Sec. 28, as amended)
the declarant.
Need not be against the Must be against the
Reason Compromise is Allowed in Civil
admitter’s interest. declarant’s interest.
Not hearsay and thus Hearsay but admissible Cases: It is the policy of the law to favor the
admissible. as an exception to the settlement of disputes, to foster compromises
hearsay rule. and to promote peace (Genato vs. Silapan, Adm.
No requirement that the The declarant must be Case. No. 4078, July 14, 2003).
admitter is dead or dead or unable to testify.
unable to testify. If a party denies the existence of a debt but
Admissible only against Admissible against the offers to pay the same for the purpose of buying
the admitter. declarant and third peace and avoiding litigation, the offer of
persons. settlement is inadmissible. If in the course
(Riguera) thereof, the party making the offer admits the
existence of an indebtedness combined with a
Offer of Compromise proposal to settle the claim amicably, then, the
670
 Purple Notes
admission is admissible to prove such
indebtedness (Tan vs. Rodil Enterprises, G.R. No.
168071, December 18, 2006).
Note: An offer of compromise that may be
considered an implied admission need NOT be
made by the accused himself, it may be made
by his lawyer or relatives, provided it is made
with the consent of the accused or with his
knowledge and he does not stop it.
For a compromise to amount to an implied
admission of guilt, the accused should have
been present or at least authorized the
proposed compromise (People vs. Erguiza, G.R. No.
171348, November 26, 2008).
Good Samaritan Rule
An offer to pay or the payment of medical,
hospital or other expenses occasioned by an
injury is not admissible in evidence as proof of
civil or criminal liability for the injury (Rule 130,
Sec. 28, as amended).
Rationale
The reason for this Rule is to promote and
encourage humanitarian acts or charitable
responses rather than discourage or penalize
them. Otherwise, someone who may just want
to help might hold back for fear that doing so
will be taken as a sign of guilt (Regalado).
Unaccepted Offer
An offer in writing to pay a particular sum of
money or to deliver a written instrument or
specific personal property, if rejected without
valid cause, is equivalent to the actual
production and tender of the money,
instrument, or property (Rule 130, Sec. 26).
8.E.4.b. Res Inter Alios Acta Rule
“Res inter alios acta alterinocere non
debet”
“Things done between strangers ought not to
injure those who are not parties to them.”
Criminal
Remedial
There are two (2) branches of the rule of res
inter alios acta, namely:
1. Admission by Third Party – The rule that
the rights of a party cannot be prejudiced
by an act, declaration, or omission or
another (Rule 130, Sec. 29, as amended); and
2. Previous Conduct as Evidence – The
rule that evidence that one did or did not
do a certain thing at one time is not
admissible to prove that he or she did or
did not do the same or a similar thing at
another time (Rule 130, Sec. 35, as amended).
8.E.4.c. Admission by a Third Party
General Rule:
The res inter alios acta rule ordains that the
rights of a party cannot be prejudiced by an act,
declaration, or omission of another. An extra-
judicial confession is binding only upon the
confessant and is not admissible against his co-
accused.
The reason for the rule is that, on a principle of
good faith and mutual convenience, a man’s
own acts are binding upon himself, and are
evidence against him. So are his conduct and
declarations. Yet it would not only be rightly
inconvenient, but also manifestly unjust, that a
man should be bound by the acts of mere
unauthorized strangers; and if a party ought not
to be bound by the acts of strangers, neither
ought their acts oo conduct be used as evidence
against him (People vs. Raquel, G.R. No. 119005
December 2, 1996, as cited in People vs. Cui, G.R.
No. 121982, September 10, 1999).
The res inter alios acta rule refers only to
extrajudicial declarations or admissions and not
to testimony given on the witness postand
where the party adversely affected has the
opportunity to cross-examine the declarant
(People vs. Comiling, G.R. No. 140405, March 4,
2004).
Bar
Exceptions: Operations
(CoCo-JAP)
Commissions 671
671
1. Admission by a Co-partner (Rule 130, sec. 30,
as amended);
2. Admission by an Agent (Rule 130, sec. 30, as
amended);
3. Admission by a Joint owner, joint debtor, or
other person jointly interested with the party
(Rule 130, sec. 30, as amended);
4. Admission by a Co-conspirator (Rule 130, Sec.
31, as amended); and
5. Admission by Privies (Rule 130, Sec. 32, as
amended).
Note: These exceptions are collectively
classified as “vicarious admissions”.
A vicarious admission may be defined as an
assertion made by some person whose words or
acts are treated through the operation of
substantive law as those of the litigant (Witkin).
The basis for admitting the above admissions is
that the person making the statements is under
the same circumstances as the person against
whom it is offered. Such circumstances give him
substantially the same interest and the same
motive to make a statement about certain
matters (Wigmore).
8.E.4.d. Admission by a Co-Partner or
Agent
The act or declaration of a partner or agent
authorized by the party to make a statement
concerning the subject, or within the scope of
his or her authority and during the existence of
the partnership or agency, may be given in
evidence against such party after the
partnership or agency is shown by evidence
other than such act or declaration (Rule 130, Sec.
30, as amended).
Requisites: (SDE)
1. The acts or declaration were made During
the existence of partnership or agency;
2. That the partnership or agency be previously
proven by Evidence other than the admission
itself; and,
3. The acts or declaration refers to matters
within the Scope of his authority, or matters
on which he was authorized by the party to
make a statement
672
It is well established that the statements and
admissions of an agent are properly admissible
in evidence against the principal if they qualify
as vicarious admissions (Wigmore).
The same rule applies to the act or declaration
of a joint owner, joint debtor, or other person
jointly interested with the party (Rule 130, Sec.
30, as amended)
8.E.4.e. Admission by a Conspirator
The act or declaration of a conspirator in
furtherance of the conspiracy and during its
existence, may be given in evidence against the
co-conspirator after the conspiracy is shown by
evidence other than such act or declaration (Rule
130, Sec. 31, as amended).
 The general rule is that extra-judicial
declarations of a co-conspirator made
before the formation of the conspiracy or
after the accomplishment of its object are
inadmissible in evidence as against the
other co-conspirators, on the ground that
the accused in a criminal case has the
constitutional right to be confronted with
the witnesses against him and to cross-
examine them (People of the Philippines vs.
Cui, G.R. No. 121982, September 10, 1999).
Requisites: (ECW)
1. The conspiracy must first be proved by
Evidence other than the admission itself;
2. The admission relates to the Common
objects; and
3. The admission must have been made While
the declarant was engaged in carrying out
the conspiracy (People vs. Cui, G.R. No. 121982,
September 10, 1999).
A conspiracy exists when two or more persons
come to an agreement concerning the
commission of a felony and decide to commit it
(Art. 8, RPC).
The exception provided under Sec. [31], Rule
130 of the Rules of Court to the rule allowing
the admission of a conspirator requires the prior
establishment of the conspiracy by evidence
other than the confession. Mere association with
 Purple Notes
the principals by direct participation, without
more, does not suffice. Relationship, association
and companionship do not prove conspiracy
(Salapuddin v. Court of Appeals, G.R. No. 184681,
February 25, 2013).
In order that a declaration of one party to a
conspiracy or common enterprise may be
received against another, it is necessary that
such declaration should relate to the common
object and be made while declarant is engaged
in carrying it out. Statements concerning past
transactions are not within the usual scope of
the agency conferred by the unity of purpose,
and hence a declaration by a conspirator, made
after the common purpose has been
accomplished or the common enterprise
abandoned, is incompetent against his
associates (ANNOTATION: The Inter Alios Acta Rule
Revisited, 331 SCRA 562, May 09, 2000).
The extra-judicial statements of an accused
implicating a co-accused may not be utilized
against the latter, unless these are repeated in
open court. If the accused never had the
opportunity to cross-examine his co-accused on
the extra-judicial statements, it is elementary
that the same are hearsay as against said
accused. That is exactly the situation, and the
disadvantaged plight of appellants, in the case
at bar (People vs. Cui, G.R. No. 121982, September
10, 1999).
The rule that the statement of a conspirator
relating to the conspiracy is not admissible in
evidence unless the conspiracy is first shown by
other independent evidence, applies only to an
admission in an extrajudicial confession or
declaration. It does not apply to a testimony
given directly in court where the defendants
have the opportunity to cross-examine the
declarant. Provided it is sincere in itself, given
unhesitatingly and in a straightforward manner,
and full of details which by their nature could
not have been the result of deliberate
afterthought, the testimony of a co-conspirator,
even if uncorroborated, is sufficient (People of the
Philippines vs. Flores, G.R. No. 71980, March 18,
1991).
8.E.4.f. Admission by privies
Criminal
Remedial
Where one derives title to property from
another, the latter’s act, declaration, or
omission, in relation to the property, is evidence
against the former if done while the latter was
holding the title (Rule 130, Sec. 32, as amended).
Privies are those who have mutual or successive
relationship to the same right of property or
subject matter.
 By the term "privies" is meant those
between whom an action is deemed
binding although they are not literally
parties to the said action. Privity in estate
denotes the privity between assignor and
assignee, donor and donee, grantor and
grantee, joint tenant for life and
remainderman or reversioner and their
respective assignees, vendor by deed of
warranty and a remote vendee or assignee.
A privy in estate is one, it has been said,
who derives his title to the property in
question by purchase; one who takes by
conveyance(Constantino vs. Heirs of
Costantino, Jr., G.R. No. 181508, October 2,
2013).
Kinds of Privies:
Those arising from
a) Contract;
b) Law – e.g. Succession; or
c) Blood – e.g. Father and son
Requisites: (ADO-HI )
1. Act, Declaration, or Omission is made by a
predecessor-in-interest;
2. Act, declaration, or omission is made while
Holding the title in relation to the property;
and,
3. Act, declaration, or omission must be In
relation to the property.
Exceptions:
a) Where the declarations are made in the
presence of the transferee and he acquiesce
in the statement or asserts no right where he
ought to speak;
Bar Operations
Commissions 673
673
b) Where there has been prima facie case of
fraud established, as where the possession of
the thing after the transfer remains with the
seller or transferor; or
c) Where the evidence establishes a continuing
conspiracy to defraud.
8.E.4.g. Admission by silence
An act or declaration made in the presence and
within the hearing or observation of a party who
does or says nothing when the act or
declaration is such as naturally to call for action
or comment if not true, and when proper and
possible for him or her to do so, may be given in
evidence against him or her (Rule 130, Sec. 33, as
amended).
Basis is the Latin maxim is “Qui tacet
consentireveditur”, meaning “He who is silent
appears to consent.”
The natural instinct of man impels him to resist
an unfounded claim and defend himself. It is
against human nature to just remain reticent
and say nothing in the face of false accusations
(People v. Castañeda, G.R. No. 208290, Dec. 11,
2013).
Requisites: (OO-MaKEU)
1. The party must have heard or Observed the
act or declaration of the other person;
2. He must have had the Opportunity to deny
it;
3. He must have Understood the act or
declaration;
4. He must have an Interest to object as he
would naturally have done if the act or
declaration was not true;
5. The facts are within his Knowledge; and
6. The fact admitted or the inference to be
drawn from his silence is Material to the
issue (Pamplona vs. Cueto, G.R. No. 204735,
February 19, 2018).
 Silence during custodial investigation is not
admission by silence as he has the right to
remain silent during that stage (People v.
Guillen, G.R. No. 191756, Nov. 25, 2013).
Doctrine of Adoptive Admission
674
An adoptive admission is a party’s reaction to a
statement or action by another person when it is
reasonable to treat the party’s reaction as an
admission of something stated or implied by the
other person. Where it appears that a party
clearly and unambiguously assented to or
adopted the statements of another, evidence of
those statements is admissible against him
(Republic vs. Kenrick Development Corporation, G.R.
No. 149576, August 8, 2006).
Adoptive admission may occur when a
party:
a) expressly agrees to or concurs in an oral
statement made by another;
b) hears a statement and later on essentially
repeats it;
c) utters an acceptance or builds upon the
assertion of another;
d) replies by way of rebuttal to some specific
points raised by another but ignores further
points which he or she has heard the other
make; or
e) reads and signs a written statement made by
another (Republic vs. Kenrick Development
Corporation, G.R. No. 149576, August 8, 2006).
8.E.4.h. Confessions
Confession is a categorical acknowledgement of
guilt made by an accused of the offense charged
or any offense necessarily included therein (Rule
130, Sec. 34).
 The declaration of an accused
acknowledging his guilt of the offense
charged, or of any offense necessarily
included therein, may be given in evidence
against him.
 A confession is an acknowledgment in
express terms, by a party in a criminal
case, of his guilt of the crime charged,
while an admission is a statement by the
accused, direct or implied, of facts
pertinent to the issue, and tending, in
connection with proof of other facts, to
prove his guilt. In other words, an
admission is something less than a
confession, and is but an acknowledgment
of some fact or circumstance which in itself
 Purple Notes
is insufficient to authorize a conviction, and
which tends only to establish the ultimate
fact of guilt (People of the Philippines vs.
Lorenzo, G.R. No. 110107, January 26, 1995
citing Wharton).
The rationale for the admissibility of a
confession is that if it is made freely and
voluntarily, a confession constitutes evidence of
a high order since it is supported by the strong
presumption that no sane person or one of
normal mind will deliberately and knowingly
confess himself to be the perpetrator of a
crime, unless prompted by truth and
conscience (People vs. Satorre, G.R. No. 133858,
August 12, 2003).
Note: Confessions are presumed to be
voluntary and the onus is on the defense to
prove that it was involuntary for having been
obtained by violence, intimidation, threat,
promise of reward or leniency (People vs. Garcia,
G.R. No. L-8298, May 29, 1957).
Requisites for Admissibility of
Confessions:
1. Express and categorical acknowledgment of
guilt;
2. Facts admitted are constitutive of the
criminal offense;
3. Voluntarily given;
4. Intelligently made; and,
5. There is no violation of Art. III, Sec. 3 of
the Constitution (Rights of the Accused)
(People vs. Racquel, G.R. No. 119005, December
2, 1996).
The basic test for the validity of a confession is
was it voluntarily and freely made. The term
voluntary means that the accused speaks of his
free will and accord, without inducement of any
kind, and with a full and complete knowledge
of the nature and consequences of the
confession, and when the speaking is so free
from influences affecting the will of the
accused, at the time the confession was made,
that it renders it admissible in evidence against
him (People vs. Satorre, G.R. No. 133858, August
12, 2003).
 A confession is not required to be in any
particular form. It may be oral or written,
Criminal
Remedial
formal or informal in character. It may be
recorded on video tape, sound motion
pictures, or tape (Id.).
Kinds of Confession:
Judicial confession is one made before a
court in which the case is pending and in the
course of legal proceedings therein, and by
itself, can sustain a conviction even in capital
offenses.
Extrajudicial confession is one made in any
other place or occasion.
General Rule: An extrajudicial confession
cannot sustain a conviction.
Exception: When it is corroborated by
evidence of the corpus delicti (Rule 133, Sec. 3).
 Note that what must be corroborated is the
extrajudicial confession and not the
testimony of the person to whom the
confession is made, and the corroborative
evidence required is not the testimony of
another person who heard the confession
but the evidence of corpus delicti. Except
when expressly required by law, the
testimony of a single person, if credible
and positive and if it satisfies the court as
to the guilt of the accused beyond
reasonable doubt, is sufficient to convict.
In determining the value and credibility of
evidence, witnesses are to be weighed, not
numbered (People of the Philippines vs.
Lorenzo, G.R. No. 110107, January 26, 1995).
Requisites for Admissibility of
Extrajudicial Confessions: (RI-VICE)
1. Express and categorical acknowledgment of
guilt;
2. Facts admitted are Constitutive of the
criminal offense;
3. Voluntarily given;
4. Intelligently made;
5. Any extrajudicial confession made by a
person arrested, detained or under
custodial investigation shall be in writing
and signed by such person In the presence
Barof his counsel Operations
or in the latter's
Commissions 675
675
 absence, upon a valid waiver [R.A. No.
7438, Sec. 2(d)];
6. There is no violation of Art. III, Sec. 12 of
the Constitution (Rights of the accused)
(People vs. Racquel, G.R. No. 119005, December
2, 1996).
Note: Even if the confession may appear to
have been given voluntarily since the
confessant did not file charges against his
alleged intimidators for maltreatment, the
failure to properly inform a suspect of his rights
during a custodial investigation renders the
confession valueless and inadmissible (People
vs. Sayaboc, G.R. No. 147201, January 15, 2004).
 In the present case, while it is undisputed
that petitioner gave an uncounselled
written statement regarding an anomaly
discovered in the branch he managed, the
following are clear: (1) the questioning was
not initiated by a law enforcement
authority but merely by an internal affairs
manager of the bank; and, (2) petitioner
was neither arrested nor restrained of his
liberty in any significant manner during the
questioning. Clearly, petitioner cannot be
said to be under custodial investigation and
to have been deprived of the constitutional
prerogative during the taking of his written
statement (Tenenggee vs. People, G.R. No.
179448, June 26, 2013).
3. Where the accused admitted the facts
stated by the confessant after being
apprised of such confession;
4. If they are charged as co-conspirators of
the crime which was confessed by one of
the accused and said confession is used
only as corroborating evidence;
5. Where the confession is used as
circumstantial evidence to show the
probability of participation by the
conspirator;
6. When the confessant testified for his co-
defendant; and
7. Where the co-conspirator’s extrajudicial
confession is corroborated by other
evidence of record (ANNOTATION: The Inter
Alios Acta Rule Revisited, 331 SCRA 562, May
09, 2000).
Note: Any confession or admission obtained in
violation of Sections 12 and 17, Article III of
the 1987 Constitution shall be inadmissible as
evidence against the confessor or admitter.
Illegal confessions and admissions are
inadmissible against the confessant or the
admitter but are admissible against the persons
who violated the constitutional prohibition in
obtaining such illegal confessions on
admissions.
8.E.4.i. Similar Acts as Evidence

Corpus delicti refers to a particular crime and General Rule: Evidence that one did or did
signifies that the specific offense had been not do a certain thing at one time is not
actually committed by someone. admissible to prove that he or she did or did
not do the same or similar thing at another
General Rule: An extrajudicial confession is time.
admissible against the confessor only. It is
incompetent evidence against his co-accused Exception:
for being hearsay and because of the res inter
alios acta rule. It may be received to prove a specific: (I-
SKIP-SCHUL)
Exceptions: When admissible against the co-
defendants 1. Intent;
2. Knowledge;
1. If the co-defendants impliedly acquiesced in 3. Identity;
or adopted said confession; 4. Plan;
2. Interlocking confessions – if the accused 5. System;
persons voluntarily and independently 6. Scheme;
executed identical confession without 7. Habit
collusion and corroborated by other 8. Custom; or
evidence;
676
 Purple Notes
Criminal
Remedial
9. Usage; and
10.The Like (Rule 130, Sec. 35, as amended). 8.E.4.j. Admissibility of Offers of
Compromise
 While lying may constitute a habit, we
believe that the falsehoods committed by Offer of Compromise
Lorielyn, assuming them for the moment to
be true, are petty and inconsequential. Civil Cases Criminal Cases
They are not as serious as charging one's General Rule: General Rule:
own father of the sordid crime of rape, The following are An offer of compromise by
with all of its serious repercussions (People neither admissions of the accused may be
of the Philippines vs. Nardo, G.R. No. 133888, guilt nor admissible in received in evidence as an
March 1, 2001). evidence: (PESO) implied admission of guilt.
1.Offer of
compromise;
 Evidence is not admissible when it shows, 2.Evidence of Exceptions:
or tends to show, that the accused in a conduct; (PAWUK-AQu)
criminal case has committed a crime 3.Statements made
independent from the offense for which he in compromise 1. Those involving Quasi-
is on trial. A man may be a notorious negotiations; and offenses;
criminal, and may have committed many 4. Offer to pay or the 2. Those Allowed by law
crimes, and still be innocent of the crime Payment of to be compromised
charged on trial (People v. Pineda, G.R. No. medical, hospital (i.e. Tax Cases);
141644, May 27, 2004). or other expenses 3. Plea of guilty later
occasioned by the Withdrawn;
injury. 4. As Unaccepted offer of
Rape Shield
a plea of guilty to a
Exceptions: lesser offense;
In prosecutions for rape, evidence of (DA-PNP) 5. An offer or Payment of
complainant's past sexual conduct, opinion a) When the evidence medical, hospital or
thereof or of his/her reputation shall not be is otherwise other expenses
admitted unless, and only to the extent that Discoverable; or occasioned by an
the court finds, that such evidence is material b) When the evidence injury; and
and relevant to the case (R.A. No. 8505, Sec. 6). is offered for 6. Those covered by the
Another purpose, KatarungangPambaran
such as: gay Law.
Sexual Abuse Shield Rule in Examination
i.Proving bias or
of a Child Witness prejudice of a
witness;
General Rule: The following evidence is not ii. Negativing a
admissible in any criminal proceeding involving contention of
alleged child sexual abuse: undue delay; or
iii. Proving an
1. Evidence offered to prove that the alleged effort to
obstruct a
victim engaged in other sexual behavior;
criminal
and investigation of
2. Evidence offered to prove the sexual prosecution.
predisposition of the alleged victim [A.M. (Rule 130, Sec. 28, as amended)
NO. 004-07-SC, Sec. 30(a)].
Reason Compromise is Allowed in Civil
Exception: Evidence of specific instances of Cases: It is the policy of the law to favor the
sexual behavior by the alleged victim to prove settlement of disputes, to foster compromises
that a person other than the accused was the and to promote peace (Genato vs. Silapan, Adm.
source of semen, injury, or other physical Case. No. 4078, July 14, 2003).
evidence shall be admissible [A.M. NO. 004-07-
SC, Sec. 30(b)].
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677
If a party denies the existence of a debt but
offers to pay the same for the purpose of buying
peace and avoiding litigation, the offer of
settlement is inadmissible. If in the course
thereof, the party making the offer admits the
existence of an indebtedness combined with a
proposal to settle the claim amicably, then, the
admission is admissible to prove such
indebtedness (Tan vs. Rodil Enterprises, G.R. No.
168071, December 18, 2006).
Note: An offer of compromise that may be
considered an implied admission need NOT be
made by the accused himself, it may be made
by his lawyer or relatives, provided it is made
with the consent of the accused or with his
knowledge and he does not stop it.
For a compromise to amount to an implied
admission of guilt, the accused should have
been present or at least authorized the
proposed compromise (People vs. Erguiza, G.R. No.
171348, November 26, 2008).
Good Samaritan Rule
An offer to pay or the payment of medical,
hospital or other expenses occasioned by an
injury is not admissible in evidence as proof of
civil or criminal liability for the injury (Rule 130,
Sec. 28, as amended).
Rationale
The reason for this Rule is to promote and
encourage humanitarian acts or charitable
responses rather than discourage or penalize
them. Otherwise, someone who may just want
to help might hold back for fear that doing so
will be taken as a sign of guilt (Regalado).
Unaccepted Offer
An offer in writing to pay a particular sum of
money or to deliver a written instrument or
specific personal property, if rejected without
valid cause, is equivalent to the actual
production and tender of the money,
instrument, or property (Rule 130, Sec. 26).
8.E.5. HEARSAY
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8.E.5.a. Meaning of Hearsay
Hearsay is a statement other than one made
by the declarant while testifying at a trial or
hearing, offered to prove the truth of the facts
asserted therein.
A statement is (1) an oral or written assertion
or (2) a non-verbal conduct of a person, if it is
intended by him or her as an assertion.
A statement is not a hearsay if the declarant
1. Testifies at the trial or hearing, and
2. He/she is subject to cross-examination
concerning a statement, and the statement
is:
a) inconsistent with the declarant’s
testimony, and was given under oath
subject to the penalty of perjury at a trial,
hearing, or other proceeding, or in
deposition;
b) consistent with the declarant’s testimony
and is offered to rebut an express or
implied charge against the declarant of
recent fabrication or improper influence or
motive; or
c) one of identification of a person made
after perceiving him or her (Rule 130, Sec.
37, as amended). (n)
A witness can testify only to those facts which
he knows of his personal knowledge; that is,
which are derived from his own perception (Rule
130, Sec. 22, as amended). Pursuant to this rule, a
witness’ testimony as to what he merely learned
from others, either through being told or having
heard or read of the same, may not be received
as proof of the truth of what he has so learned.
Similarly, writings or documents may not be
admitted as evidence of the facts stated therein
where the persons who wrote or made them are
not presented to testify thereon. Such kinds of
evidence are considered hearsay (ANNOTATION:
Hearsay Evidence, 24 SCRA 613, August 14, 1968).
Classification of Out-of-Court Statements:
 Purple Notes
1. Hearsay – Those which are considered as
hearsay and therefore inadmissible. This
occurs when the purpose for introducing the
out-of-court statement is to prove the truth
of the facts asserted therein.
2. Non-Hearsay – The Doctrine of
Independently Relevant Statements
Regardless of the truth or falsity of a
statement, when what is relevant is the fact
that such statement has been made, the
hearsay rule does not apply and the
statement may be shown. As a matter of
fact, evidence as to the making of the
statement is not secondary but primary, for
the statement itself may constitute a fact in
issue or is circumstantially relevant as to the
existence of such a fact. This is known as the
“doctrine of independently relevant
statements” (Espineli vs. People, G.R.
No.179535, June 9, 2014).
3. Exceptions to the Hearsay Rule – Those
which are classified as hearsay but are
deemed admissible by the Rules for certain
reasons.
 By hearsay evidence is meant that kind of
evidence which does not derive its value
solely from the credence to be attributed to
the witness herself but rests solely in part on
the veracity and competence of some
persons from whom the witness has received
the information. It signifies all evidence
which is not founded upon the personal
knowledge of the witness from whom it is
elicited, and which, consequently, is not
subject to cross-examination. The basis for
the exclusion appears to lie in the fact that
such testimony is not subject to the test
which can ordinarily be applied for the
ascertainment of truth of testimony, since
the declarant is not present and available for
cross-examination. In criminal cases, the
admission of hearsay evidence would be a
violation of the constitutional provision while
the accused shall enjoy the right to confront
and cross-examine the witness testifying
against him (People vs. Ulit, G.R. Nos. 131799-
801, February 23, 2004).
Criminal
Remedial
General Rule: When the purpose of
introducing the out-of-court statement is to
prove the truth of the facts asserted, therein,
such statement shall be inadmissible as hearsay
evidence.
Exceptions:
1. Those which are classified as hearsay but are
deemed admissible by the Rules for certain
reasons, namely:
a. Dying declaration (Rule 130, Sec. 38);
b. Statement of decedent or person of
unsound mind (Rule 130, Sec. 39);
c. Declaration against interest (Rule 130, Sec.
40);
d. Act or declaration about pedigree (Rule
130, Sec. 41);
e. Family reputation or tradition regarding
pedigree (Rule 130, Sec. 42);
f. Common reputation (Rule 130, Sec. 43);
g. Part of res gestae (Rule 130, Sec. 44);
h. Records of regularly conducted business
activity (Rule 130, Sec. 45);
i. Entries in official records (Rule 130, Sec.
46);
j. Commercial lists and the like (Rule 130,
Sec. 47);
k. Learned treatises (Rule 130, Sec. 46);
l. Testimony or deposition at a former
proceeding (Rule 130, Sec. 49);and
m. Residual exception (Rule 130, Sec. 50);and
2. Failure to object to the introduction of
hearsay evidence.
Note: As a rule, hearsay evidence is
excluded and carries no probative value.
However, the rule does admit of an
exception. Where a party failed to object to
hearsay evidence, then the same is
admissible. The rationale for this exception is
to be found in the right of a litigant to cross-
examine. It is settled that it is the
opportunity to cross-examine which negates
the claim that the matters testified to by a
witness are hearsay (SCC Chemicals
Corporation vs. Court of Appeals, G.R. No.
128538, February 28, 2001).
 Any evidence, whether oral or documentary,
Bar Operations
is hearsay if its probative value is
Commissions 679
679
 not based on the personal knowledge of the
witness but on the knowledge of another
person who is not on the witness stand.
Hearsay evidence, whether objected to or
not, has no probative value unless the
proponent can show that the evidence falls
within the exceptions to the hearsay
evidence rule (Benguet Exploration, Inc. vs.
Court of Appeals, G.R. No. 117434, February 9,
2001).
 waived the hearsay character of this
 It renders inadmissible as evidence out-of-
court statements made by persons who are
not presented as witnesses but are offered
as proof of the matters stated. This rule
proceeds from the basic rationale of fairness,
as the party against whom it is presented is
unable to cross-examine the person making
the statement. (DST Movers Corporation vs.
People’s General insurance Corporation, G.R. No.
198627, January 13, 2016 – case penned by J.
Leonen)
8.E.5.b. Reasons for Excluding Hearsay
Evidence: (COD)
1. The lack of opportunity on the part of the
party against which it is offered to Cross-
examine the declarant, that is, the person
who made the statement.
2. The statement or declaration is not made
under Oath.
3. The court does not have the opportunity to
observe the Demeanor of the declarant
(Estrada vs. Desierto, G.R. Nos. 146710-15, April
3, 2001).
Affidavit as Hearsay Evidence
General Rule: An affidavit is merely hearsay
evidence where its affiant/maker did not take
the witness stand (Dantis vs. Maghinang, Jr., G.R.
No. 191696, April 10, 2013).
The reason for this rule is that they are not
generally prepared by the affiant, but by
another one who uses his or her own language
in writing the affiant's statements, parts of
which may thus be either omitted or
misunderstood by the one writing them.
Moreover, the adverse party is deprived of the
opportunity to cross-examine the affiants. For
this reason, affidavits are generally rejected for
680
being hearsay, unless the affiants themselves
are placed on the witness stand to testify
thereon (Republic vs. Gimenez, G.R. No. 174673,
January 11, 2016).
 Appellant Santos now complains that the
affidavit of Ronaldo Guerrero was hearsay
evidence, considering that the prosecution
did not present Ronaldo Guerrero as a
witness during the trial. Appellant had
evidence by failure seasonably to object to
the admission of the affidavit; it is too late
in that day to raise the hearsay rule in the
appellant's memorandum after prosecution
and defense had presented their respective
cases and had made their respective offers
of evidence (People of the Philippines vs.
Santos, G.R. Nos. 100225-26, May 11, 1993).
Exception: The rule that an affidavit is
considered hearsay is liberally applied in labor
cases.
It is not necessary for the affiants to appear and
testify and be cross-examined by counsel for the
adverse party. To require otherwise would be to
negate the rationale and purpose of the
summary nature of the proceedings mandated
by the Rules and to make mandatory the
application of the technical rules of evidence
(Lepanto Consolidated Mining Company vs. Dumapis,
G.R. No. 163210, August 13, 2008).
Double Hearsay
The testimony of a person with respect to what
was told him by one who was not an eyewitness
to the crime but who obtained knowledge
thereof only from the alleged victim constitutes
“double hearsay” (People vs. Manhuyod, Jr., G.R.
124676, May 20, 1998).
8.E.5.c. Exceptions to the Hearsay Rule
1. Dying declaration (Rule 130, Sec. 38);
2. Statement of decedent or person of unsound
mind (Rule 130, Sec. 39);
3. Declaration against interest (Rule 130, Sec.
40);
4. Act or declaration about pedigree (Rule 130,
Sec. 41);
 Purple Notes
5. Family reputation or tradition regarding
pedigree (Rule 130, Sec. 42);
6. Common reputation (Rule 130, Sec. 43);
7. Part of res gestae (Rule 130, Sec. 44);
8. Records of regularly conducted business
activity (Rule 130, Sec. 45);
9. Entries in official records (Rule 130, Sec. 46);
10.Commercial lists and the like (Rule 130, Sec.
47);
11.Learned treatises (Rule 130, Sec. 46);
12.Testimony or deposition at a former
proceeding (Rule 130, Sec. 49);and
13.Residual exception (Rule 130, Sec. 50).
 Hearsay evidence is admissible in
determining probable cause in preliminary
investigations because such investigation is
merely preliminary, and does not finally
adjudicate rights and obligations of parties
(PCGG v. Gutierrez, G.R. No. 194159, Oct. 21,
2015, reiterating Estrada v. Ombudsman, G.R.
No. 212140-41, January 21, 2015).
I. Dying Declaration
Sometimes referred to as ante-mortem
statement, it is a statement made under the
consciousness of an impending death on the
cause and surrounding circumstances of the
declarant’s death (Rule 130, Sec. 38, as amended).
When a person is at the point of death, every
motive for falsehood is silenced and the mind is
induced by the most powerful consideration to
speak the truth. Such a declaration, made in
extremis when the party is at the point of death
and the mind is induced by the most powerful
consideration to speak the truth, occasioned by
a situation so solemn and awful, is considered
by the law as creating an obligation equal to
that which is created by a positive oath
administered in a court of justice ( ANNOTATION:
A Dying Declaration, 102 SCRA 236, January 27,
1981).
Requisites: (C4-HMP)
1. The declaration must concern the Cause and
surrounding circumstances of the declarant's
death;
Criminal
Remedial
2. At the time the declaration is made, the
declarant is under a Consciousness of an
impending death;
3. The declarant is Competent as a witness
4. The declaration is offered in a criminal case
for Homicide, Murder, or Parricide, in which
the declarant is a victim (People vs. Santillan,
G.R. No. 227878, August 09, 2017); and
5. That the statement is Complete in itself
(People vs. De Joya, G.R. No. 75028, November 8,
1991).
 To be complete in itself does not mean that
the declaration must recite everything that
constituted the res gestae of the subject of
his statement, but that his statement of
any given fact should be a full expression
of all that he intended to say as conveying
his meaning in respect of such fact (People
vs. De Joya, G.R. No. 75028, November 8,
1991).
Note: If the declarant does not die, the
declaration would not be admissible under this
rule but considered as part of the res gestae.
Form
A dying declaration has no particular form. It
may be in writing or verbal, and under oath or
not. It may consist of acts of the declarant such
as nodding his head, pointing a finger at his
assailant, or pointing by way of answer to the
accused who was lying side by side with the
declarant in the hospital (ANNOTATION: Dying
Declaration, 203 SCRA 355, November 08, 1991).
II. Statement of Decedent or Person of
Unsound Mind
Note: This rule is commonly known as the
“Dead Man’s Statute” or the “Survivorship Rule”.
The “Dead Man's Statute” provides that if one
party to the alleged transaction is precluded
from testifying by death, insanity, or other
mental disabilities, the surviving party is not
entitled to the undue advantage of giving his
own uncontradicted and unexplained account of
the transaction (Garcia v. Vda. de Caparas, G.R. No.
180843, April 17, 2013).
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Requisites: (PACB)
Commissions 681
681

1. The witness is a Party or assignor of a party
to case or persons in whose behalf a case in
prosecuted;
2. The action is Against an executor or
administrator or other representative of a
deceased person or a person of unsound
mind;
3. The subject-matter of the action is a Claim or
demand against the estate of such deceased
person or against person of unsound mind;
and
4. His testimony refers to any matter of fact of
which occurred Before the death of such
deceased person or before such person
became of unsound mind (Sunga-Chan vs.
Chua, G.R. No. 143340, August 15, 2001).
General Rule:
Any out-of-court statement of the deceased or
the person of unsound mind is inadmissible as
hearsay.
Exception:
Any statement of the deceased or the person of
unsound mind may now be received in
evidence, provided that:
1. The statement was made upon the personal
knowledge of the deceased or the person of
unsound mind; and
2. It was made at a time when the matter had
been recently perceived by him or her, and
while his or her recollection was clear (Rule
130, Sec. 39, as amended). (n)
Exception to the Exception:
Such statement, however, is inadmissible if
made under circumstances indicating its lack of
trustworthiness (Rule 130, Sec. 39, as amended).
(n)
III. Declaration Against Interest
Requisites: (DAC-No)
1. The declarant is Dead or unable to testify;
2. The declaration relates to a fact Against the
interest of the declarant;
682
3. At the time he made said declaration the
declarant was aware that the same was
Contrary to his aforesaid interest; and
4. The declarant had No motive to falsify and
believed such declaration to be true (People
vs. Bernal, G.R. No. 113685, June 19, 1997).
General Rule: A statement tending to expose
the declarant to criminal liability and offered to
exculpate the accused is not admissible.
Exception: When corroborating circumstances
clearly indicate the trustworthiness of the
statement (Rule 130, Sec. 40).(n)
Rationale
Being an admission against interest, the
documents are the best evidence which affords
the greatest certainty of the facts in dispute.
The rationale for the rule is based on the
presumption that no man would declare
anything against himself unless such declaration
was true. Thus, it is fair to presume that the
declaration corresponds with the truth, and it is
his fault if it does not (Rufina Patis Factory vs.
Alusitain, G.R. No. 146202, July 14, 2004).
 With the deletion of the phrase "pecuniary
or moral interest" from the present
provision, it is safe to assume that
"declaration against interest" has been
expanded to include all kinds of interest,
that is, pecuniary, proprietary, moral or
even penal (People of the Philippines vs.
Bernal, G.R. No. 113685, June 19, 1997).
Declaration Against Party Admission
Interest
Made by a non-party, Made by a party.
i.e., the declarant.
Must be against the Need not be against
declarant’s interest. the admitter’s interest.
Hearsay but admissible Not hearsay and thus
as an exception to the admissible.
hearsay rule.
The declarant must be No requirement that
dead or unable to the admitter is dead or
testify. unable to testify.
Admissible against Admissible only
declarant and third against the admitter.
persons.
 Purple Notes
Criminal
(Riguera)
Remedial
4. The act/declaration was made ante litem
motam or prior to the controversy (Tison vs.
ADMISSION BY DECLARATION CA, G.R. No. 121027, July 31, 1997).
PRIVIES AGAINST
INTEREST Pedigree is the state of the family as far as
One of the exceptions Exception to hearsay. regards the relationship of the different
to res inter alios acta. members, their births, marriages and deaths;
this term is applied to persons or families, who
Evidence against the Evidence against trace their origin or descent (Black’s Law
successor in interest even the declarant, Dictionary, 2nd Ed.).
of the admitter. his successor in
interest, or 3rd Pedigree includes relationship, family genealogy,
persons. birth, marriage, death, the dates when and the
Admitter need not be Declarant is dead or places where these facts occurred, the names of
dead or unable to unable to testify. the relatives, and facts of family history
testify. intimately connected with pedigree (Rule 130,
Sec. 41, as amended).
Relates to title to Relates to any
property. interest.
V. Family Reputation or Traditions
Regarding Pedigree
Admission need not Declaration must be
be against the against the interest
Requisites:
admitter’s interest. of the declarant.
1. There is a controversy in respect to the
IV. Act or Declaration About Pedigree
pedigree of any members of a family;
2. The reputation or tradition of the pedigree of
The act or declaration of a person deceased or
the person concerned existed ante litem
unable to testify, in respect to the pedigree of
motam or previous to the controversy; and
another person related to him or her by birth,
3. The witness testifying to the reputation or
adoption, or marriage, or, in the absence
tradition regarding the pedigree of the
thereof, with whose family he or she was so
person must be a member of the family of
intimately associated as to be likely to have
said person (People vs. Llanita, G.R. No. 134101,
accurate information concerning his or her
September 5, 2001).
pedigree, may be received in evidence where it
occurred before the controversy, and the The reputation or tradition existing in a family
relationship between the two persons is shown previous to the controversy, in respect to the
by evidence other than such act or declaration pedigree of any one of its members, may be
(Rule 130, Sec. 41, as amended).
received in evidence if the witness testifying
thereon be also a member of the family, either
Requisites:
by consanguinity or affinity, or adoption. Entries
in family bibles or other family books or charts,
1. The actor or declarant is dead or unable to
engravings on rings, family portraits and the
testify;
like, may be received as evidence of pedigree
2. The act or declaration is made by a person
(Rule 130, Sec. 42, as amended).
related to the subject by birth, adoption, or
marriage or, in absence thereof, with whose It is evident that this provision may be divided
family the declarant was so intimately into two (2) parts:
associated as to be likely to have accurate
information concerning his/her pedigree; 1. The portion containing the first underscored
3. The relationship between the declarant/actor clause which pertains to testimonial
and the subject is shown by evidence other evidence, under which the documents in
than such act/declaration; and Bar Operations
question may not be admitted as the
Commissions 683
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 authors thereof did not take the witness ACT OR FAMILY REPUTATION
stand; and DECLARATION OR TRADITION
2. The section containing the second ABOUT PEDIGREE REGARDING
underscored phrase. What must then be PEDIGREE
dead or unable to tradition covering
ascertained is whether the Exhibits, as
testify, has said matters of pedigree.
private documents, fall within the scope of concerning the
the clause “and the like” as qualified by the pedigree of the
preceding phrase [e]ntries in family bibles or declarant’s family.
other family books or charts, engravings on
rings [and] family portraits (Jison vs. Court of VI. Common Reputation
Appeals, G.R. No. 124853, February 24, 1998).
Common reputation existing previous to the
The scope of the enumeration contained in the controversy, as to boundaries of or customs
second portion of this provision, in light of the affecting lands in the community and reputation
rule of ejusdem generis, is limited to objects as to events of general history important to the
which are commonly known as "family community, or respecting marriage or moral
possessions," or those articles which represent, character, may be given in evidence.
in effect, a family's joint statement of its belief Monuments and inscriptions in public places may
as to the pedigree of a person. These have been be received as evidence of common reputation
described as objects "openly exhibited and well (Rule 130, Sec. 43, as amended).
known to the family," or those "which, if
preserved in a family, may be regarded as Common reputation refers to the prevailing
giving a family tradition." Other examples of belief in the community as to the existence of
these objects which are regarded as reflective of certain facts or aggregates of facts arrived at
a family's reputation or tradition regarding from the people’s observations, discussions, and
pedigree are inscriptions on tombstones, consensus. There is absent serious opposition,
monuments or coffin plates (Jison vs. Court of adverse or contrary opinion. They are not just
Appeals, G.R. No. 124853, February 24, 1998). rumors or unverified reports or say-so.

 The testimony of the witness as to his age Note: The requirement of antiquity (“more than
as he had learned from his parents and 30 years old”) is removed. Instead, reliability is
relatives is admissible although hearsay and ensured because the testimony represents the
though he can have no personal knowledge consensus of the community.
of the date of his birth as all the knowledge
he has of his age is acquired from what he Common Reputation May be Admitted to
is told by his parents. His testimony in such Prove:
case is an assertion of family tradition
(People vs. Alegado, G.R. No. 93030-31, August 1. Matters relating to boundaries of lands in the
21, 1991).
community;
2. Matters relating to customs affecting lands in
the community;
3. Matters relating to events of general history
important to the community;
4. Matters respecting marriage or moral
ACT OR FAMILY REPUTATION
DECLARATION OR TRADITION character and related facts; and,
ABOUT PEDIGREE REGARDING 5. Individual moral character.
PEDIGREE
Witness need not Witness is a member of Note: Common reputation cannot establish
be a member of the the family. pedigree.
family.
Testimony is about Testimony is about Evidence of Negative Good Repute
what declarant, family reputation or

684
 Purple Notes
Where the foundation proof shows that the
witness was in such position that he would have
heard reports derogatory to one’s character, the
reputation testimony may be predicated on the
absence of reports of bad reputation or on the
fact that the witness had heard nothing against
the person.
VII. Res Gestae
Statements made by a person while a startling
occurrence is taking place or immediately prior
or subsequent thereto, under the stress of
excitement caused by the occurrence with
respect to the circumstances thereof, may be
given in evidence as part of the res gestae. So,
also, statements accompanying an equivocal act
material to the issue, and giving it a legal
significance, may be received as part of the res
gestae (Rule 130 Sec. 44, as amended).
Res gestae refers to statements made by the
participants or the victims of, or the spectators
to, a crime immediately before, during, or after
its commission. These statements are a
spontaneous reaction or utterance inspired by
the excitement of the occasion, without any
opportunity for the declarant to fabricate a false
statement (People vs. Calungsag, G.R. No. 208749,
November 26, 2014).
Test for Admissibility
1. Whether the act, declaration, or exclamation
is so intimately interwoven or connected with
the principal fact or event that it
characterizes as to be regarded as a part of
the transaction itself; and
2. Whether it clearly negatives any
premeditation or purpose to manufacture
testimony (People vs. Calungsag, G.R. No.
208749, November 26, 2014).
Spontaneity, How Determined:
1. The time that has lapsed between the
occurrence of the act or transaction and the
making of the statement;
2. The place where the statement is made;
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3. The condition of the declarant when the
utterance is given;
4. The presence or absence of intervening
events between the occurrence and the
statement relative thereto; and
5. The nature and the circumstances of the
statement itself (Manulat vs. People, G.R. No.
190892, August 17, 2015).
Rationale
The basis of the ante is the well-founded belief
that statements made instinctively at the time of
a specific transaction or event without the
opportunity for formulation of statements
favorable to one’s own cause are likely to cast
important light upon the matter at issue. As to
such statements, the law creates a presumption
of their truthfulness (20 Am. Jr. 556).
Types of Res Gestae
a) Spontaneous Statements – Refers to the
first sentence of Rule 130, Sec. 44, as
amended, viz:
Statements made by a person while a
startling occurrence is taking place or
immediately prior or subsequent thereto
under the stress of excitement caused by the
occurrence with respect to the circumstances
thereof.
Requisites: (SBC)
1. The principal act, the res gestae, is a
Startling occurrence;
2. The statements were made Before the
declarant had time to contrive or devise a
falsehood; and,
3. The statements must concern the
occurrence in question and its
immediately attending Circumstances
(People of the Philippines vs. Lobrigas, G.R.
No. 147649, December 17, 2002).
Reason for Admissibility
The reasons for the admissibility of
spontaneous statements are: (1)
trustworthiness and (2) necessity. The
statements are Operations
Bar trustworthy because they are
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 made instinctively, while the declarant’s VERBAL ACTS
SPONTANEOUS
mental powers for deliberation in concocting STATEMENT
matters are controlled and stilled by the contemporaneous with made prior, while or
shocking influence of a startling occurrence, or must accompany the immediately after the
equivocal act. startling occurrence.
so that all utterances at the time are the
reflex product of immediate sensual
Statements must Statements need not
impressions, unaided by retrospective mental explain the equivocal explain the principal
action. It is due to necessity because said act and give it a legal fact.
natural and spontaneous utterances are significance.
more convincing than the testimony of the
same person in the stand (ANNOTATION: Res Res Gestae and Dying Declarations,
Gestae, 74 SCRA 141, November 29, 1976).
Distinguished
b) Verbal Acts – Refers to the first sentence of RES GESTAE IN
Rule 130, Sec. 44, as amended, viz: DYING
CONNECTION WITH
DECLARATIONS
A HOMICIDAL ACT
Statements accompanying an equivocal act May be made by: Can be made only by
material to the issue, and giving it a legal a. The accused the victim.
significance. himself after or
during the killing;
Requisites: (SMAL) or
b. That of a 3rd person
May precede, Made only after the
1. Act or occurrence characterized must be
accompany or be made homicidal attacks has
Equivocal; after the homicidal been committed.
2. Such act must be Material to the issue; attacks was committed.
3. Statements must Accompany the Justification in the Trustworthiness based
equivocal act; and spontaneity of the upon its being given an
4. Statements give Legal significance to the statement. awareness of impending
equivocal act (Talidano vs. Falcon Maritime death.
and Allied Services, Inc., G.R. No. 172031, July
14, 2008). VIII. Records of Regularly Conducted
Business Activity
Reason for Admissibility
A memorandum, report, record or data
The motive character, and object of an act, compilation of acts, events, conditions, opinions,
are frequently indicated by what was said by or diagnoses, made by writing, typing,
the person engaged in the act. Such electronic, optical or other similar means at or
statements are in the nature of verbal acts near the time of or from transmission or supply
and are admissible in evidence with the of information by a person with knowledge
remainder of the transaction which they thereof, and kept in the regular course or
illustrate (ANNOTATION: Res Gestae, 74 SCRA conduct of a business activity, and such was the
141, November 29, 1976). regular practice to make the memorandum,
report, record, or data compilation by electronic,
optical or similar means, all of which are shown
by the testimony of the custodian or other
Verbal Acts and Spontaneous Statements, qualified witnesses, is excepted from the rule on
Distinguished hearsay evidence (Rule 130 Sec. 45, as amended).

SPONTANEOUS Requisites:
VERBAL ACTS
STATEMENT
The res gestae is the The res gestae is the
1. The entries may consist of a memorandum,
equivocal act. startling occurrence.
report, record or data compilation of acts,
Verbal act must be Statements may be

686
 Purple Notes
events, conditions, opinions, or diagnoses,
made by writing, typing, electronic, optical or
other similar means at or near the time of or
from transmission or supply of information
2. Such entries were made by a person with
knowledge thereof;
3. Such entries were kept in the regular course
or conduct of business activity;
4. Such was a regular practice to make the
memorandum, report, record, or data
compilation by electronic, optical or similar
means; and
5. The foregoing must be shown by the
testimony of the custodian or other qualified
witnesses.
IX. Entries in the Official Records
Entries in official records made in the
performance of his or her duty by a public
officer of the Philippines, or by a person in the
performance of a duty specially enjoined by law,
are prima facie evidence of the facts therein
stated (Rule 130, Sec. 46, as amended).
Requisites:
1. The entries were made by:
a) A public officer in the performance of his
duties; or,
b) A person in the performance of a duty
specially enjoined by law.
2. Entrant has personal knowledge of the facts
stated by him or such facts were acquired by
him from reports made by persons under a
legal duty to submit the same; and
3. Such entries were duly entered in a regular
manner in the official records (DST Movers
Corporation v. People’s General Insurance
Corporation, G.R. No. 198627, January 13, 2016).
Entries in police records made by a police officer
in the performance of the duty especially
enjoined by law are prima facie evidence of the
fact therein stated, and their probative value
may be either substantiated or nullified by other
competent evidence (Lao vs. Standard Insurance
Co. Inc., G.R. No. 140023, August 14, 2003) . The
necessity of this rule consists in the
inconvenience and difficulty of requiring the
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official's attendance as a witness to testify to the
innumerable transactions in the course of his
duty. The document's trustworthiness consists in
the presumption of regularity of performance of
official duty (Dimaguila vs. Monteiro, G.R. No.
201011, January 27, 2014).
 Although A Traffic Accident Investigation
Report cannot be given probative weight
when the investigating officer who
prepared the same was not presented in
court to testify that he had sufficient
knowledge of the facts therein stated, and
that he acquired them personally or
through official information (Standard
Insurance Co., Inc. v. Cuaresma, G.R. No.
200055, September 10, 2014).
 Cadastral maps are the output of cadastral
surveys. The DENR is the department
tasked to execute, supervise and manage
the conduct of cadastral surveys. It is,
therefore, clear that the cadastral map and
the corresponding list of claimants qualify
as entries in official records as they were
prepared by the DENR, as mandated by
law. As such, they are exceptions to the
hearsay rule and are prima facie evidence
of the facts stated therein (Dimaguila vs.
Monteiro, G.R. No. 201011, January 27, 2014).
Note: In official records, the person making the
entry need not be deceased or unable to testify,
but he must be a public officer or a person in
the performance of a duty specially enjoined by
law. In business records, the person making the
entry must be deceased or unable to testify.
Both official and business records are only prima
facie evidence.
X. Commercial Lists and the Like
Evidence of statements of matters of interest to
persons engaged in an occupation contained in
a list, register, periodical, or other published
compilation is admissible as tending to prove the
truth of any relevant matter so stated if that
compilation is published for use by persons
engaged in that occupation and is generally
used and relied upon by them therein (Rule 130,
Sec. 47).
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Requisites:
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A document is a commercial list if:
1. It is a statement of matters of interest to
persons engaged in an occupation;
2. Such statement is contained in a list,
register, periodical or other published
compilation;
3. Said compilation is published for the use of
persons engaged in that occupation, and
4. It is generally used and relied upon by
persons in the same occupation (PNOC
Shipping and Transport Corporation, G.R. No.
107518, October 8, 1998).
 Statement of matters contained in a
periodical, may be admitted only "if that
compilation is published for use by persons
engaged in that occupation and is generally
used and relied upon by them therein"
(Manila Electric Company vs. Quisumbing, G.R.
No. 127598, February 22, 2000).
XI. Learned Treatises
How Introduced as Evidence
a) The court takes judicial notice that the writer
of the statement in the treatises, periodical
or pamphlet is recognized in his profession of
calling as expert in the subject; or,
b) A witness, expert in the subject, testifies that
the writer of the statement in the treaties,
periodical or pamphlet is recognized in his
profession or calling as expert in the subject
(Rule 130, Sec. 48).
Reason for Admissibility
1. Necessity – the inaccessibility, or
inconvenience to the authors or researchers;
and
2. Trustworthiness – The authors have no
motive to misrepresent and awareness that
the work will be subjected to inspection,
scrutiny and refutation, and criticism; the
works were carefully researched before being
published and were purposely geared
towards the truth.
XII. Testimony or Deposition at a Parañaque trial court does not fall under
Former Proceeding
688
The testimony or deposition of a witness
deceased or out of the Philippines or who
cannot, with due diligence, be found therein, or
is unavailable or otherwise unable to testify,
given in a former case or proceeding, judicial or
administrative, involving the same parties and
subject matter, may be given in evidence
against the adverse party who had the
opportunity to cross-examine him or her ( Rule
130, Sec. 49, as amended).
Requisites: (W-DOCU-PSIC)
1. That the huitness whose testimony is offered
in evidence is
a) Dead;
b) Out of the Philippines
c) In the Philippines but whose location
Cannot, with due diligence, be found
therein; or
d) Unavailable or unable to testify.
2. His testimony or deposition was given in a
former case or proceeding, judicial or
administrative, between the same Parties or
those representing the same interests;
3. The former case involved the same Subject
as that in the present case, although on
different causes of action;
4. The issue testified to by the witness in the
former trial is the same Issue involved in
the present case; and
5. The adverse party had an opportunity to
Cross-examine the witness in the former
case (Manliclic vs. Calaunan, G.R. No. 150157,
January 25, 2007).
Note: Though said section speaks only of
testimony and deposition, it does not mean that
documents from a former case or proceeding
cannot be admitted. Said documents can be
admitted they being part of the testimonies of
witnesses that have been admitted. Accordingly,
they shall be given the same weight as that to
which the testimony may be entitled (Manliclic
vs. Calaunan, G.R. No. 150157, January 25,
2007).
 The adoption by the Makati trial court of
the facts stated in the decision of the
the exception to the right of confrontation
 Purple Notes
because the exception contemplated by law
covers only the utilization of testimonies of
absent witnesses made in previous
proceedings, and does not include
utilization of previous decisions or
judgments (People vs. Ortiz-Miyake, G.R. Nos.
115338-39, September 16, 1997).
XIII. Residual Exception
A statement not specifically covered by any of
the foregoing exceptions, having equivalent
circumstantial guarantees of trustworthiness, is
admissible subject to court determination.
 Rather than add a number of exceptions to
the hearsay rule, the Sub-Committee opted
to adopt the residual or catch-all exception
provided in Rule 807 of the Federal Rules
of Evidence.
The catch-all exception found in the FRE
stemmed from the ruling in Dallas County
v. Commercial Union Assurance Co., Ltd.,
which admitted an old newspaper article to
prove that a fire occurred at the court
tower during construction. Although not
falling under any of the recognized hearsay
exceptions, the news article was admitted
because of “circumstantial guarantees of
trustworthiness based on the fact that the
individual reporting the fire had no motive
to falsify and that a false report of a matter
so easily checked by readers of the paper
would have subjected the reporter to
considerable embarrassment.”
The catch-all exception should be “used very
rarely and only in exceptional circumstances
[286 F. 2d 388 (5th Cir. 1961)].”
Requisites: (MaTH-MP)
1. The statement is Hearsay not covered by any
of the exceptions to the Hearsay Rule
2. The statement has the circumstantial
guarantees of Trustworthiness;
3. Proponent Makes known to the adverse
party, sufficiently in advance of the hearing,
his intention to offer the statement and its
particulars, including the name and address
of the declarant; and
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4. The court determines that:
a. the statement is offered as evidence of a
Material fact;
b. the statement is more Probative on the
point for which it is offered than any
other evidence which the proponent can
procure through reasonable efforts; and
c. the general purposes of these rules and
the Interest of justice will be best served
by admission of the statement into
evidence (Rule 130, Sec. 50). (n)
8.E.5.d. Independently Relevant
Statements
Note: Independently relevant statements are
non-hearsay.
If the purpose of placing the statement on the
record is merely to establish the fact that the
statement, or the tenor of such statement, was
made, such evidence is not hearsay. Regardless
of the truth or falsity of a statement, when what
is relevant is the fact that such statement has
been made, the hearsay rule does not apply and
the statement may be shown. This is known as
the “Doctrine of Independently Relevant
Statements” (Espineli vs. People, G.R. No.179535,
June 9, 2014).
Evidence as to the making of such statements is
not secondary but primary, for in itself it:
a) Constitutes a fact in issue; or
b) Is circumstantially relevant to the existence
of such fact (Lea Mer Industries, Inc. vs.
Malayan Insurance Co., Inc., G.R. No. 161745,
September 30, 2005).
The ban on hearsay evidence does not cover
independently relevant statements. These are
statements which are relevant independently of
whether they are true or not. They belong to
two (2) classes: (1) those statements which are
the very facts in issue, and (2) those statements
which are circumstantial evidence of the facts in
issue. The second class includes the following:
1. Statements of a person showing his state of
mind; that is, his mental condition,
knowledge, belief, intention, ill will and other
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2. Statements that may identify the date, place
and condition as illness and the like
3. Statements of a person from which an
inference may be drawn as to the state of
mind of another person; i.e., the knowledge,
belief, good or bad faith noticed of the latter
4. Statements that may identify the date, place
and person in question
5. Statements showing the lack of credibility of
a witness (Estrada vs. Desierto, G.R. Nos.
146710-15, April 3, 2001).
 The doctrine on independently relevant
statements holds that conversations
communicated to a witness by a third person
may be admitted as proof that, regardless of
their truth or falsity, they were actually
made(Republic of the Philippines vs. Heirs of
Alejaga, G.R. No. 146030, December 3, 2002).
 knowledge on questions on which he proposes
 In the report of Special Investigator, Recio
supposedly admitted that he had not actually
conducted an investigation and ocular
inspection of the parcel of land. Cartagena’s
statement on Recio’s alleged admission may
be considered as "independently relevant." A
witness may testify as to the state of mind of
another person -- the latter’s knowledge,
belief, or good or bad faith -- and the
former’s statements may then be regarded
as independently relevant without violating
the hearsay rule (Republic of the Philippines vs.
Heirs of Alejaga, G.R. No. 146030, December 3,
2002).
8.E.6. OPINION RULE
General Rule: The opinion of a witness is not
admissible (Rule 130, Sec. 51, as amended).
Exceptions: Admissible opinion evidence
1. Opinion of Expert Witness on a matter
requiring special knowledge, skill, experience
or training or education, which he is shown
to possess (Rule 130, Sec. 52, as amended);
2. Opinion of Ordinary Witness regarding:
(IHMI)
690
a. The Identity of a person about whom he
has adequate knowledge (Rule 130, Sec.
53[a], as amended);
b. A Handwriting with which he has
sufficient familiarity (Rule 130, Sec. 53[b],
as amended );
c. The Mental sanity of a person with whom
he is sufficient acquainted (Rule 130, Sec.
53[c], as amended); and
d. The witness’ Impression of the emotion,
behavior, condition or appearance of a
person (Rule 130, Sec. 53, as amended)
8.E.6.a. Opinion of Expert Witness; Weight
Given
An expert witness is one who belongs to the
profession/calling to which the subject matter of
the inquiry relates and who possesses special
to express an opinion.
There is no definite standard of determining the
degree of skill/knowledge that a witness must
possess in order to testify as an expert. It is
sufficient that the following factors are present:
a) Training and education;
b) Particular, first-hand familiarity with the facts
of the case; or
c) Presentation of authorities or standards upon
which his opinion is based (People vs. Abriol,
G.R. No. 123137, October 17, 2001).
The use of the word “may” in Sec. [52], Rule
130 signifies that the use of opinion of an expert
witness is permissive and not mandatory on the
part of the courts (Tabao vs. People, G.R. No.
187246, July 20, 2011).
Probative Value of Expert Opinions
Expert opinions are not ordinarily conclusive in
the sense that they must be accepted as true on
the subject of their testimony, but are generally
regarded as purely advisory in character; the
courts may place whatever weight they choose
upon such testimony and may reject it, if they
find it is inconsistent with the facts in the case
or otherwise unreasonable (Ceballos vs. Intestate
Estate of the Late Emigdio Mercado, G. R. No.
155856, May 28, 2004).

 When faced with conflicting expert
opinions, courts give more weight and
credence to that which is more complete,
thorough and scientific (Eduarte vs. CA, G.R.
No. 105944, February 9, 1996).
Probative Value of Opinions
Handwriting Experts
Purple Notes
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can be duly established (Agraviador vs. Amparo-
Agraviador, G.R. No. 170729, December 8, 2010).
8.E.6.b. Opinion of Ordinary Witness
The opinion of a witness for which proper basis
of is given, may be received in evidence regarding:
(IHMI)

The opinions of handwriting experts are not
necessarily binding upon the court, the expert’s
function being to place before the court data
upon which the court can form its own opinion.
Handwriting experts are usually helpful in the
examination of forged documents because of
the technical procedure involved in analyzing
them. But resort to these experts is not
mandatory or indispensable to the examination
or the comparison of handwriting. A finding of
forgery does not depend entirely on the
testimonies of handwriting experts, because the
judge must conduct an independent
examination of the questioned signature in order
to arrive at a reasonable conclusion as to its
authenticity (Lorzano vs. Tabayag, Jr., G.R. No.
189647, February 6, 2012).
Expert Testimony in Medical Negligence
Cases
Medical negligence cases are best proved by
opinions of expert witnesses belonging in the
same general neighborhood and in the same
general line of practice as defendant physician
or surgeon (Lucas vs. Tuaño, G.R. No. 178763, April
21, 2009).
Expert Opinion in Annulment of Marriage
Cases
By the very nature of Article 36, courts, despite
having the primary task and burden of decision-
making, must not discount but, instead, must
consider as decisive evidence the expert opinion
on the psychological and mental temperaments
of the parties (Ngo Te vs. Yu-Te, G.R. No. 161793,
February 13, 2009).
It is no longer necessary to introduce expert
opinion in a petition under Article 36 of the
Family Code if the totality of evidence shows
that psychological incapacity exists and its
gravity, juridical antecedence, and incurability
1. The Identity of a person about whom he has
adequate knowledge (Rule 130, Sec. 53[a], as
amended);
2. A Handwriting with which he has sufficient
familiarity (Rule 130, Sec. 53[b], as amended);
3. The Mental sanity of a person with whom he
is sufficient acquainted (Rule 130, Sec. 53[c],
as amended); and
4. The witness’ Impression of the emotion,
behavior, condition or appearance of a
person (Rule 130, Sec. 53, as amended)
8.E.7. CHARACTER EVIDENCE
Character consists of the individual patterns of
behavior and characteristics which make up and
distinguish one person from another (People vs.
Lee, G.R. No. 139070, May 29, 2002).
Reputation is the general opinion of people in
the community as to a person’s character traits,
and is therefore evidence of character.
Good moral character includes all the elements
essential to make up such a character; among
these are common honesty and veracity,
especially in all professional intercourse; a
character that measures up as good among
people of the community in which the person
lives, or that is up to the standard of the
average citizen; that status which attaches to a
man of good behavior and upright conduct
(People vs. Lee, G.R. No. 139070, May 29, 2002).
Note: Common reputation is an exception to
the Hearsay Rule.
General Rule: Evidence of a person’s character
or a trait of character is not admissible for the
purposes of proving action in conformity
therewith on a particular occasion (Rule 130, Sec.
54, as amended).
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The rule is that the character or reputation of a
party is regarded as legally irrelevant in
determining a controversy, so that evidence
relating thereto is not admissible. Ordinarily, if
the issues in the case were allowed to be
influenced by evidence of the character or
reputation of the parties, the trial would be apt
to have the aspects of a popularity contest
rather than a factual inquiry into the merits of
the case. After all, the business of the court is to
try the case, and not the man; and a very bad
man may have a righteous cause (People vs. Lee,
G.R. No. 139070, May 29, 2002).
Exceptions:
A. In Criminal Cases:
1. The Accused may prove his/her good moral
character which is pertinent to the moral trait
involved in the offense charged [Rule 130,
Sec. 54(a)(2)].
When the accused presents proof of his good
moral character, this strengthens the
presumption of innocence, and where good
character and reputation are established, an
inference arises that the accused did not
commit the crime charged. This view
proceeds from the theory that a person of
good character and high reputation is not
likely to have committed the act charged
against him (People vs. Lee, G.R. No. 139070,
May 29, 2002).
2. The prosecution may not prove the bad
moral character of the accused except only in
rebuttal and when such evidence is pertinent
to the moral trait involved in the offense
charged [People vs. Lee citing Rule 130, Sec.
54(a)(2)].
This is intended to avoid unfair prejudice to
the accused who might otherwise be
convicted not because he is guilty but
because he is a person of bad character. The
offering of character evidence on his behalf
is a privilege of the defendant, and the
prosecution cannot comment on the failure
of the defendant to produce such evidence.
Once the defendant raises the issue of his
good character, the prosecution may, in
rebuttal, offer evidence of the defendant’s
692
bad character (People vs. Lee, G.R. No. 139070,
May 29, 2002).
3. The character of the offended party may
be proved if it tends to establish in any
reasonable degree the probability or
improbability of the offense charged [Rule 130,
Sec. 54(a)(1)].
4. Evidence of the good character of a witness
is not admissible until such character has
been impeached [Rule 130, Sec. 54(c)].
Exceptions to the Exception:
1. Proof of the bad character of the victim in a
murder case is NOT admissible if the crime
was committed through treachery and
premeditation (People vs. Lee, G.R. No. 139070,
May 29, 2002).
2. In prosecution for rape, evidence of
complainant’s past sexual conduct, opinion
thereof or of his/her reputation shall not be
admitted unless, and only to the extent that
the court finds that such evidence is material
and relevant to the case (Rape Shield, R.A. No.
8505, Sec. 6).
B. In Civil Cases:
1. Evidence of the moral character of a party in
a civil case is admissible only when pertinent
to the issue of character involved in the case
[Rule 130, Sec. 54(b)].
2. Evidence of the good character of a witness
is not admissible until such character has
been impeached [Rule 130, Sec. 54(c)].
Manner of Proving Character
1. By Reputation or Opinion:
a) By testimony as to reputation;
b) By testimony in the form of an opinion; or
c) On cross-examination, inquiry is allowable
into relevant specific instances of conduct
(Rule 130, Sec. 54[c], as amended). (n)
2. By Specific Instances of Conduct:
 Purple Notes
In cases in which character or a trait of
character of a person is an essential element
of a charge, claim or defense, proof may also
be made of specific instances of that person’s
conduct (Rule 130, Sec. 54[c], as amended).(n)
8.E.8. JUDICIAL AFFIDAVIT
(A.M. No. 12-8-8-SC)
Promulgated by the Supreme Court with the
intention to address case congestion and delays,
the high percentage of criminal cases dismissed
annually due to complainants’ failure to
prosecute,and enhance foreign investment.
The Judicial Affidavit Rule took effect January 1,
2013 (Sec. 12).
8.E.8.a. Scope and Application
This Rule shall apply to all actions, proceedings,
and incidents requiring the reception of
evidence before:
1. The Metropolitan Trial Courts, the Municipal
Trial Courts in Cities, the Municipal Trial
Courts, the Municipal Circuit Trial Courts, and
the Shari' a Circuit Courts;
2. The Regional Trial Courts and the Shari'a
District Courts;
3. The Sandiganbayan, the Court of Tax
Appeals, the Court of Appeals, and the
Shari'a Appellate Courts;
4. The investigating officers and bodies
authorized by the Supreme Court to receive
evidence, including the Integrated Bar of the
Philippine (IBP); and
5. The special courts and quasi-judicial bodies
whose rules of procedure are subject to
disapproval of the Supreme Court [Sec. 1(a)].
8.E.8.b. Submission In Lieu of Direct
Testimony
In civil actions, the parties shall file with the
court and serve on the adverse party:
1. The judicial affidavits of their witnesses,
which shall take the place of such witnesses'
direct testimonies; and
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2. The parties' documentary or object evidence,
if any, which shall be attached to the judicial
affidavits and marked as Exhibits A, B, C, and
so on in the case of the complainant or the
plaintiff, and as Exhibits 1, 2, 3, and so on in
the case of the respondent or the defendant
[Sec. 2(a), as amended].
Note: Every pleading stating a party's claims or
defenses shall, in addition to those mandated by
Rule 7, Sec. 2, of the Rules of Court, as
amended state the following:
a) Names of witnesses who will be presented to
prove a party's claim or defense;
b) Summary of the witnesses' intended
testimonies, provided that the judicial
affidavits of said witnesses shall be attached
to the pleading and form an integral part
thereof.
Only witnesses whose judicial affidavits are
attached to the pleading shall be presented
by the parties during trial. Except if a party
presents meritorious reasons as basis for the
admission of additional witnesses, no other
witness or affidavit shall be heard or
admitted by the court; and
c) Documentary and object evidence in support
of the allegations contained in the pleading
(Rule 7, Sec. 6, Rules of Court, as amended). (n)
Should a party or a witness desire to keep the
original document or object evidence in his
possession, he may, after the same has been
identified, marked as exhibit, and authenticated,
warrant in his judicial affidavit that the copy or
reproduction attached to such affidavit is a
faithful copy or reproduction of that original
[Sec. 2(b)].
Note: The party or witness shall bring the
original document or object evidence for
comparison during the preliminary conference
with the attached copy, reproduction, or
pictures. The evidence shall NOT be admitted if
this requirement was not complied with [Sec.
2(b)].
This is without prejudice to the introduction of
secondary
Bar evidenceOperations
in place of the original when
allowed by existing rules.
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8.E.8.c. Contents (Section 3):
A judicial affidavit shall be prepared in a
language known to the witness.
If NOT in English or Filipino, it must be
accompanied by a translation in English or
Filipino, and shall contain the following:
1. Name, age, residence or business address,
and occupation of the witness;
2. Name and address of the lawyer who
conducts or supervises the examination of
the witness and the place where the
examination is being held;
3. Statement that the witness is answering the
questions asked of him, fully conscious that
he does so under oath, and that he may face
criminal liability for false testimony or
perjury;
4. Questions asked of the witness and his
corresponding answers, consecutively
numbered, that:
a. Show the circumstances under which the
witness acquired the facts upon which he
testifies;
b. Elicit from him those facts which are
relevant to the issues that the case
presents; and
c. Identify the attached documentary and
object evidence and establish their
authenticity in accordance with the Rules
of Court;
5. The signature of the witness over his printed
name; and
6. Jurat (Sec. 3).
Tasks and Liability of the Lawyer
The judicial affidavit shall contain a sworn
attestation at the end, executed by the lawyer
who conducted or supervised the examination of
the witness, to the effect that:
1. He faithfully recorded or caused to be
recorded the questions he asked and the
corresponding answers that the witness
gave; and
2. Neither he nor any other person then present
or assisting him coached the witness
regarding the latter's answers [Sec. 4(a)].
694
A false attestation shall subject the lawyer
mentioned to disciplinary action, including
disbarment [Sec. 4(b)].
Examination of the Witness on his Judicial
Affidavit
The adverse party shall have the right to cross-
examine the witness on his judicial affidavit and
on the exhibits attached to the same. The party
who presents the witness may also examine him
as on re-direct.
In every case, the court shall take active part in
examining the witness to determine his
credibility as well as the truth of his testimony
and to elicit the answers that it needs for
resolving the issues (Sec. 7).
8.E.8.d. Offer and Objection to Testimony
in Judicial Affidavit
1. Party who presents the judicial affidavit of
his witness in place of direct testimony shall
state the purpose of the testimony at the
start of the presentation of the witness.
2. The adverse party may move to:
a) disqualify the witness; or,
b) strike out his affidavit or any answers if
inadmissible under the Rules.
3. The court shall promptly rule on the motion.
If granted, the court shall cause the marking
of any excluded answer by placing it in
brackets under the initials of an authorized
court personnel, without prejudice to tender
of excluded evidence.
Oral Offer and Objections to Exhibits
1. Upon the termination of the testimony of his
last witness, a party shall immediately make
an oral offer of evidence of his documentary
or object exhibits, piece by piece, in
chronological order, stating the purpose or
purposes for which he offers the particular
exhibit.
2. After each exhibit is offered, the adverse
party shall state the legal ground for his
objection, if any, to its admission, and the
 Purple Notes
court shall immediately make its ruling
respecting that exhibit (Sec. 8).
 An Affidavit has no probative value if it is
not presented formally in evidence (People
vs. Amores, G.R. No. L-32996, August 21,
1974).
8.E.8.e. Application in Criminal Cases
The Judicial Affidavit Rule shall apply to all
criminal actions:
a) Where the maximum of the imposable
penalty does not exceed six years;
b) Where the accused agrees to the use of
judicial affidavits, irrespective of the penalty
involved; or
c) With respect to the civil aspect of the
actions, whatever the penalties involved are
[Sec. 9(a)].
8.E.8.f. Effects of Non-Compliance
General Rule: A party who fails to submit the
required judicial affidavits and exhibits on time
shall be deemed to have waived their
submission.
Exception: The court may, allow only once the
late submission of the same, provided:
1. The delay is for valid reasons;
2. The delay would not unduly prejudice the
opposing party; and
3. The defaulting party pays a fine of not less
than Php. 1,000 nor more than Php. 5,000,
at the discretion of the Court [Sec. 10(a)].
The court shall not consider the affidavit of any
witness who fails to appear at the scheduled
hearing of the case as required [Sec. 10(b)].
Counsel who fails to appear without valid cause
despite notice shall be deemed to have waived
his client's right to confront by cross-
examination the witnesses there present [Sec.
10(b)].
The court shall not admit as evidence judicial
affidavits that do not conform to the content
requirements of Section 3 and the attestation
requirement of Section 4 [Sec. 10(c)].
Criminal
Remedial
Note: Every pleading stating a party's claims or
defenses shall, in addition to those mandated by
Rule 7, Sec. 2 of the Rules of Court, as
amended, state the following:
a) Names of witnesses who will be presented to
prove a party's claim or defense;
b) Summary of the witnesses' intended
testimonies, provided that the judicial
affidavits of said witnesses shall be attached
to the pleading and form an integral part
thereof.
Only witnesses whose judicial affidavits are
attached to the pleading shall be presented by
the parties during trial. Except if a party
presents meritorious reasons as basis for the
admission of additional witnesses, no other
witness or affidavit shall be heard or admitted
by the court; and
Documentary and object evidence in support of
the allegations contained in the pleading (Rule 7,
Sec. 6, Rules of Court, as amended).(n)
Affidavit as Hearsay Evidence
General Rule: An affidavit is merely hearsay
evidence where its affiant/maker did not take
the witness stand (Dantis vs. Maghinang, Jr., G.R.
No. 191696, April 10, 2013).
The reason for this rule is that they are not
generally prepared by the affiant, but by
another one who uses his or her own language
in writing the affiant's statements, parts of
which may thus be either omitted or
misunderstood by the one writing them.
Moreover, the adverse party is deprived of the
opportunity to cross-examine the affiants. For
this reason, affidavits are generally rejected for
being hearsay, unless the affiants themselves
are placed on the witness stand to testify
thereon (Republic vs. Gimenez, G.R. No. 174673,
January 11, 2016).
 Appellant Santos now complains that the
affidavit of Ronaldo Guerrero was hearsay
evidence, considering that the prosecution
did not present Ronaldo Guerrero as a
witness during the trial. Appellant had
Bar Operations
waived the hearsay character of
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 this evidence by failure seasonably to
object to the admission of the affidavit; it is
too late in that day to raise the hearsay
rule in the appellant's memorandum after
prosecution and defense had presented
their respective cases and had made their
respective offers of evidence (People of the
Philippines vs. Santos, G.R. Nos. 100225-26,
May 11, 1993).
Exception: The rule that an affidavit is
considered hearsay is liberally applied in labor
cases.
It is not necessary for the affiants to appear and
testify and be cross-examined by counsel for the
adverse party. To require otherwise would be to
negate the rationale and purpose of the
summary nature of the proceedings mandated
by the Rules and to make mandatory the
application of the technical rules of evidence
(Lepanto Consolidated Mining Company vs. Dumapis,
G.R. No. 163210, August 13, 2008).
8.F. OFFER AND OBJECTION
8.F.1. OFFER OF EVIDENCE
General Rule: The court shall consider no
evidence which has not been formally offered.
The purpose for which the evidence is offered
must be specified (Rule 132, Sec. 34).
Exceptions:
1. Marked exhibits not formally offered may be
admitted provided it complies with the
following requisites:
a. Must be duly identified by testimony
duly recorded; and,
b. Must have been incorporated in the
records of the case (Ramos vs Dizon, G.R
No. 137247, August 6, 2006).
2. Under the Rule on Summary Procedure,
where no full-blown trial is held in the
interest of speedy administration of justice;
3. In summary judgments under Rule 35 where
the judge based his decisions on the
pleadings, depositions, admissions, affidavits
and documents filed with the court;
4. Documents whose contents are taken judicial
notice of by the court;
696
5. Documents whose contents are judicially
admitted;
6. Object evidence which could not be formally
offered because they have disappeared or
have become lost after they have been
marked, identified and testified on and
described in the record and became the
subject of cross-examination of the witness
who testified on them during the trial
(Tabuena vs CA, G.R No. 85423, May 6, 1991;
People vs Napat-a, G.R No. 84951, November 14,
1989);and
7. Documents and affidavits used in deciding
quasi-judicial or administrative cases
(Bantolino vs. Coca-Cola Bottlers Inc., G.R No.
153660, June 10, 2003).
Purpose of Offer of Evidence
1. To give the adverse party the opportunity to
interpose the proper objection;
2. To notify the party of possible objection, and
for the offeror to make necessary correction
at the trial level to meet the objection;
3. To allow the trial judge to rule properly;
4. To lay basis for appeal so that the appellate
court can decide intelligently (Regalado, 2008).
General Rule: A formal offer is necessary since
judges are required to base their findings of fact
and their judgment, solely and strictly, upon the
evidence offered by the parties at the trial
(Aludos vs. Suerte, G.R No. 165285, June 18, 2012).
 Evidence not formally offered during the
trial cannot be used for or against a litigant.
Neither may it be taken into account on an
appeal. Any evidence that has not been
offered shall be excluded and rejected.
Objection to evidence must be made after
the evidence is formally offered (Westmont
Investment Corp. vs Francia, G.R. No. 194128,
December 7, 2011).

 To allow parties to attach any documents
to their pleadings and then expect the court
to consider it as evidence, even without
formal offer and admissions, may draw
unwarranted consequences. Opposing
parties will be deprived of their chance to
examine the document and to object to its
admissibility. On the other hand, the
appellate court will have difficulty reviewing
 Purple Notes
the documents not previously scrutinized by
the court below (Candido vs CA, G.R No.
107493, February 1, 1996).
Exception: Even if there was no formal offer
made, marked exhibits may be admitted when
the following requisites are present: it was (1)
duly identified by testimony; and, (2)
incorporated in the records of the case (Ramos vs
Dizon, G.R No. 137247, August 6, 2006).
 Mere fact that a document is marked as an
exhibit does not that mean it has been
offered as evidence. Marking at the pre-trial
was only for the purpose of identifying
them at that time (Tabuena vs. CA, G.R. No.
85423, May 6, 1991).
 (ANNOTATION: Failure to Make an Offer of Evidence:
 It is basic in law of evidence that the court
shall consider evidence solely for the
purpose for which it was offered (Ragudo vs
Fabella Estate Tenants Assoc. Inc., G.R No.
146823, August 9, 2005).
8.F.2. WHEN TO MAKE OFFER
Testimonial Documentary
Evidence and Object
Evidence
How All evidence must be offered orally.
Whe Made at the time Made after the
n the witness is called presentation of a
to testify. party's testimonial
evidence.
(Rule 132, Sec. 35, as amended)
Offer of documentary or object (real) evidence
is the submission, when a party is about to rest
his case, for admission by the court documents
and/or objects previously identified and
numbered as exhibits by stating their nature and
the purpose or purposes for which they are
being submitted (ANNOTATION: Failure to Make an
Offer of Evidence: A Fatal Omission, 301 SCRA 408).
Note: The mere fact that a particular document
is identified and marked as an exhibit does not
mean it will be or has been offered as part of
the evidence of the party. The party may decide
to formally offer it if it believes this will advance
its cause, and then again it may decide not to
do so at all. In the latter event, the trial court is,
Criminal
Remedial
under Rule 132, Section [34] not authorized to
consider it (Ramos vs Dizon, G.R No. 137247,
August 6, 2006).
 Where the genuineness and due execution
of documents of an instrument attached to
a complaint are deemed admitted by failure
to specifically deny it under oath, such
instruments are considered as evidence
although they were not formally offered
(Philippine Bank of Commerce vs. CA, G.R. No.
97626 March 14, 1997).
Offer of testimonial evidence is the submission
of the testimony of a witness for admission by
making a brief recital of the nature of his
testimony at the time he is called to testify
A Fatal Omission, 301 SCRA 408).
8.F.3. OBJECTION
When Objection Must be Made
Objection to offer of evidence must be made
orally immediately after the offer is made (Rule
132, Sec. 36, as amended).
Waiver of Objection
It is elementary that an objection shall be made
at the time when an alleged inadmissible
document is offered in evidence. Otherwise, the
objection shall be treated as waived, since the
right to object is merely a privilege which the
party may waive (Tison vs. Court of Appeals, G.R.
No. 121027, July 31, 1997).
As explained in Abrenica vs. Gonda, et al., it has
been repeatedly laid down as a rule of evidence
that a protest or objection against the admission
of any evidence must be made at the proper
time, otherwise it will be deemed to have been
waived. The proper time is when from the
question addressed to the witness, or from the
answer thereto, or from the presentation of the
proof, the inadmissibility of the evidence is, or
may be inferred (Tison vs. Court of Appeals, G.R.
No. 121027, July 31, 1997).
Note: Failure without just cause of a party and
counsel to appear during pre-trial, despite
Bar is waiver Operations
notice, of any objections to
Commissions 697
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the faithfulness of the reproductions marked, or
their genuineness and due execution [Rule 18,
Sec. 4(h), Rules of Court, as amended].(n)
Evidence Sought to be When Objection Must
Introduced be Made
Testimonial evidence Objection must be made
which was not offered at as soon as the witness
the time the witness was begins to testify (Rule
not called to testify 132, Sec. 36, as
amended).
Testimonial evidence Objection must be made
where the question as soon as the grounds
propounded in the course therefor become
of the oral examination in reasonably apparent
objectionable (Rule 132, Sec. 36, as
amended).
Documentary and object When the document or
evidence object evidence is offered
in evidence.
Judicial Affidavit Rule Objection must be made
as soon as the party
presenting the judicial
affidavit of his witness in
place of direct testimony
shall state the purpose of
such testimony at the
start of the presentation
of the witness. The
adverse party may move
to disqualify the witness
or to strike out his
affidavit or any of the
answers found in it on
ground of inadmissibility
(A.M. No. 12-8-8-SC,
Sec. 6).
The grounds for the objections must be specified
(Rule 132, Sec. 36, as amended).
Note: The revised rule no longer sanctions offer
of evidence in writing. All evidence must now
be offered orally (Rule 132, Sec. 35, as
amended).Consequently, the manner of objecting
to the evidence offered in writing is no longer
available in the Rule 132 Sec. 36, as amended.
Specific and General Objections
a) Specific – is one which employs a specific
ground therefor. Example: Hearsay
b) General – uses broad or sweeping grounds
such as “irrelevant and incompetent”. Note:
698
There is no provision in the Rules of
Evidence expressly prohibiting general
objections. It is submitted that they are not
prohibited where the evidence is orally
offered. In such a case if the objection is
overruled, the objector must follow up with
specific objection. Otherwise, he cannot
assign any error to the court’s ruling.
Formal and Substantive Objections (in the
course of the proceedings):
c) Formal – objection is one directed against
the alleged defect in the formulation of the
question.
Examples: ambiguous questions; misleading;
answer not responsive and to have it
stricken-off; question has no basis;
incompetent; irrelevant.
d) Substantive – is one made and directed
against the very nature of the evidence. ,
i.e., it is admissible either because it is
irrelevant or incompetent or both. (RIANO,
2016)
Examples: parol; not the best evidence;
hearsay; privileged communication; not
authenticated; opinion; res inter alios acta.
8.F.4. REPETITION OF AN OBJECTION
Note: This rule is commonly known as the “Rule
on Continuing Objections”.
When it becomes reasonably apparent in the
course of the examination of a witness that the
questions being propounded are of the same
class as those to which objection has been
made, whether such objection was sustained or
overruled, it shall not be necessary to repeat the
objection, it being sufficient for the adverse
party to record his or her continuing objection to
such class of questions (Rule 132, Sec. 37).
8.F.5. RULING OF THE COURT AFTER
OBJECTION
General Rule: The ruling of the court must be
given immediately after the objection is made.
 Purple Notes
Exception: When the court desires to take a
reasonable time to inform itself on the question
presented.
Note: The ruling shall always be made during
trial, and at such time as will give the party
against whom it is made an opportunity to meet
the situation presented by the ruling (Rule 132,
Sec. 38).
Overruled Objections and Sustained
Objections, Distinguished
When the court “overrules” an objection, it
refuses to recognize as sufficient an objection
made in the course of a trial, as to the
introduction of particular evidence (Black’s Law
Dictionary, 2nd ed.). It is the refusal by a judge
to sustain an objection set forth by an attorney
during a trial, such as an objection to a
particular question posed to a witness (West's
Encyclopedia of American Law, 2nd ed.).
When the court “sustains” an objection, it
agrees with the objection and disallows the
question, testimony, or evidence.
Specifying the Reason for Sustaining an
Objection
General Rule: The reason for sustaining or
overruling an objection need not be stated.
Exception: If the objection is based on two or
more grounds, a ruling sustaining the objection
on one or some of them must specify the
ground or grounds relied upon (Rule 132, Sec.
38).
Note: The parties may ask for the ground for
the ruling, even if the rule does not require the
judge to so state.
8.F.6. STRIKING OUT OF AN ANSWER
Requisites: (BROWN-MS)
1. In the course of the testimony:
a) The witness answers the question before
the adverse party had the Opportunity to
voice fully its objection to the same;
Criminal
Remedial
b) The question propounded is not
objectionable, but the answer is not
Responsive;
c) The witness testifies Without a question
being posed;
d) The witness testifies Beyond limits set by
the court; or
e) The witness does a Narration instead of
answering the question
2. Objection is found to be Meritorious; and
3. Court Sustains objection and orders such
answer, testimony or narration to be stricken
off the record (Rule 132, Sec. 39, as amended).
Note: On proper motion, the court may also
order the striking out of answers which are
incompetent, irrelevant, or otherwise improper
(Rule 132, Sec. 39, as amended).
Further, upon motion to strike may be availed
when the witness becomes unavailable for
cross-examination through no fault of the cross-
examining party, or when the testimony was
allowed conditionally and the condition for its
admissibility was not fulfilled(RIANO, 2016).
Matters stricken off are still part of the records.
It only means that they would NOT be
considered for resolution.
8.F.7. TENDER OF EXCLUDED EVIDENCE
Note: This is commonly known as “Proffer of
Evidence” or “Offer of Proof”.
The rule is that evidence formally offered by a
party may be admitted or excluded by the court.
If a party's offered documentary or object
evidence is excluded, he may move or request
that it be attached to form part of the records of
the case. If the excluded evidence is oral, he
may state for the record the name and other
personal circumstances of the witness and the
substance of the proposed testimony. These
procedures are known as offer of proof or
tender of excluded evidence and are made for
purposes of appeal. If an adverse judgment is
eventually rendered against the offeror, he may
in his appeal assign as error the rejection of the
excluded evidence (Fortune Tobacco Corporation
vs. CIR, G.R. No. 192024, July 1, 2015).
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Commissions 699
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Purposes:
1. To allow the court to know the nature of the
testimony or the documentary evidence and
convince the trial judge to permit the
evidence or testimony; and
2. To create and preserve a record for appeal.
(RIANO, 2016)
How Done:
1. Object or Documentary Evidence – have the
same attached or made part of the record.
2. Testimonial – state for the record:
a. The name and other personal
circumstances of the witness; and
b. The substance of the proposed testimony.
Note: If an adverse judgment
eventuallyrendered against the offeror, he may,
in his appeal, assign as an error the rejection of
the excluded evidence (Rule 132, Sec. 40).
 Where the documentary evidence was
rejected by the lower court and the offeror
did not move that the same be attached to
the record, the same cannot be considered
by the appellate court, as documents
forming no part of proofs before the
appellate court cannot be considered in
disposing the same. For the appellate court
to consider as evidence that which was not
offered by one party at all during the
proceedings below would infringe the
constitutional right of the adverse party
(Fortune Tobacco Corp. vs CIR; G.R. No.
192024, July 01, 2015).
9. REVISED RULES ON SUMMARY
PROCEDURE
9.A. CASES COVERED BY THE RULE
Scope (Rule on Summary Procedure, Sec. 1)
The Rule on Summary Procedure shall govern
the procedure in the Metropolitan Trial Courts
(MeTC), the Municipal Trial Courts in Cities
(MTCC), the Municipal Trial Courts (MTC) and
the Municipal Circuit Trial Courts (MCTC).
CIVIL CASES
700
1. 1. All cases of forcible entry and unlawful
detainer, irrespective of the amount of
damages or unpaidrentals sought to be
recovered;
2. 2. All other cases where the total amount of
the plaintiff’s claim, exclusive of interests and
costs:
a. a. DOES NOT EXCEED Php. 300,000
outside Metro Manila; or,
b. b. DOES NOT EXCEED Php. 400,000 (in
Metro Manila
Exception: Probate Proceedings (Revised Rules
is on Summary Procedure, as amended by A.M. No. 02-
11-09-SC, effective November 25, 2002).
The jurisdiction of the Municipal Trial Courts in
Cities, the Municipal Trial Courts, and the
Municipal Circuit Trial Courts, in cases of forcible
entry and unlawful detainer, is described as
“exclusive and original” (Section 33(2), B.P. 129, as
amended)
Summary procedure. — Except in cases
covered by the agricultural tenancy laws or
when the law otherwise expressly provides, all
actions for forcible entry and unlawful detainer,
irrespective of the amount of damages or
unpaid rentals sought to be recovered, shall be
governed by the summary procedure hereunder
provided. (Rules of Court, Rule 70, Sec. 3)
The Rules on Summary Procedure does NOT
apply to a civil case where the plaintiff’s cause
of action is pleaded in the same complaint with
another cause of action subject to the ordinary
procedure; nor to a criminal case where the
offense charged is necessarily related to another
criminal case subject to the ordinary procedure
(Revised Rules on Summary Procedure, Sec. 1).
Pleadings
The only pleadings allowed are:
1) Complaint;
2) Compulsory counterclaim pleaded in the
answer
 Purple Notes
3) Cross-claim pleaded in the answer; and,
4) Answer to these pleadings (Revised Rules on
Summary Procedure, Sec. 3)
All pleadings covered by summary procedure
shall be verified (Revised Rules on Summary
Procedure, Sec. 3B).
Outright Dismissal
The court may dismiss the case outright on any
of the grounds for the dismissal of a civil action
apparent from an examination of the allegations
in the pleadings and the evidence attached
thereto (Revised Rules on Summary Procedure, Sec.
4).
Summons
If no ground for dismissal is found, the court
shall forthwith issue summons which shall state
that summary procedure applies to the case
(Revised Rules on Summary Procedure, Sec. 4).
CRIMINALCASES
A. Violations of traffic law, rules and
regulations;
B. Violation of the Rental Law;
C. All other criminal cases where the penalty
prescribed is imprisonment not exceeding six
(6) months, or fine not exceeding Php.
1,000, or both, irrespective of other
imposable penalties, accessory or otherwise,
or of the civil liability arising therefrom;
Note: In offenses involving damage to property
through criminal negligence, Rules on Summary
Procedure shall govern where the imposable fine
does NOT exceed P10,000.
Commencement of Action
The filing of criminal cases under summary
procedure may either be by complaint or
information, which shall be accompanied by the
affidavits of the complainant and his witnesses
in such number of copies as there are accused
plus two (2) copies for the court’s files.
In Metro Manila and other charted cities, the
filing shall be by information EXCEPT when the
Criminal
Remedial
offense is one which cannot be prosecuted de
officio.
The requirement for affidavits has to be
complied with within five (5) days from the filing
of the case, otherwise the same may be
dismissed (Rule on Summary Procedure, Sec. 11).
Court Action
If the court finds no cause or ground to hold the
accused for trial, it shall order the dismissal of
the case.
If there is such ground, the court shall set the
case for arraignment and trial.
If the accused is in custody for the crime
charged, he shall be immediately arraigned. If
he enters a plea of guilty, he shall forthwith be
sentenced (Rule on Summary Procedure, Sec. 13).
9.B EFFECT OF FAILURE TO FILE
ANSWER
Answer and Counterclaims
Within ten (10) days from the service of
summons, the defendant shall file his answer to
the complaint and serve a copy thereof on the
plaintiff. The defenses not pleaded shall be
deemed waived EXCEPT lack of jurisdiction over
the subject matter.
Cross-claims and compulsory counterclaims not
asserted in the answer shall be considered
barred (Revised Rules on Summary Procedure, Sec.
5).
The answer to counterclaims or cross-claims
shall be filed and served within ten (10) days
from service of the answer in which they are
pleaded (Revised Rules on Summary Procedure, Sec.
5).
Effect of failure to answer
A motion to declare the defendant in default is
prohibited. Instead, the court, motu proprio or
on motion of the plaintiff, shall render judgment
as may be warranted by the facts alleged in the
complaint
Bar (RevisedOperations
Rules on Summary Procedure,
Sec. 6).
Commissions 701
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 If the plaintiff does not appear in the preliminary
Note: The judgment rendered by the court in conference while the defendant appears, it shall
such case shall be limited to what is prayed for be a cause for dismissal of the complaint. The
in the complaint. defendant, however, shall be entitled to
judgment on his counterclaim.
 Q: Are the provisions of the Rules on If there is only one defendant and he fails to
Summary Procedure on the period of appear, the plaintiff shall be entitled to
pleadings to be applied STRICTLY or judgment as may be warranted by the facts
LIBERALLY? alleged in the complaint.

A. The use of the word "shall" in the Rule Exception: When other defendants who are
on Summary Procedure underscores the sued under a common cause of action and have
mandatory character of the challenged pleaded a common defense appear at the
provisions. Giving the provisions a directory preliminary conference (Revised Rules on Summary
Procedure, Sec. 7).
application would subvert the nature of the
Rule on Summary Procedure and defeat its
objective of expediting the adjudication of
suits. Indeed, to admit a late answer, as
petitioners suggest, is to put premium on
Record of Preliminary Conference
dilatory maneuvers — the very mischief that
the Rule seeks to redress (Gachon vs Hon.
The court shall issue an Order stating the
Norberto Devera Jr. GR No. 116695 June 20,
1997). matters taken up in the preliminary conference,
within five (5) days after the termination of the
same.
 Q: Are there any exceptions to the strict
application of Rules of Procedure on
Within ten (10) days from the receipt of the
Summary Procedure?
Order, the parties shall submit the affidavits of
their witnesses and other evidence on the
A: The liberality in the interpretation and factual issues defined in the order (Revised Rules
application of the rules applies only in proper on Summary Procedure, Sec. 9).
cases and under justifiable causes and
circumstances (Don Tino Realty and Development Failure of the Plaintiff to Appear in the
Corp. vs Julian Florentino GR No. 134222 September Preliminary Conference for Civil Cases
10,1999).
1) Plaintiff- cause of dismissal of his complaint
2) Defendant- entitled to judgment on his
Q: Are there any exceptions to the strict application of Rules of Procedure on Summary Procedure?
counterclaim. All cross-claims shall be
dismissed (Revised Rule on Summary Procedure,
A. The liberality in the interpre tation and application of the rules applies only in proper cases and under justifiable causes and circums tances (Don Tino Realty and Development Corp. vs Julian Florentino GR No. 134222 September 10,1999).

9.C. PRELIMINARY CONFERENCE AND

Sec. 7).
APPEARANCES

Preliminary Conference in Summary Exception: When other defendants who are

Procedure in Civil Cases(Revised Rules on sued under a common cause of action and have
Summary Procedure, Sec. 6) pleaded a common defense appear at the
preliminary conference (Revised Rules on
It shall be held not later than 30 days after the Summary Procedure, Sec. 7).
last answer is filed. The rules on pre-trial in
ordinary cases shall be used UNLESS Effect of Failure of Appearance of the Sole
inconsistent with the Rules on Summary Defendant in civil cases:
Procedure.
The plaintiff shall be entitled to judgment
in accordance with Section 6(Revised Rules on
Summary Procedure, Sec. 7).
702
 Purple Notes
Judgment
Within thirty (30) days after receipt of the last
affidavits and position papers, or the expiration
of the period for filing the same, the court shall
render judgment (Revised Rules on Summary
Procedure, Sec. 10).
Preliminary Conference in Criminal Cases
Before trial, the court shall call the parties to a
Preliminary Conference for:
1) Entering into a stipulation of facts;
2) Considering the propriety of allowing the
accused to enter a plea of guilty to a lesser
offense; or,
3) Taking up such other matters to clarify the
issues and to ensure a speedy disposition of
the case (Rule on Summary Procedure, Sec. 14).
Note: Any admission of the accused during the
preliminary conference must be reduced in
writing and signed by the accused and his
counsel. Otherwise, such admission shall not be
used against the accused (Rule on Summary
Procedure, Sec. 14).
Trial (Revised Rule on Summary Procedure, Sec. 15)
An actual direct examination of the witnesses is
NOT required because the affidavits submitted
by the parties constitute their direct testimonies.
However, the witnesses may be subjected to a
cross-examination, re-direct examination or re-
cross examination.
If the affiant fails to testify, his affidavit shall not
be considered as competent evidence for the
party presenting the same. The adverse party,
on the other hand, may utilize such affidavit for
any admissible purpose.
Arrest of the Accused (Rule on Summary
Procedure, Sec. 16).
General Rule: The court is NOT mandated to
order the arrest of the accused.
Criminal
Remedial
Exception: The ground is his failure to appear
when required by the court.
Note: If the accused is arrested, he may be
released on bail or on recognizance.
Judgment
Where a trial has been conducted, the court
shall promulgate the judgment not later than 30
days after the termination of the trial (Rule on
Summary Procedure, Sec. 17).
9.D. PROHIBITED PLEADINGS AND
MOTIONS
The following pleadings, motions or
petitions shall not be allowed in the cases
covered by the Rules on Summary
Procedure: 
 1. Motion to dismiss the complaint or to
quash the complaint or information except on
the ground of lack of jurisdiction over the
subject matter, or failure to comply with the
preceding section;

 2. Motion for a bill of particulars;

 3. Motion for new trial, or for reconsideration
of a judgment, or for opening of trial;

 Q: What kind of Motion for
Reconsideration is prohibited?
A: The Court ruled that "The motion
prohibited by this Section is that which
seeks reconsideration of the judgment
rendered by the court after trial on the
merits of the case." Here, the order of
dismissal issued by respondent judge
due to failure of a party to appear
during the preliminary conference is
obviously not a judgment on the merits
after trial of the case. Hence, a motion
for the reconsideration of such order is
not the prohibited pleading
contemplated under Section 19 (c) of
the present Rule on Summary Procedure
Bar Operations
Commissions 703
703
 (Gloria Lucas vs. Judge Amelia A. Fabros
A.M. No. MTJ-99-1226. January 31, 2000).
 4. Petition for relief from judgment;

 5. Motion for extension of time to file
pleadings, affidavits or any other paper;
 the number of court litigations and prevent
 6. Memoranda;
 which has been brought about by the
 7.Petition for certiorari, mandamus, or
prohibition against any interlocutory order
issued by the court;
 
 8. Motion to declare the defendant in
default; 

 9. Dilatory motions for postponement;

 10. Reply;

 11. Third party complaints;

 12. Interventions (Revised Rules on Summary
Procedure, Sec. 19).
9.E Appeal (Revised Rules on Summary Procedure,
Sec. 21)
The judgment or final order shall be appealable
to the appropriate regional trial court which shall
decide the same in accordance with Section 22
of Batas Pambansa Blg. 129.
The decision of the regional trial court in civil
cases governed by this Rule, including forcible
entry and unlawful detainer, shall be
immediately executory, without prejudice to a
further appeal that may be taken therefrom.  settlement by an appropriate lupon;
Section 10 of Rule 70 shall be deemed repealed.
The decision of the Regional Trial Court shall be
appealable to the Court of Appeals by petition
for review on an error of fact or law (Sec. 22, B.P.
129, as amended) under Rule 42 of the Rules of
Court.
10. KATARUNGANG PAMBARANGAY LAW
(Presidential Decree No. 1508)
It established a system of amicably settling
disputes at the barangay level. It was expressly
repealed by R.A. No. 7160(Local Government Code
704
of 1991). Most of its provisions, however, were
incorporated (with some modifications) under
Book III, Title I, Chapter VII of R.A. No. 7160.
 The primordial aim of the
KatarungangPambarangay Law is to reduce
the deterioration of the quality of justice
indiscriminate filing of cases in the
courts(Zamora vs. Heirs of Izquierdo, G.R. No.
146195, November 18, 2004).
10.A. CASES COVERED
The Local Government Code or Republic Act
(R.A.) No. 7160 does not enumerate cases that
can be brought before the Barangay, but it
enumerates cases which are exempted from the
Barangay conciliation proceedings and these
(Substantive Exceptions) are the following:
1. One party is the government or any
subdivision or instrumentality;
2. One party is a public officer or employee,
and the dispute relates to the performance of
his official functions;
3. Offenses punishable by imprisonment
exceeding 1 year or fine exceeding Php.
5,000;
4. Offenses with no private offended party;
5. Dispute involves real properties located in
different cities or municipalities UNLESS the
parties agree to submit dispute to amicable
6. Disputes involving parties who reside in
barangays of different cities or municipalities
EXCEPT when such barangay units adjoin
each other and parties thereto agree to
submit their differences to amicable
settlement by an appropriate lupon;
7. Classes of dispute which the President may
determine in the interest of justice; or,
8. One of the parties is a juridical entity.
8.
1. One
party is the
government
or any
 Purple Notes
Criminal
Remedial
subdivision e. Labor disputes;
or f. As determined by the President in the interest
instrumenta of justice;
lity; g. CARL disputes;
h. Those involving the traditions of indigenous
2. One party is a public officer or employee, and
cultural community.
the dispute relates to the performance of his
official functions;
10.B. SUBJECT MATTER FOR AMICABLE
3. 3. Offenses punishable by imprisonment SETTLEMENT
exceeding 1 year or fine exceeding Php. 5,000;
4. 4. Offenses with no private offended party; Disputes between or among parties who are
5. 5. Dispute involves real properties located in ACTUALLY RESIDING in the SAME CITY OR
different cities or municipalities UNLESS the MUNICIPALITY may be brought for amicable
parties agree to submit dispute to amicable settlement before the lupon. (Sec. 408, R.A. No.
settlement by an appropriate lupon; 7160)
6. 6. Disputes involving parties who reside in
barangays of different cities or municipalities
EXCEPT when such barangay units adjoin each  The fact that the petitioner and private
other and parties thereto agree to submit their respondent reside in the same municipality
differences to amicable settlement by an does not justify compulsory conciliation
appropriate lupon; where the other co-defendants reside in
7. 7. Classes of dispute which the President may barangays of different cities and
determine in the interest of justice; or, (Sec. municipalities (Candido vs. Macapagal, G.R. No.
408, R.A. No. 7160) 101328, April 07, 1993).
8. 8. One of the parties is a juridical entity. 

Note: The prescriptive period for offenses and 10.C. VENUE (Sec. 409, R.A. No. 7160)
cause of action shall be interrupted upon filing
of complaint with the punong barangay, but this Disputes Venue
must not exceed 60 days. Between persons Barangay where the
actually residing in persons reside
the same barangay
Other Cases (Procedural Exceptions) Involving actual Barangay where the
residents of different respondent or any of
1.) Accused is under police custody; barangays within the the respondents
same city or actually resides, at the
2.) Person has been deprived of personal liberty
municipality election of the
thus calling for a habeas corpus proceeding; complainant
3.) Actions coupled with provisional remedies; Involving real Barangay where the
4.) Action barred by prescription; property or any real property or the
5.) Labor disputes; interest therein larger portion thereof is
6.) As determined by the President in the situated
interest of justice; Arising at the Barangay where such
7.) CARL disputes; workplace where the workplace or institution
contending parties is located
8.) Those involving the traditions of indigenous
are employed or at
cultural community. the institution where
such parties are
enrolled for study
a. Accused is under police custody;
b. Person has been deprived of personal liberty
10.D. WHEN PARTIES MAY DIRECTLY GO
thus calling for a habeas corpus proceeding;
TO COURT
c. Actions coupled with provisional remedies;
d. Action barred by prescription; Bar Operations
Commissions 705
705
i. 1. Where the accused is under detention;
ii. 2. Where a person has otherwise been
deprived of personal liberty calling for habeas
corpus proceedings;
iii. 3. Actions coupled with provisional remedies
such as preliminary injunction, attachment,
delivery of personal property and support
pendente lite; and
iv. 4. Where the action may otherwise be barred
by the Statute of Limitations . (Sec. 412, R.A.
No. 7160)
Parties to Barangay Conciliation
Proceedings
D.) 1. There has been a confrontation between
Only individuals shall be parties, either as
complainants or respondents. No complaint by
or against corporations, partnerships or other
juridical entities shall be filed, received or acted
upon (A.M. Circular No. 14-93, effective July 15,
1993).
Personal Appearance of Parties
General Rule: The parties must appear in
person in all katarungang pambarangay
proceedings and without the assistance of
counsel or representatives.
Exception: Minors and incompetents may be
assisted by their next-of-kin who are not lawyers
(Sec. 415, R.A. No. 7160).
Brgy. Conciliation is not in the nature of a
Judicial Proceeding
Legally, there is no barangay court. It is not
mentioned as one of the courts created by law
in B.P. 129, as amended, and other pertinent
laws on jurisdiction (Riano, Civil Procedure, Vol. I,
p. 182, 2014 ed.)
The LupongTagapamayapaor the Pangkat ng
Tagapagkasundoof the barangay do not have
inherent adjudicatory powers. They resolve
disputes or attempt to do so through amicable
settlement, conciliation and arbitration (Sec. 410,
412 and 413,R.A. No. 7160).
Any adjudicatory power exercised by the lupon
or the pangkatmust be agreed upon by the
parties in writing. Such agreement may involve
706
their willingness to abide by any arbitral award
given by the lupon or the pangkat(Sec. 411 and
413, R.A. No. 7160).
As a Pre-Condition for Filing a Complaint
in Court
No complaint, petition, action or proceeding
involving any matter within the authority of the
lupon shall be filed or instituted directly in court
or any government office for adjudication
UNLESS:
1)
the parties before the lupon chairman or
pangkat; and,
1)
2) 2. No conciliation or settlement has been
reached or if one has been repudiated by the
parties thereto (Sec. 412, R.A. No. 7160).
Initiation of Proceedings
1. Upon payment of the appropriate filing
fee, any individual, who has a cause of
action against another individual, involving
any matter within the authority of the Lupon
may complain, orall,y or in writing, to the
Punong Barangay chairman of the Lupon(Sec.
410[a] and 399, R.A. No. 7160).
2. Upon receipt of the complaint, the
chairman shall summon the respondents
within the next working day to appear.
If the chairman fails in his mediation efforts
within fifteen (15) days from the first
meeting, he shall set a date to constitute the
Pangkat ng Tagapagkasundo(Sec. 410[b], R.A.
No. 7160).
Effect of failure to undergo Baranggay
Conciliation.
Failure to undergo the barangay conciliation
proceedings is non-compliance with a
condition precedent.The dismissal, if
proper, is one without prejudice [1991 Rule
on Summary Procedure, Sec. 18 and 19(a)].
No motu proprio dismissal

Failure to comply with the requirement of a
barangay conciliation is not among the grounds
mentioned under Rule 9, Sec. 1 for the dismissal
of a complaint on the initiative of the court
(Aquino vs. Aure, G.R. No. 153567, February 18,
2008).
Revival of a dismissed case
Where the case is dismissed for non-
compliance with the conciliation
proceedings, the dismissed case may be
revived only after such requirement shall have
been complied with (1991 Rule on Summary
Procedure, Sec. 18).
Defense of Non-Compliance, When
Deemed Waived
The non-referral of a case for barangay
conciliation is NOT jurisdictional and may,
therefore, be deemed waived if not raised
seasonably in a motion to dismiss (Sps. Santos vs.
Sps. Lumbao, G.R. No. 169129, March 28, 2007).
Effect of Amicable Settlement and Award
An amicable settlement reached after barangay
conciliation proceedings has the force and effect
of a final judgment of a court if not repudiated
or if no petition to nullify the same is filed
before the proper city or municipal court within
ten (10) days from its date (Chavez vs. CA, G.R.
No. 159411, March 18, 2005).
The court in which non-criminal cases not falling
within the authority of the Luponare filed may,
at any time before trial, motu proprio refer the
case to the Luponconcerned for amicable
settlement (Sec. 408, R.A. No. 7160).
Actions to Annul Judgment Upon
Compromise
Parties may, at any stage of the proceedings,
agree in writing to have the matter in dispute
decided by arbitration by either the Punong
Barangay or the Pangkat. Then, arbitrational
hearings shall follow the order of adjudicative
trials.
Purple Notes
Criminal
Remedial
10.E. EXECUTION
The amicable settlement or award may be
enforced by execution, by the Lupon, within six
(6) months from the date of the
settlement.After the lapse of such time, the
settlement may be enforced by action in the
appropriate city or municipal court (Sec. 417, R.A.
No. 7160)
10.F. REPUDIATION
A party to the dispute may, within Ten (10)
days from the date of the settlement,
repudiate the same by filing with the lupon
chairman a statement to that effect sworn to
before him, where the consent is vitiated by
fraud, violence, or intimidation. (Sec. 418,
R.A. No. 7160)
What is the effect of repudiation?
Such repudiation shall be sufficient basis for the
issuance of the certification for filing a
complaint. (Sec. 418, R.A. No. 7160)
11. REVISED RULES OF PROCEDURE FOR
SMALL CLAIMS CASES
11.A. SCOPE AND APPLICABILITY OF THE
RULE
Scope
The Revised Rule of Procedure for Small Claims
Cases shall govern the procedure in actions
before the Metropolitan Trial Courts (MeTCs),
Municipal Trial Courts in Cities (MTCCs),
Municipal Trial Courts (MTCs) and Municipal
Circuit Trial Courts (MCTCs) for payment of
money where the value of the claim does not
exceed Four Hundred Thousand Pesos
a (P400,000.00) for the MeTCs and Three
Hundred Thousand Pesos (P300,000.00)
for the MTCCs, MTCs, and MCTCs), exclusive
of interest and costs(Sec.2, A.M. No. 08-8-7-SC, as
amended by OCA Circular No. 45-2019).
Notes:
Bar Operations
Commissions 707
707
 Plaintiff may join in a single statement of
claim one or more separate small claims
against a defendant provided that the total
amount claimed, exclusive of interest and
costs, does not exceed the jurisdictional
amount Four Hundred Thousand
Pesos(P400,000.00) for the MeTCs and
Three Hundred Thousand Pesos
(P300,000.00) for the MTCCs, MTCs,
and MCTCs) (Sec.8, A.M. No. 08-8-7-SC, as
amended by OCA Circular No. 45-2019).
 Effective1 April 2019, the SC increased
the amount covered by Small Claims cases
to:
1. Php. 400,000 within Metro Manila; and,
2. Php. 300,000 outside Metro Manila (OCA
Circular No. 45-2019, effective April 1, 2019).
Actions Covered
All actions that are purely civil in nature where
the claim or relief prayed for by the plaintiff is
solely for payment or reimbursement of sum of
money (Sec. 5, A.M. No. 08-8-7-SC).
The claim or demand may be:
a) For money owed under any of the following:
1. Contract of Lease;
2. Contract of Loan;
3. Contract of Services;
4. Contract of Sale; or
5. Contract of Mortgage;
b) For liquidated damages arising from
contracts;
c) The enforcement of a barangay amicable
settlement or an arbitration award involving
a money claim covered by this Rule pursuant
to Sec. 417 of Republic Act 7160, otherwise
known as The Local Government Code of
1991.
d)
 Liquidated Damages has reference to the
amount specified in the contract as the
compensation an aggrieved party should
receive in case other party breaches the
agreement.
708
11.B. COMMENCEMENT OF SMALL CLAIMS
ACTION; RESPONSE
Commencement of the Action
a) Filling up and filing a form called Statement
of Claim (Form 1-SCC) in duplicate.
b) The form should be verified.
c) Accompanied by:
1. Certification against Forum Shopping,
Splitting a Single Cause of Action and
Multiplicity of Suits (Form-I-A-SCC);
2. Two (2) duly certified photocopies of the
actionable document/s subject of the
claim; and
3. Affidavits of witnesses and other evidence
to support the claim (Sec.6, A.M. No. 08-8-
7-SC)
No formal pleading other than the Statement of
Claim is necessary to initiate a small claims
action (Sec. 6, A.M. No. 08-8-7-SC).
Notes:
 Submitting every evidence together with the
Form 1-SCC is a MANDATORY
requirement. Evidence not attached shall
notbe allowed during the hearing.
 The non-submission of the required
affidavits will cause the immediate dismissal
of the claim or counterclaim (Sec. 9, A.M. No.
08-8-7-SC).

Joinder of Parties
Plaintiff may join in a single statement of claim
one or more separate small claims against a
defendant provided that the total amount
claimed, exclusive of interest and costs, does
not exceed Two Hundred Thousand Pesos (Sec.
8, A.M. No. 08-8-7-SC, as amended).
Procedure in Small Claims Cases
1. Upon receipt of the Statement of Claim, the
court shall make a determination of whether
or not the same falls under the Rule.
 Purple Notes
The court may, by itself, dismiss the case on
any ground for the dismissal of a civil action
apparent from (i) the allegations of the
Claim; and, (ii) such evidence attached
thereto (Sec. 11, A.M. No. 08-8-7-SC).
2. If no ground for dismissal is found, the court
shall issue the Summons (Form 2-SCC)
directing the defendant to file a verified
Response.
Notice (Form 4-SCC) must also be issued
directing both parties to appear before the
court on a specific date and time for hearing.
(Sec. 12, A.M. No. 08-8-7-SC).
3. The defendant shall file his verified Response
with the court and serve the same on the
plaintiff within a non-extendible period of ten
(10) days from receipt of the Summons. (Sec.
13, A.M. No. 08-8-7-SC).The defendant may
also file a counterclaim in the Response. The
defendant shall be barred from suit on the
counterclaim if the same is not filed.(Sec. 15,
A.M. No. 08-8-7-SC).
If the defendant (i) fails to file his
Response within the required period; AND,
(ii) fails to appear at the date set for
hearing, the court shall render judgment on
the same day as may be warranted by the
facts alleged in the Statement of Claim/s.
(Sec. 14, A.M. No. 08-8-7-SC).
11.C. PROHIBITED PLEADINGS AND
MOTIONS
The following pleadings, motions, or petitions
shall not be allowed in the cases covered by the
Rules of Procedure in Small Claims Cases:
a) Motion to dismiss the Statement of Claim/s;
b) Motion for a bill of particulars;
c) Motion for new trial, or for reconsideration of
a judgment, or for reopening of trial;
d) Petition for relief from judgment;
e) Motion for extension of time to file pleadings,
affidavits, or any other paper;
f) Memoranda;
g) Petition for certiorari, mandamus, or
prohibition against any interlocutory order
issued by the court;
h) Motion to declare the defendant in default;
Criminal
Remedial
i) Dilatory motions for postponement;
j) Reply and rejoinder;
k) Third-party complaints; and
l) Interventions (Sec. 19, A.M. No. 08-8-7-SC).
11.D. APPEARANCES
The parties shall then appear at the hearing
personally.
Appearance through a representative is allowed
only when a valid cause is shown. The
representative of an individual-party must not
be a lawyer and must be related to or next-of-
kin of the individual-party. Juridical entities shall
not be represented by a lawyer in any capacity.
(Sec. 18, A.M. No. 08-8-7-SC).
Note: No attorney shall appear in behalf of a
party or represent a party at the hearing, unless
he is the plaintiff or defendant (Sec. 19, A.M. No.
08-8-7-SC).
Effect of Non-Appearance of Parties(Sec. 20,
A.M. No. 08-8-7-SC).
Plaintiff is absent. The non-appearance of the
plaintiff shall be cause for the dismissal of the
claim WITHOUT prejudice. Also, the defendant
who appears shall be entitled to judgment on a
permissive counterclaim.
Defendant is absent. Failure of the defendant to
appear shall have the same effect as a failure to
file a Response.
Exception: When other defendants who are
sued under a common cause of action and have
pleaded a common defense appear at the
hearing (Sec. 18, A.M. No. 08-8-7-SC).
Both parties are absent. Failure of both parties
to appear shall cause the dismissal of both the
claim and counterclaim WITH prejudice (Sec. 18,
A.M. No. 08-8-7-SC).
11.E. HEARING; DUTY OF THE JUDGE
At the hearing, the judge shall exert efforts to
bring the parties to an amicable settlementof
their dispute. If efforts at settlement fail, the
hearing
Bar shall proceed and be conducted in an
Operations
Commissions 709
709
informal and expeditious manner and shall be Law Description
terminated within the same day PD 705 Revised Forestry Code;
PD 856 Sanitation Code;
Any settlement (Form 8-SCC) or resolution of PD 979 Marine Pollution Decree;
the dispute shall be reduced into writing, signed PD 1067 Water Code;
by the parties and submitted to the court for PD1151 Philippine Environmental Policy of
approval (Form 9-SCC and Form 10-SCC). (Sec. 1977;
23, A.M. No. 08-8-7-SC). PD 1433 Plant Quarantine Law of 1978;
PD 1586 Establishing an Environmental Impact
11.F. FINALITY OF JUDGMENT Statement System Including Other
Environmental Management Related
After the hearing, the court shall render its Measures and for Other Purposes;
decision on the same day, based on the facts RA 3571 Prohibition Against the Cutting,
Destroying or Injuring of Planted or
established by the evidence (Form 11-SCC).
Growing Trees, Flowering Plants and
Shrubs or Plants of Scenic Value
The Clerk of Court shall immediately enter the along Public Roads, in Plazas, Parks,
decision in the court docket for civil cases and a School Premises or in any Other
copy thereof forthwith served on the parties Public Ground;
(Sec. 24, A.M. No. 08-8-7-SC). RA 4850 Laguna Lake Development Authority
Act;
RA 6969 Toxic Substances and Hazardous
No appeal Waste Act;
RA 7076 People‘s Small-Scale Mining Act;
The decision of the ourt shall be FINAL, RA 7586 National Integrated Protected Areas
EXECUTORY AND UNAPPEALABLE.(Sec. 24, A.M. System Act including all laws,
No. 08-8-7-SC). decrees, orders, proclamations and
issuances establishing protected
areas;
Execution
RA 7611 Strategic Environmental Plan for
Palawan Act;
When the decision is rendered, execution shall RA 7942 Philippine Mining Act;
issue upon motion (Form 12-SCC) of the
RA 8371 Indigenous Peoples Rights Act;
winning party.(Sec. 25, A.M. No. 08-8-7-SC)
RA 8550 Philippine Fisheries Code;
12. RULES OF PROCEDURE FOR RA 8749 Clean Air Act;
ENVIRONMENTAL CASES RA 9003 Ecological Solid Waste Management
(A.M. No. 09-6-8-SC, effective April 13, 2010) Act;
RA 9072 National Caves and Cave Resource
12.A.SCOPE AND APPLICABILITY OF THE Management Act
RULE RA 9147 Wildlife Conservation and Protection
Act
These Rules shall govern the procedure in civil, RA 9175 Chainsaw Act
criminal and special civil actions before the RA 9275 Clean Water Act
Regional Trial Courts, Metropolitan Trial Courts, RA 9483 Oil Spill Compensation Act of 2007
Municipal Trial Courts in Cities, Municipal Trial
CA 141 The Public Land Act (some
Courts and Municipal Circuit Trial Courts provisions)
involving enforcement or violations of R.A. 6657 Comprehensive Agrarian Reform Law
environmental and other related laws, rules and of 1988
regulations such as, but not limited to, the RA 7160 Local Government Code of 1991
following: RA 7161 Tax Laws Incorporated in the Revised
Forestry Code and Other
Law Description Environmental Laws (Amending the
Act 3572 Prohibition Against Cutting of Tindalo, NIRC);
Akli, and Molave Trees; RA 7308 Seed Industry Development Act of
710
 Purple Notes
Law Description
1992;
RA 7900 High-Value Crops Development Act
RA 8048 Coconut Preservation Act
RA 8435 Agriculture and Fisheries
Modernization Act of 1997
RA 9522 The Philippine Archipelagic Baselines
Law
RA 9593 Renewable Energy Act of 2008
RA 9637 Philippine Biofuels Act; and Other
existing laws that relate to the
conservation, development,
preservation, protection and
utilization of the environment and
natural resources.
Objectives of the Rules (Sec. 3, Rule 1, Rules of
Procedure for Environmental Cases)
e) To protect and advance the constitutional
right of the people to a balanced and
healthful ecology;
f) To provide a simplified, speedy and
inexpensive procedure for the enforcement
of environmental rights and duties
recognized under the Constitution, existing
laws, rules and regulations, and international
agreements;
g) To introduce and adopt innovations and best
practices ensuring the effective enforcement
of remedies and redress for violation of
environmental laws; and
h) To enable the courts to monitor and exact
compliance with orders and judgments in
environmental cases.
Definition of Terms (Sec. 4, Rule 1, Rules of
Procedure for Environmental Cases)
(h) By-product or derivatives means any
part taken or substance extracted from
wildlife, in raw or in processed form including
stuffed animals and herbarium specimens.
(i)
(j) Consent decree refers to a judicially-
approved settlement between concerned
parties based on public interest and public
policy to protect and preserve the
environment.
(k)
(l) Continuing mandamus is a writ issued by
a court in an environmental case directing
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any agency or instrumentality of the
government or officer thereof to perform an
act or series of acts decreed by final
judgment which shall remain effective until
judgment is fully satisfied.
(m)
(n) Environmental protection order (EPO)
refers to an order issued by the court
directing or enjoining any person or
government agency to perform or desist
from performing an act in order to protect,
preserve or rehabilitate the environment.
(o)
(p) Mineral refers to all naturally occurring
inorganic substance in solid, gas, liquid, or
any intermediate state excluding energy
materials such as coal, petroleum, natural
gas, radioactive materials and geothermal
energy.
(q)
(r) Precautionary principle states that when
human activities may lead to threats of
serious and irreversible damage to the
environment that is scientifically plausible but
uncertain, actions shall be taken to avoid or
diminish that threat.
(s)
(t) Strategic lawsuit against public
participation (SLAPP) refers to an action
whether civil, criminal or administrative,
brought against any person, institution or
any government agency or local government
unit or its officials and employees, with the
intent to harass, vex, exert undue pressure
or stifle any legal recourse that such person,
institution or government agency has taken
or may take in the enforcement of
environmental laws, protection of the
environment or assertion of environmental
rights.
(u)
(v) (h) Wildlife means wild forms and varieties
of flora and fauna, in all developmental
stages including those which are in captivity
or are being bred or propagated.
12.B. CIVIL PROCEDURE(Part 2)
Who may file (Sec. 4, Rule 2, Part 2)
Any real party in interest, including the
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and juridical entities
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authorized by law, may file a civil action
involving the enforcement or violation of any
environmental law.
Citizen suit (Sec. 5, Rule 2, Part 2)
Any Filipino citizen in representation of others,
including minors or generations yet unborn, may
file an action to enforce rights or obligations
under environmental laws.
Upon the filing of a citizen suit, the court shall
issue an order which shall contain a brief
description of the cause of action and the reliefs
prayed for, requiring all interested parties to
manifest their interest to intervene in the case
within fifteen (15) days from notice thereof.
The plaintiff may publish the order once in a
newspaper of a general circulation in the
Philippines or furnish all affected barangays
copies of said order.
Contents of the Verified Complaint (Sec. 3,
Rule 2, Part 2)
a. names and addresses of the parties;
b. the cause of action;
c. the reliefs prayed for;
d. a statement that it is an environmental case;
e. the law involved; and,
f. the complaint shall include a certification
against forum shopping.
The plaintiff shall attach to the verified
complaint all evidence proving or supporting the
cause of action consisting of the affidavits of
witnesses, documentary evidence and if
possible, object evidence.
The affidavits shall be in question and answer
form and shall comply with the rules of
admissibility of evidence.
If the complaint is not an environmental
complaint, the presiding judge shall refer it to
the executive judge for re-raffle.
Prohibited Pleadings and Motions
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The following pleadings or motions shall not be
allowed:
7) Motion for a bill of particulars;
8) Motion for extension of time to file pleadings,
except to file answer, the extension not to
exceed fifteen (15) days;
9) Motion to dismiss the complaint;
10) Motion to declare the defendant in
default;
11) Reply and rejoinder; and
12) 3rd party complaint.
While the enumeration have been adopted in
part from the Rule on Summary Procedure in
response to the question of delay which often
accompanies regular cases, summary procedure
is not adopted in its entirety given the complex
and wide range of environmental cases. ( Sec. 19,
Revised Rules on Summary Procedure)
Procedural safeguards have been introduced for
truly complex cases which may necessitate
further evaluation from the court. Among these
is the exclusion of the motions for
postponement, new trial and reconsideration, as
well as the petition for relief from the
prohibition.
Motion for postponement, motion for new trial
and petition for relief from judgment shall only
be allowed in certain conditions of highly
meritorious cases or to prevent a manifest
miscarriage of justice. The satisfaction of these
conditions is required since these motions are
prone to abuse during litigation.
Motion for intervention is permitted in order to
allow the public to participate in the filing and
prosecution of environmental cases, which are
imbued with public interest. Petitions for
certiorari are likewise permitted since these
raise fundamentally questions of jurisdiction.
Under the Constitution, the SC may not be
deprived of its certiorari jurisdiction (Annotation
to the Rules of Procedure for Environmental Cases,
pp. 108)
Service of the complaint upon the
government or its agencies (Sec. 6, Rule 2,
Part 2)
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Upon the filing of the complaint, the plaintiff is
required to furnish the government or the
appropriate agency, although not a party, a
copy of the complaint. Proof of service upon
the government or the appropriate agency shall
be attached to the complaint.
Assignment by Raffle (Sec. 7, Rule 2, Part 2)
 If there is only one (1) designated branch in
a multiple-sala court, the executive judge
shall immediately refer the case to said
branch.
 If there are two (2) or more designated
branches, the executive judge shall conduct
a special raffle on the day the complaint is
filed.
Prohibition against Temporary
Restraining Order and Preliminary
Injunction (Sec. 10, Rule 2, Part 2)
No court can issue a TRO or writ of preliminary
injunction against lawful actions of government
agencies that enforce environmental laws or
prevent violations thereof, EXCEPT the
Supreme Court.(Sec. 10, OCA Circular No. 87-
2016,)
Payment of Filing and Other Legal Fees
(Sec. 12, Rule 2, Part 2)
General Rule: The payment of filing and other
legal fees by the plaintiff shall be deferred until
after judgment.
Exception: When the plaintiff is allowed to
litigate as an indigent. It shall constitute a first
lien on the judgment award.
Note: For a citizen suit, the court shall defer the
payment of filing and other legal fees that shall
serve as first lien on the judgment award.
Service of Summons, Orders and Other
Court Processes (Rule 2, Part 2, Sec. 13,)
 The summons shall be served on the
defendant, together with a copy of an order
informing all parties that they have fifteen
(15) days from the filing of an answer, within
which to avail of the modes of discovery.
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 Should personal and substituted service fail,
summons by publication shall be allowed.
 In the case of juridical entities, summons by
publication shall be done by indicating the
names of the officers or their duly authorized
representatives.
Verified Answer; Cross-claims and
Counterclaims (Rule 2, Part 2,Sec. 14)
 Within fifteen (15) days from receipt of
summons, the defendant shall file a verified
answer to the complaint and serve a copy
thereof on the plaintiff.
 The defendant shall attach affidavits of
witnesses, reports, studies of experts and all
evidence in support of the defense.
General Rule: Affirmative and special defenses
not pleaded shall be deemed waived.
Exception: Lack of jurisdiction.
Cross-claims and compulsory counterclaims not
asserted shall be considered barred. The answer
to counterclaims or cross-claims shall be filed
and served within ten (10) days from service of
the answer in which they are pleaded.
Effect of Failure to Answer (Rule 2, Part 2,Sec.
15,)
The court shall declare defendant in default and
upon motion of the plaintiff, shall receive
evidence ex parte and render judgment based
thereon and the reliefs prayed for.
Pre-Trial (Rule 3, Part 2)
Within two (2) days from the filing of the
answer to the counterclaim or cross-claim, if
any, the branch clerk of court shall issue a
notice of the pre-trial.
The pre-trial shall be held not later than one (1)
month from the filing of the last pleading.
The court shall schedule the pre-trial and set as
many pre-trial conferences as may be necessary
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within a period of two (2) months counted from
the date of the first pre-trial conference.
The judge shall put the parties and their
counsels under oath, and they shall remain
under oath in all pre-trial conferences.
The judge shall exert best efforts to persuade
the parties to arrive at a settlement of the
dispute. The judge may issue a consent decree
approving the agreement between the parties in
accordance with law, morals, public order and
public policy to protect the right of the people to
a balanced and healthful ecology.
General Rule: Evidence not presented during
the pre-trial shall be deemed waived.
Exception: Newly-discovered evidence
Sec. 5, Rule 3 encourages parties to reach an
agreement regarding settlement through a
consent decree, which gives emphasis to the
public interest aspect in the assertion of the
right to a balances and healthful ecology.
Contents of the Pre-Trial Brief
9. A statement of their willingness to enter into
an amicable settlement indicating the
desired terms thereof or to submit the case
to any of the alternative modes of dispute
resolution;
10. A summary of admitted facts and proposed
stipulation of facts;
11. The legal and factual issues to be tried or
resolved. For each factual issue, the parties
shall state all evidence to support their
positions thereon. For each legal issue,
parties shall state the applicable law and
jurisprudence supporting their respective
positions thereon;
12. The documents or exhibits to be presented,
including depositions, answers to
interrogatories and answers to written
request for admission by adverse party,
stating the purpose thereof;
13. A manifestation of their having availed of
discovery procedures or their intention to
avail themselves of referral to a
commissioner or panel of experts;
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14. The number and names of the witnesses
and the substance of their affidavits;
15. Clarificatory questions from the parties; and,
16. List of cases arising out of the same facts
pending before other courts or
administrative agencies. Failure to comply
with the required contents of a pre-trial brief
may be a ground for contempt.
Note: Failure to file the pre-trial brief shall have
the same effect as failure to appear at the pre-
trial.
Referral to Mediation (Rule 3, Part 2,Sec. 3)
At the start of the pre-trial conference, the court
shall inquire from the parties if they have settled
the dispute; otherwise, the court shall
immediately refer the parties or their counsel, if
authorized by their clients, to the Philippine
Mediation Center (PMC) unit for purposes of
mediation.
If not available, the court shall refer the case to
the clerk of court or legal researcher for
mediation.
Mediation must be conducted within a non-
extendible period of thirty (30) days from
receipt of notice of referral to mediation.
The mediation report must be submitted within
ten (10) days from the expiration of the 30-day
period.
If mediation fails, the court will schedule the
continuance of the pre-trial.
Before the scheduled date of continuance, the
court may refer the case to the branch clerk of
court for a preliminary conference.
Purposes of Preliminary Conference
j) To assist the parties in reaching a
settlement;
k) To mark the documents or exhibits to be
presented by the parties and copies thereof
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to be attached to the records after
comparison with the originals;
l) To ascertain from the parties the undisputed
facts and admissions on the genuineness and
due execution of the documents marked as
exhibits;
m) To require the parties to submit the
depositions taken under Rule 23 of the Rules
of Court, the answers to written
interrogatories under Rule 25, and the
answers to request for admissions by the
adverse party under Rule 26;
n) To require the production of documents or
things requested by a party under Rule 27
and the results of the physical and mental
examination of persons under Rule 28;
o) To consider such other matters as may aid in
its prompt disposition;
p) To record the proceedings in the "Minutes of
Preliminary Conference" to be signed by both
parties or their counsels;
q) To mark the affidavits of witnesses which
shall be in question and answer form and
shall constitute the direct examination of the
witnesses; and,
r) To attach the minutes together with the
marked exhibits before the pre-trial proper.
When there is NO full settlement (Rule 3,
Part 2,Sec. 6)
The judge shall:
(n) Adopt the minutes of the preliminary
conference as part of the pre-trial
proceedings and confirm the markings of
exhibits or substituted photocopies and
admissions on the genuineness and due
execution of documents;
(o) Determine if there are cases arising out of
the same facts pending before other courts
and order its consolidation if warranted;
(p) Determine if the pleadings are in order and if
not, order the amendments if necessary;
(q) Determine if interlocutory issues are involved
and resolve the same;
(r) Consider the adding or dropping of parties;
(s) Scrutinize every single allegation of the
complaint, answer and other pleadings and
attachments thereto, and the contents of
documents and all other evidence identified
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and pre-marked during pre-trial in
determining further admissions;
(t) Obtain admissions based on the affidavits of
witnesses and evidence attached to the
pleadings or submitted during pre-trial;
(u) Define and simplify the factual and legal
issues arising from the pleadings and
evidence. Uncontroverted issues and
frivolous claims or defenses should be
eliminated;
(v) Discuss the propriety of rendering a
summary judgment or a judgment based on
the pleadings, evidence and admissions
made during pre-trial;
(w) Observe the Most Important Witness
Rule in limiting the number of witnesses,
determining the facts to be proved by each
witness and fixing the approximate number
of hours per witness;
(x) Encourage referral of the case to a trial by
commissioner under Rule 32 of the Rules of
Court or to a mediator or arbitrator under
any of the alternative modes of dispute
resolution governed by the Special Rules of
Court on Alternative Dispute Resolution;
(y) Determine the necessity of engaging the
services of a qualified expert as a friend of
the court (amicus curiae); and
(z) Ask parties to agree on the specific trial
dates for continuous trial, comply with the
one-day examination of witness rule, adhere
to the case flow chart determined by the
court which shall contain the different stages
of the proceedings up to the promulgation of
the decision and use the time frame for each
stage in setting the trial dates.
Trial (Rule 3, Part 2)
 The judge shall conduct continuous trial and
may ask the Supreme Court for the extension
of the trial period for justifiable cause.
 In lieu of direct examination, affidavits
marked during the pre-trial shall be
presented as direct examination of affiants
subject to cross-examination by the adverse
party.
 After the presentation of the last witness,
only oral offer of evidence shall be allowed,
and the opposing party shall immediately
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interpose his objections. The judge
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 shall forthwith rule on the offer of evidence
in open court.
 After the last party has rested its case, the
court shall issue an order submitting the case
for decision. The court may require the
parties to submit their respective
memoranda, if possible in electronic form,
within a non-extendible period of thirty (30)
days from the date the case is submitted for
decision.
 The court shall have a period of sixty (60)
days to decide the case from the date the
case is submitted for decision.
 The court shall have a period of one (1) year
from the filing of the complaint to try and
decide the case. Before the expiration of the
one-year period, the court may petition the
Supreme Court for the extension of the
period for justifiable cause.
 The court shall prioritize the adjudication of
environmental cases.
One-day Examination of Witness Rule (,
Rule 4, Part 2,Sec. 3)
A witness has to be fully examined in one (1)
day, subject to the court’s discretion of
extending the examination for justifiable reason.
The court shall strictly adhere to this rule.
TEMPORARY ENVIRONMENTAL
PROTECTION ORDER (TEPO) (Rule 2, Sec. 8)
Issuance of Temporary Environmental
Protection Order
If it appears from the verified complaint with a
prayer for the issuance of an Environmental
Protection Order (EPO) that the matter is of
extreme urgency and the applicant will suffer
grave injustice and irreparable injury:
5) The executive judge of the multiple sala
court before raffle or the presiding judge of a
single-sala court as the case may be, may
issue ex parte a TEPO effective for only
seventy-two (72) hours from date of the
receipt of the TEPO by the party or person
enjoined.
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6) Within said period, the court where the case
is assigned, shall conduct a summary hearing
to determine whether the TEPO may be
extended until the termination of the case.
7) The court where the case is assigned shall
periodically monitor the existence of acts that
are the subject matter of the TEPO even if
issued by the executive judge, and may lift
the same at any time as circumstances may
warrant.
8) The applicant shall be exempted from the
posting of a bond for the issuance of a TEPO.
The Rules provide that an applicant who files for
the issuance of a TEPO is exempt from the
posting of a bond, but the Rules also provide for
safeguards for the possible pernicious effects
upon the party or person sought to be enjoined
by the TEPO:
4) A TEPO may only be issued in matters of
extreme urgency and the applicant will suffer
grave injustice and irreparable injury,
5) the TEPO is effective for only 72 hours; and
6) The court should periodically monitor the
existence of acts which are the subject
matter of the TEPO. The TEPO can also be
lifted anytime as the circumstances may
warrant.
Note: While the TEPO may be issued ex parte,
this is more of the exception. The general rule
on the conduct of a hearing pursuant to due
process remains.
Judgment and Execution (Rule 5, Part 2)
 Any judgment directing the performance of
acts for the protection, preservation or
rehabilitation of the environment shall be
executory pending appeal unless restrained
by the appellate court.
 A judgment rendered pursuant to these
Rules is immediately executory. It may not
be stayed by the posting of a bond under
Rule 39 of the Rules of Court and the sole
remedy lies with the appellate court. The
appellate court can issue a TRO to restrain
the execution of the judgment. Should the
appellate court act with grave abuse of
discretion in refusing to act on the
 Purple Notes
application for a TRO, a petition for certiorari
under Rule 65 can be brought before the
Supreme Court.
 The court may, motuproprio, or upon motion
of the prevailing party, order that the
enforcement of the judgment or order be
referred to a commissioner to be appointed
by the court. The commissioner shall file with
the court written progress reports on a
quarterly basis or more frequently when
necessary.
 The process of execution shall terminate
upon a sufficient showing that the decision
or order has been implemented to the
satisfaction of the court in accordance with
Section 14, Rule 39 of the Rules of Court.
Reliefs in a Citizen’s Suit (Rule 5,Sec. 1)
If warranted, the court may grant to the plaintiff
proper reliefs which shall include the protection,
preservation or rehabilitation of the environment
and the payment of attorney’s fees, costs of suit
and other litigation expenses.
It may also require the violator to submit a
program of rehabilitation or restoration of the
environment, the costs of which shall be borne
by the violator, or to contribute to a special trust
fund for that purpose subject to the control of
the court.
Permanent Environmental Protection
Order; Writ of Continuing Mandamus (, Rule
5, Part 2,Sec. 3)
4) In the judgment, the court may convert the
TEPO to a permanent EPO or issue a writ of
continuing mandamus directing the
performance of acts which shall be effective
until the judgment is fully satisfied.
5) The court may, by itself or through the
appropriate government agency, monitor the
execution of the judgment and require the
party concerned to submit written reports on
a quarterly basis or sooner as may be
necessary, detailing the progress of the
execution and satisfaction of the judgment.
The other party may, at its option, submit its
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comments or observations on the execution
of the judgment.
6) In this provision, continuing mandamus is
made available as a final relief. As a remedy,
continuing mandamus is decidedly an
attractive relief. Nevertheless, the monitoring
function attached to the writ is decidedly
taxing upon the court. Thus, it is meant to be
an exceptional remedy.
12.C. SPECIAL PROCEEDINGS
WRIT OF CONTINUING MANDAMUS
Continuing mandamus is a writ issued by a
court in an environmental case directing any
agency or instrumentality of the government or
officer thereof to perform an act or series of
acts decreed by final judgment which shall
remain effective until judgment is fully satisfied
(Sec. 4[c], Rule 1, Part 1).
The concept of continuing mandamus was
originally enunciated in the case of Concerned
Residents of Manila Bay vs. MMDA (G.R. No.
171947-98, December 18, 2008).
The Rules now codify the Writ of Continuing
Mandamus as one of the principal remedies
which may be availed of in environmental cases.
Availability
7. When any agency or instrumentality of the
government or officer thereof:
a. unlawfully neglects the performance of an
act which the law specifically enjoins as a
duty resulting from an office, trust or
station in connection with the
enforcement or violation of an
environmental law rule or regulation or a
right therein; or,
b. unlawfully excludes another from the use
or enjoyment of such right; and
8. There is no other plain, speedy and adequate
remedy in the ordinary course of law.
How to Avail
The person aggrieved may file a verified petition
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Contents and Form of Verified Petition
The petition must:
 Allege the facts with certainty;
 Be supported by evidence attached thereto;
 Specify that the petition concerns an
environmental law, rule or regulation;
 Contain a prayer that judgment be rendered
commanding the respondent to do an act or
series of acts until the judgment is fully
satisfied and to pay damages sustained by
the petitioner by reason of the malicious
neglect to perform the duties of the
respondent, under the law, rules or
regulations; and,
 Contain a sworn certification of non-forum
shopping.
Where to File the Petition
The petition shall be filed with the Regional Trial
Court exercising jurisdiction over the territory
where the actionable neglect or omission
occurred or with the Court of Appeals or the
Supreme Court.
The petitioner shall be exempt from the
payment of docket fees.
Order to Comment
If the petition is sufficient in form and
substance, the court shall issue the writ and
require the respondent to comment on the
petition within ten (10) days from receipt of a
copy thereof.
Such order shall be served on the respondents
in such manner as the court may direct,
together with a copy of the petition and any
annexes thereto.
Expediting Proceedings
The court in which the petition is filed may issue
such orders to expedite the proceedings, and it
may also grant a TEPO for the preservation of
the rights of the parties pending such
proceedings.
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Proceedings after the comment is filed
After the comment is filed or the time for the
filing thereof has expired, the court may hear
the case which shall be summary in nature or
require the parties to submit memoranda.
The petition shall be resolved without delay
within sixty (60) days from the date of the
submission of the petition for resolution.
Judgment
If warranted, the court shall grant the privilege
of the writ of continuing mandamus requiring
respondent to perform an act or series of acts
until the judgment is fully satisfied and to grant
such other reliefs as may be warranted
resulting from the wrongful or illegal acts of the
respondent.
The court shall require the respondent to
submit periodic reports detailing the progress
and execution of the judgment, and may, by
itself or through a commissioner or the
appropriate government agency, evaluate and
monitor compliance.
The petitioner may submit its comments or
observations on the execution of the judgment.
Return of the Writ
 Partial returns. The periodic reports
submitted by the respondent detailing
compliance with the judgment shall be
contained in partial returns of the writ.
 Final return. Upon full satisfaction of the
judgment, a final return of the writ shall be
made to the court by the respondent. If the
court finds that the judgment has been fully
implemented, the satisfaction of judgment
shall be entered in the court docket.
Notes:
 Procedurally, the filing before the courts of a
petition for the issuance of a writ of
continuing madamus is similar to the filing
of an ordinary writ of mandamus. However,
the issuance of a TEPO is made available as
 Purple Notes
an auxiliary remedy prior to the issuance of
the writ itself.
 As a special civil action, the Writ of
Continuing Mandamus may be availed of to
compel the performance of an act specifically
enjoined by law. It permits the court to
retain jurisdiction after judgment, in order to
ensure the successful implementation of the
reliefs mandated under the court’s decision.
For this purpose, the court may compel the
submission of compliance reports from the
respondent government agencies as well as
avail of other means to monitor compliance
with its decision. Its availability as a special
civil action likewise complements its role as a
final relief in environmental civil cases and in
the Writ of Kalikasan, where continuing
mandamus may likewise be issued should
the facts merit such relief.
Strategic Lawsuit Against Public
Participation or SLAPP (Rule 6, Part 2)
Definition
SLAPP refers to an action, whether civil, criminal
or administrative, brought against any person,
institution or any government agency or local
government unit or its officials and employees,
with the intent to harass, vex, exert undue
pressure or stifle any legal recourse that such
person, institution or government agency has
taken or may take in the enforcement of
environmental laws, protection of the
environment or assertion of environmental
rights (Sec. 4[g], Rule 1).
 How alleged as a defense. In a SLAPP
filed against a person involved in the
enforcement of environmental laws,
protection of the environment, or assertion
of environmental rights, the defendant may
file an answer interposing as a defense that
the case is a SLAPP and shall be supported
by documents, affidavits, papers and other
evidence; and, by way of counterclaim, pray
for damages, attorney‘s fees and costs of
suit.

 When alleged. Since a motion to dismiss is
a prohibited pleading, SLAPP as an
affirmative defense should be raised in an
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answer along with other defenses that may
be raised in the case alleged to be a SLAPP.

 Opposition. The court shall direct the
plaintiff or adverse party to file an
opposition showing the suit is not a SLAPP,
attaching evidence in support thereof,
within a non-extendible period of five (5)
days from receipt of notice that an answer
has been filed.

 Hearing; summary in nature. The
defense of a SLAPP shall be set for hearing
by the court after issuance of the order to
file an opposition within fifteen (15) days
from filing of the comment or the lapse of
the period.

 Evidence. The parties must submit all
available evidence in support of their
respective positions. The party seeking the
dismissal of the case must prove by
substantial evidence that his acts for the
enforcement of environmental law is a
legitimate action for the protection,
preservation and rehabilitation of the
environment. The party filing the action
assailed as a SLAPP shall prove by
preponderance of evidence that the action is
not a SLAPP and is a valid claim.

 Court action. The defense of a SLAPP shall
be resolved within thirty (30) days after the
summary hearing. If the court dismisses the
action, the court may award damages,
attorney‘s fees and costs of suit under a
counterclaim if such has been filed. The
dismissal shall be with prejudice. If the
court rejects the defense of a SLAPP, the
evidence adduced during the summary
hearing shall be treated as evidence of the
parties on the merits of the case. The action
shall proceed in accordance with the Rules
of Court.
WRIT OF KALIKASAN (Rule 7, Part 3)
The Writ of Kalikasan is a remedy.
Who may avail of the writ
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i) entity authorized by law;
j) people’s organization;
k) non-governmental organization; or,
l) any public interest group accredited by or
registered with any government agency
For whose behalf: on behalf of persons whose
constitutional right to a balanced and healthful
ecology is violated, or threatened with violation.
Threat or violation, how committed: by an
unlawful act or omission involving environmental
damage of such magnitude as to prejudice the
life, health or property of inhabitants in two or
more cities or provinces.
Where to file: To the SC or any stations of the
CA. (Sec. 3, Rule 7)
Writ of Kalikasan, an extraordinary
remedy
The underlying emphasis in the Writ of
Kalikasan is magnitude as it deals with damage
that transcends political and territorial
boundaries.
Magnitude is thus measured according to the
qualification set forth in this Rule—when there is
environmental damage that prejudices the life,
health or property of inhabitants in two or more
cities or provinces.
Those who may file for this remedy must
represent the inhabitants prejudiced by the
environmental damage subject of the writ. The
requirement of accreditation of a group or
organization is for the purpose of verifying its
existence. The accreditation is a mechanism to
prevent fly by night groups from abusing the
writ.
Exemption from Payment of Docket Fees
(Rule 7,Sec. 4,)
The exemption from payment of docket fees is
consistent with the character of the reliefs
available under the writ, which excludes
damages for personal injuries. This exemption
also encourages public participation in availing
of the remedy.
720
Issuance of the Writ (Rule 7, Sec. 5
Within three (3) days from the date of filing of
the petition, if the petition is sufficient in form
and substance, the court shall give an order:
e) issuing the writ; and,
f) requiring the respondent to file a verified
return as provided in Section 8 of this Rule.
The clerk of court shall forthwith issue the writ
under the seal of the court including the
issuance of a cease and desist order and other
temporary reliefs effective until further order.
The writ shall be served upon the respondent by
a court officer or any person deputized by the
court, who shall retain a copy on which to make
a return of service. In case the writ cannot be
served personally, the rule on substituted
service shall apply (Rule 7, Sec. 6).
A clerk of court who unduly delays or refuses to
issue the writ after its allowance, or a court
officer or deputized person who unduly delays
or refuses to serve the same shall be punished
by the court for contempt without prejudice to
other civil, criminal or administrative actions
(Rule 7, Sec. 7).
Return of the Respondent (Rule 7, Sec. 8)
 Within a non-extendible period of ten (10)
days after service of the writ, the respondent
shall file a verified return.
 The return shall contain all defenses to show
that respondent did NOT:
g) violate or threaten to violate, or allow the
violation of any environmental law, rule or
regulation; or,
h) commit any act resulting to environmental
damage of such magnitude as to
prejudice the life, health or property of
inhabitants in two or more cities or
provinces.
 All defenses not raised in the return shall be
deemed waived.
 The return shall include affidavits of
witnesses, documentary evidence, scientific
or other expert studies, and if possible,
 Purple Notes
Criminal
Remedial
object evidence, in support of the defense of  It shall state in detail the place or places
the respondent. to be inspected and shall be supported by
affidavits of witnesses having personal
Note: A general denial of allegations in the knowledge of the violation or threatened
petition shall be considered as an admission violation of environmental law.
thereof.

Effect of Failure to File Return (Rule 7, Sec. Order for Ocular Inspection
10)
After hearing, the court may order any
The court shall proceed to hear the petition ex
person in possession or control of a
parte.
designated land or other property to permit
entry for the purpose of inspecting or
Hearing (Rule 7, Sec. 11)
photographing the property or any relevant
object or operation thereon.
Upon receipt of the return of the respondent,
The order shall:
the court may call a preliminary conference to
simplify the issues, determine the possibility of
i) specify the person or persons authorized
obtaining stipulations or admissions from the
to make the inspection;
parties, and set the petition for hearing.
j) specify the date, time, place and manner
After hearing, the court may punish the
of making the inspection;
respondent who refuses or unduly delays the
k) it may prescribe other conditions to
filing of a return, or who makes a false return,
protect the constitutional rights of all
or any person who disobeys or resists a lawful
parties.
process or order of the court for indirect
contempt under Rule 71 of the Rules of Court
4. Production or Inspection of documents
(Rule 7, Sec. 13).
or things
Prohibited Pleadings and Motions (Rule 7,
 The motion must show that a production
Sec. 9)
order is necessary to establish the
magnitude of the violation or the threat
9) Motion to dismiss
as to prejudice the life, health or property
10) Motion for extension of time to file
of inhabitants in two or more cities or
return
provinces.
11) Motion for postponement
12) Motion for a bill of particulars
Production Order
13) Counterclaim or cross-claim
14) Third-party complaint
After hearing, the court may order any
15) Reply; and
person in possession, custody or control of
16) Motion to declare respondent in default.
any designated documents, papers, books,
accounts, letters, photographs, objects or
Discovery Measures (Rule 7, Sec. 12,)
tangible things, or objects in digitized or
electronic form, which constitute or contain
3. Ocular Inspection
evidence relevant to the petition or the
return, to produce and permit their
 A party may file a verified motion that
inspection, copying or photographing by or
must show that an ocular inspection order
on behalf of the movant.
is necessary to establish the magnitude of
The order shall:
the violation or the threat as to prejudice
the life, health or property of inhabitants
k) specify the person or persons authorized
in two or more cities or provinces.
to make the production;
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 l) specify the date, time, place and manner
of making the inspection or production;
m) it may prescribe other conditions to
protect the constitutional rights of all
parties.
 It is claimed that the Environmental
Compliance Certificate (ECC) was issued in
violation of rules. The Court ruled that the
allegation cannot come within the coverage
of the writ of kalikasan because no causal
link or reasonable connection was shown
between the defects in the issuances of ECC
and the actual violation of constitutional
right to balanced and healthful ecology (Paje
vs. Casiño, G.R. No. 207257, February 3, 2015).

 Petitioners sought directive from Court in
connection with the grounding of the USS
Guardian on Tubbataha Reefs. The Court
ruled that since the US were sued in their
official capacity, the principle of state
immunity bars the exercise of jurisdiction by
Court. For recovery of damages, it should
not be raised in a writ of kalikasan petition
but through a separate civil suit (Arigo vs.
Swift, G.R. No. 206510, September 16, 2014).
 To the Supreme Court under Rule 45 of the
 Court ordered to cease and desist from
operating the leaking pipeline until further
orders of the court. TEPO was based on a
petition filed by the residents who claimed
to have suffered health and environmental
hazards (West Tower Condominium Corp. vs.
First Phil. Industrial Corp., G.R. No. 194239, June
16, 2015).
(b) Directing the respondent public official,
government agency, private person or entity
to protect, preserve, rehabilitate or restore
the environment;
(c) Directing the respondent public official,
government agency, private person or entity
to monitor strict compliance with the decision
and orders of the court;
(d) Directing the respondent public official,
government agency, or private person or
entity to make periodic reports on the
execution of the final judgment; and,
(e) Such other reliefs which relate to the right of
the people to a balanced and healthful
ecology or to the protection, preservation,
rehabilitation or restoration of the
environment, EXCEPT the award of damages
to individual petitioners.
Appeal (Rule 7,Sec. 16)
Rules of Court, within fifteen (15) days from the
date of notice of the adverse judgment or denial
of motion for reconsideration. The appeal may
raise questions of fact.
Institution of Separate Actions (Rule 7, Sec.
17,)

The filing of a petition for the issuance of the

Judgment (Rule 7, Sec. 15)
writ of kalikasan shall not preclude the filing of
separate civil, criminal or administrative actions.
Within sixty (60) days from the time the petition
is submitted for decision, the court shall render
judgment granting or denying the privilege of
the writ of kalikasan.
Writ of Kalikasan vs.
Reliefs that may be granted under the Writ of Continuing Mandamus
Writ of Kalikasan(Rule 7,Sec. 15)
Writ of
Writ of
Continuing
(a) Directing respondent to permanently cease Kalikasan
Mandamus
and desist from committing acts or Subject Unlawful neglect Unlawful act
neglecting the performance of a duty in Matter in performance of or omission
violation of environmental laws resulting in ministerial act. involving
environmental destruction or damage; environmental

722
 Purple Notes
Criminal
Remedial
damage of committing or is attempting to commit an
such offense; or,
magnitude as j) When an offense has just been committed,
to prejudice and he has probable cause to believe based
the life, health
on personal knowledge of facts or
or property of
inhabitants in circumstances that the person to be arrested
two or more has committed it.
cities or k)
provinces.  The CFI ordered the seizure of two vessels
Who Aggrieved party. Broad range . in connection with illegal fishing. The Court
may file ruled that the seizure is valid because the
Respond Government and Even private vessel can be quickly moved out of the
ent its officers. individual may locality or jurisdiction in which the search
be made
warrant must be sought before such
respondent.
warrant could be secured (Roldan, Jr. vs.
Venue RTC/CA/SC SC/CA
Arca, G.R. No. L-25434, July 25, 1975).
Discover No provision. With specific
y provision.
measure Strategic Lawsuit Against Public
s Participation (SLAPP)
Payment Allowed Not allowed
of A motion to dismiss may be filed on the ground
damages that the criminal action is a SLAPP. There must
be a Summary Hearing before the resolution of
the motion.
12.D. CRIMINAL PROCEDURE (Part 4)
Action of the court upon the motion to
Who may file (Rule 9,Sec. 1) dismiss

Any offended party, peace officer or any
public officer charged with the enforcement of
an environmental law
Institution of Criminal and Civil actions
(Rule 10,Sec. 1)
c) Grant the motion if the accused establishes
in the summary hearing that the criminal
case is a SLAPP.
d) If the court denies the motion, the court shall
immediately proceed with the arraignment of
the accused.

When a criminal action is instituted, the civil
action for the recovery of civil liability arising
from the offense charged, shall be deemed
instituted with the criminal action unless the
complainant waives the civil action, reserves the
right to institute it separately or institutes the
civil action prior to the criminal action.
Procedure in Custody and Disposition of
Seized Items (Rule 12,Sec. 2)
In the absence of applicable laws or rules
promulgated by the concerned government
agency, the following procedure shall be
observed:

Arrest Without Warrant; When Lawful (Rule 7) The apprehending officer having initial
11, Sec. 1) custody and control of the seized items,
equipment, paraphernalia, conveyances and
A peace officer or an individual deputized by the instruments shall physically inventory and
proper government agency may, without a whenever practicable, photograph the same
warrant, arrest a person: in the presence of the person from whom
such items were seized.
i) When, in his presence, the person to be 8)
arrested has committed, is actually Bar Operations
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9) Thereafter, the apprehending officer shall
submit to the issuing court the return of the
search warrant within five (5) days from date
of seizure or in case of warrantless arrest,
submit within five (5) days from date of
seizure, the inventory report, compliance
report, photographs, representative samples
and other pertinent documents to the public
prosecutor for appropriate action.
10)
11) Upon motion by any interested party,
the court may direct the auction sale of
seized items, equipment, paraphernalia, tools
or instruments of the crime. The court shall,
after hearing, fix the minimum bid price
based on the recommendation of the
concerned government agency. The sheriff
shall conduct the auction.
12)
13) The auction sale shall be with notice to
the accused, the person from whom the
items were seized, or the owner thereof and
the concerned government agency.
14)
15) The notice of auction shall be posted in
three conspicuous places in the city or
municipality where the items, equipment,
paraphernalia, tools or instruments of the
crime were seized.
16)
17) The proceeds shall be held in trust and
deposited with the government depository
bank for disposition according to the
judgment.
Bail (Rule 14, Part 4)
Where filed (Rule 14, Sec. 1)
f) court where the case is pending; or,
g) in the absence or unavailability of the judge
thereof, with any RTC judge, MeTC judge,
MTC judge or MCTC judge in the province,
city or municipality; or,
h) if the accused is arrested in a province, city
or municipality other than where the case is
pending, with any RTC of said place; or,
i) if no judge thereof is available, with any
MeTC, MTC or MCTC judge therein.
If the court grants bail, the court may issue a
hold-departure order in appropriate cases.
724
Duties of the court before granting the
application for bail (Rule 14, Sec. 2,)
1. Judge must read the information in a
language known to and understood by the
accused; and,
2. Require the accused to sign a written
undertaking, as follows:
d) To appear before the court that issued
the warrant of arrest for arraignment
purposes on the date scheduled, and if
the accused fails to appear without
justification on the date of arraignment,
accused waives the reading of the
information and authorizes the court to
enter a plea of not guilty on his behalf
and to set the case for trial;
e) To appear whenever required by the court
where the case is pending; and,
f) To waive the right of the accused to be
present at the trial, and upon failure of
the accused to appear without
justification and despite due notice, the
trial may proceed in absentia.
Arraignment (Rule 15, Sec. 1)
The court shall set the arraignment of the
accused within fifteen (15) days from the time it
acquires jurisdiction over the accused, with
notice to the public prosecutor and offended
party or concerned government agency that it
will entertain plea-bargaining on the date of the
arraignment.
Plea-bargaining (Sec. 2, Rule 15)
Where the prosecution and offended party or
concerned government agency agree to the plea
offered, court shall:
d) Issue an order which contains the plea-
bargaining arrived at;
e) Proceed to receive evidence on the civil
aspect of the case, if any; and
f) Render and promulgate judgment of
conviction, including the civil liability for
damages.
 Purple Notes
Pre-Trial (Rule 16,Sec. 1,)
After the arraignment, the court shall set the
pre-trial conference within thirty (30) days.
It may refer the case to the branch clerk of
court, if warranted, for a preliminary conference
to be set at least three (3) days prior to the pre-
trial.
Purposes of Preliminary Conference (Rule
16,Sec. 2,)
i) To assist the parties in reaching a settlement
of the civil aspect of the case;
j) To mark the documents to be presented as
exhibits;
k) To attach copies thereof to the records after
comparison with the originals;
l) To ascertain from the parties the undisputed
facts and admissions on the genuineness and
due execution of documents marked as
exhibits;
m) To consider such other matters as may aid in
the prompt disposition of the case;
n) To record the proceedings during the
preliminary conference in the Minutes of
Preliminary Conference to be signed by the
parties and counsel;
o) To mark the affidavits of witnesses which
shall be in question and answer form and
shall constitute the direct examination of the
witnesses; and
p) To attach the Minutes and marked exhibits to
the case record before the pre-trial proper.
The parties or their counsel must submit to
the branch clerk of court the names,
addresses and contact numbers of the
affiants.
Pre-trial Duty of the Judge (Rule 16, Sec. 3)
8) Place the parties and their counsels under
oath;
9)
10) Adopt the minutes of the preliminary
conference as part of the pre-trial
proceedings, confirm markings of exhibits or
substituted photocopies and admissions on
the genuineness and due execution of
Criminal
Remedial
documents, and list object and testimonial
evidence;
11)
12) Scrutinize the information and the
statements in the affidavits and other
documents which form part of the record of
the preliminary investigation together with
other documents identified and marked as
exhibits to determine further admissions of
facts as to:
d) The court’s territorial jurisdiction relative
to the offense(s) charged;
e) Qualification of expert witnesses; and
f) Amount of damages;
13) Define factual and legal issues;
14) Ask parties to agree on the specific trial
dates and adhere to the flow chart
determined by the court which shall contain
the time frames for the different stages of
the proceeding up to promulgation of
decision;
15)
16) Require the parties to submit to the
branch clerk of court the names, addresses
and contact numbers of witnesses that need
to be summoned by subpoena; and,
17) Consider modification of order of trial if
the accused admits the charge but interposes
a lawful defense.
 Manner of questioning. All questions or
statements must be directed to the court
(Rule 16, Sec.4).

 Agreements or admissions. All
agreements or admissions made or entered
during the pre-trial conference shall be
reduced in writing and signed by the accused
and counsel; otherwise, they cannot be used
against the accused. The agreements
covering the matters referred to in Section 1,
Rule 118 of the Rules of Court shall be
approved by the court (Rule 16, Sec. 5,).

 Record of proceedings. All proceedings
during the pre-trial shall be recorded, the
transcripts prepared and the minutes signed
by the parties or their counsels (Rule 16,Sec.
6,).
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Commissions 725
725
Pre-trial Order (Rule 16,Sec. 7,)
The court shall issue a pre-trial order within ten
(10) days after the termination of the pre-trial,
setting forth:
f) the actions taken during the pre-trial
conference;
g) the facts stipulated;
h) the admissions made;
i) the evidence marked;
j) the number of witnesses to be presented;
and, the schedule of trial.
The order shall bind the parties and control the
course of action during the trial.
Subsidiary liability (Rule 18, Sec. )
In case of conviction of the accused and
subsidiary liability is allowed by law, the court
may, by motion of the person entitled to recover
under judgment, enforce such subsidiary liability
against a person or corporation subsidiary liable
under Article 102 and Article 103 of the Revised
Penal Code.
12.E. EVIDENCE (Part 5)
Precautionary Principle (Rule 20, Part 5)
Precautionary principle states that when human
activities may lead to threats of serious and
irreversible damage to the environment that is
scientifically plausible but uncertain, actions
shall be taken to avoid or diminish that threat.
Applicability (Rule 20, Sec. 1)
When there is a lack of full scientific certainty in
establishing a causal link between human
activity and environmental effect.
Note: The constitutional right of the people to a
balanced and healthful ecology shall be given
the benefit of the doubt.
Standards for Application (Rule 20, Sec. 2)
d) Threats to human life or health;
e) Inequity to present or future generations;
and,
726
f) Prejudice to the environment without legal
consideration of the environmental rights of
those affected.
Documentary Evidence (Rule 21, Part 5)
3. Photographic, video and similar
evidence - Admissible when authenticated
by the person who took the same, by some
other person present when said evidence
was taken, or by any other person
competent to testify on the accuracy thereof
(Sec. 1, Rule 21).
4. Entries in official records made in the
performance of his duty by a public officer of
the Philippines, or by a person in
performance of a duty specially enjoined by
law, are prima facie evidence of the facts
therein stated (Sec. 2, Rule 21).
Illustrative Cases
 An appeal against the granting of license to
take and kill endangered fauna from an area
where a road was proposed to be
constructed is involved. Under precautionary
principle, consideration of the state of
knowledge or uncertainty regarding a
specie, the potential for serious or
irreversible harm is clearly consistent with
subject matter, scope, and purpose.
Precautionary principle is most apt in a
situation where there is a scarcity of
scientific knowledge of species population,
habitat and impact (Leatch vs. Director-General
of National Parks and Wildlife Service, NSWLEC
191, No. 10376 of 1993, November 23, 1993).

 Greenpeace asserted that air emissions from
the power station would exacerbate the
greenhouse effect. Applying the
precautionary principle, Greenpeace argued
that the court should refuse development
consent for the project. The Court held that
although application of the precautionary
principle dictates a cautious approach in
determining whether or not development
consent should be granted, the principle
does not require that the greenhouse gas
issue outweigh all other issues (Greeanpeace
Australia, Ltd. vs. Redbank Power Co., Land and
Environment Court of New South Wales, NSWLEC
178, ILDC 985, November 10, 1994).
 Purple Notes
Criminal
Remedial

 Due to the contrasting findings in hundreds
of scientific studies, the Court held that the 3. Conciliation
current scientific research indicates that the
biotech industry has not sufficiently Adjustment and settlement of a dispute in a
addressed the uncertainties over the safety friendly and non-antagonistic manner.
of genetically-modified foods and crops. The
uncertainty, possibility of irreversible harm 4. Neutral and early neutral evaluation
and possibility of serious harm warrant the
application of precautionary principle (Int’l Parties and their lawyers are brought
Service for the Acquisition of Agri-Biotech together to present summaries of their
Applications, Inc. vs. Greenpeace Southeast Asia
cases and receive a non-binding assessment
(Phils.), G.R. No. 209271, July 26, 2016).
by an experienced neutral person with
expertise in the subject or in the substance
13. ALTERNATIVE DISPUTE RESOLUTION
of a dispute.
13.A. TYPES OF PROCESSES AND
Note:Early neutral evaluation is availed of
PROCEDURES IN ALTERNATIVE DISPUTE
early in the pre-trial phase.
RESOLUTION; COMPARISON WITH
COURT-ANNEXED MEDIATION
5. Mini-trial
Alternative Dispute Resolution (ADR)
A structured dispute resolution method in
which the merits of a case are argued before
Any process or procedure used to resolve a
a panel comprising senior decision makers
dispute or controversy, other than by
with or without the presence of a neutral
adjudication of a presiding judge of a court or
third person after which the parties seek a
an officer of a government agency, as defined in
negotiated settlement (Sec.3u, RA 9285).
this Act, in which a neutral third party
participates to assist in the resolution of issues,
6. Any combination of the foregoing
which includes arbitration, mediation,
conciliation, early neutral evaluation, mini-trial,
7. Any other ADR form
or any combination thereof (Sec.3a, RA 9285).

Processes and Procedures

Court Annexed Mediation
1. Arbitration
Any mediation process conducted under the
auspices of the court, after such court has
A voluntary dispute resolution process in
acquired jurisdiction of the dispute (Sec.3l, RA
which one or more arbitrators, appointed in
9285).
accordance with the agreement of the
parties, or rules promulgated pursuant to this
13.B. DOMESTRIC ARBITRATION
Act, resolve a dispute by rendering an award
(Sec.3d, RA 9285).
Who may submit to Arbitration (Sec. 2, R.A.
No. 876)
2. Mediation
13.B. DOMESTRIC ARBITRATION
A voluntary process in which a mediator,
selected by the disputing parties, facilitates Who may submit to Arbitration (Sec. 2, R.A.
communication and negotiation, and assist No. 876)
the parties in reaching a voluntary
agreement regarding a dispute (Sec.3q, RA • Two or more persons or parties may submit
9285). Bar Operations
to the arbitration of one or more
Commissions 727
727
 arbitrators any controversy existing
between them; or
• The parties to any contract may in such
contract agree to settle by arbitration a
controversy thereafter arising between
them.
GR: A controversy cannot be arbitrated where
one of the parties to the controversy is an
infant, or a person judicially declared to be
incompetent,
Exception: The appropriate court having
jurisdiction approve a petition for permission to
submit such controversy to arbitration made by
the general guardian or guardian ad litem of the
infant or of the incompetent.
Note: Where a person capable of entering into
a submission or contract has knowingly entered
into the same with a person incapable of so
doing, the objection on the ground of incapacity
can be taken only in behalf of the person so
incapacitated.
Limitation
This Act shall not apply to controversies and to
cases which are subject to the jurisdiction of the
Court of Industrial Relations or which have been
submitted to it as provided by Commonwealth
Act Numbered One hundred and three, as
amended (Sec. 3, R.A. No. 876).
Form of Arbitration Agreement
A contract to arbitrate a controversy thereafter
arising between the parties, as well as a
submission to arbitrate an existing controversy
shall be in writing and subscribed by the party
sought to be charged, or by his lawful agent
(Sec. 4, R.A. No. 876).
Jurisdiction and Venue
The making of a contract or submission for
arbitration, providing for arbitration of any
controversy, shall be deemed a consent of the
parties to the jurisdiction of the Court of First
Instance of the province or city where any of
728
the parties resides, to enforce such contract or
submission (Sec. 4, R.A. No. 876).
Prelliminary Procedure (Sec. 5, R.A. No. 876)
1. File demand for arbitration in accordance
with the contract. Such demand shall be set
forth the nature of the controversy, the
amount involved, if any, and the relief
sought, together with a true copy of the
contract providing for arbitration.
Contents of Demand to Arbitrate
a. the nature of the controversy;
b. the amount involved, if any;
c. the relief sought, together; and
d. A true copy of the contract providing for
arbitration.
2. In the event that one party defaults in
answering the demand, the aggrieved party
may file with the Clerk of the Court of First
Instance having jurisdiction over the parties,
a copy of the demand for arbitration under
the contract to arbitrate, with a notice that
the original demand was sent by registered
mail or delivered in person to the party
against whom the claim is asserted. Such
demand shall set forth the nature of the
controversy, the amount involved, if any, and
the relief sought, and shall be accompanied
by a true copy of the contract providing for
arbitration.
3. In the case of the submission of an existing
controversy by the filing with the Clerk of the
Court of First Instance having jurisdiction, of
the submission agreement, setting forth the
nature of the controversy, and the amount
involved, if any. Such submission may be
filed by any party and shall be duly executed
by both parties.
Note:
In the event that one party neglects, fails or
refuses to arbitrate under a submission
agreement, the aggrieved party shall follow the
procedure prescribed in (1) and (2).
 Purple Notes
Hearing by court(Sec. 6, R.A. No. 876)
A party aggrieved by the failure, neglect or
refusal of another to perform under an
agreement in writing providing for arbitration
may petition the court for an order directing that
such arbitration proceed in the manner provided
for in such agreement.
Five days notice in writing of the hearing of such
application shall be served either personally or
by registered mail upon the party in default.
• If the making of the agreement or such
failure to comply therewith is not in issue,
the court shall make an order directing the
parties to proceed to arbitration in
accordance with the terms of the agreement;
• If the making of the agreement or default be
in issue the court shall proceed to summarily
hear such issue;
• If the Court finds that there is no agreement
in writing providing for arbitration or that
there is no default in the proceeding
thereunder, the proceeding shall be
dismissed;
• If the Court finds that a written provision for
arbitration was made and there is a default
in proceeding thereunder, an order shall be
made summarily directing the parties to
proceed with the arbitration in accordance
with the terms thereof.
Stay of civil action
If any suit or proceeding be brought upon an
issue arising out of an agreement providing for
the arbitration thereof, the court in which such
suit or proceeding is pending, upon being
satisfied that the issue involved in such suit or
proceeding is referable to arbitration, shall stay
the action or proceeding until an arbitration has
been had in accordance with the terms of the
agreement: Provided, That the applicant, for the
stay is not in default in proceeding with such
arbitration (Sec. 7, R.A. No. 876).
Appointment of Arbitrators
GR: Agreement of the Parties
Criminal
Remedial
Exception: The Court of First Instance shall
appoint an arbitrator or arbitrators.
Instances when CFI shall appoint an arbitrator/s
1) If the parties to the contract or submission
are unable to agree upon a single arbitrator;
or
2) If an arbitrator appointed by the parties is
unwilling or unable to serve, and his
successor has not been appointed in the
manner in which he was appointed; or
3) If either party to the contract fails or refuses
to name his arbitrator within fifteen days
after receipt of the demand for arbitration; or
4) If the arbitrators appointed by each party to
the contract, or appointed by one party to
the contract and by the proper Court, shall
fail to agree upon or to select the third
arbitrator.
5) The court shall, in its discretion appoint one
or three arbitrators, according to the
importance of the controversy involved in
any of the preceding cases in which the
agreement is silent as to the number of
arbitrators.
6) Arbitrators appointed under this section shall
either accept or decline their appointments
within seven days of the receipt of their
appointments. In case of declination or the
failure of an arbitrator or arbitrators to duly
accept their appointments the parties or the
court, as the case may be, shall proceed to
appoint a substitute or substitutes for the
arbitrator or arbitrators who decline or failed
to accept his or their appointments (Sec. 8,
R.A. No. 876).
Qualifications of Arbitrators
1. Must be of legal age;
2. In full-enjoyment of his civil rights and know
how to read and write;
3. Not related by blood or marriage within the
sixth degree to either party to the
controversy;
4. No financial, fiduciary or other interest in the
controversy or cause to be decided or in the
result of the proceeding, or has any personal
bias, which might prejudice the right of any
party to a fair and impartial award;
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729
5. No party shall select as an arbitrator any
person to act as his champion or to advocate
his cause (Sec. 10, R.A. No. 876).
Note:
• The arbitrators may be challenged only for
the reasons mentioned which may have
arisen after the arbitration agreement or
were unknown at the time of arbitration
(Sec.11, R.A. No. 876).
• If they do not yield to the challenge, the
challenging party may renew the challenge
before the Court of First Instance of the
province or city in which the challenged
arbitrator, or, any of them, if there be more
than one, resides (Sec. 11, R.A. No. 876).
Subpoena and subpoena duces tecum
1. Arbitrators shall have the power to require
any person to attend a hearing as a witness;
2. They shall have the power to subpoena
witnesses and documents when the
relevancy of the testimony and the
materiality thereof has been demonstrated to
the arbitrators;
3. Arbitrators may also require the retirement of
any witness during the testimony of any
other witness.
4. All of the arbitrators appointed in any
controversy must attend all the hearings in
that matter and hear all the allegations and
proofs of the parties;
Note: An award by the majority of them is
valid unless the concurrence of all of them is
expressly required in the submission or
contract to arbitrate.
5. The arbitrator or arbitrators shall have the
power at any time, before rendering the
award, without prejudice to the rights of any
party to petition the court to take measures
to safeguard and/or conserve any matter
which is the subject of the dispute in
arbitration (Sec. 14, R.A. No. 876).
Hearing by Arbitrators
The arbitrators shall be the sole judge of the
relevancy and materiality of the evidence
offered or produced, and shall not be bound to
730
conform to the Rules of Court pertaining to
evidence (Sec. 15, R.A. No. 876).
Time for rendering award
GR: the written award of the arbitrators shall be
rendered within thirty days after the closing of
the hearings or if the oral hearings shall have
been waived, within thirty days after the
arbitrators shall have declared such proceedings
in lieu of hearing closed;
Exceptions:
a) The parties have stipulated by written
agreement the time within which the
arbitrators must render their award; or
b) The period may be extended by mutual
consent of the parties (Sec. 19, R.A. No. 876).
Form and contents of award
1. Award must be made in writing and signed
and acknowledged by a majority of the
arbitrators, if more than one; and by the sole
arbitrator, if there is only one;
2. Each party shall be furnished with a copy of
the award
3. Arbitrators in their award may grant any
remedy or relief which they deem just and
equitable and within the scope of the
agreement of the parties, which shall include,
but not be limited to, the specific
performance of a contract.
Notes:
• In the event that the parties to an arbitration
have, during the course of such arbitration,
settled their dispute, they may request of the
arbitrators that such settlement be embodied
in an award which shall be signed by the
arbitrators.
• No arbitrator shall act as a mediator in any
proceeding in which he is acting as
arbitrator; and all negotiations towards
settlement of the dispute must take place
without the presence of the arbitrators.
• The arbitrators shall have the power to
decide only those matters which have been
submitted to them. The terms of the award
shall be confined to such disputes;
 Purple Notes
• The arbitrators shall have the power to
assess in their award the expenses of any
party against another party, when such
assessment shall be deemed necessary
(Sec.20, R.A. No. 876).
Confirmation of award
At any time within one month after the award is
made, any party to the controversy which
wasarbitrated may apply to the court having
jurisdiction, as provided in section twenty-eight,
for an order confirming the award; and
thereupon the court must grant such order
unless the award is vacated, modified or
corrected, as prescribed herein. Notice of such
motion must be served upon the adverse party
or his attorney as prescribed by law for the
service of such notice upon an attorney in action
in the same court (Sec. 23, R.A. No. 876).
Grounds for vacating award
1) The award was procured by corruption,
fraud, or other undue means; or
2) That there was evident partiality or
corruption in the arbitrators or any of them;
or
3) That the arbitrators were guilty of
misconduct in refusing to postpone the
hearing upon sufficient cause shown, or in
refusing to hear evidence pertinent and
material to the controversy; that one or more
of the arbitrators was disqualified to act as
such under section nine hereof, and
wilfullyrefrained from disclosing such
disqualifications or of any other misbehavior
by which the rights of any party have been
materially prejudiced; or
4) That the arbitrators exceeded their powers,
or so imperfectly executed them, that a
mutual, final and definite award upon the
subject matter submitted to them was not
made (Sec. 24, R.A. No. 876).
Note:
Where an award is vacated, the court, in its
discretion, may:
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• direct a new hearing either before the same
arbitrators or before a new arbitrator or
arbitrators to be chosen in the manner; or
• Provided in the submission or contract for
the selection of the original arbitrator or
arbitrators, and any provision limiting the
time in which the arbitrators may make a
decision shall be deemed applicable to the
new arbitration and to commence from the
date of the court's order (Sec. 24, R.A. No.
876).
Grounds for modifying or correcting award
1) Where there was an evident miscalculation of
figures, or an evident mistake in the
description of any person, thing or property
referred to in the award; or
2) Where the arbitrators have awarded upon a
matter not submitted to them, not affecting
the merits of the decision upon the matter
submitted; or
3) Where the award is imperfect in a matter of
form not affecting the merits of the
controversy, and if it had been a
commissioner's report, the defect could have
been amended or disregarded by the court
(Sec. 25, R.A. No. 876).
Motion to vacate, modify or correct award:
When made
Notice of a motion to vacate, modify or correct
the award must be served upon the adverse
party or his counsel within thirty days after
award is filed or delivered, as prescribed by law
for the service upon an attorney in an action
(Sec. 26, R.A. No. 876).
Judgment
Upon the granting of an order confirming,
modifying or correcting an award, judgment
may be entered in conformity therewith in the
court wherein said application was filed (Sec. 27,
R.A. No. 876).
Papers to accompany motion to confirm,
modify, correct, or vacate award
a. The submission, or contract to arbitrate; the
appointment ofOperations
Bar the arbitrator or arbitrators;
Commissions 731
731
 and each written extension of the time, if
any, within which to make the award.
b. A verified of the award.
c. Each notice, affidavit, or other paper used
upon the application to confirm, modify,
correct or vacate such award, and a copy of
each of the court upon such application (Sec.
28, R.A. No. 876).
Note: The judgment so entered shall have the
same force and effect in all respects, as, and be
subject to all the provisions relating to, a
judgment in an action; and it may be enforced
as if it had been rendered in the court in which
it is entered (Sec. 28, R.A. No. 876).
Appeals
An appeal may be taken from an order made in
a proceeding under this Act, or from a judgment
entered upon an award through certiorari
proceedings, but such appeals shall be limited to
questions of law. The proceedings upon such an
appeal, including the judgment thereon shall be
governed by the Rules of Court in so far as they
are applicable (Sec. 29, R.A. No. 876).
Who may submit to Arbitration (Sec. 2, R.A.
No. 876)
Two or more persons or parties may submit to
the arbitration of one or more arbitrators
any controversy existing between them; or
The parties to any contract may in such contract
agree to settle by arbitration a controversy
thereafter arising between them.
GR: A controversy cannot be arbitrated where
one of the parties to the controversy is an
infant, or a person judicially declared to be
incompetent,
Exception: The appropriate court having
jurisdiction approve a petition for permission to
submit such controversy to arbitration made by
the general guardian or guardian ad litem of the
infant or of the incompetent.
Note: Where a person capable of entering into
a submission or contract has knowingly entered
into the same with a person incapable of so
doing, the objection on the ground of incapacity
732
can be taken only in behalf of the person so
incapacitated.
Limitation
This Act shall not apply to controversies and to
cases which are subject to the jurisdiction of the
Court of Industrial Relations or which have been
submitted to it as provided by Commonwealth
Act Numbered One hundred and three, as
amended (Sec. 3, R.A. No. 876).
Form of Arbitration Agreement
A contract to arbitrate a controversy thereafter
arising between the parties, as well as a
submission to arbitrate an existing controversy
shall be in writing and subscribed by the party
sought to be charged, or by his lawful agent
(Sec. 4, R.A. No. 876).
Jurisdiction and Venue
The making of a contract or submission for
arbitration, providing for arbitration of any
controversy, shall be deemed a consent of the
parties to the jurisdiction of the Court of First
Instance of the province or city where any of
the parties resides, to enforce such contract or
submission (Sec. 4, R.A. No. 876).
Preliminary Procedure (Sec. 5, R.A. No. 876)
File demand for arbitration in accordance with
the contract.Such demand shall be set forth
the nature of the controversy, the amount
involved, if any, and the relief sought,
together with a true copy of the contract
providing for arbitration.
Contents of Demand to Arbitrate
the nature of the controversy;
the amount involved, if any;
the relief sought, together; and
A true copy of the contract providing for
arbitration.
In the event that one party defaults in
answering the demand, the aggrieved party
may file with the Clerk of the Court of First
Instance having jurisdiction over the parties,
a copy of the demand for arbitration under
 Purple Notes
the contract to arbitrate, with a notice that
the original demand was sent by registered
mail or delivered in person to the party
against whom the claim is asserted. Such
demand shall set forth the nature of the
controversy, the amount involved, if any,
and the relief sought, and shall be
accompanied by a true copy of the contract
providing for arbitration.
In the case of the submission of an existing
controversy by the filing with the Clerk of
the Court of First Instance having
jurisdiction, of the submission agreement,
setting forth the nature of the controversy,
and the amount involved, if any. Such
submission may be filed by any party and
shall be duly executed by both parties.
Note:
In the event that one party neglects, fails or
refuses to arbitrate under a submission
agreement, the aggrieved party shall follow the
procedure prescribed in (1) and (2).
Hearing by court (Sec. 6, R.A. No. 876)
A party aggrieved by the failure, neglect or
refusal of another to perform under an
agreement in writing providing for arbitration
may petition the court for an order directing that
such arbitration proceed in the manner provided
for in such agreement.
Five days notice in writing of the hearing of such
application shall be served either personally or
by registered mail upon the party in default.
If the making of the agreement or such failure
to comply therewith is not in issue, the court
shall make an order directing the parties to
proceed to arbitration in accordance with
the terms of the agreement;
If the making of the agreement or default be in
issue the court shall proceed to summarily
hear such issue;
If the Court finds that there is no agreement in
writing providing for arbitration or that there
is no default in the proceeding thereunder,
the proceeding shall be dismissed;
If the Court finds that a written provision for
arbitration was made and there is a default
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Remedial
in proceeding thereunder, an order shall be
made summarily directing the parties to
proceed with the arbitration in accordance
with the terms thereof.
Stay of civil action
If any suit or proceeding be brought upon an
issue arising out of an agreement providing for
the arbitration thereof, the court in which such
suit or proceeding is pending, upon being
satisfied that the issue involved in such suit or
proceeding is referable to arbitration, shall stay
the action or proceeding until an arbitration has
been had in accordance with the terms of the
agreement: Provided, That the applicant, for the
stay is not in default in proceeding with such
arbitration (Sec. 7, R.A. No. 876).
Appointment of Arbitrators
GR: Agreement of the Parties
Exception: The Court of First Instance shall
appoint an arbitrator or arbitrators.
Instances when CFI shall appoint an
arbitrator/s
If the parties to the contract or submission are
unable to agree upon a single arbitrator; or
If an arbitrator appointed by the parties is
unwilling or unable to serve, and his
successor has not been appointed in the
manner in which he was appointed; or
If either party to the contract fails or refuses to
name his arbitrator within fifteen days after
receipt of the demand for arbitration; or
If the arbitrators appointed by each party to the
contract, or appointed by one party to the
contract and by the proper Court, shall fail
to agree upon or to select the third
arbitrator.
The court shall, in its discretion appoint one or
three arbitrators, according to the
importance of the controversy involved in
any of the preceding cases in which the
agreement is silent as to the number of
arbitrators.
Arbitrators appointed under this section shall
either accept or decline their appointments
Bar Operations
within seven days of the receipt of
Commissions 733
733
 their appointments. In case of declination or
the failure of an arbitrator or arbitrators to
duly accept their appointments the parties
or the court, as the case may be, shall
proceed to appoint a substitute or
substitutes for the arbitrator or arbitrators
who decline or failed to accept his or their
appointments (Sec. 8, R.A. No. 876)..
Qualifications of Arbitrators
must be of legal age;
In full-enjoyment of his civil rights and know
how to read and write;
Not related by blood or marriage within the sixth
degree to either party to the controversy;
No financial, fiduciary or other interest in the
controversy or cause to be decided or in the
result of the proceeding, or has any
personal bias, which might prejudice the
right of any party to a fair and impartial
award;
No party shall select as an arbitrator any person
to act as his champion or to advocate his
cause (Sec. 10, R.A. No. 876)..
Note:
The arbitrators may be challenged only for the
reasons mentioned which may have arisen
after the arbitration agreement or were
unknown at the time of arbitration (Sec.11,
R.A. No. 876).
If they do not yield to the challenge, the
challenging party may renew the challenge
before the Court of First Instance of the
province or city in which the challenged
arbitrator, or, any of them, if there be more
than one, resides (Sec. 11, R.A. No. 876).
Subpoena and subpoena duces tecum
Arbitrators shall have the power to require any
person to attend a hearing as a witness;
They shall have the power to subpoena
witnesses and documents when the
relevancy of the testimony and the
materiality thereof has been demonstrated
to the arbitrators;
Arbitrators may also require the retirement of
any witness during the testimony of any
other witness.
734
All of the arbitrators appointed in any
controversy must attend all the hearings in
that matter and hear all the allegations and
proofs of the parties;
Note: An award by the majority of them is
valid unless the concurrence of all of them is
expressly required in the submission or
contract to arbitrate.
The arbitrator or arbitrators shall have the
power at any time, before rendering the
award, without prejudice to the rights of any
party to petition the court to take measures
to safeguard and/or conserve any matter
which is the subject of the dispute in
arbitration (Sec. 14, R.A. No. 876).
Hearing by Arbitrators
The arbitrators shall be the sole judge of the
relevancy and materiality of the evidence
offered or produced, and shall not be bound to
conform to the Rules of Court pertaining to
evidence (Sec. 15, R.A. No. 876).
Time for rendering award
GR: the written award of the arbitrators shall be
rendered within thirty days after the closing of
the hearings or if the oral hearings shall have
been waived, within thirty days after the
arbitrators shall have declared such proceedings
in lieu of hearing closed;
Exceptions:
The parties have stipulated by written
agreement the time within which the
arbitrators must render their award; or
The period may be extended by mutual consent
of the parties (Sec. 19, R.A. No. 876).
Form and contents of award
Award must be made in writing and signed and
acknowledged by a majority of the
arbitrators, if more than one; and by the
sole arbitrator, if there is only one;
Each party shall be furnished with a copy of the
award
Arbitrators in their award may grant any remedy
or relief which they deem just and equitable
and within the scope of the agreement of
 Purple Notes
the parties, which shall include, but not be
limited to, the specific performance of a
contract.
Notes:
In the event that the parties to an arbitration
have, during the course of such arbitration,
settled their dispute, they may request of
the arbitrators that such settlement be
embodied in an award which shall be signed
by the arbitrators.
No arbitrator shall act as a mediator in any
proceeding in which he is acting as
arbitrator; and all negotiations towards
settlement of the dispute must take place
without the presence of the arbitrators.
The arbitrators shall have the power to decide
only those matters which have been
submitted to them. The terms of the award
shall be confined to such disputes;
The arbitrators shall have the power to assess in
their award the expenses of any party
against another party, when such
assessment shall be deemed necessary
(Sec.20, R.A. No. 876).
Confirmation of award
At any time within one month after the award is
made, any party to the controversy which was
arbitrated may apply to the court having
jurisdiction, as provided in section twenty-eight,
for an order confirming the award; and
thereupon the court must grant such order
unless the award is vacated, modified or
corrected, as prescribed herein. Notice of such
motion must be served upon the adverse party
or his attorney as prescribed by law for the
service of such notice upon an attorney in action
in the same court (Sec. 23, R.A. No. 876).
Grounds for vacating award
The award was procured by corruption, fraud, or
other undue means; or
That there was evident partiality or corruption in
the arbitrators or any of them; or
That the arbitrators were guilty of misconduct in
refusing to postpone the hearing upon
sufficient cause shown, or in refusing to
hear evidence pertinent and material to the
controversy; that one or more of the
Criminal
Remedial
arbitrators was disqualified to act as such
under section nine hereof, and wilfully
refrained from disclosing such
disqualifications or of any other misbehavior
by which the rights of any party have been
materially prejudiced; or
That the arbitrators exceeded their powers, or
so imperfectly executed them, that a
mutual, final and definite award upon the
subject matter submitted to them was not
made (Sec. 24, R.A. No. 876).
Note:
Where an award is vacated, the court, in its
discretion, may:
direct a new hearing either before the same
arbitrators or before a new arbitrator or
arbitrators to be chosen in the manner; or
Provided in the submission or contract for the
selection of the original arbitrator or
arbitrators, and any provision limiting the
time in which the arbitrators may make a
decision shall be deemed applicable to the
new arbitration and to commence from the
date of the court's order (Sec. 24, R.A. No.
876).
Grounds for modifying or correcting award
Where there was an evident miscalculation of
figures, or an evident mistake in the
description of any person, thing or property
referred to in the award; or
Where the arbitrators have awarded upon a
matter not submitted to them, not affecting
the merits of the decision upon the matter
submitted; or
Where the award is imperfect in a matter of
form not affecting the merits of the
controversy, and if it had been a
commissioner's report, the defect could
have been amended or disregarded by the
court (Sec. 25, R.A. No. 876).
Motion to vacate, modify or correct award:
When made
Notice of a motion to vacate, modify or correct
the award must be served upon the adverse
party or his counsel within thirty days after
award is filed or delivered, as prescribed by law
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Commissions 735
735
for the service upon an attorney in an action
(Sec. 26, R.A. No. 876).
Judgment
Upon the granting of an order confirming,
modifying or correcting an award, judgment
may be entered in conformity therewith in the
court wherein said application was filed (Sec. 27,
R.A. No. 876).
Papers to accompany motion to confirm,
modify, correct, or vacate award
The submission, or contract to arbitrate; the
appointment of the arbitrator or arbitrators;
and each written extension of the time, if
any, within which to make the award.
A verified of the award.
Each notice, affidavit, or other paper used upon
the application to confirm, modify, correct or
vacate such award, and a copy of each of
the court upon such application (Sec. 28, R.A.
No. 876).
Note: The judgment so entered shall have the
same force and effect in all respects, as, and be
subject to all the provisions relating to, a
judgment in an action; and it may be enforced
as if it had been rendered in the court in which
it is entered (Sec. 28, R.A. No. 876).
Appeals
An appeal may be taken from an order made in
a proceeding under this Act, or from a judgment
entered upon an award through certiorari
proceedings, but such appeals shall be limited to
questions of law. The proceedings upon such an
appeal, including the judgment thereon shall be
governed by the Rules of Court in so far as they
are applicable (Sec. 29, R.A. No. 876).
GR: A controversy cannot be arbitrated where
one of the parties to the controversy is an
infant, or a person judicially declared to be
incompetent,
Exception: The appropriate court having
jurisdiction approve a petition for permission to
submit such controversy to arbitration made by
736
the general guardian or guardian ad litem of the
infant or of the incompetent.
Note: Where a person capable of entering into
a submission or contract has knowingly entered
into the same with a person incapable of so
doing, the objection on the ground of incapacity
can be taken only in behalf of the person so
incapacitated.
Limitation
This Act shall not apply to controversies and to
cases which are subject to the jurisdiction of the
Court of Industrial Relations or which have been
submitted to it as provided by Commonwealth
Act Numbered One hundred and three, as
amended (Sec. 3, R.A. No. 876).
Form of Arbitration Agreement
A contract to arbitrate a controversy thereafter
arising between the parties, as well as a
submission to arbitrate an existing controversy
shall be in writing and subscribed by the party
sought to be charged, or by his lawful agent
(Sec. 4, R.A. No. 876).
Jurisdiction and Venue
The making of a contract or submission for
arbitration, providing for arbitration of any
controversy, shall be deemed a consent of the
parties to the jurisdiction of the Court of First
Instance of the province or city where any of
the parties resides, to enforce such contract or
submission (Sec. 4, R.A. No. 876).
Prelliminary Procedure (Sec. 5, R.A. No. 876)
File demand for arbitration in accordance with
the contract.Such demand shall be set forth
the nature of the controversy, the amount
involved, if any, and the relief sought,
together with a true copy of the contract
providing for arbitration.
Contents of Demand to Arbitrate
the nature of the controversy;
the amount involved, if any;
the relief sought, together; and
 Purple Notes
A true copy of the contract providing for
arbitration.
In the event that one party defaults in
answering the demand, the aggrieved party
may file with the Clerk of the Court of First
Instance having jurisdiction over the parties,
a copy of the demand for arbitration under
the contract to arbitrate, with a notice that
the original demand was sent by registered
mail or delivered in person to the party
against whom the claim is asserted. Such
demand shall set forth the nature of the
controversy, the amount involved, if any,
and the relief sought, and shall be
accompanied by a true copy of the contract
providing for arbitration.
In the case of the submission of an existing
controversy by the filing with the Clerk of
the Court of First Instance having
jurisdiction, of the submission agreement,
setting forth the nature of the controversy,
and the amount involved, if any. Such
submission may be filed by any party and
shall be duly executed by both parties.
Note:
In the event that one party neglects, fails or
refuses to arbitrate under a submission
agreement, the aggrieved party shall follow the
procedure prescribed in (1) and (2).
Hearing by court (Sec. 6, R.A. No. 876)
A party aggrieved by the failure, neglect or
refusal of another to perform under an
agreement in writing providing for arbitration
may petition the court for an order directing that
such arbitration proceed in the manner provided
for in such agreement.
Five days notice in writing of the hearing of such
application shall be served either personally or
by registered mail upon the party in default.
If the making of the agreement or such failure
to comply therewith is not in issue, the court
shall make an order directing the parties to
proceed to arbitration in accordance with
the terms of the agreement;
Criminal
Remedial
If the making of the agreement or default be in
issue the court shall proceed to summarily
hear such issue;
If the Court finds that there is no agreement in
writing providing for arbitration or that there
is no default in the proceeding thereunder,
the proceeding shall be dismissed;
If the Court finds that a written provision for
arbitration was made and there is a default
in proceeding thereunder, an order shall be
made summarily directing the parties to
proceed with the arbitration in accordance
with the terms thereof.
Stay of civil action
If any suit or proceeding be brought upon an
issue arising out of an agreement providing for
the arbitration thereof, the court in which such
suit or proceeding is pending, upon being
satisfied that the issue involved in such suit or
proceeding is referable to arbitration, shall stay
the action or proceeding until an arbitration has
been had in accordance with the terms of the
agreement: Provided, That the applicant, for the
stay is not in default in proceeding with such
arbitration (Sec. 7, R.A. No. 876).
Appointment of Arbitrators
GR: Agreement of the Parties
Exception: The Court of First Instance shall
appoint an arbitrator or arbitrators.
Instances when CFI shall appoint an
arbitrator/s
If the parties to the contract or submission are
unable to agree upon a single arbitrator; or
If an arbitrator appointed by the parties is
unwilling or unable to serve, and his
successor has not been appointed in the
manner in which he was appointed; or
If either party to the contract fails or refuses to
name his arbitrator within fifteen days after
receipt of the demand for arbitration; or
If the arbitrators appointed by each party to the
contract, or appointed by one party to the
contract and by the proper Court, shall fail
to agree upon or to select the third
Bararbitrator. Operations
Commissions 737
737
The court shall, in its discretion appoint one or
three arbitrators, according to the
importance of the controversy involved in
any of the preceding cases in which the
agreement is silent as to the number of
arbitrators.
Arbitrators appointed under this section shall
either accept or decline their appointments
within seven days of the receipt of their
appointments. In case of declination or the
failure of an arbitrator or arbitrators to duly
accept their appointments the parties or the
court, as the case may be, shall proceed to
appoint a substitute or substitutes for the
arbitrator or arbitrators who decline or failed
to accept his or their appointments (Sec. 8,
R.A. No. 876)..
Qualifications of Arbitrators
must be of legal age;
In full-enjoyment of his civil rights and know
how to read and write;
Not related by blood or marriage within the sixth
degree to either party to the controversy;
No financial, fiduciary or other interest in the
controversy or cause to be decided or in the
result of the proceeding, or has any
personal bias, which might prejudice the
right of any party to a fair and impartial
award;
No party shall select as an arbitrator any person
to act as his champion or to advocate his
cause (Sec. 10, R.A. No. 876)..
Note:
The arbitrators may be challenged only for the
reasons mentioned which may have arisen
after the arbitration agreement or were
unknown at the time of arbitration (Sec.11,
R.A. No. 876).
If they do not yield to the challenge, the
challenging party may renew the challenge
before the Court of First Instance of the
province or city in which the challenged
arbitrator, or, any of them, if there be more
than one, resides (Sec. 11, R.A. No. 876).
Subpoena and subpoena duces tecum
Arbitrators shall have the power to require any
person to attend a hearing as a witness;
738
They shall have the power to subpoena
witnesses and documents when the
relevancy of the testimony and the
materiality thereof has been demonstrated
to the arbitrators;
Arbitrators may also require the retirement of
any witness during the testimony of any
other witness.
All of the arbitrators appointed in any
controversy must attend all the hearings in
that matter and hear all the allegations and
proofs of the parties;
Note: An award by the majority of them is
valid unless the concurrence of all of them is
expressly required in the submission or
contract to arbitrate.
The arbitrator or arbitrators shall have the
power at any time, before rendering the
award, without prejudice to the rights of any
party to petition the court to take measures
to safeguard and/or conserve any matter
which is the subject of the dispute in
arbitration (Sec. 14, R.A. No. 876).
Hearing by Arbitrators
The arbitrators shall be the sole judge of the
relevancy and materiality of the evidence
offered or produced, and shall not be bound to
conform to the Rules of Court pertaining to
evidence (Sec. 15, R.A. No. 876).
Time for rendering award
GR: the written award of the arbitrators shall be
rendered within thirty days after the closing of
the hearings or if the oral hearings shall have
been waived, within thirty days after the
arbitrators shall have declared such proceedings
in lieu of hearing closed;
Exceptions:
The parties have stipulated by written
agreement the time within which the
arbitrators must render their award; or
The period may be extended by mutual consent
of the parties (Sec. 19, R.A. No. 876).
Form and contents of award
 Purple Notes
Award must be made in writing and signed and
acknowledged by a majority of the
arbitrators, if more than one; and by the
sole arbitrator, if there is only one;
Each party shall be furnished with a copy of the
award
Arbitrators in their award may grant any remedy
or relief which they deem just and equitable
and within the scope of the agreement of
the parties, which shall include, but not be
limited to, the specific performance of a
contract.
Notes:
In the event that the parties to an arbitration
have, during the course of such arbitration,
settled their dispute, they may request of
the arbitrators that such settlement be
embodied in an award which shall be signed
by the arbitrators.
No arbitrator shall act as a mediator in any
proceeding in which he is acting as
arbitrator; and all negotiations towards
settlement of the dispute must take place
without the presence of the arbitrators.
The arbitrators shall have the power to decide
only those matters which have been
submitted to them. The terms of the award
shall be confined to such disputes;
The arbitrators shall have the power to assess in
their award the expenses of any party
against another party, when such
assessment shall be deemed necessary
(Sec.20, R.A. No. 876).
Confirmation of award
At any time within one month after the award is
made, any party to the controversy which was
arbitrated may apply to the court having
jurisdiction, as provided in section twenty-eight,
for an order confirming the award; and
thereupon the court must grant such order
unless the award is vacated, modified or
corrected, as prescribed herein. Notice of such
motion must be served upon the adverse party
or his attorney as prescribed by law for the
service of such notice upon an attorney in action
in the same court (Sec. 23, R.A. No. 876).
Grounds for vacating award
Criminal
Remedial
The award was procured by corruption, fraud, or
other undue means; or
That there was evident partiality or corruption in
the arbitrators or any of them; or
That the arbitrators were guilty of misconduct in
refusing to postpone the hearing upon
sufficient cause shown, or in refusing to
hear evidence pertinent and material to the
controversy; that one or more of the
arbitrators was disqualified to act as such
under section nine hereof, and wilfully
refrained from disclosing such
disqualifications or of any other misbehavior
by which the rights of any party have been
materially prejudiced; or
That the arbitrators exceeded their powers, or
so imperfectly executed them, that a
mutual, final and definite award upon the
subject matter submitted to them was not
made (Sec. 24, R.A. No. 876).
Note:
Where an award is vacated, the court, in its
discretion, may:
direct a new hearing either before the same
arbitrators or before a new arbitrator or
arbitrators to be chosen in the manner; or
Provided in the submission or contract for the
selection of the original arbitrator or
arbitrators, and any provision limiting the
time in which the arbitrators may make a
decision shall be deemed applicable to the
new arbitration and to commence from the
date of the court's order (Sec. 24, R.A. No.
876).
Grounds for modifying or correcting award
Where there was an evident miscalculation of
figures, or an evident mistake in the
description of any person, thing or property
referred to in the award; or
Where the arbitrators have awarded upon a
matter not submitted to them, not affecting
the merits of the decision upon the matter
submitted; or
Where the award is imperfect in a matter of
form not affecting the merits of the
controversy, and if it had been a
commissioner's report, the defect could
have been amended or disregarded by the
Bar
court (Sec. 25, Operations
R.A. No. 876).
Commissions 739
739

Motion to vacate, modify or correct award:
When made
Notice of a motion to vacate, modify or correct
the award must be served upon the adverse
party or his counsel within thirty days after
award is filed or delivered, as prescribed by law
for the service upon an attorney in an action
(Sec. 26, R.A. No. 876).
Judgment
Upon the granting of an order confirming,
modifying or correcting an award, judgment
may be entered in conformity therewith in the
court wherein said application was filed (Sec. 27,
R.A. No. 876).
Papers to accompany motion to confirm,
modify, correct, or vacate award
The submission, or contract to arbitrate; the
appointment of the arbitrator or arbitrators;
and each written extension of the time, if
any, within which to make the award.
A verified of the award.
Each notice, affidavit, or other paper used upon
the application to confirm, modify, correct or
vacate such award, and a copy of each of
the court upon such application (Sec. 28, R.A.
No. 876).
Note: The judgment so entered shall have the
same force and effect in all respects, as, and be
subject to all the provisions relating to, a
judgment in an action; and it may be enforced
as if it had been rendered in the court in which
it is entered (Sec. 28, R.A. No. 876).
Appeals
An appeal may be taken from an order made in
a proceeding under this Act, or from a judgment
entered upon an award through certiorari
proceedings, but such appeals shall be limited to
questions of law. The proceedings upon such an
appeal, including the judgment thereon shall be
governed by the Rules of Court in so far as they
are applicable (Sec. 29, R.A. No. 876).
740
13.CB. JUDICIAL REVIEW OF ARBITRAL
AWARDS
Domestic Arbitral Awards
Nature of Proceedings
Nature of the proceedings for recognition and
enforcement of an arbitration agreement or for
vacation, setting aside, correction or
modification of an arbitral award, and any
application with a court for arbitration assistance
and supervision shall be deemed as Special
Proceedings.
Where to file- Regional Trial Court
a) Where arbitration proceedings are conducted;
b) Where the asset to be attached or levied
upon, or the act to be enjoined is located;
c) Where any of the parties to the dispute
resides or has his place of business; or
d) In the National Judicial Capital Region, at the
option of the applicant.
Notice of Proceedings to Parties
In a special proceeding for recognition and
enforcement of an arbitral award, the Court
shall send notice to the parties at their address
of record in the arbitration, or if any party
cannot be served notice at such address, at
such party's last known address. The notice
shall be sent at least fifteen (15) days before
the date set for the initial hearing of the
application (Sec.48, RA 9285).
Confirmation of Domestic Arbitral Award
The confirmation of a domestic arbitral award
shall be governed by Section 23 of R.A. 876
(Sec.40, RA 9285).
At any time within one month after the award is
made, any party to the controversy which was
arbitrated may apply to the court having
 Purple Notes
jurisdiction, as provided in section twenty-eight,
for an order confirming the award; and
thereupon the court must grant such order
unless the award is vacated, modified or
corrected, as prescribed herein. Notice of such
motion must be served upon the adverse party
or his attorney as prescribed by law for the
service of such notice upon an attorney in action
in the same court (Sec.23, RA 876).
Note: A CIAC arbitral award need not be
confirmed by the Regional Trial Court to be
executory as provided under E.O. No. 1008 (Sec.
40, RA 9285).
 Q. Did R.A. 9285 and the Special Rules on
Alternative Dispute Resolution have
stripped the Court of Appeals of jurisdiction
to review arbitral awards?
 Foreign Arbitral Awards
A. The Supreme Court holds that R.A. 9285
did not confer on Regional Trial Courts
jurisdiction to review awards or decisions of
the CIAC in construction disputes. On the
contrary, Section 40 thereof expressly
declares that confirmation by the RTC is not
required. (J Plus Asia Development Corporation
vs. Utility Assurance Corporation, GR No. 199650,
June 26, 2013).
Vacation Award
A party to a domestic arbitration may question
the arbitral award with the appropriate regional
trial court in accordance with the rules of
procedure to be promulgated by the Supreme
Court only on those grounds enumerated in
Section 25 of Republic Act No. 876. Any other
ground raised against a domestic arbitral award
shall be disregarded by the regional trial court
(Sec.41, RA 9285).
Grounds for Modifying or Correcting
Award
In any one of the following cases, the court
must make an order modifying or correcting the
award, upon the application of any party to the
controversy which was arbitrated:
Criminal
Remedial
1. Where there was an evident miscalculation
of figures, or an evident mistake in the
description of any person, thing or property
referred to in the award; or
2. Where the arbitrators have awarded upon a
matter not submitted to them, not affecting
the merits of the decision upon the matter
submitted; or
3. Where the award is imperfect in a matter of
form not affecting the merits of the
controversy, and if it had been a
commissioner's report, the defect could have
been amended or disregarded by the court.
Note: The order may modify and correct the
award so as to effect the intent thereof and
promote justice between the parties (Sec.25, RA
876).
New York Convention
The New York Convention shall govern the
recognition and enforcement of arbitral awards
covered by the said Convention (Sec. 42, RA
9285).
Where to File Recognition and
Enforcement
The recognition and enforcement of such
arbitral awards shall be filled with regional trial
court in accordance with the rules of procedure
to be promulgated by the Supreme Court (Sec.
42, RA 9285).
Not Covered by the New York Convention
The recognition and enforcement of foreign
arbitral awards not covered by the New York
Convention shall be done in accordance with
procedural rules to be promulgated by the
Supreme Court. The Court may, grounds of
comity and reciprocity, recognize and enforce a
nonconvention award as a convention award
(Sec. 43, RA 9285).
Rejection of a Foreign Arbitral Award
A party to a foreign arbitration proceeding may
Bar an application
oppose Operations
for recognition
Commissions 741
741
and enforcement of the arbitral award in
accordance with the procedural rules to be
promulgated by the Supreme Court only on
those grounds enumerated under Article V of
the New York Convention. Any other ground
raised shall be disregarded by the regional trial
court (Sec. 45, RA 9285).
Note: A foreign arbitral award when confirmed
by a court of a foreign country, shall be
recognized and enforced as a foreign arbitral
award and not a judgment of a foreign court
(Sec. 44, RA 9285).
Q. Whether or not the stipulation in the
arbitration clause that foreign arbitral award
shall be final and binding ousts the courts of
jurisdiction?
A. No. R.A. 9285 provides on how to enforce a
foreign arbitral award in this jurisdiction. These
are as follows: a. The RTC must refer to
arbitration in proper cases; b. Foreign Arbitral
awards must be confirmed by the RTC. When
confirmed by the RTC, it is deemed not as a
judgment of the foreign court but as a foreign
arbitral award and enforced as final and
executory decisions of our courts of law; c. RTC
has jurisdiction to review foreign arbitral
awards; d. Grounds for judicial review different
in domestic and foreign arbitral awards; e. RTC
decision of assailed foreign arbitral award
appealable. (Korea Technologies Co., Ltd. v. Lerma,
GR No. 143581, January 7, 2008).
13.DC. APPEAL FROM COURT DECISIONS
ON ARBITRAL AWARDS
A decision of the regional trial court confirming,
vacating, setting aside, modifying or correcting
an arbitral award may be appealed to the Court
of Appeals in accordance with the rules of
procedure to be promulgated by the Supreme
Court (Sec. 46, RA 9285).
13.ED. VENUE AND JURISDICTION
The parties are free to agree on the place of
arbitration. Failing such agreement, the place of
arbitration shall be in Metro Manila, unless the
arbitral tribunal, having regard to the
circumstances of the case, including the
742
convenience of the parties shall decide on a
different place of arbitration.
The arbitral tribunal may, unless otherwise
agreed by the parties, meet at any place it
considers appropriate for consultation among its
members, for hearing witnesses, experts, or the
parties, or for inspection of goods, other
property or documents (Sec. 30, RA 9285).
13.FE. SPECIAL RULES OF COURT ON
ALTERNATIVE DISPUTE RESIOLUTION
(A.M. No. 07-11-08-SC, September 1, 2009)
This Special Rule of Court took effect on
October 30, 2009.
What is the nature of proceedings under
these Rules?
All proceedings under the Special ADR rules are
special proceedings(Rule 1.2., Rule 1, Special ADR
Rules).
13.FE.1. SUBJECT MATTER
This rule shall apply to and govern the following
cases:
A. 1. Relief on the issue of Existence,
Validity, or Enforceability of the
Arbitration Agreement
This is a judicial relief in Rule 3 of Special ADR,
a petition for judicial determination of existence,
validity and/or enforceability of an arbitration
agreement. This judicial relief is applicable only
to arbitration proceedings conducted in the
Philippines (p. 161-162, Alternative Dispute
Resolution, 2015 Revised Edition, Justice Gabriel T.
Robeniol).
B. 2. Referral to Alternative Dispute
Resolution ("ADR")
This actually pertains to the referral of a
pending court action to arbitration rather than
any other form of ADR. The situation
contemplated by this Rule is where:
i. There is already a pending action
 Purple Notes
ii. There is either a pre-action arbitration
agreement or a present-action arbitration
agreement; and
iii. One or both parties desire to undergo
arbitration (p. 170, Alternative Dispute
Resolution, 2015 Revised Edition, Justice
Gabriel T. Robeniol).
ii. There is either a pre-action arbitration
agreement or a present-action arbitration
agreement; and
iii. One or both parties desire to undergo
arbitration (p. 170, Alternative Dispute
Resolution, 2015 Revised Edition, Justice Gabriel
T. Robeniol).
Form of Request for Referral
The request for referral shall be in the form of a
motion, which shall state that the dispute is
covered by an arbitration agreement.
The movant shall attach to his motion an
authentic copy of the arbitration agreement
(Rule 4.3, Rule 4, Special ADR Rules).
No reconsideration, appeal or certiorari
An order referring the dispute to arbitration shall
be immediately executory and shall not be
subject to a motion for reconsideration, appeal
or petition for certiorari.
An order denying the request to refer the
dispute to arbitration shall not be subject to an
appeal, but may be the subject of a motion for
reconsideration and/or a petition for certiorari
(Rule 4.6, Rule 4, Special ADR Rules).
Pre-Action vs. Present- Action Arbitration
Agreement
This classification of arbitration agreement is
based on the time of execution relative to the
filing of action. The arbitration is pre-action if
executed prior to the filing of an action and it is
present-action if executed after the filing of an
action (p. 170, Alternative Dispute Resolution, 2015
Revised Edition, Justice Gabriel T. Robeniol).
Pre-causal vs. Present-causal Arbitration
Agreement
Criminal
Remedial
This classification of arbitration agreement is
based on the time of execution relative to the
existence of dispute. A pre-causal arbitration
agreement, also known as an agreement to
submit to arbitration, are those entered into
prior to existence of dispute. On the otherhand,
present-causal arbitration agreement, known as
submission agreement, are those entered into
while there is already an existing dispute (p. 170,
Alternative Dispute Resolution, 2015 Revised Edition,
Justice Gabriel T. Robeniol).
Importance of Distinguishing Arbitration
Agreements
The timing of referral to ADR depends on the
nature of the agreement.
For a pre-action arbitration agreement, either
agreement to submit or submission agreement ,
the request for referral to arbitration may be
made by any one of the parties not later than
the pre-trial conference. Requests made after
pre-trial must be with agreement of both
parties.
On the otherhand, for a present-action
arbitration agreement, which is necessarily a
submission agreement, request of referral to
arbitration can be made at anytimeduring the
proceedings (p. 170-171, Alternative Dispute
Resolution, 2015 Revised Edition, Justice Gabriel T.
Robeniol).
 Q. What are the legal effects of non-
application of arbitration clause?

A. The non-application of arbitration clause
are as follows:
1. The judicial proceedings conducted
beyond the point when dispute should
have been referred to arbitration are
rendered invalid
2. The decisions, including those of
appellate courts, must be vacated and
set aside
3. The case must be remanded to the a
quo to be suspended at said point
Bar Operations
Commissions 743
743
 4. The petitioner and respondent must
then be referred to arbitration pursuant
to the arbitration clause (Koppel Inc., vs.
Makati Rotary Club Foundation, Inc., GR No.
198075, September 4, 2013).
4. Interim Measures of Protection
A petition for an interim measure of protection
may be made:
a. 1. Before arbitration is commenced
b. 2. After arbitration is commenced, but before
the constitution of the arbitral tribunal, or
c. 3. After the constitution of the arbitral tribunal
and at any time during arbitral proceedings
but, at this stage, only to the extent that the
arbitral tribunal has no power to act or is
unable to act effectively(Rule 5.2, Rule 5,
Special ADR Rules).
5. Appointment of Arbitrator
The court shall act as Appointing Authority only
in the following instances:
a. Where any of the parties in an institutional
arbitration failed or refused to appoint an
arbitrator or when the parties have failed to
reach an agreement on the sole arbitrator (in an
arbitration before a sole arbitrator) or when the
two designated arbitrators have failed to reach
an agreement on the third or presiding
arbitrator (in an arbitration before a panel of
three arbitrators), and the institution under
whose rules arbitration is to be conducted fails
or is unable to perform its duty as appointing
authority within a reasonable time from receipt
of the request for appointment;  inexistent, invalid, unenforceable, on account of
b. In all instances where arbitration is ad hoc
and the parties failed to provide a method for
appointing or replacing an arbitrator, or
substitute arbitrator, or the method agreed upon
is ineffective, and the National President of the
Integrated Bar of the Philippines (IBP) or his
duly authorized representative fails or refuses to
act within such period as may be allowed under
744
the pertinent rules of the IBP or within such
period as may be agreed upon by the parties, or
in the absence thereof, within thirty (30) days
from receipt of such request for appointment;  
c. Where the parties agreed that their dispute
shall be resolved by three arbitrators but no
method of appointing those arbitrators has been
agreed upon, each party shall appoint one
arbitrator and the two arbitrators thus appointed
shall appoint a third arbitrator. If a party fails to
appoint his arbitrator within thirty (30) days of
receipt of a request to do so from the other
party, or if the two arbitrators fail to agree on
the third arbitrator within a reasonable time
from their appointment, the appointment shall
be made by the Appointing Authority. If the
latter fails or refuses to act or appoint an
arbitrator within a reasonable time from receipt
of the request to do so, any party or the
appointed arbitrator/s may request the court to
appoint an arbitrator or the third arbitrator as
the case may be (Rule 6.1, Rule 6, Special ADR
Rules).
Venue
The petition for appointment of arbitrator may
be filed, at the option of the petitioner, in the
Regional Trial Court:
a) where the principal place of business of any
of the parties is located,
b) if any of the parties are individuals, where
those individuals reside, or
c) in the National Capital Region (Rule 6.3, Rule
6, Special ADR Rules).
When Dismissed
When there is a pending petition in another
court to declare the arbitration agreement
which the respondent failed or refused to
participate in the selection and appointment of a
sole arbitrator or to appoint a party-nominated
arbitrator, the petition filed under this rule shall
be dismissed (Rule 6.8, Rule 6, Special ADR Rules).
No reconsideration, appeal or certiorari
 Purple Notes
If the court appoints an arbitrator, the order
appointing an arbitrator shall be immediately
executory and shall not be the subject of a
motion for reconsideration, appeal or certiorari.
An order of the court denying the petition for
appointment of an arbitrator may, however, be
the subject of a motion for reconsideration,
appeal or certiorari (Rule 6.9, Rule 6, Special ADR
Rules).
6. Challenge to Appointment of
Arbitrator
Who may File
Any of the parties to an arbitration may
challenge an arbitrator.
When Challenge May be Raised
The rules of procedure on the judicial challenge
to the appointment of arbitrators apply to the
following situation:
a1. The challenge to the appointment of an
arbitrator before the arbitral tribunal is not
successful, and the appointing authority fails
or refuses to act on the challenge within such
period of time as may be allowed under the
applicable rule or, in the absence thereof,
within thirty (30) days from receipt of
request; and
b2. The aggrieved party wants to secure judicial
action on the challenge (p. 181, Alternative
Dispute Resolution, 2015 Revised Edition, Justice
Gabriel T. Robeniol).
Venue
The same as Appointment if Arbitrator.No
reconsideration, appeal or certiorari.
Any order of the court resolving the petition
shall be immediately executory and shall not be
the subject of a motion for reconsideration,
appeal, or certiorari (Rule 7, Special ADR Rules).
Reimbursement of expenses and
reasonable compensation to challenged
arbitrator
Criminal
Remedial
Unless the bad faith of the challenged arbitrator
is established with reasonable certainty by
concealing or failing to disclose a ground for his
disqualification, the challenged arbitrator shall
be entitled to reimbursement of all reasonable
expenses he may have incurred in attending to
the arbitration and to a reasonable
compensation for his work on the arbitration
(Rule 7.9, Rule 7, Special ADR Rules).
7. Termination of Mandate of Arbitrator;
When to Request Termination
a) An arbitrator become de jure or de facto
unable to perform his functions or for other
reasons fail to act without undue delay;
b) The arbitrator, upon request of any party,
fails or refuses to withdraw from his office.
c) The appointing authority fails or refuses to
decide on the termination of the mandate of
the arbitrator within such period of time as
may be allowed under the applicable rule or,
in the absence thereof, within thirty (30)
days from the time the request is brought
before him; and
d) Any party seeks judicial action in terminating
the mandate of the arbitrator (p. 183,
Alternative Dispute Resolution, 2015 Revised
Edition, Justice Gabriel T. Robeniol).
Venue
The same as Appointment if Arbitrator.
No reconsideration, appeal or certiorari
Any order of the court resolving the petition
shall be immediately executory and shall not be
the subject of a motion for reconsideration,
appeal, or certiorari (Rule 8, Special ADR Rules).
Appointment of substitute arbitrator
Where the mandate of an arbitrator is
terminated, or he withdraws from office for any
other reason, or because of his mandate is
revoked
Bar by agreement of the parties or is
Operations
terminated for any other reason, a
Commissions 745
745
substitute arbitrator shall be appointed
according to the rules that were applicable to
the appointment of the arbitrator being replaced
(Rule 8.8, Rule 8, Special ADR Rules).
Termination of Mandate of An Arbitrator
vs. Challenge to An Arbitrator
In judicial challenge to an arbitrator, the
arbitrator is sought to be removed on the
ground of partiality or non-compliance with the
qualifications required of him. In judicial
termination of mandate of an arbitrator, the
arbitrator who has been validly appointed has
become incapable of performing his functions or
has become unable to do so(p. 183, Alternative
Dispute Resolution, 2015 Revised Edition, Justice
Gabriel T. Robeniol).
8. Assistance in Taking Evidence
This specific relief is an exception to the
principle that the Special ADR Rules are
applicable only to domestic arbitration and
Philippine ICA. This is available whether the
arbitration is domestic or foreign (p. 184,
Alternative Dispute Resolution, 2015 Revised Edition,
Justice Gabriel T. Robeniol).
The court may grant or execute the request for
assistance in taking evidence within its
competence and according to the rules of
evidence (Rule 9.4, Rule 9, Special ADR Rules).
When Assistance Given
When evidence sought is not privileged, and is
material and relevant, the court shall grant the
assistance in taking evidence requested and
shall order petitioner to pay costs attendant to
such assistance (Rule 9.8, Rule 9, Special ADR
Rules).
Venue
A petition for assistance in taking evidence may,
at the option of the petitioner, be filed with
Regional Trial Court where:
a) arbitration proceedings are taking place,
b) the witnesses reside or may be found, or
746
c) where the evidence may be found (Rule 9.3,
Rule 9, Special ADR Rules)
Type of Assistance
A party requiring assistance in the taking of
evidence may petition the court to direct any
person, including a representative of a
corporation, association, partnership or other
entity (other than a party to the ADR
proceedings or its officers) found in the
Philippines, for any of the following:
a. a. To comply with a subpoena ad
testificandum and/or subpoena duces
tecum; 
b. b. To appear as a witness before an officer
for the taking of his deposition upon oral
examination or by written interrogatories;
c. c. To allow the physical examination of the
condition of persons, or the inspection of
things or premises and, when appropriate, to
allow the recording and/or documentation of
condition of persons, things or premises (i.e.,
photographs, video and other means of
recording/documentation); 
d. d. To allow the examination and copying of
documents; and 
e. e. To perform any similar acts (Rule 9.5, Rule
9, Special ADR Rules).
9. Confirmation, Correction or Vacation of
Award in Domestic Arbitration;
Coverage
The circumstances covered by this rule are as
follows:
1. An arbitral award has been rendered either
in a: [i] domestic arbitration, [ii] Philippine
ICA; or [iii] foreign arbitration resulting in a
convention award or non-convention award
but with comity and reciprocity
2. A party seeks to [i] confirm, correct or
vacate the domestic arbitral award; [ii]
recognize and enforce, or set aside the
Philippine ICA; or [iii] recognize and enforce
the foreign convention award or foreign as-in
convention award. (p. 190, Alternative Dispute
Resolution, 2015 Revised Edition, Justice Gabriel
T. Robeniol).
 Purple Notes
When to Request
a. Confirmation. - At any time after the lapse of
thirty (30) days from receipt by the
petitioner of the arbitral award, he may
petition the court to confirm that award.
b. Correction/Modification. - Not later than
thirty (30) days from receipt of the arbitral
award, a party may petition the court to
correct/modify that award.
c. Vacation. - Not later than thirty (30) days
from receipt of the arbitral award, a party
may petition the court to vacate that award.
d. A petition to vacate the arbitral award may
be filed, in opposition to a petition to
confirm the arbitral award, not later than
thirty (30) days from receipt of the award
by the petitioner. A petition to vacate the
arbitral award filed beyond the reglementary
period shall be dismissed.
e. A petition to confirm the arbitral award may
be filed, in opposition to a petition to vacate
the arbitral award, at any time after the
petition to vacate such arbitral award is
filed. The dismissal of the petition to vacate
the arbitral award for having been filed
beyond the reglementary period shall not
result in the dismissal of the petition for the
confirmation of such arbitral award.
f. The filing of a petition to confirm an arbitral
award shall not authorize the filing of a
belated petition to vacate or set aside such
award in opposition thereto.
g. A petition to correct an arbitral award may
be included as part of a petition to confirm
the arbitral award or as a petition to confirm
that award.
Venue
The petition for confirmation,
correction/modification or vacation of a
domestic arbitral award may be filed with
Regional Trial Court having jurisdiction over the
place in which one of the parties is doing
Criminal
Remedial
business, where any of the parties reside or
where arbitration proceedings were conducted
(Rule 11.3, Rule 11, Special ADR Rules).
10. Recognition and Enforcement or
Setting Aside of an Award in
International Commercial Arbitration;
Recognition and Enforcement of
Foreign Arbitral Award
Rule 12 governs the recognition and
enforcement or setting aside of a Philippine ICA
award. A foreign ICA shall be treated as a
foreign arbitral award, and its recognition and
enforcement will be governed by Rule 13 of the
Special ADR Rules.
Judicial correction or modification is not
available for an ICA award. Another judicial
recourse against an ICA award, such as appeal,
petition for review or petition for certiorari, are
disallowed and shall be dismissed. (p. 198,
Alternative Dispute Resolution, 2015 Revised Edition,
Justice Gabriel T. Robeniol).
11. Confidentiality/Protective Orders
This refers to the judicial enforcement of the
confidential nature of information disclosed or
obtained during the ADR proceeding.
This benefit is available not just for arbitration
proceedings, but for all forms of ADR (p. 187-
188, Alternative Dispute Resolution, 2015 Revised
Edition, Justice Gabriel T. Robeniol).
When made
At anytime there is a need to enforce the
confidentiality of the information obtained, or to
be obtained, in ADR proceedings.
Venue
A petition for a protective order may be filed
with the Regional Trial Court where that order
would be implemented.
If there is a pending court proceeding in which
the information obtained in an ADR proceeding
is required to be divulged or is being divulged,
the party seeking to enforce the confidentiality
Bar Operations
of the information may file a motion
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with the court where the proceedings are
pending to enjoin the confidential information
from being divulged or to suppress confidential
information (Rule 10.3, Rule 10, Special ADR Rules).
Court Action
If the court finds the petition or motion
meritorious, it shall issue an order enjoining a
person or persons from divulging confidential
information.
Relief
The order enjoining a person or persons from
divulging confidential information shall be
immediately executory and may not be enjoined
while the order is being questioned with the
appellate courts.
If the court declines to enjoin a person or
persons from divulging confidential information,
the petitioner may file a motion for
reconsideration or appeal (Rule 10.9, Rule 10,
Special ADR Rules).
12. Deposit and Enforcement of Mediated
Settlement Agreements
Who make deposit
Any party to a mediation that is not court-
annexed may deposit with the court the written
settlement agreement, which resulted from that
mediation (Rule 15.1, Rule 15, Special ADR Rules).
When made
At any time after an agreement is reached, the
written settlement agreement may be deposited
(Rule 15.2, Rule 15, Special ADR Rules).
Venue
The written settlement agreement may be
jointly deposited by the parties or deposited by
one party with prior notice to the other party/ies
with the Clerk of Court of the Regional Trial
Court:
1) where the principal place of business in the
Philippines of any of the parties is located
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2) if any of the parties is an individual, where
any of those individuals resides
3) in the National Capital Judicial Region (Rule
15.3, Rule 15, Special ADR Rules).
Court Action
After a summary hearing, if the court finds that
the agreement is a valid mediated settlement
agreement, that there is no merit in any of the
affirmative or negative defenses raised, and the
respondent has breached that agreement, in
whole or in part, the court shall order the
enforcement thereof; otherwise, it shall dismiss
the petition (Rule 15.8, Rule 15, Special ADR Rules).
13.FE.2. SUMMARY PROCEEDINGS IN
CERTAIN CASES
The proceedings in the following instances are
summary in nature and shall be governed by
this provision:
a. Judicial Relief Involving the Issue of
Existence, Validity or Enforceability of the
Arbitration Agreement;
b. Referral to ADR;
c. Interim Measures of Protection;
d. Appointment of Arbitrator;
e. Challenge to Appointment of Arbitrator;
f. Termination of Mandate of Arbitrator;
g. Assistance in Taking Evidence; 
h. Confidentiality/Protective Orders; and
i. Deposit and Enforcement of Mediated
Settlement Agreements (Rule 1.3, Rule 1,
Special ADR Rules).
Summary Hearing
In all cases, as far as practicable, the summary
hearing shall be conducted in one (1) day and
only for purposes of clarifying facts.
Except in cases involving Referral to ADR or
Confidentiality/Protective Orders made through
motions, it shall be the court that sets the
petition for hearing within five (5) days from the
lapse of the period for filing the opposition or
comment (Rule 1.3 ( c ), Rule 1, Special ADR
Rules) .
 Purple Notes
Resolution
The court shall resolve the matter within a
period of thirty (30) days from the day of the
hearing (Rule 1.3 ( d ), Rule 1, Special ADR Rules)  13.FE.4. JUDICIAL RELIEF INVOLVING
Note: The pleadings must be verified and
attached with Certification Against Forum
Shopping (Rule 1.4-1.5, Rule 1, Special ADR Rules)
 Q. What is the extent of court authority in
ADR cases?(where court stressed that the
proceedings are summary in nature)
 agreement;
A. RA 876 explicitly confines the court’s
authority only to the determination of
whether or not there is an agreement in
writing providing for arbitration. In
affirmative, the statute ordains that the
court shall issue an order “summarily
directing the parties to proceed with the
arbitration in accordance with the terms
thereof”. If the court upon the otherhand,
finds that no such agreement exists, the
“proceedings shall be dismissed” (La Naval
Drug Corporation v. Court of Appeals, GR No.
103200, August 31, 1994)
13.FE.3. PROHIBITED SUBMISSIONS
The following pleadings, motions, or petitions
shall not be allowed in the cases governed by
the Special ADR Rules and shall not be accepted
for filing by the Clerk of Court:
1. Motion to dismiss;  A. Before Commencement of Action
2. Motion for bill of particulars;
3. Motion for new trial or for reopening of trial;
4. Petition for relief from judgment;
5. Motion for extension, except in cases where
an ex-parte temporary order of protection
has been issued;
6. Rejoinder to reply;  regarding
7. Motion to declare a party in default; and
8. Any other pleading specifically disallowed
under any provision of the Special ADR
Rules. 
Criminal
Remedial
Note: The court shall motu proprio order a
pleading/motion that it has determined to be
dilatory in nature be expunged from the records
(Rule 1.6, Rule 1, Special ADR Rules).
THE ISSUE OF EXISTENCE, VALIDITY AND
ENFORCEABILITY OF ARBITRATION
AGREEMENTS
The issue involved in these proceedings are:
(EVE)
1. Existence of the arbitration agreement-
whether or not there is an arbitration
2.
1. Existence of the arbitration agreement- whether or
not there is an arbitration agreement;
3. 2. Validity of arbitration agreement-
whether or not the arbitration agreement
complies with all the essential requisites for a
valid contract;
4.
5. 3.Enforceability of the arbitration
agreement- whether or not the arbitration
agreement is enforceable in accordance with
Art. 1403 of the Civil Code (p. 161,
Alternative Dispute Resolution, 2015 Revised
Edition, Justice Gabriel T. Robeniol).
JUDICIAL RELIEF
The judicial relief provided in Rule 3, whether
resorted to before or after commencement of
arbitration, shall apply only when the place of
arbitration is in the Philippines.
This applies when:
a. The arbitration proceeding has not yet
commenced; and
b. There is between the parties a dispute
the existence, validity or
enforceability of the arbitration agreement (p.
163, Alternative Dispute Resolution, 2015 Revised
Edition, Justice Gabriel T. Robeniol).
c.Bar
a. The arbitration proceeding has not yet
Operations
commenced; and
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b. There is between the parties a dispute
regarding the existence, validity or
enforceability of the arbitration agreement
(p. 163, Alternative Dispute Resolution, 2015
Revised Edition, Justice Gabriel T. Robeniol).
Venue
Regional Trial Court of the place where any of
the petitioners or respondents has his principal
place of business or residence (Rule 3.4, Rule 3,
Special ADR Rules).
Grounds
The arbitration agreement is, under the
applicable law, invalid, void, unenforceable or
inexistent (Rule 3.5, Rule 3, Special ADR Rules).
Reliefs
A prima facie determination by the court
upholding the existence, validity or
enforceability of an arbitration agreement shall
not be subject to a motion for reconsideration,
appeal or certiorari.
Such prima facie determination will not,
however, prejudice the right of any party to
raise the issue of the existence, validity and
enforceability of the arbitration agreement
before the arbitral tribunal or the court in an
action to vacate or set aside the arbitral award.
In the latter case, the court’s review of shall be
a full review of such issue or issues with due
regard, however, to the standard for review for
arbitral awards prescribed in these Special ADR
Rules (Rule 3.11, Rule 3, Special ADR Rules).
B. After Arbitration Commences
After the commencement of the arbitration and
constitution of arbitral tribunal, and after the
arbitral tribunal has rendered a preliminary
ruling on its jurisdiction, the proper issue for
judicial relief is whether or not the arbitral
tribunal has jurisdiction over the arbitral
proceedings. Subsumed to the said issue is the
existence, validity or enforceability of the
arbitration agreement upon which emanates the
jurisdiction and authority of the arbitral tribunal
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(p. 165, Alternative Dispute Resolution, 2015 Revised
Edition, Justice Gabriel T. Robeniol).
Coverage
The rules on judicial relief after commencement
of arbitration apply under the following
circumstances:
1. The arbitration proceeding has already
commenced, the arbitral tribunal has been
constituted and has rendered a preliminary
ruling in its jurisdiction;
2. A party desires to challenge the arbitral
tribunal’s ruling on the issue of jurisdiction
(p. 166, Alternative Dispute Resolution, 2015
Revised Edition, Justice Gabriel T. Robeniol).
Venue
The petition may be filed before the Regional
Trial Court of the place where arbitration is
taking place, or where any of the petitioners or
respondents has his principal place of business
or residence (Rule 3.14, Rule 3, Special ADR Rules).
Court Action
1. Period for resolving petition- within thirty
(30) days from time petition submitted for
resolution.
1. Period for resolving petition- within thirty
(30) days from time petition submitted for
resolution.
2. 2. No injunction of arbitral proceedings-
Court shall not enjoin the arbitration
proceedings during the pendency of the
petition. Judicial recourse to the court shall
not prevent the arbitral tribunal from
continuing the proceedings and rendering its
award.
3. 3. When dismissal appropriate-The court
shall dismiss the petition if:
a. it fails to comply with the contents of
the petition or
 Purple Notes
b. b. if upon consideration of the grounds
alleged and the legal briefs submitted by
the parties, the petition does not appear
to be prima facie meritorious (Rule 3.18,
Rule 3, Special ADR Rules).
When petition not allowed
Where the arbitral tribunal defers its ruling on
preliminary question regarding its jurisdiction
until its final award, the aggrieved party cannot
seek judicial relief to question the deferral and
must await the final arbitral award before
seeking appropriate judicial recourse(Rule 3.20,
Rule 3, Special ADR Rules).
Reliefs Allowed
1) The aggrieved party may file a motion for
reconsideration of the order of the court but
the court decision if not subject to appeal.
2) The ruling of the court that the arbitral
tribunal has no jurisdiction may be the
subject of a petition for certiorari. However,
ruling of the court affirming the arbitral
tribunal shall not be subject to a petition for
certiorari (Rule 3.19, Rule 3, Special ADR Rules).
13.FE.5. INTERIM MEASURES OF
PROTECTION
Venue
A petition for an interim measure of protection
may be filed with the Regional Trial Court, which
has jurisdiction over any of the following places:
1) Where the principal place of business of any
of the parties to arbitration is located;
2) Where any of the parties who are individuals
resides;
3) Where any of the acts sought to be enjoined
are being performed, threatened to be
performed or not being performed; ord.
Where the real property subject of
arbitration, or a portion thereof is situated
(Rule 5.3, Rule 5, Special ADR Rules).
Criminal
Remedial
Grounds
1. 1) The need to prevent irreparable loss or
injury;
2. 2) The need to provide security for the
performance of any obligation;
3. 3) The need to produce or preserve
evidence; or
4.
5. 4) The need to compel any other appropriate
act or omission (Rule 5.4 Rule 5, Special ADR
Rules).
6.
Types of Interim Measure of Protection
1) 1) Preliminary injunction directed against a
party to arbitration;
2) 2) Preliminary attachment against property
or garnishment of funds in the custody of a
bank or a third person;
3) 3) Appointment of a receiver;
4)
5) 4) Detention, preservation, delivery or
inspection of property; or,e. Assistance in the
enforcement of an interim measure of
protection granted by the arbitral tribunal,
which the latter cannot enforce effectively
(Rule 5.6, Rule 5, Special ADR Rules).
Relief Against Court Action
Order of the court shall be immediately
executory subject to a motion for
reconsideration and/or appeal or a petition for
certiorari (Rule 5.10, Rule 5, Special ADR Rules).
Note: Any court order granting or denying
interim measure/s of protection is issued
without prejudice to subsequent grant,
modification, amendment, revision or revocation
by the arbitral tribunal as may be warranted
(Rule 5.13, Rule 3, Special ADR Rules).
13.FE.6. ENFORCEMENT AND
RECOGNITION OR SETTING ASIDE OF AN
INTERNATIONAL COMMERCIAL ARBITRAL
AWARD
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When to File
The petition for enforcement and recognition of
an
arbitral award may be filed anytime from receipt
of the award. If, however, a timely petition to
set aside an arbitral award is filed, the opposing
party must file therein and in opposition thereto
the petition for recognition and enforcement of
the same award within the period for filing an
opposition.
The petition to set aside an arbitral award may
only be filed within three (3) months from the
time the petitioner receives a copy thereof (Rule
12.2, Rule 12, Special ADR Rules).
Venue
A petition to recognize and enforce or set aside
an arbitral award may, at the option of the
petitioner, be filed with the Regional Trial Court:
(a) where arbitration proceedings were
conducted; (b) where any of the assets to be
attached or levied upon is located; (c) where the
act to be enjoined will be or is being performed;
(d) where any of the parties to arbitration
resides or has its place of business; or (e) in the
National Capital Judicial Region (Rule 12.3, Rule
12, Special ADR Rules).
Grounds
1. 1. Party making application furnished
proof that:
a. A party to the arbitration agreement was
under some incapacity, or the said
agreement is not valid under the law to
which the parties have subjected it or,
failing any indication thereof, under
Philippine law;
b. He was not given proper notice of the
appointment of an arbitrator or of the
arbitral proceedings or was otherwise
unable to present his case; or
c. The award deals with a dispute not
contemplated by or not falling within the
terms of the submission to arbitration, or
contains decisions on matters beyond the
scope of the submission to arbitration
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(decisions on matters not submitted to
arbitration may be set aside or decisions
on matters submitted to arbitration may
be enforced;) or
d. The composition of the arbitral tribunal or
the arbitral procedure was not in
accordance with the agreement of the
parties, unless such agreement was in
conflict with a provision of Philippine law
from which the parties cannot derogate,
or, failing such agreement, was not in
accordance with Philippine law;
2. Court finds that
a. The subject-matter of the dispute is not
capable of settlement by arbitration under
the law of the Philippines; or
b. The recognition or enforcement of the
award would be contrary to public policy
(Rule 12.4, Rule 12, Special ADR Rules).
Exclusive recourse against arbitral award
Recourse to a court against an arbitral award
shall be made only through a petition to set
aside the arbitral award and on grounds
prescribed by the law that governs international
commercial arbitration. Any other recourse from
the arbitral award, such as by appeal or petition
for review or petition for certiorari or otherwise,
shall be dismissed by the court (Rule 12.5, Rule
12, Special ADR Rules).
Presumption
It is presumed that an arbitral award was made
and released in due course and is subject to
enforcement by the court, unless the adverse
party is able to establish a ground for setting
aside or not enforcing an arbitral award (Rule
12.12, Rule 12, Special ADR Rules).
Costs
The prevailing party shall be entitled to an
award of costs, which shall include reasonable
attorney’s fees of the prevailing party against
the unsuccessful party. The court shall
determine the reasonableness of the claim for
attorney’s fees, unless otherwise provided by
 Purple Notes
the parties in writing (Rule 12.14, Rule 12, Special
ADR Rules).
13.FE.7. RECOGNITION AND
ENFORCEMENT IF A FOREIGN ARBITRAL
AWARD
When to File Petition
At any time after receipt of a foreign arbitral
award, any party to arbitration may petition the
proper Regional Trial Court to recognize and
enforce such award (Rule 13.2, Rule 13, Special
ADR Rules).
Venue
The petition to recognize and enforce a foreign
arbitral award shall be filed, at the option of the
petitioner, with the Regional Trial Court:
o where the assets to be attached or levied
upon is located;
o where the act to be enjoined is being
performed;
o in the principal place of business in the
Philippines of any of the parties;
o if any of the parties is an individual, where
any of those individuals resides; or
o in the National Capital Judicial Region (Rule
13.3, Rule 13, Special ADR Rules).
Law Applicable
The recognition and enforcement of a foreign
arbitral award shall be governed by the 1958
New York Convention on the Recognition and
Enforcement of Foreign Arbitral Awards (the
"New York Convention") and this Rule. The
court may, upon grounds of comity and
reciprocity, recognize and enforce a foreign
arbitral award made in a country that is not a
signatory to the New York Convention as if it
were a Convention Award (Rule 13.4, Rule 13,
Special ADR Rules).
Presumption
Criminal
Remedial
It is presumed that a foreign arbitral award was
made and released in due course of arbitration
and is subject to enforcement by the court(Rule
13.11, Rule 13, Special ADR Rules).
Note: The decision of the court recognizing and
enforcing a foreign arbitral award is immediately
executory (Rule 13.11, Rule 13, Special ADR Rules).
Recognition and enforcement of non-
convention award
The court shall, only upon grounds provided by
these Special ADR Rules, recognize and enforce
a foreign arbitral award made in a country not a
signatory to the New York Convention when
such country extends comity and reciprocity to
awards made in the Philippines. If that country
does not extend comity and reciprocity to
awards made in the Philippines, the court may
nevertheless treat such award as a foreign
judgment enforceable as such under Rule 39,
Section 48, of the Rules of Court (Rule 13.12,
Rule 13, Special ADR Rules).
13.FE.8. SPECIAL CIVIL ACTION FOR
CERTIORARI
A. A. CERTIORARI TO THE COURT OF
APPEALS
When the Regional Trial Court, in making a
ruling under the Special ADR Rules, has acted
without or in excess of its jurisdiction, or with
grave abuse of discretion amounting to lack or
excess of jurisdiction, and there is no appeal or
any plain, speedy, and adequate remedy in the
ordinary course of law, a party may file a special
civil action for certiorari to annul or set aside a
ruling of the Regional Trial Court (Rule 19.26,
Rule 19, Special ADR Rules).
The special civil action for certiorari under the
Special ADR Rules is limited to grave abuse of
discretion in the following orders of the RTC in
ADR related proceedings:
10.
1. Holding that the arbitration agreement is
inexistent, invalid or unenforceable;
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2. Reversing the arbitral tribunal’s preliminary
determination upholding its jurisdiction;
3. Denying the request to refer the dispute to
arbitration;
4. Granting or refusing an interim relief;
5. Denying a petition for the appointment of an
arbitrator;
6. Confirming, vacating or correcting a domestic
arbitral award;
7. Suspending the proceedings to set aside an
international commercial arbitral award and
referring the case back to the arbitral
tribunal;  improper filing of a special civil action for
8. Allowing a party to enforce an international
commercial arbitral award pending appeal;   under Rule 19 of the Special ADR Rules.
9. Adjourning or deferring a ruling on whether
to set aside, recognize and or enforce an
international commercial arbitral award;
10. Allowing a party to enforce a foreign arbitral
award pending appeal; and
11.Denying a petition for assistance in taking
evidence (p. 226, Alternative Dispute Resolution,
2015 Revised Edition, Justice Gabriel T. Robeniol).
1. Holding that the arbitration agreement is
inexistent, invalid or unenforceable;
7. 2. Reversing the arbitral tribunal’s
preliminary determination upholding its
jurisdiction;
8. 3. Denying the request to refer the dispute
to arbitration;
9. 4. Granting or refusing an interim relief;
10. 5. Denying a petition for the appointment
of an arbitrator;
11. 6. Confirming, vacating or correcting a
domestic arbitral award;
12. 7. Suspending the proceedings to set aside
an international commercial arbitral award
and referring the case back to the arbitral
tribunal; 
13. 8. Allowing a party to enforce an
international commercial arbitral award
pending appeal;  SUPREME COURT (PETITION FOR
14. 9. Adjourning or deferring a ruling on
whether to set aside, recognize and or
754
enforce an international commercial arbitral
award;
15. 10. Allowing a party to enforce a foreign
arbitral award pending appeal; and
16. 11. Denying a petition for assistance in
taking evidence (p. 226, Alternative Dispute
Resolution, 2015 Revised Edition, Justice Gabriel
T. Robeniol).
When Filed
Must be filed within fifteen (15) days from
notice of the judgment, order or resolution
sought to be annulled or set aside, without
benefit of extension of time to file. Moreover,
certiorari under Rule 65 will not toll the 15-day
period to file the proper petition for certiorari
Stay of order
Filing of a special civil action for certiorari under
the Special ADR Rules does not
stayproceedings of the lower court or arbitral
tribunal. Hence, the arbitral tribubal or lower
court may continue with the arbitral proceedings
and render an award (p. 227-228, Alternative
Dispute Resolution, 2015 Revised Edition, Justice
Gabriel T. Robeniol).
Remedy of Party Aggrieved by Final
Resolution of the Court of Appeals
The silence of the Special ADR Rules and
exclusionary rule under Rule 22.1 thereof
preclude the filing of special civil actions for
certiorari from orders, decisions or judgments of
the Court of Appeals to the Supreme Court.
Thus, the remedy of party aggrieved by final
resolution of the Court of Appeals in an ADR
related case is to file a Petition for Review on
Certiorari with the Supreme Court under the
ADR act (p. 228, Alternative Dispute Resolution,
2015 Revised Edition, Justice Gabriel T. Robeniol).
B. B. APPEAL BY CERTIORARI TO THE
REVIEW ON CERTIORARI)
This is grounded on pure questions of law and is
not a matter of right and may be granted only
 Purple Notes
Criminal
Remedial
for serious and compelling reasons resulting in resolution appealed from, or of the denial of the
grave prejudice to the aggrieved party. petitioner's motion for new trial or
reconsideration filed in due time after notice of
When Discretionary Review Proper the judgment.

The following, while neither controlling nor fully Grounds for Dismissal
measuring the court's discretion, indicate the
serious and compelling, and necessarily, The failure of the petitioner to comply with:
restrictive nature of the grounds that will
warrant the exercise of the Supreme Court’s 1. 1. The payment of the docket and other
discretionary powers, when the Court of lawful fees, deposit for costs
Appeals: 2. 2. Proof of service of the petition, and
3. 3. The contents of and the documents which
1. 1. Failed to apply the applicable standard or should accompany the petition shall be
test for judicial review prescribed in these sufficient ground for the dismissal thereof.
Special ADR Rules in arriving at its decision
resulting in substantial prejudice to the The Supreme Court may on its own initiative
aggrieved party; deny the petition on the ground that the appeal
2. 2. Erred in upholding a final order or decision is without merit, or is prosecuted manifestly for
despite the lack of jurisdiction of the court delay, or that the questions raised therein are
that rendered such final order or decision;  too insubstantial to require consideration.
3. 3. Failed to apply any provision, principle,
policy or rule contained in these Special ADR
Rules resulting in substantial prejudice to the
aggrieved party; and
4. 4. Committed an error so egregious and HAIL TO THE CHIEFS!
harmful to a party as to amount to an
undeniable excess of jurisdiction (Rule19.36,
Rules 19, Special ADR Rules).

Ground for Outright Dismissal of Petition

by the Supreme Court

A mere general allegation that the Court of

Appeals has committed serious and substantial
error or that it has acted with grave abuse of
discretion resulting in substantial prejudice to
the petitioner without indicating with specificity
the nature of such error or abuse of discretion
and the serious prejudice suffered by the
petitioner on account thereof, shall constitute
sufficient ground for the Supreme Court to
dismiss outright the petition (Rule19.36, Rules 19,
Special ADR Rules).

How Made

File with the Supreme Court a verified petition

for review on certiorari. The petition shall raise
only questions of law, which must be distinctly
set forth, and filed within fifteen (15) days from
notice of the judgment or final order or Bar Operations
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