Sources: Key Philippine Civil Procedure Cases and Concepts

Sources: Salvador, Criminal Procedure; Tan, Civil Procedure; Riguera, Civil Procedure; UST GN 2019; UP BOC 2020;
Procedure and Professional Ethics (18 Questions)

Remedial Law (12 Questions)
Civil Procedure
A. GENERAL PROVISIONS
RULE 1
Section 2. In what courts applicable. – These Rules shall apply in all the courts, except as otherwise
provided by the Supreme Court. (n)
Section 3. Cases governed. – These Rules shall govern the procedure to be observed in actions, civil
or criminal, and special proceedings.
(a) A 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. (1a, R2) A civil action may either be ordinary or special. Both are
governed by the rules for ordinary civil actions, subject to the specific rules prescribed for a special
civil action. (n)
(b) A criminal action is one by which the State prosecutes a person for an act or omission punishable
by law. (n)
(c) A special proceeding is a remedy by which a party seeks to establish a status, a right, or a
particular fact. (2a, R2)
Section 4. In what cases not applicable. – These Rules shall not apply to
 election cases,
 land registration,
 cadastral,
 naturalization and
 insolvency proceedings, and
 other cases not herein provided for,
except by analogy or in a suppletory character and whenever practicable and convenient. (R143a)
Other cases not directly governed by the Rules of Court:

 Labor Cases
 Impeachment Cases
 Small Claims Cases
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 Cases falling under Summary Procedure
In these cases, the RoC shall not apply except by analogy or in a suppletory character and whenever
practicable and convenient.
Section 5. Commencement of action. – A civil action is commenced by the filing of the original
complaint in court. If an additional defendant is impleaded in a later pleading, the action is
commenced with regard to him on the date of the filing of such later pleading, irrespective of whether
the motion for its admission, if necessary, is denied by the court. (6a)
Requirements for the commencement of civil action:

 Filing of original complaint in court
 Payment of corresponding docket and other legal fees (Rule 141, as amended)
Effect of filing of complaint:

Article 1155, Civil Code. The prescription of actions is interrupted when they are filed before the
court, when there is a written extrajudicial demand by the creditors, and when there is any written
acknowledgment of the debt by the debtor.
Section 6. Construction. – These Rules shall be liberally construed in order to promote their
objective of securing a just, speedy and inexpensive disposition of every action and proceeding.
(2a)
A strict and rigid application of the rules of procedure, especially on technical matters, which tend to
frustrate rather than promote substantial justice, must be avoided. [Tiorosio-Espinosa v. Hofileña-Europa,
G.R. No. 185746 (2016)]
However, compliance with the procedural rules is still the general rule, and abandonment thereof should
only be done in the most exceptional circumstances. [Pilapil v. Heirs of Briones, 514 SCRA 197 (2007)]
It is within the inherent power of the SC to suspend its own rules.
The two pre-requisites for the relaxation of the rules are:

(a) justifiable cause or plausible reason for non-compliance; and
(b) compelling reason to convince the court that outright dismissal of the petition would seriously impair
the orderly administration of justice. (TIBLE & TIBLE COMPANY, INC. v. ROYAL SAVINGS AND
LOAN ASSOC., G.R. No. 155806 April 8, 2008) (Also see p. 4)
B. ACTIONS
1. Meaning of ordinary civil actions
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An ordinary civil action is one which is governed by the rules for ordinary civil actions. [Sec. 3(a), par. 2,
Rule 1]
Rules for Ordinary Civil Actions refer to Rule 2 (Cause of Action) until Rule 61 (Provisional Remedies).
● General Rules on Ordinary Civil Action - Rule 2 to Rule 5
● Procedure in Trial Courts - Rule 6 to Rule 39
● Appeals - Rule 40 to Rule 43
● Procedure in the Court of Appeals - Rule 44 to Rule 55
● Procedure in the SC - Rule 56
● Provisional Remedies - Rule 57 to Rule 61
2. Meaning of special civil actions

A special civil action is one which is subject to the specific rules prescribed for a special civil action but
also governed by the rules for ordinary civil actions. [Sec. 3(a), par. 2, Rule 1]
Rules 62 to 71 provide for special civil actions. However, despite having particular rules which govern
the special civil actions, the rules for ordinary civil action still apply.
3. Meaning of criminal actions

One by which the State prosecutes a person for an act or omission punishable by law [Sec. 3(b), Rule 1]
4. Distinguish: civil actions and special proceedings

Civil Actions Special Proceedings
A civil action is one by which a party sues another A special proceeding is a remedy by which a party
for the enforcement or protection of a right, or the seeks to establish a status, a right, or a particular
prevention or redress of a wrong [Sec. 3(a), par. 1, fact [Sec. 3(c), Rule 1]
Rule 1]
The rules of ordinary civil actions have suppletory
application in special proceedings. [1 Riano 192,
2016 Bantam Ed.] (also see Sec. 2, Rule 72)
Based on a cause of action Based on status, right or particular fact sought to
be established
Adversarial since it involves 2 contending parties Generally, not adversarial, except when there is an
oppositor / respondent
Parties in an ordinary civil action: Parties:

Plaintiff vs. defendant
Petitioner vs. Oppositor / Respondent
Parties in special civil action:
Petitioner vs. Respondent
1. Personal actions and real actions

Real Action Personal Action
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It is an action affecting title to or possession of It refers to all other actions which are not real
real property, or interest therein. [See Sec. 1, actions. [Sec. 2, Rule 4]
Rule 4]
Examples: Examples:
 Action for recovery of possession of real  Action to recover personal property
property  Enforcement of a contract
 Quieting of title or removal of clouds  Recovery of damages
 Action for Specific Performance for the
delivery of real property
Why distinction is important - In order to determine the proper venue of the action. [Sec.1, Rule 4 in
relation to Sec. 2, Rule 4]. It is also essential to determine jurisdiction and proper filing fees.
Not every action involving real property is a real action because the realty may only be incidental to the
subject matter of the suit. In the cases of Heirs of Bautista v. Lindo [G.R. No. 208232 (2014)] involving a
complaint to redeem a parcel of land subject of a free patent and Olivarez Realty vs Castillo [G.R. No.
196251 (2014) involving an action for rescission of a contract involving real property], the SC held that
the conveyance of real property was only incidental to the determination of matters incapable of
pecuniary estimation. The cases were deemed personal actions because the principal action or remedy
sought does not involve title to or possession of real property.
According to Dean Tan, in mixed action – when plaintiff joint 2 or more causes of action based on
the same act or occurrence one of which is a real action: for purposes of venue determination, the
action is a real action.(Emergency Loan Pawnshop Inc. vs. CA, G.R. No. 129184, Feb. 28, 2010)
6. Local and transitory actions
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7. Actions in rem, in personam and quasi in rem
Why distinction is important

● To determine the binding effect of a decision the court may render over a party, whether impleaded
or not [Paderanga v. Buissan, G.R. No. 49475 (1993)]
● To determine whether or not jurisdiction over the person of the defendant is required, and the
type of summons to be employed [1 Riano 206, 2016 Bantam Ed.]
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C. CAUSE OF ACTION
1. Meaning of cause of action
RULE 2
Section 1. Ordinary civil actions, basis of. – Every ordinary civil action must be based on a cause of
action. (n)
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Section 2. Cause of action, defined. – A cause of action is the act or omission by which a party
violates a right of another. (n)
Bases of cause of action

A cause of action stems from the sources of obligations under Art. 1156 of the CC a. Law,
b. Contract,
c. Quasi-contract,
d. Acts and omissions punishable by law, or e. Quasi-delict [Sagrada Orden etc v. NACOCO, G.R. No.
L3756 (1952)]
Elements of a cause of action

a. Plaintiff’s legal right;
b. Defendant’s correlative obligation to respect plaintiff’s right; and
c. Defendant’s act/omission in violation of plaintiff’s right [Ma-ao Sugar Central v. Barrios, G.R. No.
L1539 (1947)]
When cause of action must exist

A cause of action must exist at the time of the filing of the complaint – else, the case shall be
dismissible for being a groundless suit. [Swagman Hotels and Travel v. CA, G.R. No. 161135 (2005),
reiterating Surigao Mine Exploration v. Harris, G.R. No. L-45543 (1939)]
2. Distinguish: right of action and cause of action
Right of Action Cause of Action

The remedial right or right to relief granted by law The delict or wrongful act or omission committed
to a party to institute an action against a person by the defendant in violation of the primary rights
who has committed a delict or wrong against him. of the plaintiff. [Racoma v. Fortich, G.R. No.
L29380 (1971)]
Right to sue as a consequence of the delict. The delict or wrong.
A right of action is determined by substantive law. The cause of action of the plaintiff is determined
by the averments in the pleading regarding the
acts committed by the defendant.
There can be no right of action without a cause of action being first established. [Español v. The
Chairman and Members of the Board of Administrators, Philippine Veterans Administration, G.R. No. L-
44616 (1985)]
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3. Distinguish: failure to state a cause of action and lack of cause of action
Failure to state a cause of action is no longer a ground for a motion to dismiss under the Amended Rules.
It is, however, one of the enumerated Affirmative Defenses that must be set out in the Answer or else it is
deemed waived. [Sec 12, Rule 8]
The complaint must contain a concise statement of the ultimate or essential facts constituting the
plaintiff’s cause of action. The focus is on sufficiency, not veracity, of the material allegations. [Anchor
Savings Bank v. Furigay, G.R. No. 191178 (2013)]
4. Test of the sufficiency of a cause of action

The test of sufficiency of a cause of action rests on whether, hypothetically admitting the facts alleged
in the complaint to be true, the court can render a valid judgment upon the same, in accordance with
the prayer in the complaint. [Heirs of Maramag v. Maramag, G.R. No. 181132 (2009)]
However, there is no hypothetical admission of the veracity of the allegations if:

a. The falsity of the allegations is subject to judicial notice;
b. The allegations are legally impossible;
c. The allegations refer to facts which are inadmissible in evidence;
d. By the record or document in the pleading, the allegations appear unfounded; or e. There is evidence
which has been presented to the court by stipulation of the parties or in the course of hearings related to
the case
General rule: Determination shall be based only on facts alleged in the complaint and from no other,
and the court cannot consider other matters aliunde [Manaloto v. Veloso III, G.R. No. 171635 (2010)]
Exception: Instances when the SC considered matters aside from the facts alleged in the complaint, such
as:
a. Documents attached to the complaint [Agrarian Reform Beneficiaries Association v. Nicolas,
G.R. No. 168394 (2008)] – this case refers to actionable documents which by express provision
of the ROC are deemed part of the pleading.
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b. Appended annexes, other pleadings, and admissions on record [Zepeda v. China Banking
Corp., G.R. No. 172175 (2006)] – the jurisprudence establishing this supposed exception
ultimately points to dismissals based on a lack of a cause of action, opposed to a failure of the
complaint to state a cause of action.
5. Splitting a single cause of action and its effects
RULE 2
Section 4. Splitting a single cause of action; effect of. – If two or more suits are instituted on the
basis of the same cause of action, the filing of one or a judgment upon the merits in any one is available
as a ground for the dismissal of the others. (4a)
Section 3. One suit for a single cause of action. – A party may not institute more than one suit for a
single cause of action. (3a)
Such violates the policy against multiplicity of suits, whose primary objective is to avoid unduly
burdening the dockets of the court [Dynamic Builders & Construction Co Inc v. Presbitero, Jr. G.R. No.
174202 (2015)]
It is a mode of forum shopping, by filing multiple cases based on the same cause of action but with
different prayers.
Plaintiff's remedy if other reliefs not included in the complaint: Amendment

In the event that a plaintiff has omitted to include in the complaint one or several other reliefs to which he
may be entitled, the proper remedy of the plaintiff is not to institute another or several other actions –
instead he should move to amend the complaint to include the omitted relief or reliefs [Bayang v. CA,
G.R. No. L-53564 (1987)]
Tests to determine a “single” cause of action

The tests to ascertain whether two suits relate to a single or common cause of action are:
a. Whether the same evidence would support and sustain both causes of action (Same Evidence Test);
b. Whether the defenses in one case may be used to substantiate the complaint in the other; and
c. Whether the cause of action in the second case existed at the time of filing of the first complaint.
[Umale v. Canoga Park Development Corp., G.R. No. 167246 (2011)]
The defendant facing a complaint which is infirm due to the plaintiff splitting causes of action may
either:
 allege the infirmity as an Affirmative Defense in his Answer [Sec. 5(b), Rule 6], or
 file a Motion to Dismiss on the following grounds:
o a. There is another action pending between the same parties for the same cause [Sec. 12
(a)(2), Rule 15], or
o b. The cause of action is barred by a prior judgment. [Sec. 12 (a)(3), Rule 15]
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The court may motu proprio dismiss the case if there is splitting of cause of action as it will result to
litis pendencia or res judicata which are grounds for motu proprio dismissal of an action. (Rule 9, Sec. 1)
6. Joinder and misjoinder of causes of action

Section 5. Joinder of causes of action. – A party may in one pleading assert, in the alternative or
otherwise, as many causes of action as he may have against an opposing party, subject to the following
conditions:
(a) The party joining the causes of action shall comply with the rules on joinder of parties;
(b) The joinder shall not include special civil actions or actions governed by special rules;
(c) Where the causes of action are between the same parties but pertain to different venues or
jurisdictions, the joinder may be allowed in the Regional Trial Court provided one of the causes
of action falls within the jurisdiction of said court and the venue lies therein; and
(d) Where the claims in all the causes of action are principally for recovery of money, the
aggregate amount claimed shall be the test of jurisdiction. (5a)
Section 6. Misjoinder of causes of action. – Misjoinder of causes of action is not a ground for
dismissal of an action. A misjoined cause of action may, on motion of a party or on the initiative of
the court, be severed and proceeded with separately. (n)
Joinder of causes of action - It is the assertion of as many causes of action as a party may have against
another in one pleading alone. [Sec. 5, Rule 2]
Rationale: To avoid a multiplicity of suits and to expedite disposition of litigation at minimum cost. [Ada
v. Baylon, G.R. No. 182435 (2012)]
Rule merely permissive - The rule however is purely permissive as there is no positive provision of law or
any rule of jurisprudence which compels a party to join all his causes of action and bring them at one and
the same time. [Nabus v. CA, G.R. No. 91670 (1991)]
Requisites
a. The plaintiff asserts numerous causes of action in one pleading
b. The causes of action are against the opposing party
c. The party joining the causes of action complies with the rules on joinder of parties under Sec 6, Rule 3,
and
d. The joinder shall not include special civil actions or actions governed by special rules.
Where causes of action are between the same parties but pertain to different venues or jurisdictions, the
joinder may be allowed in the RTC provided one of the causes of action are within that court’s
jurisdiction and venue lies therein. [Sec. 5, Rule 2]
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Totality Rule applies in Joinder of Actions Where the claims in all the causes of action are principally for
recovery of money, the aggregate amount claimed shall be the test of jurisdiction.
Misjoinder of causes of action - There is misjoinder of causes of action when conditions for joinder
under Section 5, Rule 2 are not met. [Perez v. Hermano, G.R. No. 147417 (2005)]
An erroneously joined cause of action may, on motion of a party or on the initiative of the court, be
severed and proceeded with separately. Misjoinder is not a ground for dismissal of an action [Sec. 6, Rule
2]
Subject to waiver
If there is no objection to the improper joinder or the court did not motu proprio direct a severance, then
there exists no bar in the simultaneous adjudication of all the erroneously joined causes of action, as long
as the court trying the case has jurisdiction over all of the causes of action therein notwithstanding
the misjoinder [Ada v. Baylon, G.R. No. 182435 (2012)]
If the court has no jurisdiction to try the misjoined action, then it must be severed. Otherwise,
adjudication rendered by the court with respect to it would be a nullity. [Ada v. Baylon, G.R. No. 182435
(2012)]
Quieting of title is a special civil action; thus, it cannot be joined with other causes of action.
Only ordinary civil actions may be joined. Special civil action and special proceedings cannot be
joined.
Examples of Special Civil Action: Examples of Special Proceedings:
 Interpleader (Rule 62)  Probate of the Will

 Declaratory Relief (Rule 63)  Intestate estate proceedings
 Certiorari, Prohibition, Mandamus (Rule  Escheat
65)  Trustees
 Quo warranto (Rule 66)  Guardianship of minors or incompetents
 Expropriation (Rule 67) and custody of minors
 Adoption and Revocation of adoption
 Foreclosure of mortgage (Rule 68)
 Hospitalization of Insane Person
 Partition (Rule 69)
 Habeas Corpus
 Forcible Entry and Unlawful detainer  Change of Name
(Rule 70)  Declaration of absence and death
 Contempt (Rule 71)  Correction of entries in civil registry
 Writ of Kalikasan  Insolvency Proceedings
 Writ of Continuing Mandamus  Alternative Dispute Resolution
 Annulment of Marriage
 Declaration of Nullity of Marriage
 Writ of Amparo and Habeas Data
 Environmental Cases
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*Small Claims may be subject of joinder of causes of action provided it does not exceed the amount of
P400,000 exclusive of cost and interest for MeTC. (A.M,08-8-7-SC, as amended)
D. PARTIES TO CIVIL ACTIONS

RULE 3
PARTIES TO CIVIL ACTIONS
Section 1. Who may be parties; plaintiff and defendant. – Only natural or juridical persons, or
entities authorized by law may be parties in a civil action.
The term “plaintiff” may refer to the claiming party, the counter-claimant, the cross-claimant, or the
third (fourth, etc.) [-] party plaintiff. The term “defendant” may refer to the original defending party,
the defendant in a counterclaim, the cross-defendant, or the third (fourth, etc.) [-]party defendant. (1a)
Section 10. Unwilling co-plaintiff. – If the consent of any party who should be joined as plaintiff
cannot be obtained, he may be made a defendant and the reason therefor shall be stated in the
complaint. (10)
Who may be parties

1. Natural persons [Sec. 1, Rule 3]
2. Juridical persons [Sec. 1, Rule 3]
a. The State and its political subdivisions
b. Other corporations, institutions and entities for public interest or public purpose, created by
law, and
c. Corporations, partnerships, and associations for private interest or purpose to which the law
grants a judicial personality, separate and distinct from that of each shareholder, partner, or member [Art.
44, Civil Code]
3. Entities authorized by law [Sec. 1, Rule 3]
a. A corporation by estoppel is precluded
from denying its existence, and the members
are liable as general partners [Sec. 21,
Corporation Code]
b. A partnership with capital of at least
P3,000 which fails to comply with the
registration requirements is liable as a
partnership to third persons [Arts. 1768,
1772, Civil Code]
c. The estate of a deceased person is a
juridical entity that has a personality of its own
[Nazareno v. C.A., G.R. No. 138842 (2000),
citing Limjoco v. Intestate Estate of Fragrante,
G.R. No. L-770 (1948)]
d. A legitimate labor union may sue and be
sued in its registered name [Art. 251(e), Labor
Code]
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e. The Roman Catholic Church may be a party; as to its properties, the Archbishop of
diocese to which they belong may be a party [Barlin v. Ramirez, G.R. No. 2832 (1906);
Versoza v. Fernandez, G.R. No. 32276 (1930)]
f. A dissolved corporation may prosecute and defend suits by or against it provided that the
suits
(i) occur within three (3) years after its dissolution, and
(ii) the suits are in connection with the settlement and closure of its affairs [Sec. 139,
Revised Corporation Code]
4. Two or more persons not organized as an entity with juridical personality but enter into a
transaction [Sec. 15, Rule 3]
Section 15. Entity without juridical personality as defendant. – When two or more persons not
organized as an entity with juridical personality enter into a transaction, they may be sued under the
name by which they are generally or commonly known.
1. Real parties in interest; indispensable parties; representatives as parties; necessary parties;

indigent Parties; alternative defendants
Real Parties in Interest

Section 2, Rule 3. Parties in interest. – A real party in interest is the party who stands to be
benefited or injured by the judgment in the suit, or the party entitled to the avails of the suit.
Unless otherwise authorized by law or these Rules, every action must be prosecuted or defended in the
name of the real party in interest. (2a)
Nature of interest
The interest must be real, which is a present and substantial interest, as distinguished from a mere
expectancy or a future, contingent, subordinate, or consequential interest. [Rayo v. Metrobank, G.R. No.
165142 (2007)]
It should be material and direct, as distinguished from a mere incidental interest [Mayor Rhustom
Dagadag v. Tongnawa, G.R. No. 161166-67 (2005)]
Why necessary to determine the real party in interest

General rule: Every action must be prosecuted or defended in the name of the real party in interest.
Exception: Unless otherwise provided by law or the Rules. [Sec. 2, Rule 3]
If the suit is not brought in the name of or against the real party-in-interest, the defendant must set out in
his answer as an Affirmative Defense the ground that the complaint “states no cause of action.” [Sec 12,
Rule 8]
NOTE: The Republic of the Philippines is the real party in interest for Civil Forfeiture Proceedings.
Page 13 of 392
Effect if the action was prosecuted by a person not a real party in interest
It may be raised as an affirmative defense grounded on failure to state a cause of action. (Sec. 12, Rule 8).
If dismissed, it is without prejudice.
For Small Claims and Summary Procedure, the court may motu proprio dismiss them for failure to state a
cause of action.
Remedy for the Plaintiff

Amendment of pleadings once as a matter of rights at any time before a responsive pleading is served.
(Sec. 2, Rule 10)
When real party-in-interest bound despite not being formally impleaded

As an exception, the real litigant may be held bound as a party even if not formally impleaded, provided
he had his day in court. [Albert v. University Publishing Co., G.R. No. L9300 (1958)]
Indispensable Parties
Section 7, Rule 3. Compulsory joinder of indispensable parties. – Parties in interest without whom
no final determination can be had of an action shall be joined either as plaintiffs or defendants. (7)
An indispensable party is one whose interest in the subject matter of the suit and the relief sought
are so inextricably intertwined with the other parties that his legal presence as a party to the
proceeding is an absolute necessity. [Benedicto-Munoz v. Cacho-Olivares, G.R. No. 179121 (2015)]
A party is not indispensable 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 not complete justice to the parties in court. [Benedicto-Munoz v. Cacho-Olivares, G.R. No.
179121 (2015)]
Failure to implead an indispensable party is a ground for annulment of judgment on the ground of
lack of jurisdiction because it is a condition sine qua non on the exercise of judicial power. (Dean Tan)
Representatives as parties
Section 3, Rule 3. Representatives as parties. – Where the action is allowed to be prosecuted or
defended by a representative or someone acting in a fiduciary capacity, the beneficiary shall be
included in the title of the case and shall be deemed to be the real party in interest.
A representative may be a trustee of an express trust, a guardian, an executor or administrator, or

a party authorized by law or these Rules.
An agent acting in his own name and for the benefit of an undisclosed principal may sue or be sued
without joining the principal except when the contract involves things belonging to the principal. (3a)
Section 5, Rule 3. Minor or incompetent persons. – A minor or a person alleged to be incompetent,
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may sue or be sued, with the assistance of his father, mother, guardian, or if he has none, a
guardian ad litem. (5a)
NOTE: Representatives are not real parties in interest.
Necessary Parties
Section 8, Rule 3. Necessary party. – A necessary party is one who is not indispensable but who
ought to be joined as a party if complete relief is to be accorded as to those already parties, or for a
complete determination or settlement of the claim subject of the action. (8a)
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On August 16, 2004, Section 18 of Rule 141 was further amended in Administrative Matter No. 04-
2-04-SC.
Alternative Defendants
Section 13. Alternative defendants. – Where the plaintiff is uncertain against who of several
persons he is entitled to relief, he may join any or all of them as defendants in the alternative,
although a right to relief against one may be inconsistent with a right of relief against the other.
(13a)
2. Compulsory and permissive joinder of parties

General Rule: The joinder of parties is permissive
Exception: It is compulsory when the one involved is an indispensable party. [Crisologo v. JEWN Agro-
Industrial Corporation, G.R. No. 196894 (2014)]
Compulsory Joinder of Parties

Section 7. Compulsory joinder of indispensable parties. – Parties in interest without whom no final
determination can be had of an action shall be joined either as plaintiffs or defendants. (7)
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Effect of non-joinder of indispensable parties

The absence of an indispensable party renders all subsequent actions of the trial court null and void
for want of authority to act, not only as to the absent parties but even as to those present. [Moldes v.
Villanueva, G.R. No. 161955 (2012)]
Failure to implead an indispensable party is not a ground for dismissal of an action, as the remedy in
such a case is to implead the party claimed to be indispensable, considering that the parties may be
added by order of the court, on motion of the party or on its own initiative at any stage of the
action. [Galido v. Magrare, G.R. No. 206584 (2016)]
It is when the order of the court to implead an indispensable party goes unheeded that the case may
be dismissed. The court has authority to dismiss a complaint due to the fault of the plaintiff when he does
not comply with any order of the court [Plasabas v. CA, G.R. No. 166519 (2009)]
Permissive Joinder
Section 6, Rule 3. Permissive joinder of parties. – All persons in whom or against whom any right
to relief in respect to or arising out of the same transaction or series of transactions is alleged to
exist, whether jointly, severally, or in the alternative, may, except as otherwise provided in these Rules,
join as plaintiffs or be joined as defendants in one complaint, where any question of law or fact
common to all such plaintiffs or to all such defendants may arise in the action; but the court may
make such orders as may be just to prevent any plaintiff or defendant from being embarrassed
or put to expense in connection with any proceedings in which he may have no interest. (6)
Requisites:
1. The right to relief arises 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 ROC on jurisdiction and venue [1
Regalado 91, 2010 Ed.]
A party may in one pleading assert, in the alternative or otherwise, as many causes of action as he may
have against an opposing party. One of the conditions for such joinder of causes of action is that the party
joining the causes of action shall comply with the rules on joinder of parties. [Sec. 5, Rule 2]
3. Misjoinder and non-joinder of parties
Misjoinder - When one is made a party to the action although he should not be impleaded. [1 Riano 285,
2014 Bantam Ed.]
Non-joinder - When one is supposed to be joined but is not impleaded in the action. [1 Riano 285, 2014
Bantam Ed.]
Effect of misjoinder or non-joinder of parties

Section 11. Misjoinder and non-joinder of parties. – Neither misjoinder nor non-joinder of parties
is ground for dismissal of an action. Parties may be dropped or added by order of the court on motion
Page 17 of 392
of any party or on its own initiative at any stage of the action and on such terms as are just. Any claim
against a misjoined party may be severed and proceeded with separately. (11a)
Neither misjoinder nor non-joinder of parties is a ground for dismissal of an action [Sec. 11, Rule 3]
Objections to defects in parties Objections should be made at the earliest opportunity. Thus,
objections to misjoinder cannot be raised for the first time on appeal. [Lapanday Agricultural &
Development Corporation v. Estita, G.R. No. 162109 (2005)]
Non-joinder of Necessary Parties

Section 9, Rule 3. Non-joinder of necessary parties to be pleaded. – Whenever in any pleading in
which a claim is asserted a necessary party is not joined, the pleader shall set forth his name, if
known, and shall state why he is omitted.
Should the court find the reason for the omission unmeritorious, it may order the inclusion of the
omitted necessary party if jurisdiction over his person may be obtained.
The failure to comply with the order for his inclusion, without justifiable cause, shall be deemed a
waiver of the claim against such party.
The non-inclusion of a necessary party does not prevent the court from proceeding in the action, and
the judgment rendered therein shall be without prejudice to the rights of such necessary party. (8a, 9a)
NOTE: The non-inclusion of one or some of the names of all the complainants in the title of the
complaint is not fatal to the case, provided there is a statement in the body of the complaint indicating that
such complainant were made party to such action. (Dean Tan)
4. Class suit
Section 12. Class suit, Rule 3. – When the subject matter of the controversy is one of common or
general interest to many persons so numerous that it is impracticable to join all as parties, a
number of them which the court finds to be sufficiently numerous and representative as to fully
protect the interests of all concerned may sue or defend for the benefit of all.
Any party in interest shall have the right to intervene to protect his individual interest. (12a)
Requisites:
a. Subject matter of the controversy is one of common or general interest to many persons;
b. The persons are so numerous that it is impracticable to join them all as parties;
c. The court finds a number of them sufficiently numerous and representative of the class as to fully
protect the interests of all concerned; and
d. The representative sues or defends for the benefit of all. [Sec. 12, Rule 3]
Only general interest in the subject matter of litigation required
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A class suit does not require a commonality of interest in the questions involved in the suit. What is
required by the Rules is a common or general interest in the subject matter of the litigation [Mathay v.
Consolidated Bank & Trust Company, G.R. No. L-23136 (1974)]
Right to intervene
In a class suit, any party in interest shall have the right to intervene to protect his individual interest [Sec.
12, Rule 3]
No dismissal upon the instance of plaintiff or due to compromise

A class suit shall not be dismissed or compromised without the approval of the court [Sec. 2, Rule 17]
Examples of Class Suits

1. Taxpayer’s suit - A taxpayer's suit or a stockholder's derivative suit is in the nature of a class suit,
although subject to the other requisites of the corresponding governing law especially on the issue of
locus standi [1 Regalado 99, 2010 Ed.]
2. Derivative suit - A derivative suit is an action brought by a stockholder on behalf of the corporation to
enforce corporate rights against the corporation’s directors, officers or other insiders. Under the Revised
Corporation Code, the directors or officers, as provided under the by-laws, have the right to decide
whether or not a corporation should sue. Since these directors or officers will never be willing to sue
themselves, or impugn their wrongful or fraudulent decisions, stockholders are permitted by law to bring
an action in the name of the corporation to hold these directors and officers accountable. In derivative
suits, the real party in interest is the corporation, while the stockholder is a mere nominal party
[Ang v. Ang, G.R. No. 201675 (2013)]
Not a Class Suit

There is no class suit in an action filed by associations of sugar planters to recover
damages on behalf of individual planters for an allegedly libelous article in an international magazine.
There is no common or general interest in the reputation of a specific individual. Each of the sugar
planters has a separate and distinct reputation in the community not shared by the others
[Newsweek, Inc. v. Intermediate Appellate Court, G.R. No. 63559 (1986)]
There is no class suit in an action for damages filed by the relatives of the fatalities in a plane crash. There
is no common or general interest in the injuries or death of all passengers in the plane. Each has a
distinct and separate interest which must be proven individually. [1 Riano 244, 2016 Bantam Ed.]
5. Suits against entities without juridical personality

Section 15. Entity without juridical personality as defendant. – When two or more persons not
organized as an entity with juridical personality enter into a transaction, they may be sued under
the name by which they are generally or commonly known.
In the answer of such defendant, the names and addresses of the persons composing said entity must all
be revealed. (15a)
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Note: The authority to be a party under Sec. 15, Rule 3 is confined only to being a defendant and not as
a plaintiff. This is evident from the words, “they may be used” [1 Riano 265, 2014 Bantam Ed.]
When persons associated in an entity without juridical personality are sued, the service of summons may
be effected upon all the defendants by serving upon any of them, or upon the person in charge of the
office or place of business maintained under such name. [Sec. 7, Rule 14]
6. Effect of death of party litigant

Section 16. Death of party; duty of counsel. – Whenever a party to a pending action dies, and the
claim is not thereby extinguished, it shall be the duty of his counsel to
 inform the court within thirty (30) days after such death of the fact thereof, and
 to give the name and address of his legal representative or representatives.
Failure of counsel to comply with this duty shall be a ground for disciplinary action.
The heirs of the deceased may be allowed to be substituted for the deceased, without requiring
the appointment of an executor or administrator and the court may appoint a guardian ad litem
for the minor heirs.
The court shall forthwith order said legal representative or representatives to appear and be
substituted within a period of thirty (30) days from notice.
If no legal representative is named by the counsel for the deceased party, or if the one so named
shall fail to appear within the specified period, the court may order the opposing party, within a
specified time, to procure the appointment of an executor or administrator for the estate of the
deceased and the latter shall immediately appear for and on behalf of the deceased. The court
charges in procuring such appointment, if defrayed by the opposing party, may be recovered as costs.
(16a, 17a)
Action of court upon notice of death
Upon receipt of notice, the court shall determine if the
claim is extinguished by such death.
a. Claim does not survive: substitution would
not be ordered
b. Claim survives: the court shall order the
legal representative of the deceased to appear
and be substituted for him within 30 days [Sec.
16, Rule 3] [1 Riano 286, 2014 Bantam Ed.,
suggesting Aguas v. Llemos, G.R. No. L-18107
(1962)]
Summons not necessary
Page 20 of 392
The substitute defendant need not be summoned. The order of substitution shall be served upon the
parties substituted for the court to acquire jurisdiction over the substitute party [Ferreria v. Vda de
Gonzales, G.R. No. L11567 (1986)]
Effect of failure to order substitution

Results in failure to acquire jurisdiction over the representative or heirs of the deceased party.
Consequently, any judgment rendered against such deceased party shall be null and void for lack of
jurisdiction over the persons of the legal representative or of the heirs upon whom the trial and the
judgment would be binding [The Heirs of Vda. De Haberer v. Court of Appeals, et al., G.R. Nos. L-42699
to L-2709 (1981)]
Mere failure to substitute a deceased party is not a ground to nullify a court’s decision, party
alleging nullity must prove that there was an undeniable violation of due process. Thus, it is only
when the deceased is not represented by any legal repsentative or heir that the court nullifies the
proceedings and the resulting judgment. (Napere v. Barbona, January 31, 2008)
Effect of Failure of Counsel to Inform the Court of the Fact of Death and to File Substitution of
Parties: Will not invalidate the proceedings and the judgment if the action survives the death of such
party.
Section 17, Rule 3. Death or separation of a party who is a public officer. – When a public officer
is a party in an action in his official capacity and during its pendency dies, resigns, or otherwise
ceases to hold office, the action may be continued and maintained by or against his successor if,
 within thirty (30) days after the successor takes office or such time as may be granted by
the court, it is satisfactorily shown to the court by any party that there is a substantial
need for continuing or maintaining it and
 that the successor adopts or continues or threatens to adopt or continue the action of his
predecessor.
Before a substitution is made, the party or officer to be affected, unless expressly assenting thereto,
shall be given reasonable notice of the application therefor and accorded an opportunity to be
heard. (18a)
Requisites:
a. A public officer is a party to an action in his official capacity;
b. During the pendency of the action, he dies, resigns, or otherwise ceases to hold office;
c. Within 30 days after the successor takes office or such time as may be granted by the court, any party
shows to the satisfaction of the court, that
• there is a substantial need for continuing or maintaining such action; and
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• the successor adopts or continues his predecessor’s action, or threatens to do so

d. Before a substitution is made, the party or officer to be affected shall be given reasonable
notice of the application therefor and accorded an opportunity to be heard UNLESS he expressly
assents thereto
Action on Contractual Money Claims

Section 20, Rule 3. Action on contractual money claims. – When the action is for recovery of
money arising from contract, express or implied, and the defendant dies before entry of final
judgment in the court in which the action was pending at the time of such death, it shall not be
dismissed but shall instead be allowed to continue until entry of final judgment.
A favorable judgment obtained by the plaintiff therein shall be enforced in the manner especially
provided in these Rules for prosecuting claims against the estate of a deceased person. (21a)
Upon obtaining a favorable judgment, He/She is not supposed to file a motion for the issuance of an order
and writ of execution of the judgment [1 Riano 201, 2014 Bantam Ed.]
E. VENUE
Venue relates only to the place of trial or the geographical location in which an action or
proceeding should be brought. It is intended to accord convenience to the parties and does not equate
to the jurisdiction of the court. [Dolot v. Paje, G.R. 199199 (2013)]
Choosing the venue of an action is not left entirely to a plaintiff’s caprice; the matter is regulated by the
ROC. [Ang v. Sps. Ang, G.R. No. 186993 (2012)]
On dismissal based on improper venue

Improper venue is no longer one of the grounds for a motion to dismiss under the Amended Rules.
However, the ground of the venue being improperly laid is one of those that may be set as an
Affirmative Defense in the answer. The failure to raise the affirmative defense in the answer will
constitute a waiver of such. [Sec 12, Rule 8]
However, the court may make a motu proprio dismissal for improper venue, inter alia, in actions covered
by the Rules on Summary Procedure [Sec. 4], Rule of Procedure for Small Claims cases [Sec. 9], and in
ejectment cases. [Sec. 5, Rule 70]
Order of dismissal on the ground of improper venue is not appealable. (Sec. 1, Rule 41)
For criminal action, venue is jurisdictional, but for civil action it is not.
NOTE: Rule 4 pertains to venue of action. It does not apply to extrajudicial foreclosure because it is not
an action. (Sps. Ochoa vs. China Banking Corp., March 23, 2011)
1. Venue of real actions

RULE 4
VENUE OF ACTIONS
Page 22 of 392
Section 1. Venue of real actions. – Actions affecting title to or possession of real property, or
interest therein, shall be commenced and tried in the proper court which has jurisdiction over the
area wherein the real property involved, or a portion thereof, is situated.
Forcible entry and detainer actions shall be commenced and tried in the municipal trial court of the
municipality or city wherein the real property involved, or a portion thereof, is situated. (1[a], 2[a]a)
The rule, in its simplified form, means that if the action is real, the action is local, as opposed to
transitory, and the venue is the place where the real property involved, or any portion thereof, is situated.
[1 Riano 151, 2016 Bantam Ed.]
Where the subject-matter of the action involves various parcels of land situated in different provinces, the
venue is determined by the singularity or plurality of the transactions involving said parcels of land. Thus,
where said parcels are the objects of one and the same transaction, the venue is in the court of any of the
provinces wherein a parcel of land is situated. [1 Regalado 118, 2010 Ed., citing El Hogar Filipino v.
Seva, G.R. No. 36627 (1932)]
Classic examples of real actions:

 Action to annul sale and title of real property
 Action for annulment or rescission of contract over a real property
 Action to annul a sale of land and to recover land
 Action for revival of judgment – if the decision to be revived involves real property
 Action for specific performance for the delivery of real property
 Action for interpleader over a real property
 Quieting of title or removal of clouds
 Expropriation of real property
 Foreclosure of real estate mortgage
 Partition
 Forcible entry and unlawful detainer
 Accion Publiciana
 Accion Reinvindicatoria
2. Venue of personal actions

Section 2, Rule 4. Venue of personal actions. – All other actions may be commenced and tried
where the plaintiff or any of the principal plaintiffs resides, or where the defendant or any of the
principal defendants resides, or in the case of a nonresident defendant where he may be found, at
the election of the plaintiff. (2[b]a
Definition of residence
The term “resides” as employed in the rule means the place of abode, whether permanent or
temporary, of the plaintiff or defendant, as distinguished from “domicile” which denotes a fixed
permanent residence to which, when absent, one has the intention of returning. [Dangwa
Transportation Company v. Sarmiento, G.R. No. L-22795 (1977)]
Page 23 of 392
A corporation cannot be allowed to file personal actions in a place other than its principal place of
business unless such place is also the residence of a co-plaintiff or defendant. [Davao Light v. CA, G.R.
No. 111685 (2001)]
Classic examples of personal actions:

 Replevin
 Collection of Sum of Money
 Interpleader over personal property
 Partition over personal properties
 Damages
 Rescission of Contract
 Specific performance for the delivery of personal property
 Revival of Judgment involving personal property
 Small Claims Cases
 Injunction
 Action to recover deficiency after foreclosure of real property
If the plaintiff not a resident, action may be filed in the place where the defendant resides. There can be
no election as to the venue of the filing of a complaint if plaintiff has no residence in the Philippines.
(Ang vs. Ang, August 22, 2012)
3. Venue of actions against non-residents

Section 3. Venue of actions against nonresidents. – If any of the defendants does not reside and is
not found in the Philippines, and the action affects the personal status of the plaintiff, or any
property of said defendant located in the Philippines, the action may be commenced and tried in
the court of the place where the plaintiff resides, or where the property or any portion thereof is
situated or found.
Non-resident not found in the Philippines, and the action affects:

a. Personal status of plaintiff (quasi in rem) – where plaintiff resides, or
b. Property of defendant in the Philippines (in rem) – where the property, or any portion thereof, is
situated or found [Sec. 3, Rule 4]
4. When the rules on venue do not apply

Section 4. When Rule not applicable. – This Rule shall not apply
(a) In those cases where a specific rule or law provides otherwise; or
(b) Where the parties have validly agreed in writing before the filing of the action on the exclusive
venue thereof.
Cases where a specific rule or law provides otherwise; examples:

1. Quo warranto proceeding commenced by the Solicitor General, [Sec. 7, Rule 66]
Page 24 of 392
• The action may be brought in the Supreme Court, the Court of Appeals, or in a Regional Trial
Court in the City of Manila.
2. Petition for a continuing writ of mandamus, and [Sec. 2, Rule 8, Rules of Procedure for
Environmental Cases]
• 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.
3. Civil and criminal action for damages in written defamation/libel. [Art. 360, RPC]
• Note that for written defamations, the default venue would be the place where:
 the libelous article is first published or
 where any of the offended parties reside
• In case that the offended party is a public officer, the proper venue would be either:
 where he holds office at the time of the commission of the crime, or

 the place where the libelous article is first published [Art. 360, RPC]
4. For Small Claims, if the plaintiff is engaged in the business of lending, banking and similar activities,
and has a branch within the municipality or city where the defendant resides the Statement of Claim shall
be filed where that branch is located. (Sec. 7, Rules on Small Claims Cases)
5. Effects of stipulations on venue
The parties may stipulate on the venue as long as the agreement is:
a. In writing,
b. Made before the filing of the action, and
c. Exclusive as to the venue
Types of stipulations on venue

a. Restrictive: suit may be filed only in the place agreed upon
b. Permissive: parties may file their suit not only in the place agreed upon but also in the places fixed by
the rules [Briones v. CA and Cash Asia, G.R. No. 204444 (2015)]
Requirement to be binding
To be binding, the parties must have agreed on the exclusive nature of the venue of any prospective action
between them. The agreement of parties must be restrictive and not permissive [1 Regalado 124, 2010
Ed.]
Page 25 of 392
In the absence of qualifying or restrictive words (e.g. “only/solely/exclusively in such court”), venue
stipulation is merely permissive; that is, the stipulated venue is in addition to the venue provided for in
the rules [Polytrade Corp. v. Blanco, G.R. No. L-27033 (1969)]
When stipulation may be disregarded

The court may declare agreements on venue as contrary to public policy if such stipulation unjustly
denies a party a fair opportunity to file suit in the place designated by the Rules. The court shall take
into consideration the economic conditions of the parties, the practical need to avoid numerous suits filed
against the defendant in various parts of the country and the peculiar circumstances of the case [1
Regalado 124-125, 2010 Ed., citing Hoechst Philippines v. Torres, G.R. No. L44351 (1978)]
NOTE: A complaint directly assailing the validity of the written instrument itself should not be
bound by the exclusive venue stipulation contained therein and should be filed in accordance with the
general rules on venue. [Briones v. CA and Cash Asia, G.R. No. 204444 (2015)]
F. PLEADINGS
RULE 6
KINDS OF PLEADINGS
Section 1. Pleadings defined. – Pleadings are the written statements of the respective claims and
defenses of the parties submitted to the court for appropriate judgment. (1)
Prior to the Amended Rules, evidentiary facts were

supposed to be omitted from pleadings, as these matters
should be presented during trial. However, the contents of
pleadings are no longer limited to ultimate facts since
under Sec. 6, Rule 7, the witnesses, summaries of their
testimonies, their judicial affidavits, and documentary and
object evidence should already be included in the pleading.
Likewise, Sec. 1 of Rule 8 also states that every pleading
must contain the ultimate facts, including the evidence on
which the party pleading relies.
*NOTE: Motion and memorandum are not pleadings.
Initiatory Pleading Responsive Pleading

Commences an action containing plaintiff’s Responds to the adverse party’s pleading
cause/s of action
Required to be verified and should contain a Not required to be verified as a general rule,
certificate of non-forum shopping unless the rules or law provides otherwise
Page 26 of 392
Need not contain a certificate of non-forum

shopping, unless, accompanied by counter-claim
or cross-claim
Payment of docket and other lawful fees are Payment of docket and other lawful fees are not
required required
1. Kinds of pleadings and when they should be filed
a. Complaint
Section 3, Rule 6. Complaint. – The complaint is the pleading alleging the plaintiff’s or claiming
party’s cause or causes of action. The names and residences of the plaintiff and defendant must be
stated in the complaint. (3a)
Note: Counterclaims, cross-claims, third-party complaints, and complaints-in-intervention are kinds of

complaints. [Sec. 2, Rule 6]
Allegations of the complaint determine the nature of the cause of action and the body or court which has
jurisdiction over the action [Ching vs Subic Bay Golf and Country Club, Inc, G.R. No. 174353 (2014)]
Section 2, Rule 6. Pleadings allowed. – The claims of a party are asserted in a complaint, counterclaim,
crossclaim, third (fourth, etc.)-party complaint, or complaint-in-intervention. The defenses of a party are
alleged in the answer to the pleading asserting a claim against him or her. An answer may be responded to
by a reply only if the defending party attaches an actionable document to the answer. (2a)
b. Answer
Section 4, Rule 6. Answer. – An answer is a pleading in which a defending party sets forth his or
her defenses. (4a)
Section 5, Rule 6. Defenses. – Defenses may either be negative or affirmative.
(a) A negative defense is the specific denial of the material fact or facts alleged in the pleading of
the claimant essential to his or her cause or causes of action.
(b) An affirmative defense is an allegation of a new matter which, while hypothetically admitting
the material allegations in the pleading of the claimant, would nevertheless prevent or bar
recovery by him or her.
The affirmative defenses include

 fraud,
 statute of limitations,
 release,
Page 27 of 392
 payment,
 illegality,
 statute of frauds,
 estoppel,
 former recovery,
 discharge in bankruptcy, and
 any other matter by way of confession and avoidance.
Affirmative defenses may also include grounds for the dismissal of a complaint, specifically, that
the court has no jurisdiction over the subject matter, that there is another action pending between
the same parties for the same cause, or that the action is barred by a prior judgment. (5a)
i. Negative defenses
Note: A general denial is considered as an admission. [1 Riano 293, 2016 Bantam Ed.]
There are three kinds of specific denials, namely:

1. Absolute Denials - made when the defendant specifies each material allegation which he does not
admit and, whenever practicable, sets forth the substance of the matters upon which he relies to support
his denial. [PBCOM v. Go, G.R. No. 175514 (2011)]
2. Partial Denials - made when the defendant does not make a total denial of the material allegations, but
denies only a part of the averment. Here, he specifies which part of the truth he admits and likewise
denies. [1 Riano 269, 2016 Bantam Ed.]
3. Denial through Disavowal of Knowledge - made when the defendant alleges he “is without
knowledge or information sufficient to form a belief as to the truth of the material averments in the
complaint”. [Warner Barnes v. Reyes, 103 Phil. 662 (1958)]
ii. Negative pregnant

A denial, pregnant with the admission of the substantial facts in the pleading responded to which are not
squarely denied. It is in effect an admission of the averment it is directed to. [Philamgen v. Sweet Lines,
G.R. No. 87434 (1993)]
A negative pregnant does not qualify as a specific denial. It is conceded to be actually an admission. It
refers to a denial which implies its affirmative opposite by seeming to deny only a qualification or
an incidental aspect of the allegation but not the main allegation itself [1 Riano 358, 2014 Bantam
Ed.]
Examples: When the defense alleges “I have never borrowed money from the plaintiff from 2011 to
2013,” such may imply that there was borrowing of money at other times. [1 Riano 297, 2016 Bantam
Ed.]
c. Counterclaims
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Section 6, Rule 6. Counterclaim. – A counterclaim is any claim which a defending party may have
against an opposing party. (6)
A counterclaim is considered a new suit in which the original defendant is the plaintiff and the plaintiff in
the original complaint becomes the defendant.
How raised:
1. By including it in the Answer
• A compulsory counterclaim or a crossclaim that a defending party has at the time he or she files
his or her answer shall be contained therein. [Rule 11, Sec. 8]
2. By filing after the Answer

• Omitted Compulsory Counterclaim - If a counterclaim already existed at the time of the filing of
the answer and the defendant fails to raise it, it shall generally be barred. [Sec. 7, Rule 6]
However, an exception to this would be a counterclaim by amendment before judgment, when the
counterclaim was not set up due to oversight, inadvertence, or excusable neglect. [Sec. 10, Rule
11]
• Compulsory Counterclaim arising after Answer - A counterclaim, which either matured or was
acquired by a party after serving his answer may, with permission of the court, be presented as a
counterclaim by supplemental pleading before judgment. [Sec. 9, Rule 11]
i. Compulsory counterclaim
Section 7, Rule 6. Compulsory counterclaim. – A compulsory counterclaim is one which, being
cognizable by the regular courts of justice, arises out of or is connected with the transaction or
occurrence constituting the subject matter of the opposing party’s claim and does not require for
its adjudication the presence of third parties of whom the court cannot acquire jurisdiction.
Such a counterclaim must be within the jurisdiction of the court both as to the amount and the
nature thereof, except that in an original action before the Regional Trial Court, the counterclaim
may be considered compulsory regardless of the amount.
A compulsory counterclaim not raised in the same action is barred, unless otherwise allowed by
these Rules. (7a)
Requisites:
1. It arises out of, or is connected with the transaction or occurrence constituting the subject matter of the
opposing party's claim,
2. It does not require for its adjudication the presence of third parties of whom the court cannot acquire
jurisdiction, and
3. It must be within the jurisdiction of the court both as to the amount and the nature, except that in an
original action before the RTC, the counter-claim may be considered compulsory regardless of the
amount. [Sec. 7, Rule 6]
Page 29 of 392
The filing of a motion to dismiss and the setting up of a compulsory counterclaim are incompatible
remedies. If he files a motion to dismiss, he will lose his counterclaim. But if he opts to set up his
counterclaim, he may still plead his ground for dismissal as an affirmative defense in his answer.
[Financial Building Corp. v. Forbes Park Association, G.R. No. 133119 (2000)]
On amounts
1. In an original action before the RTC, the counterclaim may be considered compulsory regardless of the
amount. [Sec. 7, Rule 6]
2. If a counterclaim is filed in the MTC in excess of its jurisdictional limits, the excess is considered
waived. [Agustin v. Bacalan, G.R. No. L-46000 (1985)]
ii. Permissive counterclaim

Basically, a permissive counterclaim is one where any of the aforementioned requirements of a
compulsory counterclaim are missing. [1 Riano 320, 2016 Bantam Ed.]
The rule in a permissive counterclaim is that for the trial court to acquire jurisdiction, the counterclaimant
is bound to pay the prescribed docket fees. [1 Riano 387, 2014 Bantam Ed., citing GSIS v. Heirs of
Caballero, G.R. No. 158090 (2010)]
Note: Even if the counterclaim arises out of the subject-matter of the opposing party's claim but it is not
within the jurisdiction of the regular courts of justice, or it requires for its adjudication the presence of
third parties over whom the court cannot acquire jurisdiction, it is considered as only a permissive
counterclaim and is not barred even if not set up in the action. (see also Sec. 2, Rule 9) [1 Regalado 143-
144, 2010 Ed.]
Compulsory Counterclaim Permissive Counterclaim

A compulsory counterclaim, which a party has at
the time the answer is filed, shall be contained in Not subject to the rule on compulsory
the answer [Sec. 8, Rule 11] because a counterclaims. Hence, it may be set up as an
compulsory counterclaim not raised in the same independent action and will not be barred if not
action shall be barred, unless otherwise allowed contained in an answer to the complaint
by these rules. [Sec. 7, Rule 6]
Not an initiatory pleading Initiatory pleading
Should be accompanied by a certification against
forum shopping and, whenever required by law,
Said certifications are not required
also a certificate to file action issued by the
Lupong Tagapamayapa
Failure to answer a compulsory counterclaim is
not a cause for a default declaration, principally Must be answered by the party against whom it is
because the issues raised in the counterclaim are interposed, otherwise he may be declared in
deemed automatically joined by the allegations in default as to the counterclaim
the complaint (Except in summary proceeding)
iii. Effect on the counterclaim when the complaint is dismissed
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The dismissal of the complaint shall be without prejudice to the prosecution in the same or separate
action of a counterclaim pleaded in the answer in the following cases:
1. Dismissal under Sec. 2, Rule 17 – where the plaintiff files a motion to dismiss the case, after the
defendant had filed a responsive pleading
2. Dismissal under Sec. 3, Rule 17 – where the complaint is dismissed due to the fault of the plaintiff
NOTE: Counterclaim, cross-claim and third-party complaint are not allowed in expropriation. They are
allowed in interpleader and SLAPP cases.
d. Cross-claims
Section 8. Cross-claim. – A 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 the original action or of a
counterclaim therein. Such cross-claim may cover all or part of the original claim. (8a)
Section 9. Counter-counterclaims and counter-cross-claims. – A counterclaim may be asserted

against an original counter-claimant.
A cross-claim may also be filed against an original cross-claimant. (9)
Existing Cross-claim - A cross-claim that a defending party has at the time he or she files his or her
answer shall be contained therein. [Sec. 8, Rule 11]
However, an exception to this would be a cross-claim by amendment before judgment, when the
counterclaim was not set up due to
oversight, inadvertence, or excusable neglect. [Sec. 10, Rule 11]
Cross-claim arising after Answer - A crossclaim, which either matured or was acquired by a party after
serving his answer may, with permission of the court, be presented as a cross-claim by supplemental
pleading before judgment. [Sec. 9, Rule 11]
*Must arise out of the subject matter of either the original action, counterclaim or cross-claim.
e. Third (fourth, etc.) party complaints

Section 11, Rule 6. Third, (fourth, etc.)-party complaint. – A third (fourth, etc.)-party complaint is a
claim that a defending party may, with leave of court, file against a person not a party to the
action, called the third (fourth, etc.)-party defendant, for contribution, indemnity, subrogation or
any other relief, in respect of his or her opponent’s claim.
The third (fourth, etc.)-party complaint shall be denied admission, and the court shall require the
defendant to institute a separate action, where:
(a) the third (fourth, etc.)-party defendant cannot be located within thirty (30) calendar days
from the grant of such leave;
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(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. (11a)
Section 13, Rule 6. Answer to third (fourth, etc.)-party complaint. – A third (fourth, etc.)-party
defendant may allege in his or her answer his or her defenses, counterclaims or cross-claims,
including such defenses that the third (fourth, etc.)-party plaintiff may have against the original
plaintiff’s claim. In proper cases, he [or she] may also assert a counterclaim against the original
plaintiff in respect of the latter’s claim against the third-party plaintiff. (13a)
Requisites:
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 plaintiff's
claim against the original defendant,
4. The defendant is attempting to transfer to the third-party defendant the liability asserted against him by
the original plaintiff [Philtranco Service Enterprises, Inc. v. Paras, G.R. No. 161909 (2012)], and
5. The court grants leave of court for the filing of the same [Sec. 11, Rule 6]
Additional rules Where the trial court has jurisdiction over the main case, it also has jurisdiction over the
third-party complaint, regardless of the amount involved as a 3rd-party complaint is merely auxiliary to
and is a continuation of the main action. [Republic v. Central Surety, G.R. No. L27802 (1968)]
A third-party complaint is not proper in an action for declaratory relief. [Commissioner of Customs v.
Cloribel, G.R. No. L-21036 (1977)]
f. Complaint-in-intervention
Pleading filed before the court with leave of court by a person who has a legal interest in the matter in
litigation, or against either or all of the original parties, or is so situated as to be adversely affected by a
distribution or other disposition of property in custody of the court or of an officer thereof.
g. Reply
Section 10, Rule 6. Reply. – All new matters alleged in the answer are deemed controverted.
If the plaintiff wishes to interpose any claims arising out of the new matters so alleged, such
claims shall be set forth in an amended or supplemental complaint.
However, the plaintiff may file a reply only if the defending party attaches an actionable
document to his or her answer.
A reply is a pleading, the office or function of which is to deny, or allege facts in denial or
avoidance of new matters alleged in, or relating to, said actionable document.
In the event of an actionable document attached to the reply, the defendant may file a rejoinder
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if the same is based solely on an actionable document. (10a)
Note: An actionable document is a written document that’s the basis of one’s cause of action or defense.
[1 Riano 280, 2016 Bantam Ed.]
Note: The function of a reply is to merely deny the allegations raised in the answer with the actionable
document, not to impose new causes of action which arise from the answer.
If the plaintiff wants to interpose a new claim on the basis of the actionable document attached in the
answer, he should do this through an amended or supplemental complaint.
General Rule: There is no need to file a reply since all new matters alleged in the answer are deemed
controverted. [Sec. 10, Rule 6]
Exception: When an actionable document is attached to the answer, the plaintiff must file a reply in order
to avoid the admission of the genuineness and due execution of the document attached. Failure to file a
reply would lead to the admission of the aforementioned matters. [1 Riano 336, 2016 Bantam Ed.]
h. Extensions of time to file

General Rule: A motion for extension to file any pleading is prohibited and is considered a mere scrap
of paper. [Sec. 11, Rule 11]
A motion for extension of time to file pleadings, affidavits, or any other papers is a prohibited motion and
shall not be allowed. [Sec. 12 (e), Rule 15]
Exception: A motion for extension of time to file an answer may be allowed if:
1. For meritorious reasons,
2. For a period not more than 30 calendar days, and
3. A party may only avail of 1 motion for extension
The court may still allow, in its discretion, any other pleading to be filed after the time fixed by the Rules.
[Sec. 11, Rule 11]
2. Pleadings allowed in small claims cases and cases covered by the Rules on Summary Procedure
Pleadings Revised Rules on Small Rules on Summary Procedure

Claims
Complaints Statement of Claim Allowed
Answer Response Allowed
Compulsory Counterclaim Allowed Allowed
Permissive Counterclaim Allowed Not allowed (contrary to nature
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of Summary Procedure)
Cross-claim Allowed (provided amount and
nature is covered by small Allowed
claims)
Third-party complaint Not allowed Not allowed
Interventions Not allowed Not allowed
Reply Not allowed Not allowed
Petition for certiorari,
mandamus, or prohibition
Not allowed Not allowed
against any interlocutory
orders of the court
Motion to dismiss the
complaint except on the
ground of lack of jurisdiction
over the subject matter
Motion for a bill of particulars Not allowed Not allowed
Motion for new trial, or for
reconsideration of a judgment,
or for reopening of trial
Petition for relief from

judgment Not allowed Not allowed
Memoranda (note: not a

pleading)
Motion for extension of time
to file pleadings, affidavits, or Not allowed Not allowed
any other paper
Motion to declare the
defendant in default
Dilatory motions for
postponement
3. Parts and contents of a pleading

a. Caption
RULE 7
PARTS AND CONTENTS OF A PLEADING
Section 1. Caption. – The caption sets forth the
 name of the court,
 the title of the action, and
 the docket number if assigned.
The title of the action indicates the names of the parties. They shall all be named in the original
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complaint or petition; but in subsequent pleadings, it shall be sufficient if the name of the first party on
each side be stated with an appropriate indication when there are other parties. Their respective
participation in the case shall be indicated. (1)
Section 2. The body. – The body of the pleading sets forth

 its designation,
 the allegations of the party’s claims or defenses,
 the relief prayed for, and
 the date of the pleading.
(a) Paragraphs. – The allegations in the body of a pleading shall be divided into paragraphs so
numbered as to be readily identified, each of which shall contain a statement of a single set of
circumstances so far as that can be done with convenience. A paragraph may be referred to by its
number in all succeeding pleadings.
(b) Headings. – When two or more causes of action are joined, the statement of the first shall be
prefaced by the words “first cause of action,” of the second by “second cause of action,” and so on for
the others. When one or more paragraphs in the answer are addressed to one of several causes of
action in the complaint, they shall be prefaced by the words “answer to the first cause of action” or
“answer to the second cause of action” and so on; and when one or more paragraphs of the answer are
addressed to several causes of action, they shall be prefaced by words to that effect.
(c) Relief. – The pleading shall specify the relief sought, but it may add a general prayer for such
further or other relief as may be deemed just or equitable.
(d) Date. – Every pleading shall be dated. (4)
General Rule: It is a settled rule that a court cannot grant a relief not prayed for by a party in the
pleadings, or in excess of that being sought. [Bucal v. Bucal, G.R. No. 206957 (2015)]
Exception: Because the rules allow a general prayer for such other reliefs as may be deemed just and
equitable, the court may grant reliefs that are not specifically prayed for as long as they are just and
equitable. [1 Riano 257, 2016 Bantam Ed.]
b. Signature and address

Section 3. Signature and address. – (a) Every pleading [and other written submissions to the court]
must be signed by the party or counsel representing him or her.
(b) The signature of counsel constitutes a certificate by him or her that he or she has read the
pleading and document; that to the best of his or her knowledge, information, and belief formed
after an inquiry reasonable under the circumstances:
(1) It is not being presented for any improper purpose, such as to harass, cause unnecessary
delay, or needlessly increase the cost of litigation;
(2) The claims, defenses, and other legal contentions are warranted by existing law or
Page 35 of 392
jurisprudence, or by a non-frivolous argument for extending, modifying, or reversing

existing jurisprudence;
(3) The factual contentions have evidentiary support or, if specifically so identified, will
likely have evidentiary support after availment of the modes of discovery under these
[R]ules; and
(4) The denials of factual contentions are warranted on the evidence or, if specifically, so
identified, are reasonably based on belief or a lack of information.
(c) If the court determines, on motion or motu proprio and after notice and hearing, that this
[R]ule has been violated,
 it may 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.
Absent exceptional circumstances, a law firm shall be held jointly and severally liable for a
violation committed by its partner, associate, or employee. The sanction may include, but shall
not be limited to,
 non-monetary directive or sanction;
 an order to pay a penalty in court; or, if imposed on motion and warranted for effective
deterrence,
 an order directing payment to the movant of part or all of the reasonable attorney’s fees and
other expenses directly resulting from the violation, including attorney’s fees for the filing of
the motion for sanction.
The lawyer or law firm cannot pass on the monetary penalty to the client. (3a)
c. Verification
Section 4. Verification. – Except when otherwise specifically required by law or rule, pleadings
need not be under oath or verified.
A pleading is verified by an affidavit of an affiant duly authorized to sign said verification.
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, and shall allege the
following attestations:
(a) The allegations in the pleading are true and correct based on his or her personal
knowledge, or based on authentic documents;
(b) The pleading is not filed to harass, cause unnecessary delay, or needlessly increase the
cost of litigation; and
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(c) The factual allegations therein have evidentiary support or, if specifically, so
identified, will likewise have evidentiary support after a reasonable opportunity for
discovery.
The signature of the affiant shall further serve as a certification of the truthfulness of the allegations
in the pleading.
A pleading required to be verified that contains a verification based on “information and belief,” or
upon “knowledge, information and belief,” or lacks a proper verification, shall be treated as an
unsigned pleading. (4a)
General Rule: A pleading required to be verified that contains a verification based on "information and
belief", or upon "knowledge, information and belief", or lacks a proper verification, shall be treated as an
unsigned pleading. [Sec. 4, Rule 7]
Note: An unsigned pleading produces no legal effect and is a “mere scrap of paper.”
XPN: Lack of verification is a mere formal, and not a jurisdictional, requirement. As such, a defect in the
verification does not render the pleading fatally defective and the court may order its subsequent
submission or correction if such serves the ends of justice. [Vda. de Formoso v. PNB, 650 SCRA 35
(2001)]
d. Certification against forum shopping

Section 5. Certification against forum shopping. – The plaintiff or principal party shall certify
under oath in the complaint or other initiatory pleading asserting a claim for relief, or in a sworn
certification annexed thereto and simultaneously filed therewith:
(a) that he [or she] 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 [or her]
knowledge, no such other action or claim is pending therein;
(b) if there is such other pending action or claim, a complete statement of the present status
thereof; and
(c) if he [or she] should thereafter learn that the same or similar action or claim has been filed or
is pending, he [or she] shall report that fact within five (5) calendar days therefrom to the court
wherein his [or her] aforesaid complaint or initiatory pleading has been filed. 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.
Failure to comply with the foregoing requirements shall not be curable by mere amendment of
the complaint or other initiatory pleading but shall be cause for the dismissal of the case without
prejudice, unless otherwise provided, upon motion and after hearing.
The submission of a false certification or non-compliance with any of the undertakings therein
Page 37 of 392
shall constitute indirect contempt of court, without prejudice to the corresponding administrative
and criminal actions.
If the acts of the party or his [or her] counsel clearly constitute willful and deliberate forum
shopping, the same shall be ground for summary dismissal with prejudice and shall constitute
direct contempt, as well as a cause for administrative sanctions. (5a)
Forum shopping - The repeated availment of several judicial remedies in different courts,
simultaneously or successively, all substantially founded on the same transactions and the same essential
facts and circumstances, and all raising substantially the same issues, either pending in or already
resolved adversely by some other court [Asia United Bank v. Goodland Company, Inc., G.R. No. 191388
(2011)]
Test to determine existence of forum shopping

Whether in the two or more cases pending, there is identity of
1. Parties
2. Rights or causes of action, and Relief sought
3. Judgment in one would result to res judicata or elements of litis pendencia are present
Forum shopping can be committed in three ways:

1. Litis pendencia
2. Res judicata
3. Splitting cause of action
Note:
*Criminal and civil cases are altogether different from administrative matters such that disposition in the
first two will not inevitably govern the third; thus no forum shopping can exist.
*The court may motu proprio dismiss the case based on act of forum shopping resulting to litis pendencia
and res judicata (Sec. 1, Rule 9)
*Attorney-in-fact may sign the CNFS as the representative of the plaintiff.
*Counsel can only sign thru execution of SPA if the plaintiff is unable to sign for justifiable reasons.
*There can be no motu proprio dismissal of case for failure to comply with the CNFS, since it requires
hearing and notice (Sec. 5, Rule 7)
* As a general rule, under Sec. 5 Rule 7, amendment of the pleading is not allowed in case of failure
to comply with CNFS, except in case of:
1. Substantial compliance
2. Special circumstances and compelling reasons (Navarra vs. People, June 6, 2016)
e. Contents of a pleading
Section 6. Contents. – Every pleading stating a party’s claims or defenses shall, in addition to those
mandated by Section 2, Rule 7, state the following:
Page 38 of 392
(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. (n)
Moreover, all papers and pleadings filed in court must likewise bear the following items:
1. Professional Tax Receipt Number
2. IBP Official Receipt Number
3. Roll of Attorneys’ Number
4. MCLE Certificate of Compliance, or Certificate of Exemption
Note: Failure to comply with the first three requirements allow the court to not take action with the
pleading, without prejudice to possible disciplinary actions against the erring counsel. Failure to comply
within five days from notice shall be a ground for further disciplinary sanction and for contempt.
Failure to comply with the fourth requirement causes the dismissal of the case and expunction of the
pleadings from the records. [1 Riano 262-263, 2016 Bantam Ed.]
4. Allegations in a pleading
a. Manner of making allegations
RULE 8
MANNER OF MAKING ALLEGATIONS IN PLEADINGS
Section 1. In general. – 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 [or her] claim or defense,
as the case may be.
If a cause of action [or] defense relied on is based on law, the pertinent provisions thereof and their
applicability to him or her shall be clearly and concisely stated. (1a)
Section 2, Rule 8. Alternative causes of action or defenses. – A party may set forth two or more
statements of a claim or defense alternatively or hypothetically, either in one cause of action or
defense or in separate causes of action or defenses.
When two or more statements are made in the alternative and one of them if made independently
would be sufficient, the pleading is not made insufficient by the insufficiency of one or more of the
alternative statements. (2)
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Example: A plaintiff may be unsure as to whether the liability of the carrier is based either on breach of
contract or a quasi-delict. The rules allow him to state both causes of action in the alternative. [1 Riano
278, 2016 Bantam Ed.]
How to allege the following in a pleading:

Capacity to sue or be sued
The following must be averred, to wit:
a. Facts showing the capacity of a person to sue or be sued,
b. The authority of a party, to sue and be sued in a representative capacity, or
c. The legal existence of an organized association of persons that is made a party.
Moreover, a party desiring to raise an issue as to the legal existence of any party to sue or be sued in a
representative capacity must do so via specific denial. [Sec. 4, Rule 8]
i. Condition precedent
Section 3, Rule 8. Conditions precedent. – In any pleading, a general averment of the performance
or occurrence of all conditions precedent shall be sufficient. (3)
All valid conditions precedent to the institution of the particular action, whether prescribed by statute,
fixed by agreement of the parties or implied by law must be performed or complied with before
commencing the action, unless the conduct of the adverse party has been such as to prevent or waive
performance or excuse non-performance of the condition. [Anchor Savings Bank v. Furigay, G.R. No.
191178 (2013)]
Examples of conditions precedent:

a. A tender of payment is required before making a consignation [Art. 1256, NCC]
b. Exhaustion of administrative remedies is required in certain cases before resorting to judicial action
[Lopez v. City of Manila, G.R. No. 127139 (1999); Dy v. CA, G.R. No. 121587 (1999)]
c. Prior resort to barangay conciliation proceedings is necessary in certain cases [Book III, Title I, Chapter
7, LGC]
d. Earnest efforts toward a compromise must be undertaken when the suit is between members of the
same family and if no efforts were in fact made, the case must be dismissed, [Art. 151, FC]
e. Arbitration may be a condition precedent when the contract between the parties provides for arbitration
first before recourse to judicial remedies [1 Riano 333-334, 2014 Bantam Ed.]
Note: The failure to comply with a condition precedent before the filing of a complaint is no longer a
ground for an allowable motion to dismiss under the Amended Rules. However, it is an affirmative
defense that must be set out in the answer or else, it is deemed waived. [Sec. 12, Rule 8]
ii. Fraud, mistake, malice, intent, knowledge and other condition of the mind, judgments, official
documents or acts
Fraud, mistake, condition of the mind

Section 5. Fraud, mistake, condition of the mind. – In all averments of fraud or mistake, the
Page 40 of 392
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. (5)
Judgments
Section 6, Rule 8. Judgment. – In pleading a judgment or decision of a domestic or foreign court,
judicial or quasi-judicial tribunal, or of a board or officer, it is sufficient to aver the judgment or
decision without setting forth matter showing jurisdiction to render it.
An authenticated copy of the judgment or decision shall be attached to the pleading. (6a)
Under the Amended Rules, an authenticated copy of the judgment or decision pleaded must be attached to
the pleading. [Sec. 6, Rule 8]
Official documents or acts

Section 9, Rule 9. Official document or act. – In pleading an official document or official act, it is
sufficient to aver that the document was issued or the act was done in compliance with law. (9)
b. Pleading an actionable document

Section 7, Rule 8. Action or defense based on document. – Whenever an action or defense is
based upon a written instrument or document,
 the substance of such instrument or document shall be set forth in the pleading, and
 the original or a copy thereof shall be attached to the pleading as an exhibit, which shall be
deemed to be a part of the pleading. (7a)
Section 8, Rule 8. How to contest such documents. – When an action or defense is founded upon a
written instrument, or attached to the corresponding pleading as provided in the preceding section, the
genuineness and due execution of the instrument shall be deemed admitted unless the adverse
party,
 under oath, specifically denies them, and
 sets forth what he or she claims to be the facts;
but the requirement of an oath does not apply

 when the adverse party does not appear to be a party to the instrument or
 when compliance with an order for an inspection of the original instrument is refused.
(8a)
Page 41 of 392
Failure of the party to attach in the complaint the document but had the opportunity to examine the said
document and conducted cross-examination is not fatal to its cause. (Keihin-Everett Forwarding Co. Inc.
vs. Tokio Marine Insurance Co. Inc., January 28, 2019)
c. Specific denials
Section 10, Rule 8. Specific denial. – A defendant must specify each material allegation of fact the
truth of which he or she does not admit and, whenever practicable, shall set forth the substance
of the matters upon which he or she relies to support his or her denial.
Where a defendant desires to deny only a part of an averment, he or she shall specify so much of
it as is true and material and shall deny only the remainder.
Where a defendant is without knowledge or information sufficient to form a belief as to the truth
of a material averment made [to] the complaint, he or she shall so state, and this shall have the
effect of a denial. (10a)
i. Effect of failure to make specific denials
General rule: Material averments in a pleading asserting a claim or claims shall be deemed admitted
when not specifically denied [Sec. 11, Rule 8]
Exceptions: The following averments in the complaint are not deemed admitted even if not specifically
denied:
1. Amount of unliquidated damages [Sec. 11, Rule 8]

2. Conclusions in a pleading, because it is for a court to make conclusions, and
3. Non-material allegations or averments, because the rules provide that only material allegations have
to be denied. [1 Riano 300, 2016 Bantam Ed.]
Note: Under the previous Rules, only material averments in the complaint were deemed admitted if not
specifically denied. Under the Amended Rules widens the scope of such rule to include any pleading
asserting a claim.
As to answers, any new allegations set forth therein are deemed controverted. [Sec. 10, Rule 6]
ii. When a specific denial requires an oath

Specific denial under oath is required for the denial of the genuineness and due execution of an actionable
document. But, as previously mentioned, an oath is not required when the adverse party does not appear
to be a party to the instrument or when compliance with an order for inspection of the original instrument
is refused. [Sec. 8, Rule 8]
Note: The provisions on usury were deleted by the amended rules.
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d. Affirmative defenses
Section 12, Rule 8. Affirmative defenses. –
(a) A defendant shall raise his or her affirmative defenses in his or her answer, which shall be
limited to the reasons set forth under Section 5(b), Rule 6, and the following grounds:
1. That the court has no jurisdiction over the person of the defending party;
2. That venue is improperly laid;
3. That the plaintiff has no legal capacity to sue;
4. That the pleading asserting the claim states no cause of action; and
5. That a condition precedent for filing the claim has not been complied with.
(b) Failure to raise the affirmative defenses at the earliest opportunity shall constitute a waiver
thereof.
(c) The court shall motu proprio resolve the above affirmative defenses within thirty (30) calendar
days from the filing of the answer.
(d) As to the other affirmative defenses under the first paragraph of Section 5(b), Rule 6, the
court may conduct a summary hearing within fifteen (15) calendar days from the filing of the
answer.
Such affirmative defenses shall be resolved by the court within thirty (30) calendar days from the
termination of the summary hearing.
(e) Affirmative defenses, if denied, shall not be the subject of a motion for reconsideration or
petition for certiorari, prohibition or mandamus, but may be among the matters to be raised on
appeal after a judgment on the merits. (n)
Thus, the following are the affirmative defenses that should be raised in the answer: Under Sec.
5(b), Rule 6, 1st paragraph:
1. Fraud,
2. Statute of limitations,
3. Release,
4. Payment,
5. Illegality,
6. Statute of frauds,
7. Estoppel,
8. Former recovery,
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9. Discharge in bankruptcy, and

10. Any other matter by way of confession and avoidance.
Note: The court is allowed to conduct a summary hearing within 15 calendar days from the allegation of
these affirmative defenses in the answer. After such hearing, they must be resolved by the court within 30
calendar days from the end of the summary hearing. [Sec. 12(d), Rule 8]
Under Sec. 5(b), Rule 6, 2nd paragraph

11. Lack of jurisdiction over the subject matter;
12. Litis pendentia, and
13. Res judicata.
Note: Curiously, the Amended Rules do not provide a time for which the court must act on these grounds
when they are alleged as affirmative defenses in the answer. Section 12, Rule 8 merely provides for a
period for the affirmative defenses listed in the first paragraph of Sec. 5(b), Rule 6 and not for those listed
under the second paragraph of such rule.
Under Sec. 12, Rule 8:

14. Lack of jurisdiction over the person of the defendant,
15. Improper venue,
16. Lack of legal capacity to sue of the plaintiff,
17. Failure to state a cause of action, and
18. Failure to comply with a condition precedent.
Note: The court must motu proprio resolve these affirmative defenses within 30 calendar days from the
filing of the answer. [Sec. 12(c), Rule 8]
Effect of failure to raise the affirmative defense at the earliest opportunity

General rule: Failure to raise an affirmative defense in the answer or at the earliest opportunity
constitutes a waiver of the defense.
Exception: Non-waivable grounds:

1. Lack of jurisdiction over the subject matter;
2. Litis pendentia;
3. Res judicata; and
4. Statute of limitations. [Sec. 1, Rule 9]
Note: If the non-waivable grounds are not raised in the answer, the Amended Rules allow them to be
proper grounds for a motion to dismiss. [Sec. 12, Rule 15] With the deletion of Rule 16, and consequently
the time for filing of a motion to dismiss, it seems that the Amended Rules do not provide for a specific
period where the filing of a motion to dismiss may be done.
AFFIRMATIVE DEFENSES THAT AFFIRMATIVE DEFENSES THAT MAY BE

REQUIRES SUMMARY HEARING WITHIN RESOLVED BY THE COURT MOTU
15 DAYS FROM FILING OF ANSWER PROPRIO WITHIN 30 DAYS FROM FILING
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BEFORE IT BE RESOLVED BY THE OF ANSWER

COURT WITHIN 30 DAYS AFTER
TERMINATION OF SUMMARY HEARING
 Fraud,  Lack of jurisdiction over the subject
 Statute of limitations, matter;
 Release,  Litis pendentia
 Payment,  Res judicata
 Illegality,  Lack of jurisdiction over the person of the
 Statute of frauds, defendant
 Estoppel,  Improper venue
 Former recovery,  Lack of legal capacity to sue of the
 Discharge in bankruptcy plaintiff
 Any other matter by way of confession  Failure to state a cause of action
and avoidance.  Failure to comply with a condition

precedent
5. Effect of failure to plead
a. Failure to plead defenses and objections

RULE 9
EFFECT OF FAILURE TO PLEAD
Section 1. Defenses and objections not pleaded. – Defenses and objections not pleaded either in a
motion to dismiss or in the answer are deemed waived.
However, when it appears from the pleadings or the evidence on record that
 the court has no jurisdiction over the subject matter,
 that there is another action pending between the same parties for the same cause (litis
pendencia), or
 that the action is barred by a prior judgment (res judicata) or

 by statute of limitations (prescription)
the court shall dismiss the claim. (1)
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Note: The Amended Rules provide that the aforementioned grounds are the only grounds allowed in a
motion to dismiss. [Sec. 12 (a), Rule 15]
Additional exception: In expropriation proceedings, the court in the interest of justice may permit
amendments to the answer to be made not later than 10 days from the filing thereof (Sec. 3, Rule 67)
b. Failure to plead a compulsory counterclaim and cross-claim

Section 2, Rule 9. Compulsory counterclaim, or cross-claim, not set up barred. –
A compulsory counterclaim, or a cross-claim, not set up shall be barred. (2)
Exceptions:
1. Omitted Counterclaim or Cross-claim
When a pleader fails to set up a counterclaim or cross-claim through oversight, inadvertence, or
excusable neglect, or when justice requires, he may, by leave of court, set up the counterclaim or
cross-claim by amendment before judgment. [Sec. 10, Rule 11]
2. Counterclaim or Cross-claim after Answer

A counterclaim or a cross-claim which either matured or was acquired by a party after serving his
pleading may, with the permission of the court, be presented as a counterclaim or a cross-claim by
supplemental pleading before judgment. [Sec. 9, Rule 11]
6. Default
Section 3. Default; [d]eclaration of. – If the defending party fails to answer within the time
allowed therefor, the court shall, upon motion of the claiming party with notice to the defending
party, and proof of such failure, declare the defending party in default.
Thereupon, the court shall proceed to render judgment granting the claimant such relief as his or
her pleading may warrant, unless the court in its discretion requires the claimant to submit evidence.
Such reception of evidence may be delegated to the clerk of court.
(a) Effect of order of default. – A party in default shall be entitled to notice[s] of subsequent
proceedings but shall not to take part in the trial.
(b) Relief from order of default. – 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.
In such case, the order of default may be set aside on such terms and conditions as the judge may
impose in the interest of justice.
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(c) Effect of partial default. – When a pleading asserting a claim states a common cause of action
against several defending parties, some of whom answer and the others fail to do so, the court shall
try the case against all upon the answers thus filed and render judgment upon the evidence
presented.
(d) Extent of relief to be awarded. – A judgment rendered against a party in default shall neither:
 exceed the amount or
 be different in kind from that prayed for nor award unliquidated damages.
(e) Where no defaults allowed. – If the defending party in action for annulment or declaration of
nullity of marriage or for legal separation fails to answer, the court shall order the Solicitor
General or his or her deputized public prosecutor, to investigate whether or not a collusion
between the parties exists, and if there is no collusion, to intervene for the State in order to see to
it that the evidence submitted is not fabricated. (3a)
a. When a declaration of default is proper
The rule on default clearly establishes the

“failure to answer within the time allowed
therefor” as the ground for a declaration of
default [Sec. 3, Rule 9].
Failure to attend the pre-trial does not

result in the "default" of the defendant.
Instead, the failure of the defendant to attend
shall be cause to allow the plaintiff to present his
evidence ex parte and the court to render
judgment on the basis thereof [Aguilar v.
Lightbringers Credit Cooperative, G.R. No. 209605 (2015)]
Requisites before a declaration of default:

1. The court must have validly acquired jurisdiction over the person of the defending party, either by
service of summons or voluntary appearance;
2. The defending party must have failed to file his answer within the time allowed therefor;
3. The claiming party must file a motion to declare the defending party in default;
NOTE:
GENERAL RULE: No default without motion
XPN: In environmental cases, court may declare a party in default motu proprio, Sec. 15, Rule II,
Rules on Environmental Cases
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4. The claiming party must prove that the defending party has failed to answer within the period provided
by the ROC; [Sablas v. Sablas, G.R. No. 144568 (2007)]
5. The defending party must be notified of the motion to declare him in default; and [Sec. 3, Rule 9]
6. There must be a hearing set on the motion to declare the defending party in default [Spouses de los
Santos v. Carpio, G.R. No. 153696 (2006)]
b. Effect of an order of default

A party in default shall be entitled to notices of subsequent proceedings but shall not take part in the
trial. [Sec. 3, Rule 9]
The party declared in default loses his standing in court. The loss of such standing prevents him from
taking part in the trial. He forfeits his rights as a party litigant, has no right to present evidence
supporting his allegations, to control the proceedings, or cross-examine witnesses. [1 Riano 305,
2016 Bantam Ed.]
A party in default may still participate as a witness. [Cavili v. Florendo, G.R. No. 73039 (1987)]
The court may either:

a. Proceed to render judgment granting the claimant such relief as his or her pleading may
warrant, or
b. Require the claimant to submit evidence; such reception of evidence may be delegated to the
clerk of court. [Sec. 3, Rule 9]
A declaration of default is not tantamount to an admission of the truth or validity of the plaintiff’s
claims. [Monarch Insurance v. CA, G.R. No. 92735 (2000)]
A defending party declared in default retains the right to appeal from the judgment by default.
However, the grounds that may be raised in such an appeal are restricted to any of the following:
a. The failure of the plaintiff to prove the material allegations of the complaint;
b. The decision is contrary to law; and
c. The amount of judgment is excessive or different in kind from that prayed for.
In these cases, the appellate tribunal should only consider the pieces of evidence that were presented by
the plaintiff during the ex parte presentation of his evidence. [Otero v. Tan, G.R. No. 200134 (2012)]
c. Relief from an order of default

Relief before judgment
File a motion under oath to set aside the order of default upon proper showing that:
a. His or her failure to answer was due to fraud, accident, mistake or excusable negligence,
and
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b. He has a meritorious defense - such that the motion must be accompanied by a statement of
the evidence which he intends to present if the motion is granted and which is such as to warrant
a reasonable belief that the result of the case would probably be otherwise if a new trial is granted
[Kilosbayan v. Janolo, G.R. No. 180543 (2010)] [Sec. 3(b), Rule 9]
NOTE: In case of denial of motion to set aside/life order of default, defendant may file a motion
for reconsideration. In case of denial of MR, proper remedy is certiorari, because it is an
interlocutory order which is not appealable. (Dean Tan)
Relief after judgment but before it has become final and executory
The party declared in default may file:
a. a motion for new trial or motion for reconsideration under Sec. 1(a), Rule 37 [Lina v. CA, G.R. No. L-
63397 (1985)], or
b. an appeal from the judgment as being contrary to the evidence or the law [Republic v. Sandiganbayan,
G.R. No. 148154 (2007), cited in 1 Riano 373, 2014 Bantam Ed.]
Relief after judgement has become final and executory

1. Petition for relief from judgment
2. Petition for annulment of judgment
3. Petition for certiorari
4. Collateral Attack
d. Effect of a partial default

Partial default takes place when the complaint states a common cause of action against several
defendants, and only some of whom answer. [Sec. 3, Rule 9]
Effects
1. Try the case against all upon the answers filed
2. Render judgment upon the evidence presented
If the defense is personal to the one who answered, it will not benefit those who did not answer.
e. Extent of relief
A judgment rendered against a party in default shall neither:
1. Exceed the amount,
2. Be different in kind from that prayed for, nor
3. Award unliquidated damages. [Sec. 3(d), Rule 9]
The fact that the defendant was declared in default is of no moment when the plaintiff would not have
been entitled to relief since his complaint did not state a cause of action, hence the same should be
dismissed. [1 Regalado 193, 2010 Ed., citing Reyes v. Tolentino, G.R. No. L-29142 (1971)].
f. Actions where default are not allowed

In case of failure to file an answer in an action for:
1. Annulment or declaration of nullity of marriage, or
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2. Legal separation
The court shall order the Solicitor General, or his or her deputized public prosecutor:
1. To investigate whether or not a collusion between the parties exists, or
2. To intervene for the State in order to see to it that the evidence submitted is not fabricated, if there is no
collusion. [Sec. 3(e), Rule 9]
Other instances where default is not allowed:

1. Special civil actions of certiorari, prohibition and mandamus where comment instead of an answer
is required to be filed. [Sec. 6, Rule 65]
2. Cases covered by the Rule on Summary Procedure [See Sec. 6, Rule on Summary Procedure, which
requires the court to render judgment if the defendant fails to answer
3. In expropriation proceedings, whether or not a defendant has previously appeared or answered, he
may present evidence as to the amount of compensation to be paid for his property in the trial of the issue
of just compensation. [Sec. 3(2), Rule 67]
4. Forcible entry and unlawful detainer
5. Small Claims
 Should the defendant fail to file his/her/its Response within the required period, and
likewise fail to appear on 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.
 Should the defendant fail to file his/her/its Response within the required period but
appears on the date set for hearing, the court shall ascertain what defense he/she/it has to
offer which shall constitute his/her/its Response, and proceed to hear or adjudicate the
case on the same day as if a Response has been filed.
6. Petition for Writ of Kalikasan
7. Petition for continuing mandamus
8. Writ of Amparo and Habeas Data
9. Environmental Cases (In these cases, judge may motu proprio declare defendant in default, but motion
to declare defendant default is a prohibited motion)
NOTE: Other than failure to answer, a party may be declared in default upon failure of a party or his
officer or managing agent to appear before the officer who is to take his deposition. (Sec. 5, Rule 29)
7. Filing and service of pleadings

RULE 13
FILING AND SERVICE OF PLEADINGS, JUDGMENTS AND OTHER PAPERS
Section 1. Coverage. – This Rule shall govern the filing of all pleadings, motions, and other court
submissions, as well as the service thereof, except those for which a different mode of service is
prescribed. (1a)
Section 4. Papers required to be filed and served. – Every

 judgment,
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 resolution,
 order,
 pleading subsequent to the complaint,
 written motion,
 notice,
 appearance,
 demand,
 offer of judgment or similar papers
shall be filed with the court, and served upon the parties affected. (4)
a. Payment of docket fees
It is not simply the filing of the complaint or appropriate initiatory pleading but the payment of the
prescribed docket fee that vests a trial court with jurisdiction over the subject matter or nature of
the action [Proton Pilipinas v. Banque National de Paris, G.R. No. 151242 (2005)]
Payment of docket fees is mandatory and jurisdictional [National Transmission Corporation v. Heirs
of Teodulo Ebesa, G.R. No. 186102 (2016)].
EFFECT OF FAILURE TO PAY DOCKET FEES AT FILING

a. The Manchester Rule
● Automatic Dismissal
● Any defect in the original pleading resulting in underpayment of the docket fees cannot be
cured by amendment, such as by the reduction of the claim as, for all legal purposes, there is no
original complaint over which the court has acquired jurisdiction [Manchester v. CA, G.R. No.
75919 (1987)]
b. Relaxation of the Manchester Rule (Sun Insurance Doctrine)

● NOT automatic dismissal
● Court may allow payment of fees within a reasonable time, but in no case beyond the expiration
of the applicable prescriptive period of the action filed [Sun Insurance v. Asuncion, G.R. No.
79937 (1989)]
c. Exception to the Sun Insurance doctrine – The Sun Insurance rule allowing payment of
deficiency does not apply where plaintiff never demonstrated any willingness to abide by the Rules
to pay the docket fee but stubbornly insisted that the case filed was one for specific performance and
damages [Gochan v. Gochan, G.R. No. 146089 (2001)]
d. Further modification
● Docket fees as lien
● Where the trial court acquires jurisdiction over a claim by the filing of the pleading and the
payment of the prescribed filing fee, but subsequently, the judgment awards a claim not
specified in the pleading, or cannot then be estimated, or a claim left for determination by
the court, then the additional filing fee shall constitute a lien on the judgment [Heirs of
Hinog v. Melicor, G.R. No. 140954 (2005)]
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e. Limitation on the claims covered by fees as lien

Claims not specified or claims although specified are left for determination of the court are limited only
to any damages that may arise after the filing of the complaint or similar pleading for then it will
not be possible for the claimant to specify nor speculate as to the amount thereof [Metrobank v.
Perez, G.R. No. 181842 (2010)]
b. Distinguish: filing and service of pleadings

Section 2, Rule 13. Filing and [s]ervice, defined. –
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.
If a party has appeared by counsel, service upon such party shall be made upon his or her
counsel, unless service upon the party and the party’s counsel is ordered by the court.
Where one counsel appears for several parties, such counsel shall only be entitled to one copy of any
paper served upon him by the opposite side.
Where several counsels appear for one party, such party shall be entitled to only one copy of any
pleading or paper to be served upon the lead counsel if one is designated, or upon any one of them if
there is no designation of a lead counsel. (2a)
c. Periods of filing of pleadings

RULE 11
WHEN TO FILE RESPONSIVE PLEADINGS
Section 1. Answer to the complaint. – The defendant shall file his or her answer to the complaint
within thirty (30) calendar days after service of summons, unless a different period is fixed by the
court. (1a)
Section 2. Answer of a defendant foreign private juridical entity. – Where the defendant is a
foreign private juridical entity and service of summons is made on the government official
designated by law to receive the same, the answer shall be filed within sixty (60) calendar days
after receipt of summons by such entity. (2a)
Section 3. Answer to amended complaint. – [When] the plaintiff files an amended complaint
 as a matter of right, the defendant shall answer the same within thirty (30) calendar days
after being served with a copy thereof.
 Where its filing is not a matter of right, the defendant shall answer the amended complaint
within fifteen (15) calendar days from notice of the order admitting the same.
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An answer earlier filed may serve as the answer to the amended complaint if no new answer is
filed. This Rule shall apply to the answer to an amended counterclaim, amended cross-claim, amended
third (fourth, etc.)-party complaint, and amended complaint-in-intervention. (3a)
Section 4. Answer to counterclaim or cross-claim. – A counterclaim or cross-claim must be

answered within twenty (20) calendar days from service. (4a)
Section 5. Answer to third (fourth, etc.)-party complaint. – The time to answer a third (fourth, etc)-
party complaint shall be governed by the same rule as the answer to the complaint. (5)
Section 6. Reply. – A reply, if allowed under Section 10, Rule 6 hereof, may be filed within fifteen
(15) calendar days from service of the pleading responded to. (6a)
Section 7. Answer to supplemental complaint. – A supplemental complaint may be answered within

twenty (20) calendar days from notice of the order admitting the same, unless a different period is
fixed by the court.
The answer to the complaint shall serve as the answer to the supplemental complaint if no new or
supplemental answer is filed. (7a)
Section 8. Existing counterclaim or cross-claim. – A compulsory counterclaim or a cross-claim

that a defending party has at the time he or she files his or her answer shall be contained therein.
(8a)
Section 9. Counterclaim or cross-claim arising after answer. – A counterclaim or a cross-claim

which either matured or was acquired by a party after serving his or her pleading may, with the
permission of the court, be presented as a counterclaim or a cross-claim by supplemental
pleading before judgment. (9a)
Section 10. Omitted counterclaim or cross-claim. – When a pleader fails to set up a counterclaim
or a cross-claim through oversight, inadvertence, or excusable neglect, or when justice requires ,
he or she may, by leave of court, set up the counterclaim or cross-claim by amendment before
judgment. (10a)
Section 11. 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 days to 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 a
mere scrap of paper. The court, however, may allow any other pleading to be filed after the time fixed
by these Rules. (11a)
When to file answer / response
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Initiatory Civil Case Summary Small Claims Environmental Cases

Pleading Procedure
Within 30 days
from service (unless Within 10 days from Within 10 days Within 15 days from
Complaint
otherwise fixed by service from service service
the court)
Answer of a
defendant foreign
private juridical
entity whose Within 60 calendar
summons was days from receipt of
served on the summons by such
government entity
official
designated by
law [Sec. 2]
Within 10 days Within 10 days from
Within 10 days from
Counterclaim/ Within 20 days from service service
service (counterclaim
(counterclaim /cross- counterclaim /cross-claim
Cross-claim from service /cross-claim must be set
claim must be set forth must be set forth in the
forth in the answer)
in the response) answer)
Third-party Within 30 days Prohibited
Prohibited pleading Prohibited pleading
complaint from service pleading
within fifteen (15)
calendar days from
Prohibited
Reply service of the Prohibited pleading Prohibited pleading
pleading
pleading responded
to.
Supplemental Within 20 days
Complaint from notice of order
Amended
Complaint as
matter of right
(similar rule to Within 30 days
counterclaim, from service
cross-claim and
third-party
complaint)
Amended within fifteen (15)
Complaint not as calendar days from
matter of right notice of the order
d. Manner of filing
i. Personal filing
ii. Filing by registered mail
iii. Filing by accredited courier
iv. Transmittal by electronic mail or other electronic means
Section 3. Manner of filing. – The filing of pleadings and other court submissions shall be made by:
Page 54 of 392
(a) Submitting personally the original thereof, plainly indicated as such, to the court;
(b) Sending them by registered mail;
(c) Sending them by accredited courier; or
(d) Transmitting them by electronic mail or other electronic means as may be authorized by the
[c]ourt in places where the court is electronically equipped.
In the first case, the clerk of court shall endorse on the pleading the date and hour of filing.
In the second and third cases, the date of the mailing of motions, pleadings, [and other court
submissions, and] payments or deposits, as shown by the post office stamp on the envelope or the
registry receipt, shall be considered as the date of their filing, payment, or deposit in court.
The envelope shall be attached to the record of the case.
In the fourth case, the date of electronic transmission shall be considered as the date of filing. (3a)
Mode of Filing Date of Filing

the clerk of court shall endorse on
the pleading the date and hour of
Personal
filing.
e. Modes of service
Section 5, Rule 13. Modes of [s]ervice. – Pleadings,
datemotions, notices, as
of the mailing orders,
shownjudgments,
by the and other
court submissions shall be served
Registered Mail / Accredited Courier post office stamp on the envelope or
 personally or the registry receipt
 by registered
Electronicmail,
mail / means date of electronic transmission
 accredited courier,
 electronic mail,
 facsimile transmission,
 other electronic means as may be authorized by the [c]ourt, or
 as provided for in international conventions to which the Philippines is a party. (5a)
Note: It is submitted that this does not apply to judgments, orders or resolutions of the court, Section 13,
Rule 13 governs rather than Section 5 as the former is a specific rule.
Section 10, Rule 13. 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 at least twenty (20) calendar days prior to the scheduled date of
hearing and
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 if the addressee is from within the same judicial region of the court where the case is
pending,
or
at least thirty (30) calendar days if the addressee is from outside the judicial region. (n)
Note: Since it is provided as a mere presumption, it may be subject to proof to the contrary, such as when
counsel adduces evidence that notice of the court setting was indeed not served.
i. Personal service
Section 6, Rule 13. Personal [s]ervice. – Court submissions may be served by
 personal delivery of a copy to the party or to the party’s counsel, or to their authorized
representative named in the appropriate pleading or motion, or
 by leaving it in his or her office with his or her clerk, or with a person having charge
thereof.
 If no person is found in his or her office, or his or her office is not known, or he or she has no
office, then by leaving the copy, between the hours of eight in the morning and six in the
evening, at the party’s or counsel’s residence, if known, with a person of sufficient age and
discretion residing therein. (6a)
 This is the preferred mode of service and filing because it will expedite action or resolution on a
pleading, motion or other paper and minimize, if not, eliminate delays. (Aguilar v. Benlot,
January 21, 2019)
ii. Service by registered mail

Section 7, Rule 13. Service by mail. – Service by registered mail shall be made by
 depositing the copy in the post office, in a sealed envelope,
 plainly addressed to the party or to the party’s counsel at his or her office, if known, otherwise
at his or her residence, if known,
 with postage fully pre-paid, and
 with instructions to the postmaster to return the mail to the sender after ten (10) calendar days
if undelivered.
If no registry service is available in the locality of either the sender or the addressee, service may be
done by ordinary mail. (7a)
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Section 8, Rule 13. Substituted service. – If service of pleadings, motions, notices, resolutions,
orders and other papers
 cannot be made under the two preceding [S]ections (personal and registered mail),
 the office and place of residence of the party or his or her counsel being unknown,
service may be made by
 delivering the copy to the clerk of court,

 with proof of failure of both personal service and service by mail.
The service is complete at the time of such delivery. (8a)
iii. Service by accredited courier
How service by accredited courier is done

Note: Unlike the other means of service, it seems that there is no provision under the Amended Rules
which outlines how service via accredited courier is done.
At most, the Amended Rules only provide that in the case of judgements, finals orders, and
resolutions, such service must be preceded by an ex parte motion requested by any party to the
proceedings. [Sec. 13, Rule 13]
iv. Service by electronic mail, facsimile transmission, or other electronic means

Section 9, Rule 13. Service by electronic means and facsimile. – Service by electronic means and
facsimile shall be made if
 the party concerned consents to such modes of service.
Service by electronic means shall be made by

o sending an e-mail to the party’s or counsel’s electronic mail address, or
o through other electronic means of transmission as the parties may agree on, or
upon direction of the court.
Service by facsimile shall be made by sending a facsimile copy to the party’s or counsel’s
given facsimile number. (n)
Subject format of electronically served documents and facsimiles

The subject of the e-mail and facsimile must follow the prescribed format:
1. Case number, followed by
2. Case title, followed by
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3. The pleading, order or document title.
• The title of each electronically-filed or served pleading or document, and each submission
served by facsimile, shall contain sufficient information to enable the court to ascertain from the
title:
a. The parties filing or serving the paper,

b. The nature of the paper,
c. The party or parties against whom relief, if any, is sought, and
d. The nature of the relief sought. [Sec. 12, Rule 13]
Change of electronic mail or facsimile number

A party who changes his e-mail address or facsimile number while the action is pending must file, within
5 calendar days, a notice of change of e-mail address or facsimile number with the court, and serve
notice on all other parties. [Sec. 11, Rule 13]
Service through the registered e-mail of the party shall be presumed valid unless such party notifies
the court of any change as aforementioned. [Sec. 11, Rule 13]
Note: Due to the rule providing for such presumption, any actual change in the e-mail addresses or
facsimile numbers of the parties will not bind the court unless the party gives notice of the change.
v. Service as provided for in international conventions

An example of an international convention which the Philippines is a party to which likewise relates to
service of court documents would be the Convention on the Service Abroad of Judicial and
Extrajudicial Documents in Civil or Commercial Matters.
f. Service of judgments, final orders or resolutions; service of court-issued orders and other
documents
Section 13, Rule 13. Service of judgments, final orders or resolutions. – Judgments, final orders or
resolutions shall be served either
 personally or
 by registered mail.
Upon ex parte motion of any party in the case, a copy of the judgment, final order, or
resolution may be delivered by accredited courier at the expense of such party.
When a party summoned by publication has failed to appear in the action, judgments, final
orders or resolutions against him or her shall be served upon him or her also by [means of]
publication at the expense of the prevailing party. (9a)
Section 18, Rule 13. Court-issued orders and other documents. – The court may electronically
serve orders and other documents to all the parties in the case which shall have the same effect and
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validity as provided herein.
A paper copy of the order or other document electronically served shall be retained and attached
to the record of the case. (n)
g. Conventional service or filing of orders, pleadings, and other documents

Section 14, Rule 13. Conventional service or filing of orders, pleadings and other documents. –
Notwithstanding the foregoing, the following orders, pleadings, and other documents must be
served or filed
 personally or
 by registered mail when allowed, and
shall not be served or filed electronically, unless express permission is granted by the court:
(a) Initiatory pleadings and initial responsive pleadings, such as an answer;
(b) Subpoena, protection orders, and writs;
(c) Appendices and exhibits to motions, or other documents that are not readily amenable to
electronic scanning may, at the option of the party filing such, be filed and served conventionally;
and
(d) Sealed and confidential documents or records. (n)
h. When service is deemed complete

Section 15, Rule 13. Completeness of service. –
Personal service is complete upon actual delivery.
Service by ordinary mail is complete upon the expiration of ten (10) calendar days after mailing,
unless the court otherwise provides.
Service by registered mail is complete

 upon actual receipt by the addressee, or
 after five (5) calendar days from the date he or she received the first notice of the
postmaster, whichever date is earlier.
Service by accredited courier is complete

 upon actual receipt by the addressee, or
 after at least two (2) attempts to deliver by the courier service, or
 upon the expiration of five (5) calendar days after the first attempt to deliver, whichever
is earlier.
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Electronic service is complete

 at the time of the electronic transmission of the document, or
 when available, at the time that the electronic notification of service of the document is sent.
Electronic service is not effective or complete if the party serving the document learns that it did
not reach the addressee or person to be served.
Service by facsimile transmission is complete upon receipt by the other party, as indicated in the
facsimile transmission printout. (10a)
i. Proof of filing and service
Proof of Filing
General rule: The filing of a pleading or any other court submission shall be proved by its existence in
the record of the case.
Exception: If the pleading or any other court document is not in the record, but is claimed to have been
filed by the following modes, proof shall be:
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8. Amendment
RULE 10
AMENDED AND SUPPLEMENTAL PLEADINGS
Section 1. Amendments in general. – Pleadings may be amended by
 adding or striking out an allegation or the name of any party, or

 by correcting a mistake in the name of a party or a mistaken or inadequate allegation or
description in any other respect, so that the actual merits of the controversy may speedily be
determined, without regard to technicalities, in the most expeditious and inexpensive manner.
(1a)
How to file amended pleadings

When any pleading is amended, a new copy of the entire pleading, incorporating the amendments, which
shall be indicated by appropriate marks, shall be filed. [Sec. 7, Rule 10]
No amendment necessary to conform to or authorize presentation of evidence

When issues are not raised in the pleadings but are tried with the consent of the parties, they shall be
treated as if they had been raised in the pleading. No amendment of such pleadings deemed amended is
necessary to cause them to conform to the evidence. [Sec. 5, Rule 10]
No Amendment allowed to set up a cause of action not existing at the time of filing
The prevailing rule on the amendment of pleadings is one of liberality, with the end of obtaining
substantial justice for the parties. However, the option of a party-litigant to amend a pleading is not
without limitation.
If the purpose is to set up a cause of action not existing at the time of the filing of the complaint,
amendment is not allowed. If no right existed at the time the action was commenced, the suit cannot
be maintained, even if the right of action may have accrued thereafter.
a. Amendment as a matter of right

Section 2, Rule 10. Amendments as a matter of right. – A party may amend his [or her] pleading
Page 61 of 392
once as a matter of right
 at any time before a responsive pleading is served or,

 in the case of a reply, at any time within ten (10) calendar days after it is served. (2a)
A motion to dismiss is not a responsive pleading and does not preclude the exercise of the plaintiff’s right
to amend his complaint. [Remington Industrial Sales v. CA, G.R. No. 133657 (2002)]. A motion is not a
pleading.
Proper remedy in case of denial of a motion to amend as a matter of right is to file a petition for
mandamus, since it is a ministerial duty of the court to allow the amendment before a responsive
pleading is filed.
NOTE:
 Service of summons is required only in case of an amendment if the court has not yet acquired
jurisdiction over the person of the defendant.
 Certificate against non-forum shopping is only required in case of substantial amendment.
b. Amendments by leave of court

Section 3, Rule 10. Amendments by leave of court. – Except as provided in the next preceding
Section, substantial amendments may be made only upon leave of court.
But such leave shall be refused if it appears to the court that the motion was made with intent to
 delay or
 confer jurisdiction on the court, or
 the pleading stated no cause of action from the beginning which could be amended.
Orders of the court upon the matters provided in this [S]ection shall be made upon motion filed in
court, and after notice to the adverse party, and an opportunity to be heard. (3a)
Requisites
a. Motion for leave of court, accompanied by the amended pleading sought to be admitted; [Sec. 10, Rule
15]
b. Notice is given to the adverse party; and
c. Parties are given the opportunity to be heard. [Sec. 3, Rule 10]
Proper denial in case of denial of motion for leave to amend is a petition for certiorari under Rule 65,
because the order denying he motion is merely discretionary and interlocutory.
Limitations on the amendment as a matter of discretion / with leave of court:

1. Should not substantially change the cause of action
2. Shall not alter the theory of the case
3. Not made to delay the action (Tiu vs. Philippine Bank of Communications, August 19, 2009)
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c. Formal amendment
Section 4, Rule 10. Formal amendments. –
 A defect in the designation of the parties and

 other clearly clerical or typographical errors
may be summarily corrected by the court at any stage of the action,
 at its initiative or
 on motion,
provided no prejudice is caused thereby to the adverse party. (4)
d. Effect of amended pleading

Section 8, Rule 10. Effect of amended pleadings. – An amended pleading
o supersedes the pleading that it amends.
However,
o admissions in superseded pleadings may be offered in evidence against the
pleader, and
o claims or defenses alleged therein not incorporated in the amended pleading shall
be deemed waived. (8a)
Other effects:
o Admission made in the original pleading shall be treated as an extrajudicial admission which
shall be alleged and proved
o Ancillary order/remedy issued in the original pleading is deemed vacated or lifted
o Requires another certificate of non-forum shopping if it is a substantial amendment
e. Supplemental pleadings
Section 6. Supplemental pleadings.
o Upon motion of a party, the court may,

o upon reasonable notice and
o upon such terms as are just,
permit him or her to serve a supplemental pleading setting forth transactions, occurrences or
events which have happened since the date of the pleading sought to be supplemented.
The adverse party may plead thereto within ten (10) calendar days from notice of the order
admitting the supplemental pleading. (6a)
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Note: The admission or non-admission of a supplemental pleading is not a matter of right but is
discretionary on the court. Note the language of Sec. 6, Rule 10: “may”.
G. SUMMONS
1. Nature and purpose of summons

Summons is a writ by which the defendant is notified of the action brought against him or her. In a civil
action, service of summons is the means by which the court acquires jurisdiction over the person of the
defendant. Any judgment without such service, in the absence of a valid waiver, is null and void.
(Robinson v. Miralles, Dec. 12, 2006)
Kinds of summons:
1. Original summons – writ issued by the clerk of court upon receipt of the complaint and the
payment of the requisite docket and other lawful fees
2. Alias summons – writ issued by the clerk of court when the original summons has been lost or
not duly served without fault on the part of the plaintiff
a. In relation to actions in personam, in rem and quasi in rem

Action in Personam In rem and quasi in rem
Purpose Purpose
a. To acquire jurisdiction over the person of the a. Not to acquire jurisdiction over the defendant
defendant in a civil case but mainly to satisfy the constitutional
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requirement of due process

b. To give notice to the defendant that an action
has been commenced against him. [1 Riano 376, b. Jurisdiction over the defendant is not required
2011 Ed.]
c. The court acquires jurisdiction over an action as
Where the action is in personam, that is, one long as it acquires jurisdiction over the res that is
brought against a person on the basis of his the subject matter of the action. [Macasaet v. Co,
personal liability, jurisdiction over the person of Jr., G.R. No. 156759 (2013
the defendant is necessary for the court to validly
try and decide the case. [Velayo-Fong v. Velayo,
G.R. No. 155488 (2006)]
b. When summons is issued

RULE 14
SUMMONS
Section 1. Clerk to issue summons. – Unless the complaint is on its face dismissible under Section
1, Rule 9, the court shall,
 within five (5) calendar days from receipt of the initiatory pleading and
 proof of payment of the requisite legal fees,
direct the clerk of court to issue the corresponding summons to the defendants.
Summons shall not be issued, and the case shall be dismissed if the complaint on its face is
dismissible under Sec. 1, Rule 9. Such provides for the non-waivable grounds for dismissal of a
complaint, to wit:
1. The court has no jurisdiction over the subject matter

2. Litis pendentia
3. Res judicata
4. The action is barred by the statute of limitations. [Sec. 1, Rule 14]
Summons not required in case of a petition for habeas corpus

Suffice it to state that service of summons, to begin with, is not required in a habeas corpus petition. As
held in Saulo v. Cruz, a writ of habeas corpus plays a role somewhat comparable to a summons, in
ordinary civil actions, in that, by service of said writ, the court acquires jurisdiction over the person
of the respondent.
c. Contents of summons
Section 2, Rule 14. Contents. – The summons shall be directed to the defendant, signed by the clerk of
court under seal, and contain:
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(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 answers 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.
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. (2a)
Note: The plaintiff may serve summons together with the sheriff, only when
 the sheriff, his deputy or proper court officer fails to serve summons, or
 if the summons is to be served outside the judicial region of the court.

In the latter case, there would be no need for the sheriff, his deputy, or the proper court officer to
have first failed to serve the summons before the plaintiff may be authorized by court to serve
summons. [Sec. 3, Rule 14]
d. Duty of counsel
Section 13, Rule 14. 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. (n)
Note: Due to this new provision in the rules, when the defendant claims lack of jurisdiction over his
person by special appearance, the court will no longer dismiss the case but instead will deputize the
counsel to serve summons on his client. This is also in line with the amendment removing lack of
jurisdiction over the person of the defendant as a ground for an allowable motion to dismiss. It remains,
however, as an affirmative defense that may be raised in the answer.
e. Return
Section 20, Rule 14. 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,
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 personally,
 by registered mail, or
 by electronic means authorized by the Rules.
Should substituted service have 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 two (2) 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. (4a)
2. Voluntary appearance
Section 23, Rule 14. 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. (20a)
Note: It is submitted that despite Sec. 23, Rule 14 mentioning lack of jurisdiction over the person as a
ground to be included in a motion to dismiss, such still remains to be a prohibited motion under Sec. 12,
Rule 15, as the only allowable grounds for a motion to dismiss are lack of jurisdiction over the subject
matter, litis pendencia, res judicata, and prescription. A motion to dismiss on the basis of lack of
jurisdiction over the defendant should be dismissed outright. [Sec. 12, Rule 15]
*Parties asking an affirmative action or relief from court is considered voluntary appearance. (e.g. motion
for extension of time to file answer, motion to set aside order of default)
*Special appearance in court challenging the jurisdiction of said court on the ground of invalid summons
is not voluntary submission. (Go vs. Cordero, May 4, 2010. See Rule 14, Sec. 13, Duty of counsel of
record to serve summons to his client)
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3. Who may serve summons

Section 3, Rule 14. By whom served. – The summons may be served by the
 sheriff,
 his or her deputy, or
 other proper court officer, and
 in case of failure of by service of summons them, the court may authorize the plaintiff - to
serve the summons - together with the sheriff.
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.
If the plaintiff is a juridical entity, it shall notify the court, in writing, and name its
authorized representative therein, attaching 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.
If the plaintiff misrepresents that the defendant was served summons, and it is later
proved that no summons was served,
o the case shall be dismissed with prejudice,

o the proceedings shall be nullified, and
o the plaintiff shall be meted appropriate sanctions.
If summons is returned without being served on any or all the defendants, the court shall order
the plaintiff to cause the service of summons by other means available under the Rules.
Failure to comply with the order shall cause the dismissal of the initiatory pleading without
prejudice. (3a)
4. Personal service of summons

Section 5, Rule 14. Service in person on defendant. – Whenever practicable, the summons shall be
served by
 handing a copy thereof to the defendant in person and informing the defendant that he or
she is being served, or
 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. (6a)
NOTE:
 In actions in personam, summons on the defendant must be served by handing a copy
thereof to the defendant in person, or, if he refuses to receive it, by tendering it to him. If
efforts to serve the summons personally to defendant is impossible, service may be effected by
leaving copies of the summons at the defendant’s dwelling house or residence with some person
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of suitable age and discretion residing therein, or by leaving the copies at the defendant’s office
or regular place of business with some competent person in charge thereof. Otherwise stated,
service of summons upon the defendant shall be by personal service first and only when the
defendant cannot be promptly served in person will substituted service be availed of.
(Samartino v. Raon, July 3, 2002)
 Tendering is part of personal service of summons. As defined by the rules, that is leaving the
summons within the view and in the presence of the defendant.
5. Substituted service of summons

Section 6, Rule 14. Substituted service. – If, for justifiable causes, the defendant cannot be served
personally after at least three (3) 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;
(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;
(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; and
(d) By sending an electronic mail to the defendant’s electronic mail address, if allowed by the
court. (7a)
To warrant the substituted service of the summons and copy of the complaint, the serving officer must
first attempt to effect the same upon the defendant in person. Only after the attempt at personal service
has become impossible within a reasonable time may the officer resort to substituted service (at least
three (3) attempts on two (2) different dates) (Frias vs. Alcayde, Feb. 28, 2018)
Substituted Service of Pleadings and Motions Substituted Service of Summons

(Rule 13) (Rule 14)
When available: When available:
 cannot be made through personal and  the defendant cannot be served

registered mail, and personally after at least three (3)
attempts on two (2) different dates
 the office and place of residence of the
party or his or her counsel being
unknown,
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How done: How done:
 delivering the copy to the clerk of court (a) By leaving copies of the summons at the
defendant’s residence to a person at least
 with proof of failure of both personal eighteen (18) years of age and of sufficient
service and service by mail. discretion residing therein;
(b) By leaving copies of the summons at [the]

defendant’s office or regular place of business
with some competent person in charge thereof.
(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; and
(d) By sending an electronic mail to the

defendant’s electronic mail address, if allowed
by the court. (7a)
6. Constructive service
a. Service upon a defendant where his identity is unknown or where his whereabouts are unknown
Section 16, Rule 14. Service upon defendant whose identity or whereabouts are unknown. –
In any action where the defendant is
 designated as an unknown owner, or the like, or
 whenever his or her whereabouts are unknown and
 cannot be ascertained by diligent inquiry, within ninety (90) calendar days from the
commencement of the action,
service may, by leave of court, be effected upon him or her by publication in a newspaper
of general circulation and in such places and for such time as the court may order.
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. (14a)
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*This mode of service is available even to action in personam, as the provision allows application of this
provision “in any action.”
b. Service upon residents temporarily outside the Philippines

Section 18, Rule 14. Residents temporarily out of the Philippines. –
When any action is commenced against a defendant who ordinarily resides within the Philippines,
but who is temporarily out of it, service may, by leave of court, be also effected out of the
Philippines, as under the preceding Section (Extraterritorial Service). (16a)
7. Extraterritorial service, when allowed

Section 17, Rule 14. Extraterritorial service. – When the
 defendant does not reside and
 is not found in the Philippines, and
 the action
o affects the personal status of the plaintiff or relates to, or
o the subject of which is, property within the Philippines, in which the defendant
has or claims a lien or interest, actual or contingent, or in which the relief
demanded consists, wholly or in part, in excluding the defendant from any
interest therein, or
o the property of the defendant has been attached within the Philippines,
service may, by leave of court, be effected out of the Philippines by
 personal service as under Section 5; or
 as provided for in international conventions to which the Philippines

is a party; or
 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
 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. (15a)
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*If the case is an action in personam, and the defendant does not reside and is not found in the
Philippines, the Philippines cannot try any case against it because of the impossibility of acquiring
jurisdiction over its person. (NM Rotschild and Sons Limited vs. Lepanto Consolidated Mining
Company, Nov. 28, 2011)
8. Service upon prisoners and minors; upon spouses
Section 8, Rule 14. Service upon prisoners. – When the defendant is a prisoner confined in a jail or
institution, service shall be effected upon him or her by the officer having the management of such
jail or institution who is deemed as a special sheriff for said purpose.
The jail warden shall file a return within five (5) calendar days from service of summons to the
defendant. (9a)
Section 10, Rule 14. Service upon minors and incompetents. – When the defendant is a minor,
insane or otherwise an incompetent person, service of summons shall be made
 upon him or her personally and

 on his or her legal guardian if he or she has one, or if none, upon his or her guardian ad
litem whose appointment shall be applied for by the plaintiff.
In the case of a minor, service shall be made on his or her parent or guardian. (10a)
Section 11, Rule 14. Service upon spouses. – When spouses are sued jointly, service of summons
should be made to each spouse individually. (n)
9. Service upon domestic or foreign private juridical entities

RULE 14
Section 7. Service upon entity without juridical personality. – When persons associated in an
entity without juridical personality are sued under the name by which they are generally or
commonly known, service may be effected upon all the defendants by
 serving upon any one of them, or

 upon the person in charge of the office or place of business maintained in such name.
But such service shall not bind individually any person whose connection with the entity has,
upon due notice, been severed before the action was filed. (8a)
Section 12. 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
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personality, service may be made on the
 president,
 managing partner,
 general manager,
 corporate secretary,
 treasurer, or
 in-house counsel of the corporation
wherever they may be found, or
in their absence or unavailability,

 on their secretaries.
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.
In case the domestic juridical entity is under receivership or liquidation, service of summons
shall be made
 on the receiver or liquidator, as the case may be.
Should there be a refusal on the part of the persons above-mentioned to receive summons
despite at least three (3) attempts on two (2) different dates, service may be made
 electronically, if allowed by the court, as provided under Section 6 of this Rule (substituted
service). (11a)
Section 14. Service upon foreign private juridical entities. – When the defendant is a foreign
private juridical entity which has transacted or is doing business in the Philippines , as defined by
law, service may be made
 on its resident agent designated in accordance with law for that purpose, or,
 if there be no such agent, on the
o government official designated by law to that effect, or

o on any of its officers, agents, directors or trustees within the Philippines.
If the foreign private juridical entity is not registered in the Philippines, or has no
resident agent but has transacted or is doing business in it, as defined by law, such service
may, with leave of court, be effected outside of the Philippines through any of the
following means:
(a) By personal service coursed through the appropriate court in the foreign country with the
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assistance of the Department of Foreign Affairs;
(b) By
 publication once in a newspaper of general circulation in the country where
the defendant may be found and
 by serving a copy of the summons and the court order by registered mail at
the last known address of the defendant;
(c) By facsimile;
(d) By electronic means with the prescribed proof of service; or
(e) By such other means as the court, in its discretion, may direct. (12a)
Section 15. Service upon public corporations. – When the
 defendant is the Republic of the Philippines; service may be effected on the Solicitor
General;
 in case of a province, city or municipality, or like public corporations, service may be

effected on its executive head, or on such other officer or officers as the law or the court
may direct. (13a)
SERVICE OF SUMMONS UPON DOMESTIC/FOREIGN JURIDICAL ENTITY

Foreign Juridical entity Foreign Juridical entity not
Upon Domestic Private Juridical registered/ has a resident agent registered/ has no resident agent
Entity and is doing business in the but has transacted or is doing
Philippines business in the Philippines
service may be made on the Service may be made on: Service may, with leave of court, be
effected outside the Philippines
 president, 1. Its resident agent designated in through:
 managing partner, accordance with law,
 general manager, 1. Personal service coursed through the
 corporate secretary,
2. If there is no such agent, on the appropriate court in the foreign country
 treasurer, or
 in-house counsel of the government official designate by law to with the assistance of the DFA;
corporation that effect, or
2. Publication once in a newspaper of
wherever they may be found, 3. On any of its officers, agents, general circulation in the country where
or directors, or trustees within the the defendant may be found and by
Philippines. serving a copy of the summons and the
in their absence or court order by registered mail at the last
unavailability, known address of the defendant;
 on their secretaries.
3. Facsimile;
If such service cannot be made
upon any of the foregoing
4. Electronic means with the prescribed
persons, it shall be made
proof of service; or
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 upon the person who

customarily receives the 5. Other means as the court, in its
correspondence for the
discretion, may direct.
defendant at its principal
office.
10. Proof of service

PROOF OF SERVICE
Proof of Service, In General Summons by Electronic Mail Summons by Publication
Section 21, Rule 14. Proof of Sec. 21, Rule 14. If summons Section 22, Rule 14. Proof of
service. – The proof of service was served by electronic mail, service by publication. – If the
of a summons shall be: service has been made by
 a printout of said e- publication, service may be
 made in writing by the mail, with a copy of proved by the:
server and the summons as
served, and  affidavit of the
 shall set forth the publisher, editor,
manner, place, and  the affidavit of the business or advertising
date of service; person mailing, manager
 shall specify any  a copy of the

shall constitute as proof of
papers which have publication shall be
been served with the service. attached and
process and
 by an affidavit
 the name of the person showing the deposit of
who received the same; a copy of the summons
and and order for
publication in the post
 shall be sworn to when office, postage prepaid,
made by a person directed to the
other than a sheriff or defendant by
his or her deputy. registered mail to his
or her last known
address.
H. MOTIONS
1. Motions in general
a. Definition of a motion
RULE 15
MOTIONS
Section 1. Motion defined. – A motion is an application for relief other than by a pleading.
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*Under the Revised 2016 Rules on Small Claims an informal request or letter asking for an affirmative
action from the court is a motion.
Kinds of Motion:
1. Motion ex-parte – made without the presence or notification to the other party because the
question generally is not debatable
2. Motion of course – movant is entitled to the relief or remedy sough as a matter of discretion on
the part of the court
3. Litigated motion – made with notice to the adverse party to give him an opportunity to oppose
4. Non-litigated motion – notice to the adverse party and hearing is not required
5. Special Motion – addressed to the sound discretion of the court
6. Oral Motion – made in open court
7. Written motion – formally placed in writing
b. Distinguish: motions and pleadings
Pleadings Motion
Purpose Purpose
Submit a claim or defense for appropriate Application for relief other than by a pleading
judgment
Relief sought Relief Sought

Judgment which by its character finally disposes Other reliefs that are not included in a judgment
of the case
Always in writing Generally, in writing, except when made in open

court or during trial
c. Contents and form of motions
Section 3, Rule 15. Contents. – A motion shall state
 the relief sought to be obtained and

 the grounds upon which it is based, and
 if required by these Rules or necessary to prove facts alleged therein, shall be accompanied
by supporting affidavits and other papers. (3)
Section 11, Rule 15. Form. – The Rules applicable to pleadings shall apply to written motions so
far as concerns caption, designation, signature, and other matters of form. (10)
Section 2, Rule 15. Motions must be in writing. – All motions shall be in writing except those made
in open court or in the course of a hearing or trial.
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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.
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. (2a)
d. Litigious and non-litigious motions; when notice of hearing necessary

Litigious Motions Non-Litigious Motions
Section 6, Rule 15. Notice of hearing on litigious Motions which the court may act upon without
motions; discretionary. – The court may, prejudicing the rights of adverse parties.
 in the exercise of its discretion, and Such motions shall not be set for hearing and the
court shall resolve the motion within 5 calendar
 if deemed necessary for its resolution, days from receipt of the motion.
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. (5a)
Section 8, Rule 15. Motion day. – Except for

motions requiring immediate action, where the
court decides to conduct hearing on a litigious
motion, the same shall be set on a Friday.
Section 5, Rule 15. Litigious motions. – Section 4, Rule 15. Non-litigious motions. – Motions
(a) Litigious motions include: which the court may act upon without prejudicing
the rights of adverse parties are non-litigious
1) Motion for bill of particulars; motions. These motions include:
2) Motion to dismiss;
a) Motion for the issuance of an alias summons;
3) Motion for new trial;
b) Motion for extension to file answer;
4) Motion for reconsideration;
c) Motion for postponement;
5) Motion for execution pending appeal;
d) Motion for the issuance of a writ of execution;
6) Motion to amend after a responsive pleading has
e) Motion for the issuance of an alias writ of execution;
been filed;
f) Motion for the issuance of a writ of possession;
7) Motion to cancel statutory lien;
g) Motion for the issuance of an order directing the
8) Motion for an order to break in or for a writ of
sheriff to execute the final certificate of sale; and
demolition;
h) Other similar motions
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9) Motion for intervention;

10) Motion for judgment on the pleadings;
11) Motion for summary judgment;
12) Demurrer to evidence;
13) Motion to declare defendant in default; and
14) Other similar motions.
(b) All 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.
(c) 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.
The motion 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. (n)
e. Omnibus motion rule

Section 9, Rule 15. Omnibus motion. – Subject to the provisions of Section 1 of Rule 9, a motion
attacking a pleading, order, judgment, or proceeding shall include all objections then available,
and all objections not so included shall be deemed waived. (8a)
Exceptions: Non-waivable grounds under Sec. 1, Rule 9, namely:

a. Lack of jurisdiction over subject matter
b. Litis pendentia
c. Res judicata
d. Prescription
Examples of Omnibus Motions:

 Motion to dismiss
 Motion for new trial
 Motion to quash complaint or information
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 Motion to quash warrant of arrest

 Motion to quash search warrant
f. Prohibited motions
Section 12, Rule 15. Prohibited motions. – The following motions shall not be allowed:
(a) Motion to dismiss except on the following grounds:
1) That the court has no jurisdiction over the subject matter of the claim;
2) That there is another action pending between the same parties for the same cause; and
3) That the cause of action is barred by a prior judgment or by the statute of limitations;
(b) Motion to hear affirmative defenses;
(c) Motion for reconsideration of the court’s action on the affirmative defenses;
(d) Motion to suspend proceedings without a temporary restraining order or injunction issued by
a higher court;
(e) 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
(f) 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.
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. (n)
Motion to Dismiss
The Amended Rules of Court have deleted Rule 16 of the old Rules of Court, which formerly dealt with
motions to dismiss. Despite this, the Amended Rules do allow the filing of a motion to dismiss. The
grounds, however, are limited only to lack of jurisdiction over the subject matter, litis pendentia, res
judicata, and prescription. [Sec. 12, Rule 15]
The other grounds for a motion to dismiss under Rule 16 of the old Rules (i.e. lack of jurisdiction over the
person, improper venue, lack of capacity to sue, payment/release, unenforceability under the statute of
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frauds, failure to comply with condition precedent) can now only be raised as affirmative defenses. [Sec.
12, Rule 8, citing Sec. 5(b), Rule 6]
Notably, the Amended Rules empower the court to dismiss a case motu proprio if the aforementioned
non-waivable grounds are apparent on the face of the complaint. [Sec. 1, Rule 14]
When a Motion to Dismiss can be Filed

With the repeal of Rule 16 under the Amended Rules, it seems that the Rules do not provide specifically
when a motion to dismiss can be filed. It is therefore submitted that it is unnecessary for the rules to
provide a period for filing a motion to dismiss, since the grounds under Sec. 1, Rule 9 are non-waivable.
Thus, a motion to dismiss can be filed at any time during the proceedings, subject to the exception of
estoppel by laches provided for in Tijam v. Sibonghanoy [23 SCRA 29 (1968)].
*Order denying a motion to dismiss is an interlocutory order which neither terminates the case nor
finally disposes of it, as it leaves something to be done by the court before the case is finally decided on
the merits. Therefore, not appealable under Rule 41, Section 1(b). (Dean Tan)
* However, if the non-waivable grounds under Sec. 1, Rule 9 are raised not as affirmative defenses, but in
a motion to dismiss, it is submitted that the movant may still file a motion for reconsideration or a
petition for certiorari, mandamus, or prohibition against the order of denial of the motion to dismiss.
This is because there is no prohibition against its filing, as opposed to if the ground is set forth as an
affirmative defense in the answer and the affirmative defense is denied (UP BOC 2020)
Motion to hear affirmative defenses

Note: Such motion is prohibited since under the Amended Rules, the court is required to act motu
proprio on the affirmative defenses set out in the answer within 30 calendar days if the affirmative
defense is among those listed in Sec. 12, Rule 8. The court is also allowed to avail of a summary hearing
within 15 calendar days from the filing of the answer, and is thereafter mandated to resolve the
affirmative defense within 30 calendar days from the termination of the summary hearing if the
affirmative defenses are those set forth in the first paragraph of Sec. 5(b), Rule 6. [Sec. 12, Rule 8]
Motion for reconsideration of the court’s action on affirmative defenses;

Note: Prohibited because:
The denial of an affirmative defense shall not be the subject of a motion for reconsideration or a petition
for certiorari, prohibition, or mandamus. [Sec. 12, Rule 8]
However, it is not clear from the amended rules whether the court’s action of approving an affirmative
defense cannot be the subject to a motion for reconsideration, since Sec. 12(c), Rule 15 merely provides
that a motion for reconsideration of the court’s action on an affirmative defense is a prohibited pleading.
It does not distinguish whether between the court’s act of either denying or approving the affirmative
defense.
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 Sec. 11, Rule 11;
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Any pleading may still be filed out of time without seeking for motion for extension of time, and it will
depend on the court whether it will be admitted. The Rules authorizes the court, in its discretion, to accept
a pleading, although filed late. [Sec. 11, Rule 11]
2. Motions for Bill of Particulars
a. Purpose and when applied for

RULE 12
BILL OF PARTICULARS
Section 1. When applied for; purpose. – 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. (1a)
* Nature: It is a litigious motion.
Instances where motion for bill of is not allowed:

1. Intra-corporate disputes
2. Cases under Rules on Summary Procedure
3. Cases under Rules on Small Claims
4. Cases under Rules on Environmental Cases
5. Cases under Rules on Writ of Amparo
6. Cases under Rules on Habeas Data
b. Actions of the court

Section 2, Rule 12. Action by 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
 deny or grant it outright, or
 allow the parties the opportunity to be heard. (2)
c. Compliance with the order and effect of noncompliance

Section 3, Rule 12. Compliance with order. – If the motion is granted, either in whole or in part,
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the compliance therewith
 must be effected within ten (10) calendar days from notice of the order, unless a different
period is fixed by the court.
The bill of particulars or a more definite statement ordered by the court may be filed either
 in a separate or
 in an amended pleading,
serving a copy thereof on the adverse party. (3a)
Section 6, Rule 12. Bill a part of pleading. – A bill of particulars becomes part of the pleading for
which it is intended. (6)
Section 4, Rule 12. Effect of non-compliance. – If the order is
 not obeyed, or
 in case of insufficient compliance therewith,
the court may

 order the striking out of the pleading or the portions thereof to which the order was
directed, or
 make such other order as it deems just. (4)
If the plaintiff fails to obey the order of the court, his complaint may be dismissed by the court without
prejudice. This dismissal shall have the effect of an adjudication upon the merits, unless otherwise
declared by the court. [Sec. 3, Rule 17]
d. Effect on the period to file a responsive pleading

Section 5, Rule 12. Stay of period to file responsive pleading. –
 After service of the bill of particulars or of a more definite pleading, or
 after notice of denial of his or her motion,
the moving party 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 in any event. (5a)
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I. DISMISSAL OF ACTIONS
1. Dismissal with prejudice
Section 13, Rule 15. Dismissal with prejudice. – Subject to the right of appeal, an order granting a
 motion to dismiss or
 an affirmative defense that the
o cause of action is barred by a prior judgment or by the statute of limitations (res

judicata);
o that the claim or demand set forth in the plaintiff’s pleading has been paid, waived,
abandoned or otherwise extinguished; or
o that the claim on which the action is founded is unenforceable under the provisions of
the statute of frauds,
shall bar the refiling of the same action or claim. (5, R16)
2. Dismissal upon notice by plaintiff

Section 1, Rule 17. Dismissal upon notice by plaintiff. – A complaint may be dismissed by the
plaintiff by filing a notice of dismissal at any time
 before service of the answer or of

 a motion for summary judgment.
Upon such notice being filed, the court shall issue an order confirming the dismissal.
Unless otherwise stated in the notice, the dismissal is without prejudice,
except that 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. (1)
Withdrawal is not automatic but requires an order by the court confirming the dismissal. Until thus
confirmed, the withdrawal does not take effect [1 Herrera 1055, 2007 Ed.]
It is not the order confirming the dismissal which operates to dismiss the complaint. As the name of the
order implies, it merely confirms the dismissal already effected by the filing of the notice [1 Riano 489,
2014 Bantam Ed.]
General rule: Dismissal is without prejudice

Exceptions:
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a. Unless otherwise stated in the notice

b. 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 [Sec. 1, Rule 17]
Two-dismissal Rule
The notice of dismissal operates as an adjudication upon the merits [Sec. 1, Rule 17] Applies
when the plaintiff has
1. A twice dismissed action,
2. Based on or including the same claim,
3. In a court of competent jurisdiction. [1 Riano 490, 2014 Bantam Ed.]
3. Dismissal upon motion by plaintiff; effect on existing counterclaim

Section 2, Rule 17. Dismissal upon motion of plaintiff. – Except as provided in the preceding
Section, a complaint shall not be dismissed at the plaintiff’s instance save upon
 approval of the court and

 upon such terms and conditions as the court deems proper.
If a counterclaim has been pleaded by a defendant prior to the service upon him or her of
the plaintiff’s motion for dismissal, the dismissal shall be limited to the complaint.
The dismissal shall be without prejudice to the right of the defendant to prosecute his 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.
Unless otherwise specified in the order, a dismissal under this paragraph shall be without
prejudice.
A class suit shall not be dismissed or compromised without the approval of the court. (2a)
Note: Sec. 2, Rule 17 is clear: the counterclaim is not dismissed, whether it is a compulsory or a
permissive counterclaim because the rule makes no distinction [1 Riano 491, 2014 Bantam Ed.]
4. Dismissal due to the fault of plaintiff

Section 3. Dismissal due to fault of plaintiff. – If, for no justifiable cause, the plaintiff fails
 to appear on the date of the presentation of his or her evidence in chief on the complaint,
or
 to prosecute his or her action for an unreasonable length of time, or
 to comply with these Rules or any order of the court,
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the complaint may be dismissed upon

 motion of the defendant or
 upon the court’s own motion,
without prejudice to the right of the defendant to prosecute his or her counterclaim in the
same or in a separate action.
This dismissal shall have the effect of an adjudication upon the merits, unless otherwise
declared by the court. (3a)
Failure to prosecute his action for an unreasonable length of time, also called as non-prosequitur
a. The test for dismissal of a case due to failure to prosecute is whether or not, under the
circumstances, the plaintiff is chargeable with want of due diligence in failing to proceed with
reasonable promptitude. [Calalang v. CA, G.R. No. 103185 (1993)]
b. The dismissal of an action pursuant to this Rule rests upon the sound discretion of the court. [Smith
Bell and Co. v. American President Lines Ltd., G.R. Nos. L-5304 to L-5324 (1954)]
c. The action should never be dismissed on a non-suit for want of prosecution when the delay was caused
by the parties looking towards a settlement. [Goldloop Properties Inc. v. CA, G.R. No. 99431 (1992)]
Note: Under Sec. 3, Rule 14, the plaintiff’s failure to comply with the order of the court to serve
summons shall cause the dismissal of the initiatory pleading without prejudice. This rule can be seen
as an exception to the general rule that dismissal due to failure to comply with the order of the
court shall cause dismissal with prejudice.
Kinds of Dismissal by Plaintiff Effect of dismissal

Dismissal upon notice by plaintiff Generally, without prejudice subject to the two-
dismissal rule
Dismissal upon motion by plaintiff Without prejudice unless otherwise provided in
the order
Dismissal due to the fault of plaintiff With prejudice, unless otherwise declared by the
court
5. Dismissal of counterclaim, cross-claim or third-party complaint

Section 4, Rule 17. Dismissal of counterclaim, cross-claim, or third-party complaint. – The
provisions of this Rule shall apply to the dismissal of any counterclaim, cross-claim, or third-party
complaint.
A voluntary dismissal by the claimant by notice as in Section 1 of this Rule, shall be made before a
 responsive pleading or a motion for summary judgment is served or,
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 if there is none, before the introduction of evidence at the trial or hearing. (4)
J. PRE-TRIAL
1. Concept of pre-trial
Section 1, Rule 18. When conducted. – After the last responsive pleading has been served and filed,
the branch clerk of court shall issue, within five (5) calendar days from filing, a notice of pre-trial
which shall be
 set not later than sixty (60) calendar days from the filing of the last responsive pleading.
(1a)
*Primary Objective of pre-trial conference is the simplification and speedy disposition of cases to protect
the substantive rights of the parties
2. Nature and purpose

Section 2, Rule 18. Nature and purpose. – The pre-trial is mandatory and should be terminated
promptly. The court shall consider:
(a) The possibility of an amicable settlement or of a submission to alternative modes of dispute

resolution;
(b) The simplification of the issues;
(c) The possibility of obtaining stipulations or admissions of facts and of documents to avoid
unnecessary proof;
(d) The limitation of the number and identification of witnesses and the setting of trial dates;
(e) The advisability of a preliminary reference of issues to a commissioner;
(f) The propriety of rendering judgment on the pleadings, or summary judgment, or of

dismissing the action should a valid ground therefor be found to exist;
(g) The requirement for the parties to:
1. Mark their respective evidence if not yet marked in the judicial affidavits of their
witnesses;
2. Examine and make comparisons of the adverse parties’ evidence vis-a-vis the copies to
be marked;
3. Manifest for the record stipulations regarding the faithfulness of the reproductions and
Page 86 of 392
the genuineness and due execution of the adverse parties’ evidence;
4. Reserve evidence not available at 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. For documentary evidence and other object evidence, by giving a particular
description of the evidence.
No reservation shall be allowed if not made in the manner described above.
(h) 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.
The branch clerk of court shall prepare the minutes of the pre-trial, which shall have the following
format: (See prescribed form) (2a)
3. Notice of pre-trial
Section 1, Rule 18. When conducted. – After the last responsive pleading has been served and filed,
the branch clerk of court shall issue, within five (5) calendar days from filing, a notice of pre-trial
XXX
Section 3, Rule 18. Notice of pre-trial. – The notice of pre-trial shall include the dates respectively
set for:
(a) Pre-trial;
(b) Court-Annexed Mediation; and
(c) Judicial Dispute Resolution, if necessary.
The notice of pre-trial shall be served on counsel, or on the party [if he] or she has no counsel.
The counsel served with such notice is charged with the duty of notifying the party represented by him
or her.
Non-appearance at any of the foregoing settings shall be deemed as non-appearance at the

pretrial and shall merit the same sanctions under Section 5 hereof. (3a)
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Note: Under the Amended Rules, there is no longer a need for the plaintiff to move ex parte for the case
to be set for pre-trial.
The “last pleading” need not be literally construed as the actual filing of the last pleading. For the purpose
of pre-trial, the expiration of the period for filing the last pleading is sufficient. [Sarmiento v. Juan, G.R.
No. L-56605 (1983)]
4. Appearance of parties; effect of failure to appear

Section 4, Rule 18. Appearance of parties. – 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.
The non-appearance of a party and counsel may be excused only for

 acts of God,
 force majeure, or
 duly substantiated physical inability.
A representative may appear on behalf of a party, but must be fully authorized in writing
 to enter into an amicable settlement,

 to submit to alternative modes of dispute resolution, and
 to enter into stipulations or admissions of facts and documents.
Note: Both parties and their counsel are required to attend. Appearance of either only the party or his
counsel counts as nonappearance
Note: It is not sufficient for the representative to be given the power to enter into one or two of the
matters enumerated. An incomplete authority does not satisfy the requirement of the Rules and should be
deemed the equivalent of having no authority at all. [1 Riano 429, 2016 Bantam Ed.]
Moreover, only the authorization is required in order for a representative to appear on behalf of a party. A
ground for excused nonappearance need not concur with the written authorization in order to allow a
representative to appear on behalf of the party.
The written authorization must be in the form of a special power of attorney as authority to enter into
amicable settlement must be in such form [Sec. 23, Rule 138; Art. 1878(3), Civil Code]
Section 5, Rule 18. Effect of failure to appear. – When duly notified, the failure of the plaintiff and
counsel to appear without valid cause when so required, pursuant to the next preceding Section,
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shall cause the dismissal of the action.
The dismissal shall be with prejudice, unless otherwise ordered by the court.
A similar failure on the part of the defendant and counsel shall be
 cause to allow the plaintiff to present his or her evidence ex parte within ten (10) calendar
days from termination of the pre-trial, and
 the court to render judgment on the basis of the evidence offered. (5a)
*Note: In environmental cases, failure of plaintiff to appear at the pre-trial shall not result to dismissal of
the case except upon unjustified and repeated failure to appear. The dismissal shall be without prejudice.
Remedies for failure of plaintiff and counsel to Remedies for failure of defendant and counsel
appear to appear
Remedy: Motion for reconsideration, then appeal Remedy: Motion for reconsideration, and if the
denial is tainted with grave abuse of discretion, a
Note: This would be the proper remedy because petition for certiorari
dismissal with prejudice amounts to an
adjudication on the merits and is thus, final. [1 Note: This is because the order of the court
Riano 426, 2016 Bantam Ed.] allowing the plaintiff to present evidence ex parte
does not dispose of the case with finality and the
order is, therefore, interlocutory and not
appealable. [1 Riano 428, 2016 Bantam Ed. citing
Sec. 1(b), Rule 41]
The non-appearance of the defendant in pretrial is not

a ground to declare him in default. While the effect of
the failure of the defendant to appear at the pre-trial is
similar to that of default (possible presentation of
evidence ex parte), under the Rules, this consequence is
not to be called a declaration of default. [1 Riano 302,
2016 Bantam Ed.
5. Pre-trial brief; effect of failure to appear
Section 6, Rule 18. Pre-trial brief. – The parties shall file with the court and serve on the adverse
party, in such manner as shall ensure their receipt thereof at least three (3) calendar days before
the date of the pre-trial, their respective pre-trial briefs which shall contain, among others:
Page 89 of 392
(a) A concise statement of the case and the reliefs prayed for;
(b) A summary of admitted facts and proposed stipulation of facts;
(c) The main factual and legal issues to be tried or resolved;
(d) The propriety of referral of factual issues to commissioners;
(e) The documents or other object evidence to be marked, stating the purpose thereof;
(f) The names of the witnesses, and the summary of their respective testimonies; and
(g) A brief statement of points of law and citation of authorities.
Failure to file the pre-trial brief shall have the same effect as failure to appear at the pre-trial. (8)
Legal effect of representations and statements in the pre-trial brief

The parties are bound by the representations and statements in their respective pre-trial briefs. [A.M. 03-
1-09-SC (2004)]
Note: Representations and statements in the pre-trial briefs are in the nature of judicial admissions [Sec.
4, Rule 129]
6. Pre-trial order
Section 7, Rule 18. 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. The order
shall include:
(a) An enumeration of the admitted facts;
(b) The minutes of the pre-trial conference;
(c) The legal and factual issue/s to be tried;
(d) The applicable law, rules, and jurisprudence;
(e) The evidence marked;
(f) The specific trial dates for continuous trial, which shall be within the period provided by the
Rules;
(g) The case flowchart to be determined by the court, which shall contain the different stages of the
Page 90 of 392
proceedings up to the promulgation of the decision and the use of time frames for each stage in setting
the trial dates;
(h) 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
(i) A statement that the court shall render judgment on the pleadings or summary judgment, as
the case may be.
The direct testimony of witnesses for the plaintiff shall be in the form of judicial affidavits.
After the identification of such affidavits, cross-examination shall proceed immediately.
Postponement of presentation of the parties’ witnesses at a scheduled date is prohibited, except if

it is based
 on acts of God,
 force majeure or
 duly substantiated physical inability of the witness to appear and testify
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.
Should the opposing party fail to appear without valid cause stated in the next preceding
paragraph, 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.
The contents of the pre-trial order shall control the subsequent proceedings, unless modified
before trial to prevent manifest injustice. (7a)
One day examination of witness rule

The One-Day Examination of Witness Rule, that is, a witness has to be fully
examined in one (1) day only, shall be strictly adhered to subject to the courts' discretion during trial on
whether or not to extend the direct and/or crossexamination for justifiable reasons [Item I-A-5-i, A.M.
No. 03-1-09-SC]
Most important witness rule

The court shall determine the most important witnesses to be heard and limit the number of witnesses
(Most Important Witness Rule) [Item I-A-5-j, AM No. 03-1-09-SC] The court shall require the parties
and/or counsel to submit to the Branch COC the names, addresses and contact numbers of the witnesses
to be summoned by subpoena [Item I-A-5-l, AM No. 03-1-09-SC]
Conduct of pre-trial
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The judge shall be the one to ask questions on issues raised by the parties, and all questions or comments
by counsel or parties must be directed to the judge to avoid hostilities between the parties. [A.M. No. 03-
1-09-SC (2004)]
7. Distinguish: pre-trial in civil cases and pre-trial in criminal cases
Pre-Trial in Civil Cases (Rule 18) Pre-trial in Criminal Cases (Rule 118)
After the last responsive pleading has been served the court shall
and filed, the branch clerk of court shall issue,  after arraignment and
within five (5) calendar days from filing, a notice  within thirty (30) days from the date the
of pre-trial which shall be court acquires jurisdiction over the person
of the accused, unless a shorter period is
provided for in special laws or circulars of
• set not later than sixty (60) calendar days the Supreme Court, order a pre-trial
from the filing of the last responsive pleading. conference
Does not consider the possibility of an amicable

Considers possibility of an amicable settlement settlement, except when the law allows the case to
be compromised
Agreements and admission made in the pre-trial Agreements and admission made in the pre-trial
are not required to be signed by parties and their are required to be in writing and signed by parties
counsel and their counsel; otherwise, they cannot be used
against the accused
Non-appearance of plaintiff will result to

dismissal of the case with prejudice unless
otherwise ordered by the court Sanctions are imposed on the counsel for the
accused or the prosecutor
Non-appearance of the defendant will result in the
ex parte presentation of evidence by the plaintiff
A pre-trial brief is specifically required to be

A pre-trial brief is not required to be submitted
submitted
Mandatory Mandatory
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Section 8, Rule 18. 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. (n)
Section 9, Rule 18. Judicial dispute resolution. – Only if the judge of the court to which the case
was originally raffled is convinced that settlement is still possible, the case may be referred to
another court for judicial dispute resolution. The judicial dispute resolution shall be conducted
within a non-extendible period of fifteen (15) calendar days from notice of failure of the court-
annexed mediation. If judicial dispute resolution fails, trial before the original court shall proceed on
the dates agreed upon.
All proceedings during the court-annexed mediation and the judicial dispute resolution shall be
confidential. (n)
Section 10, Rule 18. Judgment after pre-trial. – Should there be
 no more controverted facts, or

 no more genuine issue as to any material fact, or
 an absence of any issue, or
 should the 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.
In such cases, judgment shall be rendered within ninety (90) calendar days from termination
of the pre-trial.
The order of the court to submit the case for judgment pursuant to this Rule shall not be the
subject to appeal or certiorari. (n)
K. INTERVENTION
Section 1, Rule 19. Who may intervene. – A person who
 has a legal interest in the matter in litigation, or in the success of either of the parties, or
 an interest against both, or
 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
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may, with leave of court, be allowed to intervene in the action.
The court shall consider 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. (1)
Section 3, Rule 19. Pleadings-in-intervention. – The intervenor shall file a
 complaint-in-intervention if he or she asserts a claim against either or all of the original

parties, or
 an answer-in-intervention if he or she unites with the defending party in resisting a claim

against the latter. (3a)
Definition of Intervention
A proceeding in a suit or an action by which a third person is permitted by the court to make himself a
party, either:
1. Joining plaintiff in claiming what is sought by the complaint,

2. Uniting with defendant in resisting the claims of the plaintiff, or
3. Demanding something adverse to both of them. [1 Herrera 1117, 2007 Ed., citing Gutierrez v. Villegas,
G.R. No. L-11848 (1962)]
An independent controversy cannot be injected in the suit by intervention since it would enlarge the
issues and expand the scope of the remedies. [Mactan-Cebu Intl Airport Authority vs Heirs of Minoza,
641 SCRA 520 (2011)]
It is not a matter of right but rests on the sound discretion of the court. (Sec. 1, Rule 19)
1. Requisites for intervention
1. A motion for leave to intervene filed at any time before rendition of judgement by the trial court
[Sec. 2, Rule 19]
Note: A motion for intervention is a litigious motion. Therefore, the court shall resolve the motion within
15 calendar days from receipt of the opposition or upon expiration of the period to file such opposition.
The period to file an opposition would be 5 calendar days from the receipt of such opposition. [Sec. 5,
Rule 15]
2. A legal interest:
a. In the matter in litigation;
b. In the success of either of the parties;
c. An interest against both; or
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d. 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
3. Intervention will not unduly delay or prejudice the adjudication of rights of the original parties
4. Intervenor’s rights may not be fully protected in a separate proceeding. [Sec. 1, Rule 19; Lorenza
Ortega v. CA, G.R. No. 125302 (1998)]
2. Time to intervene
Section 2, Rule 19. Time to intervene. – The motion to intervene may be filed at any time before
rendition of judgment by the trial court.
A copy of the pleading-in-intervention shall be attached to the motion and served on the original
parties. (2)
Section 4, Rule 19. Answer to complaint-in-intervention. – 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. (4a)
3. Remedy for the denial of motion to intervene
The order denying a motion for leave to intervene is a final order that finally disposes of the issue or the
action; thus, appealable, or the intervenor may file a separate action to enforce his claim. (Dean Tan)
L. SUBPOENA
RULE 21
SUBPOENA
Section 1. Subpoena and subpoena duces tecum. –
Subpoena is a process directed to a person

requiring him or her to attend and to testify
 at the hearing or the trial of an action, or
 at any investigation conducted by
competent authority, or
 for the taking of his or her deposition.
It may also require him to bring with him or her

any books, documents, or other things under his
or her control, in which case it is called a
Page 95 of 392
subpoena duces tecum. (1a)
Section 2, Rule 21. By whom issued. – The subpoena may be issued by –
(a) The court before whom the witness is required to attend;
(b) The court of the place where the deposition is to be taken;
(c) The officer or body authorized by law to do so in connection with investigations conducted by
said officer or body; or
(d) Any Justice of the Supreme Court or the Court of Appeals in any case or investigation
pending within the Philippines.
When application for a subpoena to a prisoner is made, the judge or officer shall examine and study
carefully such application to determine whether the same is made for a valid purpose.
No prisoner sentenced to death, reclusion perpetua or life imprisonment and who is confined in
any penal institution shall be brought outside the penal institution for appearance or attendance
in any court unless authorized by the Supreme Court. (2a)
Section 3, Rule 21. Form and contents. – A subpoena shall state
 the name of the court and

 the title of the action or investigation,
 shall be directed to the person whose attendance is required, and
 in the case of a subpoena duces tecum, it shall also contain a reasonable description of the
books, documents or things demanded which must appear to the court prima facie
relevant. (3)
Section 7, Rule 21. Personal appearance in court. – A person present in court before a judicial
officer may be required to testify as if he or she were in attendance upon a subpoena issued by
such court or officer. (7a)
Section 5, Rule 21. Subpoena for depositions. – Proof of service of a notice to take a deposition, as
provided in [S]ections 15 and 25 of Rule 23, shall constitute sufficient authorization for the issuance
of subpoenas for the persons named in said notice by the clerk of the court of the place in which
the deposition is to be taken.
The clerk shall not, however, issue a subpoena duces tecum to any such person without an order of the
Page 96 of 392
court. (5)
1. Subpoena duces tecum

A process directed to a person requiring him to bring with him books, documents, or other things under
his control [Sec. 1, Rule 21]
For subpoena duces tecum, shall also contain a reasonable description of the books, documents or things
demanded which must appear to the court prima facie relevant. [Sec. 3, Rule 21]
2. Subpoena ad testificandum
A process directed to a person requiring him to attend and to testify at the hearing or the trial of an action,
or at any investigation conducted by competent authority or for the taking of his deposition [Sec. 1, Rule
21]
Note: This is the technical and descriptive term for the ordinary subpoena. [1 Regalado 330, 2010 Ed.]
3. Service of subpoena
Section 6, Rule 21. Service. – Service of a subpoena shall be made in the same manner as personal
or substituted service of summons.
The original shall be exhibited and a copy thereof delivered to the person on whom it is served.
The service must be made so as to allow the witness a reasonable time for preparation and travel
to the place of attendance.
Costs for court attendance and the production of documents and other materials subject of the
subpoena shall be tendered or charged accordingly. (6a)
4. Compelling attendance of witnesses; contempt

Section 8, Rule 21. Compelling attendance. – In case of failure of a witness to attend, the court or
judge issuing the subpoena,
 upon proof of the service thereof and

 of the failure of the witness,
may issue a warrant to the sheriff of the province, or his or her deputy, to arrest the witness
and bring him or her before the court or officer where his or her attendance is required, and
the cost of such warrant and seizure of such witness shall be paid by the witness if the court
issuing it shall determine that his or her failure to answer the subpoena was willful and
without just excuse. (8a)
Page 97 of 392
Section 9, Rule 21. Contempt. – Failure by any person without adequate cause to obey a subpoena
served upon him or her shall be deemed a contempt of the court from which the subpoena is
issued.
If the subpoena was not issued by a court, the disobedience thereto shall be punished in
accordance with the applicable law or Rule. (9a)
Section 10, Rule 21. Exceptions. – The provisions of Sections 8 and 9 of this Rule shall not apply to
a witness who
 resides more than one hundred (100) kilometers from his or her residence to the place
where he or she is to testify by the ordinary course of travel,
or
 to a detention prisoner if no permission of the court in which his or her case is pending was
obtained. (10a)
Viatory Right - The right not to be compelled to attend upon a subpoena by reason of the distance from
the residence of the witness to the place where he is to testify is sometimes called the viatory right of a
witness [1 Regalado 334-335, 2010 Ed.] Note: Such right applies only in civil cases, not criminal cases.
[Genorga v. Quitain, A.M. No. 981-CFI (1977)]
5. Quashing of subpoena
Section 4, Rule 21. Quashing a subpoena. – The court may quash a subpoena duces tecum upon
 motion promptly made and, in any event, at or before the time specified therein if it is
o unreasonable and oppressive, or
o the relevancy of the books, documents or things does not appear, or
o if the person in whose behalf the subpoena is issued fails to advance the
reasonable cost of the production thereof.
The court may quash a subpoena ad testificandum on the ground that the
o witness is not bound thereby.
o In either case, the subpoena may be quashed on the ground that the witness fees and
kilometrage allowed by these Rules were not tendered when the subpoena was served.
(4)
Page 98 of 392
M. COMPUTATION OF TIME
RULE 22
COMPUTATION OF TIME
Section 1. How to compute time. – In computing any period of time prescribed or allowed by
o these Rules, or
o by order of the court, or
o by any applicable statute,
the day of the act or event from which the designated period of time begins to run is to be
excluded and included the date of performance.
If the last day of the period, as thus computed, falls on a

o Saturday,
o a Sunday, or
o a legal holiday in the place where the court sits,
the time shall not run until the next working day. (1)
Section 2. 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. (2)
*The Administrative Code of 1987 as amended by R.A. 9849 enumerates the regular and special holidays
observed in the country.
N. MODES OF DISCOVERY
Discovery - A device employed by a party to obtain information about relevant matters on the case
from the adverse party in the preparation for trial. [1 Riano 437, 2016 Bantam Ed.]
Purpose: To permit mutual knowledge before trial of all relevant facts gathered by both parties so that
either party may compel the other to disgorge facts whatever he has in his possession [1 Riano 437, 2016
Bantam Ed.]
Modes of Discovery
1. Depositions pending actions [Rule 23]
2. Depositions before action or pending appeal [Rule 24]
3. Interrogatories to parties [Rule 25]
4. Admission by adverse party [Rule 26]
5. Production or inspection of documents or things [Rule 27]
6. Physical and mental examination of persons [Rule 28]
Page 99 of 392
1. Depositions pending action; depositions before action or pending appeal
a. Meaning of deposition
Deposition – taking of testimony out of court of any person, whether party to the action or not but at the
instance of a party to the action. It is taken out of court. [1 Riano 438, 2016 Bantam Ed.]
Methods
a. By oral examination, or
b. By written interrogatory. [Sec. 1, Rule 23]
Kinds of depositions
1. Depositions pending action [Rule 23]
2. Depositions before action or pending appeal [Rule 24]
Depositions pending action - The testimony of any person may be taken upon ex parte motion of a
party.
Note: The attendance of witnesses may be compelled by the use of subpoena as provided in Rule 21.
[Sec. 1, Rule 23]
Deposition of a person deprived of liberty - The deposition may be taken only by leave of court on such
terms as the court prescribes. [Sec. 1, Rule 23]
Before whom depositions are taken

a. Within the Philippines, it may be taken before a
i. Judge,
ii. Notary public, or
iii. Any person authorized to administer oaths, as stipulated by the parties in writing. [Sec. 14,
Rule 23] [Sec. 10, Rule 23]
b. Within a foreign state or country, it may be taken

i. On notice before a secretary of embassy or legation, consul general, consul, vice- consul, or
consular agent of the Philippines,
ii. Before such person or officer as may be appointed by commission or under letters rogatory, or
iii. Any person authorized to administer oaths as stipulated by parties in writing. [Sec. 14, Rule
23] [Sec. 11, Rule 23]
Disqualification by interest
No deposition shall be taken before a person who is
a. A relative within the 6th degree of consanguinity or affinity,
b. An employee or counsel of any of the parties,
c. A relative within the same degree, or employee of such counsel, or
Page 100 of 392

d. Any person financially interested in the action. [Sec. 13, Rule 23]
Taking depositions upon oral examination

1. A party desiring to take the deposition of any person upon oral examination shall give
reasonable notice in writing to every other party to the action.
The notice shall state:

a. The time and place for taking the deposition,
b. The name and address of each person to be examined, if known, and
c. if the name is not known, a general description sufficient to identify him or the
particular class or group to which he belongs.
Note: On motion of any party upon whom the notice is served, the court may for cause
shown enlarge or shorten the time [Sec. 15, Rule 23]
2. An order for protection of the parties and the deponent may be issued by the court where the
action is pending:
a. After notice is served,
b. Upon motion by any party or the person to be examined,
c. For good cause shown [Sec.16, Rule 23]
3. The attendance of the witnesses may be compelled by the use of a subpoena [Sec. 1, Rule
23]
4. Examination and cross-examination of deponents may proceed as permitted at the trial

under Secs. 3 to 18 of Rule 132 [Sec 3, Rule 23]
4. All objections made at the time of the examination

o to the qualifications of the officer taking the deposition, or
o to the manner of taking it, or
o to the evidence presented, or
o to the conduct of any party, and
o any other objection to the proceedings,
shall be noted by the officer upon the deposition.
Evidence objected to shall be taken subject to the objections [Sec. 17, Rule 23]
Effect of taking depositions - A party shall not be deemed to make a person his own witness for any
purpose by taking his deposition. [Sec. 7, Rule 23]
Depositions before actions

Referred to as perpetuation of testimony because their objective is to perpetuate the testimony of a
witness for future use, in the event of further proceedings. [1 Regalado 363, 2010 Ed.]
Page 101 of 392

Requisites:
a. Any person who desires to perpetuate
i. his own testimony; or
ii. the testimony of another person
b. Regarding any matter that may be cognizable in any court of the Philippines. [Sec. 1, Rule 24]
Deposition pending appeal - If an appeal has been taken or the time for taking such has not yet expired,
the court in which the judgment was rendered may allow the taking of depositions of witnesses to
perpetuate their testimony for use in the event of further proceedings in said court. [Sec. 7, Rule 24]
Procedure for deposition before action Procedure for deposition pending appeal
1. The party who desires to perpetuate the

1. File a verified petition in the court of the testimony may make a motion in the said court
place of the residence of any expected adverse for leave to take the depositions, upon the same
party. notice and service thereof as if the action was
pending therein.
The petition shall be entitled in the name of the
petitioner and shall show that: 2. The motion shall state the
a. The petitioner expects to be a party a. Names and addresses of the persons to
to an action in a court of the be examined,
Philippines but is presently unable to b. The substance of the testimony which
bring it or cause it to be brought, he expects to elicit from each, and
c. Reason for perpetuating their
b. The subject matter of the expected testimony.
action and his interest therein,
3. If the court finds that the perpetuation of the
c. The facts which he desires to testimony is proper to avoid a failure or delay
establish by the proposed testimony of justice, it may make an order allowing the
and his reasons for desiring to depositions to be taken, and thereupon the
perpetuate it, depositions may be taken and used in the same
manner and under the same conditions as are
d. The names or a description of the prescribed in these Rules for depositions taken in
persons he expects will be adverse pending actions. [Sec. 7, Rule 24]
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
Page 102 of 392

Note: Such petition shall ask for an order

authorizing the petitioner to take the
depositions of the persons sought to be
examined who are named in the petition for the
purpose of perpetuating their testimony. [Sec.
2, Rule 24]
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, stating that the petitioner will apply to
the court, at a time and place named therein, for
the order described in the petition.
• At least 20 calendar days before the

date of the hearing, the court shall cause
notice thereof to be served on the
parties and prospective deponents in
the manner provided for service of
summons. [Sec. 4, Rule 23]
3. If the court is satisfied that the perpetuation

of the testimony may prevent a failure or delay
of justice, it shall make an order designating or
describing the persons whose deposition may be
taken and specifying the subject matter of the
examination and whether the depositions shall be
taken upon oral examination or written
interrogatories. The depositions may then be taken
in accordance with Rule 23 before the hearing
[Sec. 4, Rule 24]
b. Uses; scope of examination
General uses of deposition - Intended as a means to compel disclosure of facts resting in the knowledge
of a party or other person, which are relevant in a suit or proceeding. [1 Regalado 349, 2010 Ed.]
Scope of examination:
Unless otherwise ordered by the court as provided by Secs. 16 and 18, Rule 23, the deponent may be
examined regarding any matter:
1. Not privileged, and

2. Relevant to the subject of the pending action,
Page 103 of 392

a. Whether relating to the claim or defense of any other party;
b. Including the existence, description, nature, custody, condition, and location of any
books, documents, or other tangible things, and
c. Including the identity and location of persons having knowledge of relevant facts.
General rule: A deposition is not a substitute for the actual testimony in open court of a party or
witness.
If the witness is available to testify, he should be presented in court to testify.
If available to testify, a party’s or witness’ deposition is inadmissible in evidence for being hearsay.
[Dasmarinas Garments Inc. v. Reyes, G.R. No. 108229 (1993)]
Exception: Depositions may be used as evidence under the circumstances in Sec. 4, Rule 23.
Deposition By Whom Used Purpose

Contradicting or impeaching the
Any deposition Any party testimony of deponent as a
witness
Deposition of a party or of
anyone who at the time of
taking the deposition was an
officer, director, or managing An adverse party Any purpose
agent of a public or private
corporation, partnership, or
association which is a party
Deposition of a witness, whether Any party Any purpose if the court finds
or not a party that
1. Witness is dead, or
2. Witness resides more than

100 km from the place of trial
or hearing, or is out of the
Philippines, unless it appears
that his absence was procured
by the party offering the
deposition, or
Page 104 of 392

3. Witness is unable to attend

or testify because of age,
sickness, infirmity, or
imprisonment, or
4. Party offering the

deposition has been unable to
procure the attendance of the
witness by subpoena; or
5. Upon application and notice,

that such exceptional
circumstances exist as to make
it desirable, in the interest of
justice and with due regard to
the importance of presenting
the testimony of witnesses
orally in open court, to allow
the deposition to be used;
Effect of using deposition

General rule: The introduction in evidence of the deposition or any part thereof for any purpose makes
the deponent the witness of the party introducing the deposition
Exceptions:
1. The deposition is used to contradict or impeach the deponent.
2. The deposition of a party or of any one who at the time of taking the deposition was an officer,
director, or managing agent of a public or private corporation, partnership, or association which is
a party may be used by an adverse party for any purpose. [Sec. 4(b), Rule 23] [Sec. 8, Rule 23]
Effect of only using a part of the deposition - If only part of a deposition is offered in evidence by a
party, the adverse party may require him to introduce all of it which is relevant to the part
introduced, and any party may introduce any other parts. [Sec. 4(d), Rule 23]
c. When may objections to admissibility be made

Subject to the provisions of Sec. 29, Rule 23, objection may be made at the trial or hearing to receiving
in evidence any deposition or part thereof for any reason which would require the exclusion of the
evidence if the witness were then present and testifying [Sec. 6, Rule 23]
Effect of errors and irregularities in depositions (Sec. 29, Rule 23)

Error and Irregularities Effect
Objection as to the notice for taking a deposition Waived unless written objection is promptly
served upon party giving notice
Page 105 of 392

Objection to taking a deposition because of Waived unless made

disqualification of officer before whom it is to be
taken (1) Before taking of deposition begins or
(2) As soon thereafter as the disqualification
becomes known or could be discovered with
reasonable diligence
Objection to the competency of a witness or Not waived by failure to make them before or
competency, relevancy, or materiality of during the taking of the deposition
testimony Unless the ground of the objection is one which
might have been obviated or removed if
presented at that time
Occurring at oral examination and other

particulars
Objection in the manner of taking the deposition, Waived, unless reasonable objection thereto is
in the form of questions or answers, in the oath or made at the time of taking the deposition
affirmation, or in conduct of parties and errors of
any kind which might be obviated or removed if
promptly prosecuted
Objections to the form of written interrogatories Waived, unless served in writing upon the
under Sec. 25 and 26 party propounding them within the time
allowed for serving succeeding cross or other
interrogatories and within 3 days after service
of last interrogatories authorized
In the manner in which testimony is transcribed or Waived, unless a motion to suppress the
the deposition is dealt with by the officer under deposition or some part thereof is made with
Sec. 17, 19, 20, and 26 reasonable promptness after such defect is
ascertained, or with due diligence might have
been, ascertained
d. When may taking of deposition be terminated or its scope limited
When the court/RTC of the place where the deposition is being taken may order the termination or
the scope of the deposition limited
a. At any time during the taking of the deposition,

b. on motion or petition of any party or of the deponent,
Page 106 of 392

c. upon a showing that the examination is being conducted in bad faith or in such manner, as
unreasonably to annoy, embarrass, or oppress the deponent or party, [Sec. 16, Rule 23]
Order terminating examination - If the order made terminates the examination, it shall be resumed only
upon the order of the court in which the action is pending.
Suspension of taking of deposition - 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.
Note: The court may impose upon either party or witness the requirement to pay reasonable costs and
expenses. [Sec. 18, Rule 23]
2. Written interrogatories to adverse parties
Purpose: To elicit material and relevant facts from any adverse parties [Sec. 1, Rule 25] and to assist the
parties in clarifying the issues and in ascertaining the facts involved in a case. [Philippine Health
Insurance Corp vs Our Lady of Lourdes Hospital, G.R. No. 193158 (2015)]
Note: As compared to a bill of particulars which is directed to a pleading and designed to seek for a more
definite statement or for particulars in matters not availed with sufficient definiteness in a pleading,
interrogatories are not directed against a particular pleading and what is sought is the disclosure of all
material and relevant facts from a party. [1 Riano 447, 2016 Bantam Ed.]
Written interrogatories to parties differ from the written interrogatories in a deposition since such
are not served upon the adverse party directly but rather on the officer designated in the notice . [1 Riano
447, 2016 Bantam Ed.]
Scope and use:

Interrogatories may relate to any matters that can be inquired into under Sec. 2 of Rule 23, and the
answers may be used for the same purposes provided in Sec. 4 of the same Rule [ Sec. 1, Rule 25]
Procedure for interrogatories to parties

1. Upon ex parte motion,
2. Any party desiring to elicit material and relevant facts from any adverse parties, 3. Shall file and serve
written interrogatories on the party
4. Such are to be answered by:
a. the party served or,
b. if the party served is a public or private corporation or a partnership or association, by any
officer thereof competent to testify in its behalf. [Sec. 1, Rule 25]
Note: The interrogatories shall be answered fully in writing and shall be signed and sworn to by the
person making them [Sec. 2, Rule 25]
Page 107 of 392

Number of interrogatories - No party may, without leave of court, serve more than one set of
interrogatories to be answered by the same party [Sec. 4, Rule 25]
Answers as judicial admissions - Written interrogatories and the answers thereto must both be filed and
served. [Sec. 2, Rule 25]
The answers constitute judicial admissions. [Sec. 4, Rule 129]
Service and filing - The party upon whom the interrogatories have been served shall file and serve a
copy of the answers on the party submitting the interrogatories within 15 calendar days after
service thereof, unless the court, on motion and for good cause shown, extends or shortens the time. [Sec.
2, Rule 25]
Objections to interrogatories; answers deferred

Objections to any interrogatories may be presented to the court within 10 calendar days after service
thereof, with notice as in case of a motion; and answers shall be deferred until the objections are
resolved, which shall be at as early a time as is practicable. [Sec. 3, Rule 25]
Grounds for objections:

a. They require the statements of conclusions of law or answers to hypothetical questions or opinion, or
mere hearsay, or matters not within the personal knowledge of the interrogated party.
b. Frivolous interrogatories need be answered [2 Herrera 50, 2007 Ed.]
a. Consequences of refusal to answer interrogatories
If a party or an officer or managing agent of a party fails to serve answers to interrogatories submitted
under Rule 25 after proper service of such interrogatories, the court on motion and notice, may:
1. Strike out all or any part of any pleading of the party,
2. Dismiss the action or proceeding or any part thereof, or
3. Enter a judgment by default against the party, and
4. In its discretion, order him to pay reasonable expenses incurred by the other, including attorney’s
fees.
Note: Such consequences also apply for willful failure to appear before the officer who is to take his
deposition. [Sec. 5, Rule 29]
b. Effect of failure to serve written interrogatories
General Rule: A party not served with written interrogatories may not be compelled by adverse party to:
1. Give testimony in open court; or

2. Give a deposition pending appeal
Page 108 of 392

Exception: Allowed by the court for good cause shown and to prevent a failure of justice. [Sec. 6,
Rule 25]
3. Request for admission

Rule 26, as a mode of discovery, contemplates interrogatories seeking clarification in order to determine
the truth of the allegations in a pleading [1 Regalado 370, 2010 Ed.]
Purpose: In order to allow one party to request the adverse party, in writing, to admit certain material and
relevant matters which, most likely, will not be disputed during the trial. [1 Riano 448-449, 2016 Bantam
Ed.]
In order to avoid unnecessary inconvenience before trial, a party may request the other to:
a. Admit the genuineness of any material and relevant document described in and exhibited with
the request, or
b. Admit the truth of any material and relevant matter of fact set forth in the request. [Sec. 1,
Rule 26]
How made:
A party may file and serve upon any other party a written request for the purpose mentioned above. [Sec.
1, Rule 26]
Note: The request for admission must be served on the party, not the counsel. This is an exception to the
general rule that notices shall be served upon counsel and not upon the party. [Duque v. CA, G.R. 125383
(2002)]
When made: At any time after issues have been joined. [Sec. 1, Rule 26]
Note: Issues are joined when all the parties have pleaded their respective theories and the terms of the
dispute are plain before the court. [Rosete v. Sps. Lim, G.R. No. 136051 (2006)]
a. Implied admission by adverse party
Each of the matters which an admission is requested shall be deemed admitted unless the party to
whom request is directed files and serves upon the party requesting admission a sworn statement.
[Sec. 2, Rule 26]
Contents:
1. Denying specifically the matters of which an admission is requested, or
2. Setting forth in detail the reasons why he cannot truthfully either admit or deny those matters [Sec. 2,
Rule 26]
Period: Such party must file and serve such statement:

1. Within a period not less than 15 calendar days after service thereof, or
Page 109 of 392

2. Within such further time as the court may allow on motion [Sec. 2, Rule 26]
Objections
Objections to any request for admission shall be submitted to the court by the party requested within the
period for and prior to the filing of his sworn statement.
• His compliance with the request for admission shall be deferred until such obligations are resolved,
which resolution shall be made as early as practicable. [Sec. 2, Rule 26]
b. Consequences of failure to answer request for admission
The proponent may apply to the proper court for an order to compel an answer. [Sec. 1, Rule 29]
If application is granted, the court

1. Shall require the refusing party to answer; and
2. May require the refusing party or counsel to pay reasonable expenses for obtaining the order, if
the court finds that the refusal to answer was without substantial justification.
Refusal to answer AFTER BEING DIRECTED BY THE COURT would:

a. Constitute contempt of that court. [Sec. 2, Rule 29]
b. Allow the court to make such orders regarding the refusal as are just, like:
1. An order that the matters regarding which questions were asked shall be taken as
established for the purposes of the action in accordance with the claim of the party obtaining the
order
2. An order refusing to allow the disobedient party to support or oppose designated claims
or defenses
3. An order
o striking out pleadings or parts thereof, or
o staying further proceedings until the order is obeyed, or
o dismissing the action or proceeding or any part thereof or
o rendering a judgment by default against the disobedient party, and
4. In lieu of any of the foregoing orders or in addition thereto, an order directing the arrest of
any party or agent of party for disobeying any of such orders. [Sec. 3, Rule 29]
c. Effect of admission
Any admission made by a party pursuant to such request is for the purpose of the pending action
only and shall not constitute an admission by him for any other purpose nor may the same be used
against him in any other proceeding [Sec. 3, Rule 26]
Page 110 of 392

Withdrawal of admission - The court may allow the party making the admission under this Rule, to
withdraw and amend it upon such terms as may be just. [Sec. 4, Rule 26]
d. Effect of failure to file and serve request for admission
General Rule: A party who fails to file and serve a request for admission on the adverse party of
o material and relevant facts at issue which are, or ought to be, within the personal
knowledge of the latter
shall not be permitted to present evidence on such facts.
Exception: Allowed by the court for good cause shown and to prevent a failure of justice. [Sec. 5,
Rule 29]
4. Production or inspection of documents or things
Purpose: This mode of discovery is not only for the benefit of a party, but also for the court and for it
to discover all the relevant and material facts in connection with the case. [1 Riano 451, 2016
Edition]
Procedure for production/inspection of documents or things:

a. Upon motion of any party,
b. Showing good cause therefor,
c. The court in which an action is pending may order any party to:
i. 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 possession custody or
control; or
ii. Permit entry upon designated land or

other property in his possession or
control for the purpose of inspecting,
measuring, surveying, or photographing
the property or any designated relevant
object or operation thereon
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Note: The order shall specify the time, place and manner of making the inspection and taking copies
and photographs, and may prescribe such terms and conditions as are just. [Sec. 1, Rule 27]
5. Physical and mental examination of persons
When examination may be ordered: Such may be ordered in an action in which the mental or physical
condition of a party is in controversy. [Sec. 1, Rule 28]
Procedure A motion for the examination is filed in the court where the action is pending: a. Showing good
cause for the examination, b. With notice to the party to be examined, and to all other parties, and c.
Specifying the time, place, manner, conditions, scope, and person conducting the examination. [Sec. 2,
Rule 28]
Report of findings A copy of the detailed examination report shall be given by the party causing the
examination upon request by the party examined.
Note: The party causing the examination shall then be entitled, upon request, to receive from the party
examined, a report of any examination previously or subsequently made. [Sec. 3, Rule 28]
Refusal to deliver the report If the party examined refuses to deliver such report, the court on motion and
notice may make an order requiring delivery on such terms as are just If a physician fails or refuses to
make such a report the court may exclude his testimony if offered at the trial. [Sec. 3, Rule 28]
Waiver of privilege The party examined waives any privilege regarding the testimony of every other
person who has examined or may thereafter examine him in respect of the same mental/physical
examination by: a. Requesting and obtaining a report of the examination ordered, or b. Taking the
deposition of the examiner. [Sec. 4, Rule 28]
Note: Since the results of the examination are intended to be made public, the same are not covered by
physician-patient privilege under Sec. 24(b), Rule 130 [1 Regalado 376, 2010 Ed.]
6. Consequences of refusal to comply with modes of discovery
Form of refusal Sanctions

Refusal to answer any question Upon refusal to answer, the proponent may apply
to the court for an order to compel an answer.
If the application is granted, the court shall
a. require the refusing party or deponent to answer

the question or interrogatory, and
b. if it also finds that the refusal to answer was

without substantial justification, it may require the
refusing party or deponent or the counsel advising
the refusal, or both of them, to pay the proponent
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the amount of the reasonable expenses incurred in

obtaining the order, including attorney’s fees.
If the application is denied and the court finds that

it was filed without substantial justification, the
court may require the proponent or the counsel
advising the filing of the application, or both of
them, to pay to the refusing party or deponent the
amount of the reasonable expenses
incurred in opposing the application, including
attorney’s fees. [Sec. 1, Rule 29]
The refusal may be considered a contempt of that
court. [Sec. 2, Rule 29]
Refusal to be sworn The refusal may be considered a contempt of that
Refusal to answer designated questions or The court may make such orders in regard to the
refusal to produce documents or to submit to refusal as are just, and among others the following
physical or mental examination
a. An order that the matters regarding which the
questions were asked, or the character or
description of the thing or land, or the contents of
the paper, or the physical or mental condition of
the party or any other designated facts shall be
taken to be established for the purposes of the
action in accordance with the claim of the party
obtaining the order;
b. An order refusing to allow the disobedient party

to support or oppose designated claims or
defenses or prohibiting him from introducing in
evidence designated documents or things or items
of testimony, or from introducing evidence of
physical or mental condition;
c. An order striking out pleadings or parts thereof,

or staying further proceedings until the order is
obeyed, or dismissing the action or proceeding or
any part thereof or rendering a judgment by
default against the disobedient party; and
d. In lieu of any of the foregoing orders or in

addition thereto, an order directing the arrest of
any party or agent of party for disobeying any of
such orders except an order to submit to a
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physical or mental examination. [Sec. 3, Rule 29]

Refusal to admit under Rule 26 The court, upon proper application, may issue an
order requiring the other party to pay him
reasonable expenses incurred, including attorney’s
fees PROVIDED that party requesting proves
genuineness of such document or truth UNLESS
the court finds:
a. There were good reasons for denial, or

b. Admissions sought were of no importance.
[Sec. 4, Rule 29]
Failure of party to attend or serve answers to a. Strike out all or any part of any pleading of
written interrogatories [Sec. 5] disobedient party,
b. Dismiss the action or proceeding or any part

thereof, or
c. Enter a judgment by default against disobedient

party, and
d. In its discretion, order payment of reasonable

expenses incurred by the other including
attorney’s fees.
Note: Expenses and attorney’s fees are not to be imposed upon the Republic of the Philippines under Rule
29. [Sec. 6, Rule 29]
0. TRIAL
Trial Hearing
The judicial process of investigating and A hearing is a broader term. It is not confined to
determining the legal controversies, starting with the trial and presentation of the evidence because
the production of evidence by the plaintiff and it actually embraces several stages in the
ending with his closing argument. [Acosta v. litigation. It includes the pre-trial and the
People, G.R. No. L-17427 (1962)] determination of granting or denying a motion.
[Trocio v. Labayo, G.R. No. L-35701 (1973)]
When trial unnecessary

A civil case may be adjudicated upon without the need for trial in any of the following cases:
1. Where the pleadings tender no issue at all, judgment on the pleadings may be directed by the court
[Rule 34]
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2. Where from the pleadings, affidavits, depositions and other papers, there is actually no genuine issue,
the court may render a summary judgment [Rule 35]
3. 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; Art. 2028, Civil Code]
4. Where the case falls under the Rules on Summary Procedure, and
5. 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 [Sec. 7, Rule 30] [1 Riano
563, 2014 Bantam Ed.]
6. Dismissal of action under Rule 16
7. Dismissal of action under Sec. 1 & 2 of Rule 17 (Dismissal upon notice or motion by plaintiff)
Kinds of Trial:
 Trial on the merits – trial on the substantive issue in a case
 Inverted Trial – where the accused admitted the crime but interposes an exculpatory evidence and
the burden of jurisdiction is now on him and he will be the first to present evidence
 Trial in absentia – conducted after accused has been arraigned and was duly notified of the trial
and his failure to appear thereat is unjustified
New Trial or trial de novo – an application for a relief requesting that the judge set aside the judgment
and order a new trial on the basis that the trial was improper or unfair due to specified prejudicial errors
that occurred
Preponderance of evidence – quantum of evidence in civil cases which simply means evidence of greater
weight or more convincing than that which is offered in opposition to it
Section 1, Rule 30. Schedule of trial. – The parties shall strictly observe the scheduled hearings as
agreed upon and set forth in the pre-trial order.
(a) The schedule of the trial dates, for both plaintiff and defendant, shall be continuous and within
the following periods:
i. The initial presentation of plaintiff’s evidence shall be set not later than thirty (30)
calendar days after the termination of the pre-trial conference.
Plaintiff shall be allowed to present its evidence within a period of three (3) months or
ninety (90) calendar days which shall include the date of the judicial dispute resolution, if
necessary;
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ii. The initial presentation of defendant’s evidence shall be set not later than thirty (30)
calendar days after the court’s ruling on plaintiff’s formal offer of evidence.
The defendant shall be allowed to present its evidence within a period of three (3) months
or ninety (90) calendar days;
iii. The period for the presentation of evidence on the third (fourth, etc.)-party claim,
counterclaim or cross-claim shall be determined by the court, the total of which shall in
no case exceed ninety (90) calendar days; and
iv. If deemed necessary, the court shall set the presentation of the parties’ respective
rebuttal evidence, which shall be completed within a period of thirty (30) calendar days.
(b) The trial dates may be shortened depending on the number of witnesses to be presented,
provided that the presentation of evidence of all parties shall be terminated within a period of ten
(10) months or three hundred (300) calendar days.
If there are no third (fourth, etc.)-party claim, counterclaim or cross-claim, the presentation of
evidence shall be terminated within a period of six (6) months or one hundred eighty (180)
calendar days.
(c) The court shall decide and serve copies of its decision to the parties within a period not
exceeding ninety (90) calendar days from the submission of the case for resolution, with or
without memoranda. (n)
Section 4, Rule 30. Hearing days and calendar call. – Trial shall be held from
 Monday to Thursday, and

 courts shall call the cases at exactly 8:30 a.m. and 2:00 p.m., pursuant to Administrative
Circular No. 3-99.
Hearing on motions shall be held on Fridays, pursuant to Section 8, Rule 15.
All courts shall ensure the posting of their court calendars outside their courtrooms at least
one (1) day before the scheduled hearings, pursuant to OCA Circular No. 250-2015. (n)
1. Adjournments and postponements

Section 2, Rule 30. Adjournments and postponements. – A court may adjourn a trial from day to
day, and to any stated time, as the expeditious and convenient transaction of business may require,
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but shall have no power to adjourn a trial for a longer period than one [(1)] month for each
adjournment, nor more than three [(3)] months in all, except when authorized in writing by the
Court Administrator, Supreme Court.
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. (2a)
2. Requisites of motion to postpone trial
a. For absence of evidence

[Section 3, Rule 30. Requisites of motion to postpone trial for absence of evidence. – Deleted]
Under the Old Rules, specifically Sec. 3 of Rule 30, postponement of trial for absence of evidence was
allowed provided that the motion for such was accompanied by an affidavit showing the materiality/
relevance of the evidence and that due diligence has been used to procure it. Under the revised rules,
however, such section has been deleted, meaning that absence of evidence can no longer be used as
a basis for postponement of trial.
b. For illness of party or counsel
Section 3, Rule 30. Requisites of motion to postpone trial for illness of party or counsel. – A
motion to postpone a trial on the ground of illness of a party or counsel may be granted if
 it appears upon affidavit or sworn certification
 that the presence of such party or counsel at the trial is indispensable and
 that the character of his or her illness is such as to render his or her non-attendance
excusable. (4a)
Under Sec. 12(f), Rule 15, postponement may only be allowed due
 to acts of god,
 force majeure, or
 physical inability of the witness to appear and testify.
The amended Sec. 3 of Rule 30 also provides for an additional ground which is illness of a party or
counsel.
3. Agreed statement of facts

Section 7, Rule 30. Agreed statement of facts. – The parties to any action may agree, in writing,
upon the facts involved in the litigation, and submit the case for judgment on the facts agreed
upon, without the introduction of evidence.
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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. (6)
[Section 7. Statement of judge. – Deleted]
4. Order of trial; reversal of order

Section 5, Rule 30. Order of trial. – Subject to the provisions of Section 2 of Rule 31, and unless
the court for special reasons otherwise directs,
 the trial shall be limited to the issues stated in the pre-trial order and
 shall proceed as follows:
(a) The plaintiff shall adduce evidence in support of his or her complaint;
(b) The defendant shall then adduce evidence in support of his or her defense, counterclaim,
cross-claim and third-party complaint;
(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.
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.
(5a)
*Subject to Section 2, Rule 31. Separate trials in furtherance of convenience or to avoid prejudice, of any
claim, cross-claim, counterclaim, or third-party complaint, or of any separate issue or of any number of
claims, cross[-]claims, counterclaims, third-party complaints or issues, and unless the court for special
reasons otherwise directs.
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Memorandum – formal or written summary of arguments of counsel on issues involved in a litigation.
Reverse order
Where the answer 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
forward with evidence to support his special defenses. [Yu v. Mapayo, G.R. No. L- 29742 (1972)]
The reasoning behind this is that the plaintiff need not present evidence since judicial admissions do
not require proof [Sec. 2, Rule 129]
Offer of exhibits
After the presentation of evidence, the offer of exhibits shall be made orally. The objections shall then
be made, and the court shall orally rule on the same. [Sec 6, Rule 30]
Note: This is consistent with the rule on continuous trial for criminal cases, as well as the amendments to
the Rules of Court.
5. Consolidation or severance of hearing or trial

RULE 31
CONSOLIDATION OR SEVERANCE
Section 1. Consolidation. – When actions involving a common question of law or fact are pending
before the court,
 it may order a joint hearing or trial of any or all the matters in issue in the actions;
 it may order all the actions consolidated; and
 it may make such orders concerning proceedings therein as may tend to avoid
unnecessary costs or delay. (1)
Section 2. Separate trials. – The court, in furtherance of convenience or to avoid prejudice, may
order a separate trial of any claim, cross-claim, counterclaim, or third-party complaint, or of any
separate issue or of any number of claims, cross[-]claims, counterclaims, third-party complaints
or issues. (2)
Where a case has been partially tried before one judge, the consolidation of the same with another
related case pending before another judge who had no opportunity to observe the demeanor of the
witness during trial makes the consolidation not mandatory. [PCGG v. Sandiganbayan, G.R. No.
102370-71 (1992)]
XPN: In the interest of justice, cases pending in different branches of the court or in different courts
may be consolidated.
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Note: Failure to consolidate with a related case does not necessarily result to a dismissal of the case
unless there is litis pendencia or res judicata.
This provision permitting separate trials presupposes that the claims involved are within the
jurisdiction of the court. When one of the claims is not within its jurisdiction, the same should be
dismissed, so that it may be filed in the proper court. [1 Regalado 394, 2010 Ed.]
6. Delegation of reception of evidence

Section 9, Rule 30. Judge to receive evidence; delegation to clerk of court. – The judge of the
court where the case is pending shall personally receive the evidence to be adduced by the parties.
However,
 in default or ex parte hearings, and
 in any case where the parties agree in writing,
the court may delegate the reception of evidence to its clerk of court who is a member of the bar.
The clerk of court shall have no power to rule on objections to any question or to the admission of
exhibits, which objections shall be resolved by the court upon submission of his or her report and
the transcripts within ten (10) calendar days from termination of the hearing . (9a)
7. Trial by commissioners
Commissioner - 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 [Secs.1,
3, 9, 11, Rule 32]
Note: as used in the Rules, “commissioner” includes a referee, an auditor, and an examiner. [Sec. 1, Rule
32]
General Rule: Trial by commissioner depends largely upon the discretion of the court. [Secs. 1-2, Rule
32]
Exceptions: In the following instances, appointment of a commissioner is necessary:

a. Expropriation [Rule 67]
b. Partition [Rule 69]
Kinds of trial by commissioners

a. Reference by consent of both parties
b. Reference ordered on motion [Secs. 1-2, Rule 32]
a. Reference by consent or ordered on motion

Section 1, Rule 32. Reference by consent. – By written consent of both parties, the court may
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order any or all of the issues in a case to be referred to a commissioner to be

 agreed upon by the parties or
 to be appointed by the court.
As used in these Rules, the word “commissioner” includes a

 referee,
 an auditor and
 an examiner
Section 2, Rule 32. Reference ordered on motion. – When the parties do not consent, the court may,
 upon the application of either or
 of its own motion,
direct a reference to a commissioner in the following cases:
(a) When the trial of an issue of fact requires the examination of a long account on either side, in
which case the commissioner may be directed to hear and report upon the whole issue or any specific
question involved therein;
(b) When the taking of an account is necessary for the information of the court before judgment,
or for carrying a judgment or order into effect ;
(c) When a question of fact, other than upon the pleadings, arises upon motion or otherwise, in any
stage of a case, or for carrying a judgment or order into effect. (2)
b. Powers of the commissioner

Section 3, Rule 32. Order of reference; powers of the commissioner. – When a reference is made,
the clerk shall forthwith furnish the commissioner with a copy of the order of reference.
The order may:

 specify or limit the powers of the commissioner, and
 may direct him or her to report only upon particular issues, or
 to do or perform particular acts, or to receive and report evidence only, and
 may fix the date for beginning and closing the hearings and for the filing of his or her report.
Subject to the specifications and limitations stated in the order, the commissioner has and
shall exercise the power to
 regulate the proceedings in every hearing before him or her and
 to do all acts and take all measures necessary or proper for the efficient performance
of his or her duties under the order.
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 He or she may issue subpoenas and subpoenas duces tecum,
 swear witnesses, and
 unless otherwise provided in the order of reference, he or she may rule upon the
admissibility of evidence.
The trial or hearing before him or her shall proceed in all respects as it would if held before the
court. (3a)
Section 4, Rule 31. Oath of commissioner. – Before entering upon his or her duties the commissioner
shall be sworn to a faithful and honest performance thereof. (4a)
Section 7, Rule 31. Refusal of witness. – The refusal of a witness to obey a subpoena issued by the
commissioner or to give evidence before him or her, shall be deemed a contempt of the court
which appointed the commissioner. (7a)
Section 5, Rule 31. Proceedings before commissioner. – Upon receipt of the order of reference
and unless otherwise provided therein, the commissioner shall forthwith
 set a time and place for the first meeting of the parties or their counsel to be held within ten
(10) calendar days after the date of the order of reference and
 shall notify the parties or their counsel. (5a)
Section 8, Rule 31. Commissioner shall avoid delays. – It is the duty of the commissioner to proceed
with all reasonable diligence. Either party, on notice to the parties and commissioner, may
 apply to the court for an order requiring the commissioner to expedite the proceedings
and
 to make his or her report. (8a)
Section 6, Rule 31. Failure of parties to appear before commissioner. – If a party fails to appear at
the time and place appointed, the commissioner may
 proceed ex parte or,

 in his or her discretion, adjourn the proceedings to a future day,
giving notice to the absent party or his or her counsel of the adjournment. (6a)
c. Commissioner's report; notice to parties and hearing on the report
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Section 9, Rule 31. Report of commissioner. – Upon the completion of the trial or hearing or
proceeding before the commissioner, he or she shall file with the court his or her report in writing
upon the matters submitted to him or her by the order of reference.
When his or her powers are not specified or limited, he or she shall set forth his or her findings of
fact and conclusions of law in his or her report.
He or she shall attach thereto all exhibits, affidavits, depositions, papers and the transcript, if any,
of the testimonial evidence presented before him or her. (9a)
Section 10, Rule 31. Notice to parties of the filing of report. – Upon the filing of the report, the
parties shall be notified by the clerk, and they shall be allowed ten (10) calendar days within
which to signify grounds of objections to the findings of the report, if they so desire.
Objections to the report based upon grounds which were available to the parties during the
proceedings before the commissioner, other than objections to the findings and conclusions therein
set forth, shall not be considered by the court unless they were made before the commissioner.
(10a)
Section 11, Rule 31. Hearing upon report. – Upon the expiration of the period of ten (10) calendar
days referred to in the preceding section, the
 report shall be set for hearing,
 after which the court shall issue an order adopting, modifying, or rejecting the report in
whole or in part, or
 recommitting it with instructions, or
 requiring the parties to present further evidence before the commissioner or the court.
(11a)
Section 12, Rule 31. Stipulations as to findings. – When the parties stipulate that a commissioner’s
findings of fact shall be final, only questions of law shall thereafter be considered. (12)
Section 13, Rule 31. Compensation of commissioner. – The court shall allow the commissioner such
reasonable compensation as the circumstances of the case warrant, to be taxed as costs against the
defeated party, or apportioned, as justice requires. (13)
P. DEMURRER TO EVIDENCE
RULE 33
DEMURRER TO EVIDENCE
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Section 1, Rule 33. Demurrer to evidence. – After the plaintiff has completed the presentation of
his or her evidence, the defendant may move for dismissal on the ground that
 upon the facts and the law, the plaintiff has shown no right to relief.
If his or her motion is denied, he or she shall have the right to present evidence.
If the motion is granted but on appeal the order of dismissal is reversed, he or she shall be
deemed to have waived the right to present evidence. (1a)
Section 2, Rule 33. Action on demurrer to evidence. – A demurrer to evidence shall be subject to
the provisions of Rule 15 (Motions).
The order denying the demurrer to evidence shall not be subject of an appeal or petition for
certiorari, prohibition or mandamus before judgment. (n)
1. Ground
Insufficiency of evidence, that upon the facts and the law the plaintiff has shown no right to relief.
[Sec. 1, Rule 33]
2. Effect of denial
If the demurrer is denied, the defendant shall have the right to present his evidence. [Sec. 1, Rule 33]
The order denying the demurrer to evidence shall not be the subject of an appeal or petition for certiorari,
prohibition or mandamus before judgment. [Sec. 2, Rule 33]
Note: The remedy then is to proceed to trial, and if the defendant loses, to appeal the judgment and
include in the assigned errors, the denial of the demurrer to evidence.
3. Effect of grant
If the demurrer is granted, the case shall be dismissed. [Sec. 1, Rule 33]
Note: The grant of a demurrer is considered an adjudication on the merits and the proper remedy would
be to appeal the judgment.
The appellate court should not remand the case for further proceedings but should render judgment on the
basis of the evidence submitted by the plaintiff. [Consolidated Bank and Trust Corp. v. Del Monte Motor
Works, Inc., G.R. No. 143338 (2005)]
4. Waiver of right to present evidence

If the order granting the demurrer is reversed on appeal, the defendant is deemed to have waived his right
to present evidence. [Sec. 1, Rule 33; Republic v. Tuvera, G.R. No. 148246 (2007)]
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5. Action on demurrer to evidence

A demurrer to evidence shall be subject to the provisions of Rule 15. [Sec. 2, Rule 33]
Being subject to the provisions of Rule 15, it follows that a demurrer to evidence is considered an
allowable litigious motion. Rule 15 requires that there must be proof of service to the other party who
shall have 5 calendar days to file an opposition. The court shall then resolve the motion within 15
calendar days from the receipt of such opposition.
*Demurrer to evidence must be filed before the court renders its judgment. It can only be resolved by the
trial court since it is not within the province of the appellate court to grant or deny the same. (Republic v.
De Borja, Jan. 9, 2017)
6. Distinguish: demurrer to evidence in a civil case and demurrer to evidence in a criminal case
Demurrer in Civil Cases Demurrer in Criminal Case

Anchored upon the failure of the plaintiff to show Predicated upon prosecution’s insufficiency of
that he is entitled to relief, upon the facts and the evidence. [Sec. 23, Rule 119]
law. [Sec. 1, Rule 33]
Leave of court is not required. May be filed with or without leave of court [Sec.
23, Rule 119]
If the demurrer is denied, the defendant does not If the defense filed the demurrer with leave of
lose his right to present his evidence. court, the defense may present evidence upon
denial of demurrer.
When without leave of court and the demurrer

is denied, the defense is deemed to have waived
the right to present evidence and thus submits
the case for judgment on the basis of evidence
offered by the prosecution.
If the demurrer is granted, the plaintiff may No appeal is allowed when a demurrer is
appeal granted because the dismissal is deemed an
acquittal. [People v. Tan, G.R. No. 167526
and if the dismissal is reversed, the defendant is (2010)]
deemed to have waived his right to present his
evidence.
It is the defendant who invokes demurrer by The court may, on its own initiative, may
moving for the dismissal of the case. dismiss the action after giving the prosecution an
opportunity to be heard.
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The court does not do so on its own initiative.
Q. JUDGMENTS AND FINAL ORDERS

Judgments in general - The final ruling by a court of competent jurisdiction regarding the rights and
obligations of the parties, or other matters submitted to it in an action or proceeding. [Macahilig v. Heirs
of Magalit, G.R. No. 141423 (2000)]
Requisites of a valid judgment

1. Court or tribunal must be clothed with authority to hear and determine the matter before it. [Acosta v.
COMELEC, G.R. No. 131488 (1998)]
2. Court must have jurisdiction over the parties and the subject matter
3. Parties must have been given an opportunity to adduce evidence on their behalf. [Acosta v.
COMELEC, G.R. No. 131488 (1998)]
4. Evidence must have been considered by the tribunal in deciding the case. [Acosta v. COMELEC, G.R.
No. 131488 (1998)]
5. Judgment must be in writing, personally and directly prepared by the judge. [Corpus v. Sandiganbayan,
G.R. No. 162214 (2004)]
6. Judgment must state clearly the facts and the law upon which the decision is based, signed by the judge
and filed with the clerk of court. [Sec. 1, Rule 36; Sec. 14, Art VIII, 1987 Constitution]
KINDS OF JUDGMENT
1. Judgment by compromise – Rendered on the basis of a compromise agreement entered into between
the parties to the action. [1 Riano 606, 2014 Bantam Ed., Diamond Builders Conglomeration v. Country
Bankers Corp., G.R. No. 171820 (2007)]. Once approved by the court, a judicial compromise is not
appealable and it thereby becomes immediately executory [1 Riano 607, 2014 Bantam Ed.]
2. Judgment by confession (cognovit actionem) – Rendered by the court when a party expressly agrees to
the other party’s claim or acknowledges the validity of the claim against him. [1 Riano 609, 2014 Bantam
Ed., see also PNB v. Manila Oil, G.R. No. 18103 (1922)]
3. Judgment upon the merits – Rendered after consideration of the evidence submitted by the parties
during the trial of the case. A judgment is “on the merits” when it amounts to a legal declaration of the
respective rights and duties of the parties, based upon the disclosed facts.
4. Clarificatory judgment – Rendered where the previous judgment is ambiguous and difficult to comply
with. [1 Regalado 417, 2010 Ed., citing Almendras v. Del Rosario, G.R. No. L-20158 (1968)]
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5. Judgment nunc pro tunc – Literally, “now for then”. It is a judgment intended to enter into the record
the acts which had already been done, but which do not appear in the records [Lichauco v. Tan Pho, G.R.
No. 19512 (1923)]. It can only be issued when the thing ordered has previously been made, but by
inadvertence has not been entered. [Vasquez v. CA, G.R. No. 144882 (2005)]
6. Judgment sin perjuicio – Traditionally understood to be a brief judgment containing only the
dispositive portion. [Director of Lands v. Sanz, G.R. No. 21183 (1923)]. It is a judgment without a
statement of the facts in support of its conclusions. Such a judgment is void for it violates Section 14,
Article VIII of the Constitution. Thus the party adversely affected would be unable to file a motion for
reconsideration or appeal the judgment for he has to speculate on the grounds upon which the judge based
his decision.
7. Conditional Judgment – One whose effectivity depends upon the occurrence or non-occurrence of an
event; generally, void because of the absence of a disposition . [Cu- Unjieng v. Mabalacat Sugar Co., G.R.
No. 45351 (1940)]
8. Several Judgments – Rendered by a court against one or more defendants and not against all of them,
leaving the action to proceed against the others [Sec. 4, Rule 36]. A several judgment is proper where the
liability of each party is clearly separable and distinct from that of his co-parties such that the claims
against each of them could have been the subject of separate suits, and judgment for or against one of
them will not necessarily affect the others. In actions against solidary debtors, a several judgment is not
proper [1 Regalado 424, 2010 Ed.].
9. Separate Judgment – Rendered to dispose of a claim among several others presented in a case, after a
determination of the issues material to a particular claim and all counterclaims arising out of the
transaction or occurrence that is the subject matter of said claim. [Sec. 5, Rule 36]
10. Memorandum Decision – Rendered by an appellate court, and incorporates by reference the findings
of fact or the conclusions of law contained in the decision, order or ruling under review. [1 Riano 581,
2014 Bantam Ed.]
Memorandum decision authorized under Section 40 of B.P. Big. 129 should actually embody the findings
of fact and conclusions of law of the lower court in an annex attached to and made an indispensable part
of the decision. (See Francisco v. Permskul, 12 May 1989, Cruz, J.).
11. Declaratory Judgment – Rendered in a special civil action for declaratory relief. [Rule 63]
12. Foreign Judgment – Rendered by a tribunal of a foreign country. [Sec 48, Rule 39]
1. Judgment after pre-trial

Section 10, Rule 18. Judgment after pre-trial. – Should there be
 no more controverted facts, or
Page 127 of 392

 no more genuine issue as to any material fact, or
 an absence of any issue, or
 should the 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.
In such cases, judgment shall be rendered within ninety (90) calendar days from termination of
the pre-trial.
The order of the court to submit the case for judgment pursuant to this Rule shall not be the
subject to appeal or certiorari. (n)
2. Judgment without trial
When trial is unnecessary:

1. Judgment on the Pleadings [Rule 34]
2. Summary Judgment [Rule 35]
3. Upon compromise or amicable settlement, either during pre-trial or during trial [Rule 18; Art.
2028, Civil Code]
4. Dismissal with prejudice [Sec. 13, Rule 15; Secs. 3 and 5, Rule 17]
5. Under the Rules on Summary Procedure
6. When there is an agreed statement of facts [Sec. 7, Rule 30]
3. Judgment on the pleadings

RULE 34
JUDGMENT ON THE PLEADINGS
Section 1. Judgment on the pleadings. – Where an answer
 fails to tender an issue, or
 otherwise admits the material allegations of the adverse party’s pleading,
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the court may, on motion of that party, direct judgment on such pleading.
However, in actions for declaration of nullity or annulment of marriage or for legal

separation, the material facts alleged in the complaint shall always be proved. (1)
Section 2. Action on motion for judgment on the pleadings. – The court may
 motu proprio or
 on motion
render judgment on the pleadings if
 it is apparent that the answer fails to tender an issue, or
 otherwise admits the material allegations of the adverse party’s pleadings.
Otherwise, the motion shall be subject to the provisions of 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. (n)
Note: The concept will not apply when no answer is filed. It will come into operation when an answer is
served and filed but the same fails to tender an issue, or admits the material allegations of the adverse
party’s pleading. [1 Riano 609, 2014 Bantam Ed.] When no answer is filed, the remedy is to move that
the defendant be declared in default. [Sec. 3, Rule 9]
4. Summary judgments
Definition - A judgment which a court may render before trial, but after both parties have pleaded
upon application by one party supported by affidavits, depositions, or other documents, with notice
upon the adverse party who may file an opposition supported also by affidavits, depositions or other
documents, should the court find after summarily hearing both parties with their respective proofs
that there exists no genuine issue between them. [2 Herrera 118, 2007 Ed., citing Evangelista v.
Mercator Financing Corporation, G.R. No. 148864 (2003)]
Summary Judgment is proper when it appears to the court that

a. There exists no genuine issue as to any material fact, except as to the amount of damages, and
b. The moving party is entitled to judgment as a matter of law.
Genuine issue - an issue of fact which calls for the presentation of evidence as distinguished from a
sham, fictitious, contrived, or false claim [Philippine Bank of Communications v. Go, G.R. No. 175514
(2011)]
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Test: Whether or not the affirmative defenses offered by petitioners constitute genuine issue of fact
requiring full-blown trial
a. For the claimant

Section 1, Rule 35. Summary judgment for 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 or her favor upon all or any part thereof. (1a)
b. For the defendant

Section 2, Rule 35. Summary judgment for defending party. – A party against whom a
 claim,
 counterclaim, or
 cross-claim or
 to obtain a declaratory relief
is sought may, at any time, move with

 supporting affidavits,
 depositions or
 admissions
for a summary judgment in his or her favor as to all or any part thereof. (2a)
When filed:
1. If sought by the claimant – only after the answer is served; [Sec. 1, Rule 35]
2. If sought by the defendant – at any time [Sec. 2, Rule 35]
Procedure:
1. Movant files a motion for summary judgment, citing the supporting affidavits, depositions, or
admissions, and the specific law relied upon.
2. The adverse party may file a comment and serve opposing affidavits, depositions, admissions
within 5 calendar days from receipt of the motion.
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3. A hearing will be conducted only if ordered by the court -
Note: There is no longer a mandatory hearing for the motion due to the amendment of the rules.
This is also consistent with the amendments to Rule 15.
4. Court renders summary judgment.

Note: Any action of the court on a motion for summary judgment shall not be subject of an appeal or
petition for certiorari, prohibition or mandamus. [Sec. 3, Rule 35]
Note: Damages must still be proven even if not denied. Note language of Sec. 3, Rule 35, “except as to
the amount of damages.”
c. When the case not fully adjudicated

Partial summary judgment – applies when for some reason there can be no full summary judgment. Trial
should deal only with the facts not yet specified or established.
Section 4, Rule 35. 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
 a trial 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 is not 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. (4a)
Effect: A partial summary judgment is not a final judgment, but merely a pre-trial adjudication that said
issues in the case shall be deemed established for the trial of the case. [Guevarra v. CA, G.R. No. L-49017
(1983)]
d. Affidavits and attachments

Section 5, Rule 35. Form of affidavits and supporting papers. – Supporting and opposing
affidavits shall be
 made on personal knowledge,
Page 131 of 392

 shall set forth such facts as would be admissible in evidence, and
 shall show affirmatively that the affiant is competent to testify to the matters stated
therein.
 Certified true copies of all papers or parts thereof referred to in the affidavit shall be attached
thereto or served therewith. (5)
Section 6, Rule 35. Affidavits in bad faith. – Should it appear to its satisfaction at any time that
any of the affidavits presented pursuant to this Rule are presented in bad faith, or solely for the
purpose of delay, the court shall forthwith order the offending party or counsel to
 pay to the other party the amount of the reasonable expenses which the filing of the
affidavits caused him or her to incur,
 including attorney’s fees,
it may, after hearing, further adjudge the offending party or counsel guilty of contempt. (6a)
5. Distinguish: judgment on the pleadings and summary judgments
Judgment on the Pleadings Summary Judgments

Absence of a factual issue in the case because the Involves an issue, but the issue is not genuine
answer tenders no issue at all.
Motion for judgment on the pleadings is filed by a Motion for summary judgment may be filed by
claiming party like a plaintiff or a either the claiming or the defending party. [Secs.
counterclaimant. [Sec. 1] 1-2]
May be ordered motu proprio by the court. [Sec. May be ordered motu proprio by the court. [Sec.
10, Rule 18] 10, Rule 18]
Based on the pleadings alone [Sec. 1] Based on the pleadings, affidavits, depositions
and admissions [Sec. 3]
6. Contents of a judgment
RULE 36
JUDGMENTS, FINAL ORDERS AND ENTRY THEREOF
Page 132 of 392

Section 1. Rendition of judgments and final orders. – A judgment or final order determining the
merits of the case shall be
 in writing
 personally and directly prepared by the judge,
 stating clearly and distinctly the facts and the law on which it is based,
 signed by him, and
 filed with the clerk of the court. (1a)
Parts of a decision
In general, the essential parts of a good decision consist of the following:
a. Statement of the case,
b. Statement of facts,
c. Issues or assignment of errors,
d. Court ruling, in which each issue is, as a rule, separately considered and resolved, and
e. Dispositive portion.
The ponente may also opt to include an introduction or a prologue as well as an epilogue, especially in
cases in which controversial or novel issues are involved. [Velarde v. Social Justice Society, G.R. No.
159357 (2004)]
Conflict between disposition and opinion of the court

General rule: The general rule is that where there is conflict between the dispositive portion or the fallo
and the body of the decision, the fallo controls.
Note: This Rule applies only when the dispositive part is definite, clear, and unequivocal. [Union Bank v.
Pacific Equipment Corporation, G.R. No. 172053 (2008)]
Exception: Where the inevitable conclusion from the body of the decision is that there was a mistake
in the dispositive portion, the body of the decision will prevail. [Rosales v. CA, G.R. No. 137566
(2001)]
7. Rendition of judgments and final orders
Rendition of judgment - Pronouncement of the judgment in open court does not constitute rendition of
judgment. It is the filing of the signed decision with the Clerk of Court (COC) that constitutes
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 COC. [Ago v. CA, G.R. No. L-17898 (1962)]
Promulgation of judgment - Promulgation is the process by which a decision is published, officially

announced, made known to the public or delivered to the COC for filing, coupled with notice to the
parties or their counsel. [2 Herrera 151, 2007 Ed., Neria v. Commissioner of Immigration, G.R. No. L-
24800 (1968)]
Page 133 of 392

Period for rendition

a. All cases filed must be decided or resolved by the Supreme Court within 24 months from the date of
their submission for decision.
b. Unless reduced by the SC, within 12 months for lower collegiate courts and within 3 months for all
other lower courts. [Sec. 15, Art. VIII, Constitution,]
A case is deemed submitted for resolution upon the filing of the last pleading, brief or memorandum
required by the Rules of Court or by the court. [Sec. 15, Art. VIII, Constitution]
An extension of the period may be set by the SC upon request by the judge concerned on account of
heavy caseload or by other reasonable excuse. Without an extension, a delay in the disposition of cases is
tantamount to gross inefficiency on the part of the judge. [Arap v. Mustafa, SCC-01-7 (2002)]
8. Entry of judgment and final order

Section 2, Rule 36. Entry of judgments and final orders. – If no appeal or motion for new trial or
reconsideration is filed within the time provided in these Rules, the judgment or final order shall
forthwith be entered by the clerk in the book of entries of judgments.
The date of finality of the judgment or final order shall be deemed to be the date of its entry.
The record shall contain the dispositive part of the judgment or final order and shall be signed by
the clerk, with a certificate that such judgment or final order has become final and executory.
(2a, 10, R51)
Note: The date of finality of the judgment or final order shall be deemed to be the date of its entry.
[Sec. 2, Rule 36] This is regardless of the date when the physical act of entry was done. [1 Riano 615,
2014 Bantam Ed.]
Final judgment rule

General rule: Once a decision or order becomes final and executory, it is removed from the power or
jurisdiction of the court which rendered it to further alter or amend it. [Siliman University v. Fontelo-
Paalan, G.R. No. 170948 (2007)]
Under the doctrine of immutability of judgments, a judgment that has attained finality can no longer be
disturbed.
The reason is two-fold:

a. To avoid delay in the administration of justice, and to make orderly the discharge of judicial business;
and
Page 134 of 392

b. To put an end to judicial controversies at the expense of occasional errors. [1 Riano 538-539, 2011 Ed.]
Exceptions:
a. Correction of clerical errors [Filipinas Palmoil Processing, Inc. v. Dejapa, G.R. No. 167332 (2011)]
b. Nunc pro tunc entries [Filipinas Palmoil Processing, Inc. v. Dejapa, G.R. No. 167332 (2011)]
c. Whenever circumstances transpire after finality of the decision, rendering its execution unjust and
inequitable [Apo Fruits Corp. v. Land Bank of the Phils., G.R. No. 164195 (2010)]
d. In cases of special and exceptional nature, when it is necessary in the interest of justice to direct
modification in order to harmonize the disposition with the prevailing circumstances [Industrial Timber
Corp. v. Ababon, G.R. No.164518 (2006)]
e. In case of void judgments [FGU Insurance v. RTC Makati, G.R. No. 161282 (2011)]
f. Where there is a strong showing that a grave injustice would result from an application of the Rules
[Almuete v. People, G.R. No. 179611 (2013)]
g. When there are grounds for annulment of judgment or petition for relief [Gochan v. Mancao, G.R. No.
182314 (2013)
R. POST-JUDGMENT REMEDIES
Remedies before finality of judgment

1. Motion for new trial [Rule 37]
2. Motion for reconsideration [Rule 37]
3. Appeal [Rules 40-45] [1 Riano 60, 2011 Ed.]
1. Motion for new trial or reconsideration
Note: The motion for reconsideration (MR) under Rule 37 is directed against a judgment or final order. It
does not refer to one for interlocutory orders, which often precedes a petition for certiorari under Rule 65.
[1 Riano 558, 2011 Ed.]
These motions are prohibited in cases covered by

 the Rule on Summary Procedure [Sec. 19]
 those falling under the Rules of Procedure on Small Claims Cases [Sec. 16].
 Order of court granting an affirmative defense
 Cases governed by the Rules of Procedure on Intra-Corporate Disputes
Q. May a motion for new trial be filed with the Supreme Court?
Page 135 of 392

A. In civil cases a motion for new trial may not be filed with the Supreme Court as such a remedy is not
provided for in the Rules of Court. The Supreme Court however may in exceptional cases take
cognizance of factual issues by virtue of its plenary judicial power. (JOSE FERIA, 1997 RULES OF
CIVIL PROCEDURE 201 [1997]).
In criminal cases, a motion for new trial on the ground of newly-discovered evidence may be filed
with the Supreme Court. (S1 R125 in relation to S14 R124). Thus in Custodio v. Sandiganbayan, 8
March 2005, the Supreme Court entertained a motion for new trial by the accused convicted in the
Aquino-Galman double murder case.
Q. What is the effect of a motion for new trial or reconsideration on the period of appeal?
A. The filing of a timely motion for new trial or reconsideration shall toll or interrupt the
reglementary period of appeal. Upon receipt of the order denying the motion for new trial or
reconsideration, the movant has a fresh 48-hour, 5-working day, 15-day or 30-day period to appeal, as the
case may be.
a. Grounds
RULE 37
NEW TRIAL OR RECONSIDERATION
Section 1. Grounds of and period for filing motion for new trial or reconsideration. – Within the
period for taking an appeal, the aggrieved party may move the trial court to set aside the
judgment or final order and grant a new tria l for one or more of the following causes materially
affecting the substantial rights of said party:
(a) Fraud, accident, mistake or excusable negligence which
 ordinary prudence could not have guarded against and

 by reason of which such aggrieved party has probably been impaired in his
rights; or
(b) Newly discovered evidence, which
 he could not, with reasonable diligence, have discovered and produced at the trial,
and
 which if presented would probably alter the result.
Within the same period, the aggrieved party may also move for reconsideration upon the grounds
 that the damages awarded are excessive,
Page 136 of 392

 formally offered and closed their evidence before judgment. [1 Regalado 432, 2010 Ed.]that
the evidence is insufficient to justify the decision or final order, or
 that the decision or final order is contrary to law. (1a)
Note: A motion for reopening the trial is different from a

motion for new trial—the latter can only be done after
promulgation of judgment whereas the former may properly
be presented after either or both parties have formally offered
and closed their evidence before judgment. [1 Regalado 432,
2010 Ed.]
A motion for new trial is based on specific grounds set forth

in S1 R37, while a motion for reopening is based on broader
grounds, that is the paramount interests of justice. A motion
for new trial is a remedy specifically mentioned in the Rules
of Court, while a motion for reopening of trial is not so
mentioned, at least insofar as civil cases are concerned
Note: If the MR is based on the same grounds as that for a

MNT, it is considered a MNT. [Rodriguez v. Rovira, G.R. No.
45252 (1936)]
b. When to file
Within the period for taking an appeal [Sec. 1, Rule 37]
Contents
The motion shall be:
a. Made in writing,
b. Stating the ground or grounds therefor, and
c. A written notice of which shall be served by the movant on the adverse party.
An MNT shall be proved in the manner provided for proof of motions.

a. A motion based on FAME - supported by affidavits of merits which may be rebutted by
affidavits.
b. A motion based on newly-discovered evidence - supported by affidavits of the witnesses by

whom such evidence is expected to be given, or by duly authenticated documents which are
proposed to be introduced in evidence.
A MR shall point out specifically the findings or conclusions of the judgment or final order which are not
supported by the 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 conclusions.
Page 137 of 392

Note: A pro forma MNT/MR shall not toll the reglementary period of appeal. [Sec. 2, Rule 37]
When MNT considered pro forma

1. Based on the same ground raised in preceding MNT/MR already denied;
2. Contains the same arguments and manner of discussion in the prior opposition to a motion to
dismiss which was granted;
3. The new ground alleged in the 2nd MNT was available and could have been alleged in the first
MNT which was denied;
4. Based on the ground of insufficiency of evidence/that the judgment is contrary to law, but does
not specify the supposed defects in judgment; or
5. Based on FAME but does not specify the facts constituting these grounds and/or is not
accompanied by an affidavit of merits. [1 Regalado 193, 2010 Ed.]
Single-motion rule [Sec. 5, Rule 37]
Motion for New Trial - An MNT shall include all grounds then available and those not so included shall
be deemed waived.
• A 2nd MNT, based on a ground not existing nor available when the first motion was made, may
be filed within the time herein provided excluding the time during which the first motion had
been pending
Motion for Reconsideration - A 2nd motion for reconsideration of a judgment or final order is not
allowed. However, in exceptional cases and in the exercise of its equity jurisdiction, the Supreme Court
may entertain a second motion for reconsideration.
Court action - The trial court may:

1. (MNT) Set aside the judgment or final order and grant a new trial, upon such terms as may be
just
2. (MR) Amend such judgment or final order accordingly if the court finds that
a. Excessive damages have been awarded or that, or
b. Judgment or final order is contrary to the evidence or law
3. Deny the motion [Sec. 3, Rule 37]
Court resolution -The motion shall be resolved within 30 days from the time it is submitted for
resolution. [Sec. 4, Rule 37]
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Note: The 30-day period to resolve the motion is mandatory. [Gonzales v. Bantolo, A.M. No. RTJ-06-
1993 (2006)]
c. Denial of the motion; effect

Section 9, Rule 37. Remedy against order denying a motion for new trial or reconsideration. –
An order denying a motion for new trial or reconsideration is not appealable, the
remedy being an appeal from the judgment or final order. (n)
Note: The order denying the motion may itself be assailed by a petition for certiorari under Rule 65. [1
d. Grant of the motion; effect

Section 6, Rule 37. Effect of granting of motion for new trial. – If a new trial is granted in
accordance with the provisions of this Rule,
 the original judgment or final order 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
at the new trial without retaking the same. (5a)
Section 3, Rule 37. XXX–
If the court 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. (3a, R37)
Section 7, Rule 37. Partial new trial or reconsideration. – If the grounds for a motion under this
Rule appear to the court to affect the issues as to only a part, or less than all of the matter 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 if severable without interfering with the judgment or final order
upon the rest. (6a)
Section 8, Rule 37. Effect of order for partial new trial. – When less than all of the issues are
ordered retried, the court may either
 enter a judgment or final order as to the rest, or
 stay the enforcement of such judgment or final order until after the new trial. (7a)
Page 139 of 392

e. Remedy when motion is denied, fresh 15-day period rule
Neypes Doctrine
15-day period to file the notice of appeal - The SC has allowed a fresh period of 15 days within
which to file the notice of appeal in the RTC, counted from receipt of the order dismissing a
MNT/MR. –
The fresh period of 15 days becomes significant only when a party opts to file a motion for new trial or
motion for reconsideration. [Neypes v. CA, G.R. No. 141524 (2005)]
Note: What is appealed is the judgment itself, not the order denying the MNT/MR. [Sec. 9, Rule 37]
Motion for New Trial Motion for reconsideration
1. Damages awarded are excessive
1. Fraud, accident, mistake, or

2. That the evidence is insufficient
excusable negligence (FAME)
Grounds to justify the decision or final order
2. Newly discovered evidence

3. That the decision or final order is
contrary to law
A 2nd MR of a judgment or final

A 2nd MNT may be allowed if order is not allowed.
based on a ground not existing or
Second MNT/MR
available when the 1st MNT was Note: This prohibition does not
made apply to interlocutory orders.
The original judgment or final order

shall be vacated, and the action The court may amend the judgment
shall stand for trial de novo; but the or final order accordingly if the
Effect if granted
recorded evidence shall be used in ground relied upon prevails. [Sec.
the new trial without retaking the 3, Rule 37]
same. [Sec. 6, Rule 37]
2. Appeals in general
Nature
a. The right to appeal is not a constitutional, natural, or inherent right.
b. It is a statutory privilege and of statutory origin and is available only if granted or if so provided
by statute. [Yu vs SamsonTatad, 642 SCRA 421 (2011)]
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c. As a rule, the perfection of an appeal in the manner and within the period prescribed by law is not only
mandatory, but jurisdictional. A failure to comply with the rules of appeal will render the judgment final
and executory. [Landbank of the Philippines vs CA, G.R. No. 221636 (2016)]
Appeal vs. Action to review

An appeal is different from an action to review. In an appeal, the court by which the first determination
was made is not a party to the proceeding for review whereas in an action for review, the court which
made the determination is a party to the proceeding for review [1 Regalado 556, 2010 Ed.]
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. [Sec. 6,
Rule 51]
The court at every stage of the proceeding must disregard any error or defect which does not affect the
substantial rights of the parties. [Sec. 6, Rule 51]
We have likewise followed the harmless error rule in our jurisdiction. In dealing with evidence
improperly admitted in trial, we examine its damaging quality and its impact to the substantive rights of
the litigant. If the impact is slight and insignificant, we disregard the error as it will not overcome the
weight of the properly admitted evidence against the prejudiced party. [People v. Teehankee, G.R. Nos.
111206-08 (1995)]
a. Judgments and final orders subject to appeal
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 the ROC to be appealable [Sec. 1, Rule 41]
Note: Not every judgment or final order is appealable. An example of judgments or final orders which
do not completely dispose of a case and are, hence, not appealable are several and separate
judgments provided for under Secs. 4 and 5 of Rule 36.
b. Matters not appealable
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;
6. A judgment or final order for or against one or more of several parties or in separate claims,
counterclaims, cross-claims and third-party complaints, while the main case is pending, unless the
court allows an appeal therefrom; and
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7. An order dismissing an action without prejudice. [Sec. 1, Rule 41, as amended by A.M. No. 077-
12-SC]
Final Order Interlocutory Order

One that finally disposes of a case, leaving One that determines incidental matters that does
nothing more to be done by the Court in respect not touch on the merits of the case or put an end
thereto. to the proceedings.
Subject to appeal Proper remedy to question an improvident

interlocutory order is a petition for certiorari
under Rule 65
Must express clearly and distinctly the facts and Not considered decisions or judgments within the
the law on which it is based constitutional definition [
Effect of an appeal from an interlocutory order - If an order appealed from is interlocutory, the
appellate court can dismiss the appeal even if the appellee did not file any objection. [1 Regalado 552,
2010 Ed.]
c. Remedy against judgments and orders which are not appealable

In those instances, where the judgment or final order is not appealable, the aggrieved party may file the
appropriate special civil action under Rule 65. [Sec. 1, Rule 41]
d. Modes of appeal
1. Ordinary appeal – Rule 40 and 41
a. Notice of appeal
b. Record on appeal
2. Petition for review – Rule 42

3. Appeal from quasi-judicial agencies (QJAs) to the CA – Rule 43
4. Petition for review on certiorari – Rule 45
Page 142 of 392

e. Issues to be raised on appeal
Issues
Issues that have not been raised before the lower courts cannot be raised on the first time on appeal.
[Spouses Erorita vs Spouses Dumlao, G.R. No. 195477 (2016)]
Errors
General Rule: The appellate court shall consider no error unless stated in the assignment of errors. [Sec.
8, Rule 51]
Page 143 of 392

Exceptions: The court may consider an error not raised on appeal provided that it is an error:
1. That affects the jurisdiction over the subject matter,
2. That affects validity of the judgment appealed from,
3. Which affects the validity of the proceedings,
4. That is closely related to or dependent to an assigned error, and properly argued in brief,
5. That is a plain clerical error,
6. Of which consideration is necessary to arrive at a just decision and complete resolution of the
case or serve the interests of justice, or
7. Raised in the trial court and are matters of record having such bearing on the issue submitted
which the parties failed to raise or which the lower court. [1 Riano 529-530, 2016 Ed.]
The appellate court has no jurisdiction to review a judgment which is immediately final and executory by
express provision of law. [Republic v. Bermudez-Lorino, G.R. No. 160258 (2005)]
f. Period of appeal
The fresh period rule shall apply to:

1. Rule 40 governing appeals from the MTCs to the RTCs
2. Rule 41 governing appeals from the RTCs to CA
3. Rule 42 on petitions for review from the RTCs to the CA
4. Rule 43 on appeals from quasi-judicial agencies to the CA, and
5. Rule 45 governing appeals by certiorari to the SC
Note: The fresh period rule gives the appellant a fresh 15-day period within which to make his appeal
from the order denying the MNT, MR, or any final order or resolution.
The new rule aims to regiment or make the appeal period uniform, to be counted from receipt of the order
denying the MNT, MR (whether full or partial) or any final order or resolution [Neypes v. CA, G.R. No.
141524 (2005)]
g. Perfection of appeal
Perfection of an appeal in the manner and within the period laid down by law is mandatory and
jurisdictional [Balgami v. CA, G.R. No. 131287 (2004)]
Effect of failure to perfect appeal

a. Defeats a party’s right to appeal, and
b. Precludes appellate court from acquiring jurisdiction. [1 Riano 20, 2011 Ed.]
Withdrawal of appeal
1. An appeal may be withdrawn as a matter of right at any time before the filing of the appellee’s brief.
Page 144 of 392

2. Thereafter, the withdrawal may be allowed in the discretion of the court. [Sec. 3, Rule 50]
Dismissal by the SC
The appeal may be dismissed motu proprio or on motion of the respondent on the following grounds:
1. Failure to take the appeal within the reglementary period
2. Lack of merit in the petition
3. Failure to pay the requisite docket fee and other lawful fees or to make a deposit for costs
4. Failure to comply with the requirements regarding proof of service and contents of and the documents
which should accompany the petition
5. Failure to comply with any circular, directive or order of the SC without justifiable cause
6. Error in the choice or mode of appeal, and
7. The fact that the case is not appealable to the SC. [Sec. 5, Rule 56]
S. EXECUTION, SATISFACTION, AND EFFECT OF JUDGMENTS
Execution is a remedy afforded by law for the enforcement of a judgment. It is a judicial writ issued to an
officer authorizing and requiring him to execute the judgment of the court. [Pamantasan ng Lungsod ng
Maynila v. IAC, G.R. No. L-65439 (1986), citing 2 Francisco, 592-593, 1966 Ed.]
Note: The prevailing party can secure certified true copies of the judgment or final order of the appellate
court, the entry thereof, and submit it to the court of origin to justify a motion for a writ of execution even
without waiting for receipt of the records from the appellate court. [Circular No. 24-94]
The appellate court can also direct the issuance of the writ of execution upon motion in the same while
the records are still with the appellate court, or even after remand to the lower court. [1 Regalado 452,
2010 Ed.]
1. Difference between finality of judgment for purposes of appeal; for purposes of execution
A judgment is final if it disposes of the action as distinguished from an interlocutory order which leaves
something to be done with respect to the merits of the case, and
it is executory if the period to appeal has expired and no appeal is taken. [2 Herrera 281, 2007 Ed.; 1
Finality of judgment for purposes of appeal Finality of judgment for purposes of execution
(Final and Executory)
Finality for purposes of appeal refers to the Finality for purposes of execution refers to the
distinction between “final judgments or orders” judgment being “final and executory” upon the
and “interlocutory orders,” which cannot be lapse of the appeal period if no appeal is taken,
appealed according to Sec. 1(b), Rule 41 [1 upon which execution shall issue as a matter of
Regalado 450, 2010 Ed.] right according to Sec. 1, Rule 39. [1 Regalado
449-450, 2010 Ed., see Perez v. Zulueta, G.R. No.
Page 145 of 392

A final judgment or order is one that finally L-10374 (1959)]

disposes of a case, leaving nothing more to be
done by the court in respect thereto. A judgment becomes “final and executory” by
operation of law. [Prieto v. Alpadi Development
Examples include: Corporation, G.R. No. 191025 (2013)]
a. An adjudication on the merits which,

on the basis of the evidence presented at
the trial, declares categorically what the
rights and obligations of the parties are
and which party is in the right; or
b. A judgment or order that dismisses an

action on the ground, for instance, of res
judicata or prescription. [Heirs of
Dimaampao v. Alug, G.R. No. 198223
(2015)]
2. When execution shall issue
General rule: Execution shall issue as a matter of right, on motion, upon a judgment or order that
disposes of the action or proceeding upon the expiration of the period to appeal therefrom if no appeal has
been duly perfected. [Sec. 1, Rule 39]
Exceptions: The following are immediately executory without the expiration of the period to appeal
a. Judgments in actions for injunction, receivership, accounting and support, and such
other judgments as are now or may hereafter be declared to be immediately executory . [Sec. 1, Rule
39]
b. Judgments in an action for forcible entry or unlawful detainer rendered against the
defendant. [Sec. 19, Rule 39]
c. The decision of the Regional Trial Court in civil cases governed by the Rules on Summary
Procedure. [Sec. 21, Rules on Summary Procedure]
d. The decision of the Labor Arbiter reinstating a dismissed or separated employee. [Art. 229,
Labor Code]
Exception to the exception: The appellate court in its discretion may make an order suspending,
modifying, restoring or granting the injunction, receivership, accounting, or award of support. The stay of
execution shall be upon such terms as to bond or otherwise as may be considered proper for the security
or protection of the rights of the adverse party. [Sec. 1, Rule 39]
Page 146 of 392

Quashal of a writ of execution

General rule: The execution of final and executory judgments may no longer be contested and prevented,
and no appeal should lie therefrom. [1 Riano 609, 2016 Ed.]
Exception: These exceptional circumstances may prevent the execution of a judgment or allow the
quashal of a writ of execution already issued:
1. Improvidently issued
2. Defective in substance
3. Issued against wrong party
4. Issued without authority
5. Inequitable due to change in situation of parties
6. Controversy was never validly submitted to court [Sandico v. Piguing, G.R. No. L26115
(1971)]
7. The writ varies the terms of the judgment, there is ambiguity in the terms of the judgment or
when it is sought to be enforced against property exempt from execution [Limpin v. IAC, G.R.
No 70987 (1987)]
8. There is substantial variance between the judgment and the writ of execution issued to enforce
the same [Malacora v. CA, G.R. No. 51042 (1982)] [1 Regalado 453, 2010 Ed.]
Note: These defects may be challenged on appeal or in certiorari, prohibition or mandamus

actions. [Limpin v. IAC, G.R. No 70987 (1987)]
a. Execution as a matter of right
Execution as a matter of right is available in two instances

1. Upon the expiration of the period to appeal therefrom if no appeal has been duly perfected.
2. Appeal has been duly perfected and finally resolved. [Sec. 1, Rule 39]
How done
1. If no appeal is perfected upon the expiration of the period to appeal therefrom, on motion.
2. If the appeal has been duly perfected and finally resolved, the execution may
a. Be applied for in the court of origin,
b. On motion of the judgment obligee,
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c. Submitting certified true copies of the judgment or judgments or final order or orders
sought to be enforced and of the entry thereof, with notice to the adverse party. [Sec. 1, Rule
39]
Necessity of hearing
An ex parte motion for the issuance of the writ would suffice since the trial court may take judicial
notice of the record of the case to determine the propriety of the issuance thereof.
However, where the losing party shows that subsequent facts had taken place which would render
execution unjust, a hearing on the motion should be held. [Luzon Surety Co. v. Beson, G.R. No. L-
26865-66 (1976)]
General rule: Issuance of the writ of execution is a matter of right on the part of the prevailing party
when the judgment or order becomes executory. [1 Regalado 453, 2010 Ed.]
Exceptions: The issuance of a writ of execution which issues as a matter of right can be countered in
any of the following cases:
a. When the judgment has already been executed by the voluntary compliance thereof by the parties;
b. When a judgment has been novated by the parties;
c. When a petition for review is filed and preliminary injunction is granted; Also, when execution of the
judgment has been enjoined by a higher court;
d. When the judgment sought to be executed is conditional or incomplete;
e. When facts and circumstances transpire which would render execution inequitable or unjust;
f. When execution is sought more than five (5) years from its entry without it having been revived;
g. When execution is sought against property exempt from execution; h. When refusal to execute the
judgment has become imperative in the higher interest of justice. [1 Riano 647-648, 2014 Bantam Ed.]
Supervening event doctrine - A supervening event can be invoked for the modification or alteration of a
final judgment. This refers to:
a. Facts which transpire after judgment has become final and executory;
b. New circumstances which developed after the judgment has acquired finality;
c. Matters which the parties were not aware of prior to or during the trial as they were not yet in
existence at that time.
The supervening facts or circumstances must either

a. Bear a direct effect upon the matters already litigated and settled, or
b. Create a substantial change in the rights or relations of the parties therein which render execution of the
final judgment unjust, impossible, or inequitable. [Abrigo, et al. v. Flores, et al., G.R. No. 160786
(2013)]
b. Discretionary execution
The issuance of a writ of execution is discretionary on the part of the court when it is for the
a. Execution of a judgment or final order pending appeal, or
b. Execution of several, separate, or partial judgments. [Sec. 2, Rule 39]
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Note: The period to appeal where an MR has been filed commences only upon the receipt of a copy of the
order disposing of the MR. The pendency of the MR prevents the running of the period to appeal. When
there is a pending MR, an order of execution pending appeal is improper and premature. [JP Latex
Technology, Inc. v. Ballons Granger Balloons, Inc., et al., G.R. No. 177121 (2009)]
A judgment of the CA cannot be executed pending appeal [Heirs of Justice JBL Reyes v. CA, G.R.
No. 135180-81 (2000)]
Where motion filed

1. In the trial court
• While it has jurisdiction over the case and is in possession of the original record or record on
appeal
2. In the appellate court

• After the trial court has lost jurisdiction. [Sec. 2, Rule 39]
Requisites
1. Motion filed by the prevailing party with notice to the adverse party,
2. Filed with either the trial court or appellate court,
3. Hearing on the motion for discretionary execution,
4. There must be good reasons to justify the discretionary execution, and
5. The good reasons must be stated in a special order. [Sec. 2, Rule 39]
Mere issuance of a bond to answer for damages is no longer considered a good reason for execution
pending appeal. [Planters Products v. CA, G.R. No. 106052 (1999)]
Mere allegation that the appeal is dilatory is not a good reason to merit discretionary execution. Nor
is the fact that the prevailing party is in financial distress. [Intramuros Tennis Club vs CA, G.R. No.
135630 (2000)]
Examples of good reasons:
1. Where the goods subject of the judgment stand to perish or deteriorate during the pendency of
the appeal. [Yasuda v. CA, G.R. No. 112569 (2000)]
2. The award of actual damages is for an amount fixed and certain, but not an award for moral and
exemplary damages. [Radio Communications Inc. v. Lantin, G.R. No. L59311 (1985)]
3. Insolvency of a defeated party. [Hacienda Navarro v. Labrador, G.R. No. L-45912 (1938)]
4. The prevailing party is of advanced age and in a precarious state of health and the obligation in the
judgment is nontransmissible, being for support. [De Leon v. Soriano, G.R. No. L-7648 (1954)]
Page 149 of 392

5. Where defendants were exhausting their income and have no other property aside from proceeds
of the property subject in litigation. [Lao v. Mencias, G.R. No. L23554 (1967)]
Stay of discretionary execution

Discretionary execution issued may be stayed upon approval by the proper court of a sufficient
supersedeas bond
a. Filed by the party against whom it is directed, and
b. Conditioned upon the performance of the judgment or order allowed to be executed in case it
shall be finally sustained in whole or in part.
Note: The bond may be proceeded against on motion with notice to the surety. [Sec. 3, Rule 39]
General rule: The filing of a supersedeas bond is sufficient to stay the enforcement of a discretionary
execution. [Sec. 3, Rule 39]
Exception: Where the needs of the prevailing party are urgent, the Court can order immediate
execution despite such supersedeas bond. [1 Regalado 466, 2010 Ed.]
If judgment is reversed totally or partially, or annulled, on appeal or otherwise, the trial court may, on
motion, issue such orders of restitution or reparation of damages as equity and justice may warrant under
the circumstances. [Sec. 5, Rule 39]
Restitution - The property itself must be returned to the judgment debtor, if the same is still in the
possession of the judgment creditor, plus compensation to the former for the deprivation and use of the
property. [1 Regalado 467, 2010 Ed.]
Reparation of damages:
a. If the purchaser at the public auction was the judgment creditor, pay the full value of the property at the
time of its seizure plus interest
b. If the purchaser at public auction was a third person, judgment creditor must pay the judgment debtor
the amount realized from the sale with interest thereon; and
c. If the judgment award was reduced on appeal, the judgment creditor must return to the judgment debtor
only the excess which he received over and above that to which he is entitled under the final judgment,
with interest on such excess. [Po Pauco v. Tan Juco, G.R. No. L-63188 (1990)]
Remedy against discretionary execution - The remedy is certiorari by Rule 65.

Note: The fact that the losing party has also appealed from the judgment does not bar certiorari
proceedings as the appeal could not be an adequate remedy from such premature execution. [Jaca v.
Davao Lumber Co., G.R. No. L-25771 (1982)]
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3. How a judgment is executed

a. Execution by motion or by independent action
Section 6, Rule 39. Execution by motion or by independent action. – A final and executory
judgment or order may be executed
 on motion within five (5) years from the date of its entry.
 After the lapse of such time, and before it is barred by the statute of limitations, a
judgment may be enforced by action.
The revived judgment may also be enforced by motion within five (5) years from the date of its
entry and thereafter by action before it is barred by the statute of limitations. (6a)
Note: The Statute of Limitations is 10 years from date of entry. [Art. 1144(3), CC].
Revival of judgment
An action for revival of judgment is a procedural means of securing the execution of a previous judgment
which has become dormant after the passage of 5 years without it being executed upon motion of the
prevailing party. [Saligumba vs Palanog, 573 SCRA 8, 15-16 (2008)]
The action must be filed within 10 years from the date the judgment became final since the action to
enforce a judgment prescribes in 10 years from the finality of judgment. [Art. 1144(3), CC]
A revived judgment is deemed a new judgment separate and distinct from the original judgment. It is not
a continuation. [PNB v. Bondoc, G.R. No. L-20236 (1965)]
It is an action incapable of pecuniary estimation; thus, original jurisdiction is with RTC. (Anama vs.
CITIBANK N.A, Dec. 2017)
The periods shall not apply to:

a. Special proceedings, and
b. Judgments for support. [Rodil v. Benedicto, 95 SCRA 137, (1980) and Canonizado v.
Benitez, 127 SCRA 610 (1984)]
The time periods provided may be stayed by:

a. Agreement of the parties for a definite time,
b. Injunction, or
c. Taking of an appeal or writ of error. [Yau vs Silverio, and Macapagal v. Gako, 543 SCRA 520, 529
(2008)]
*When there is delay caused by the actions of the judgment obligor, the time periods may be excluded in
the time for enforcing the judgment and may be extended. (Camacho vs. CA, 1998)
b. Issuance and contents of a writ of execution
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Contents of the writ of execution

The writ of execution is issued in the name of the Republic of the Philippines and shall state:
1. The name of the court,
2. The case number and title,
3. The dispositive part of the subject judgment or order, and
4. Shall require the sheriff or other proper officer to whom it is directed to enforce the writ
according to its terms. [Sec. 8, Rule 39]
Issuance of a writ of execution

Effectivity - Such writ shall continue in effect during the period within which the judgment may be
enforced by motion (within 5 years from the date of its entry). [Sec. 14, Rule 39]
Against whom issued

General rule: Only real parties in interest in an action are bound by judgment rendered therein and by the
writs of execution.
Exceptions: There are certain cases where the writ may be issued against non-parties
a. One who is privy to judgment debtor can be reached by an order of execution and writ of
demolition [Vda. De Medina v. Cruz, G.R. No. L-39272 (1988)]
b. Issued against one who, not being originally a party to the case, submits his interest to the court
for consideration in the same case and invites adjudication regarding said interest [Jose v. Blue,
G.R. No. L-28646 (1971)]
c. Where non-parties voluntarily signed the compromise agreement or voluntarily appeared

before court [Rodriguez v. Alikpala, G.R. No. L-38314 (1974)]
Return of a writ of execution

a. Judgment satisfied within 30 days
 The writ of execution shall be returnable to the court issuing it immediately after the
judgment has been satisfied in part or in full. [Sec. 14, Rule 39]
b. Judgment not satisfied within 30 days
1. The officer shall report to the court and state the reason therefore.
2. The officer shall make a report to the court every 30 days on the proceedings taken thereon
until the judgment is satisfied in full, or its effectivity expires.
3. The returns or periodic reports shall set forth the whole of the proceedings taken, and shall be
filed with the court and copies thereof promptly furnished the parties [Sec. 14, Rule 39]
Entry of satisfaction of judgment

Satisfaction of a judgment shall be entered by the COC in the court docket, and in the execution book,
upon the:
a. Return of a writ of execution showing the full satisfaction of the judgment, or
Page 152 of 392

b. Filing of an admission to the satisfaction of the judgment executed and acknowledged in the
same manner as a conveyance of real property by the judgment obligee or by his counsel unless a
revocation of his authority is filed, or
c. Endorsement of such admission by the judgment obligee or his counsel on the face of the
record of the judgment. [Sec. 44, Rule 39]
The court may order the entry of satisfaction even if the judgment was satisfied in fact or otherwise than
upon execution:
a. With admission of satisfaction by the judgment obligee or counsel, or
• On demand of the judgment obligor, such persons must execute and acknowledge, or
indorse, the admission
• After notice and upon motion, the court may order such persons to do so
b. Without admission of satisfaction. [Sec. 45, Rule 39]
Effect of death of a party to execution

a. Death of the judgment obligee - Will not prevent the execution of judgment - Execution will
issue upon the application of the executor, administrator, or successor in interest.
b. Death of the judgment obligor - Will not prevent execution of judgment - Execution shall
issue against his executor, administrator, or successor in interest. [Sec. 7, Rule 39
c. Execution of judgments for money

If the award is for payment of money, execution is enforced by
1. Immediate payment on demand,
2. Satisfaction by levy, or
3. Garnishment of debts and credits [Sec. 9, Rule 39]
Note: Levy can only be made under Sec. 9 of Rule 39
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Levy is the act whereby:

a. A sheriff/officer sets apart or appropriates,
b. For the purpose of satisfying the command of the writ,
c. A part or the whole of the judgment debtor’s property.
Condition before resort to satisfaction by levy - If the judgment obligor cannot pay all or part of the
obligation in cash, certified bank check or other mode of payment acceptable to the judgment obligee.
[Sec. 9(b), Rule 39]
Page 154 of 392

“Break-open” order - An order from the court authorizing the sheriff to destroy, demolish or remove
improvements on property subject of execution. [Sec. 10(d), Rule 39]
A special order of demolition is an order from the court authorizing the sheriff to destroy, demolish or
remove improvements on property subject of execution. It is issued upon hearing and reasonable
notice. Without one, the sheriff cannot destroy, demolish, or remove any improvements on the property.
[Guario v. Ragsac, A.M. No. P-08-2571 (2009); see Sec. 10(d), Rule 39]
A writ of execution directing the sheriff to cause the defendant to vacate is in the nature of a habere
facias possessionem and authorizes the sheriff, without need of securing a “break-open” order, to
break open the premises where there is no occupant therein. [Arcadio v. Ylagan, A.M. No. 2734
(1986)]
Note: The rationale is that the writ of execution itself is essentially an order to place the prevailing party
in possession of the property. If the defendant refuses to surrender possession of the property to the
prevailing party, the sheriff or other proper officer should oust him. No express order to this effect needs
to be stated in the decision. [Guario v. Ragsac, A.M. No. P-08-2571 (2009)]
Note:
*A mortgaged property may still be levied upon by the sheriff because the judgment debtor still holds a
beneficial interest over it.
* To effect a valid levy, the sheriff should

 file with the register of deeds, a copy of the order and descriptions of the attached
property, and notice of attachment; and
 leave with the occupant of the property a copy of the same.
*A valid levy is essential to the validity of execution sale
GARNISHMENT OF DEBTS AND CREDITS

The process of levying shall be called garnishment if the property involved is
 money,
 stocks, or
 other incorporeal property in the hands of third persons.
Note: Garnishment merely sets apart such funds but does not constitute the creditor as owner of the
garnished property. [De la Rama v. Villarosa, G.R. No. L-19727 (1963)]
Garnishment is not a violation of R.A. 1405 on the secrecy of bank deposits, as it does not involve an
inquiry or examination of such deposit. [China Banking Corp. v. Ortega, G.R. No. L-34964 (1973)]
Page 155 of 392

What may be garnished:

a. Debts due the judgment obligor and
b. Other credits, including
i. Bank deposits
ii. Financial interests,
iii. Royalties
iv. Commissions and
v. Other personal property not capable of manual delivery in the possession or control of third
parties. [Sec. 9(c), Rule 39]
NOTE: Government funds may not be subject to garnishment or levy, in the absence of corresponding
appropriation required by law.
d. Execution of judgments for specific acts
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Under Section 10, a party is directed to execute conveyance of land or to deliver deeds or other
documents, or to perform any other specific acts in connection therewith but which acts can be performed
by persons other than said party. [1 Regalado 486, 2010 Ed.]
* “Some other person” can be the clerk of court,
sheriff or even the registry of deeds. (Raymundo vs.

Galen Realty, October 2013)
e. Execution of special judgments
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A special judgment under Section 12 requires the performance of any act, other than the payment of
money or the sale or delivery or real or personal property, which a party must personally do because
his personal qualifications and circumstances have been taken into consideration. [1 Regalado 486, 2010
Ed.]
When proper - A judgment requires performance of any other act than those mentioned in Secs. 9 and 10
(payment of money or sale or delivery of property). [Sec. 11, Rule 39]
f. Effect of levy on third persons

The levy on execution shall create a lien in favor of the judgment obligee over the right, title and
interest of the judgment obligor in such property at the time of the levy, subject to liens and
encumbrances then existing. [Sec. 12, Rule 39]
Note: The power of the court in executing judgments extends only over properties unquestionably
belonging to the judgment debtor. [Corpuz v. Pascua, A.M. No. P-112972 (2011)]
A duly registered levy on attachment or execution is preferred over a prior unregistered sale. Under
the Torrens system, the auction sale of property retroacts to the date the levy was registered; now, under
Secs. 51 and 2 of P.D. 1529, the act of registration is the operative act to convey or affect the land
insofar as third persons are concerned. [Du v. Stronghold Insurance Co. Inc., G.R. No. 156580 (2004)
Page 158 of 392

4. Properties exempt from execution
Page 159 of 392

5. Proceedings where property is claimed by third persons; in relation to third party claim in
attachment and replevin
Sec. 16, Rule 39 and other provisions providing a mode for recovering property alleged to have been
wrongfully taken by sheriff pursuant to a writ of execution or other process, refer to a stranger to an
action. [Tillson v. CA, G.R. No. 89870 (1991)]
Remedies of third-party claimant

a. Summary hearing before the court which authorized the execution
b. “Terceria” or third-party claim filed with the sheriff [Sec. 16, Rule 39]
c. Action for damages on the bond posted by the judgment creditor
d. Independent Reinvindicatory action
Note: Such are cumulative remedies and may be resorted to by a third-party claimant independently of
or separately from and without need of availing of the others. [Sy v. Discaya, G.R. No. 86301 (1990)]
For a third-party claim/ terceria to be sufficient

a. Must be filed by a person other than the defendant or his agent, at any time before sale
b. Must be under oath or supported by affidavit stating the claimant’s title to, or right of possession of, the
property, and grounds therefor
c. Must be served upon the officer making levy and a copy thereof upon the judgment creditor [Sec. 16,
Rule 39]
On spouses
A spouse who was not a party to the suit but whose conjugal property is being executed because the other
spouse is the judgment obligor is not considered a stranger to the suit and cannot file a separate action to
question the execution since they could have easily questioned the execution in the main case itself. [1
The institution of a separate action was allowed when the property was the exclusive or paraphernal
property of a spouse who was not a party to the case the judgment wherein was sought to be executed. In
such a situation, the aggrieved spouse was deemed to be a stranger to that main action. [Ching v. CA,
G.R. No. 118830 (2003)]
TERCERIA
When to file: Any time, as long as:

a. Sheriff has the possession of the property levied upon, or
Page 160 of 392

b. Before the property shall have been sold under execution.
Procedure: Claimant serves on the officer making levy, an affidavit of his title and a copy thereof to
judgment creditor. [Sec. 16, Rule 39]
Effect of third-party claim or terceria

The officer shall not be bound to keep the property, unless such 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. [Sec. 16, Rule 39]
The mere filing of a "terceria," or an affidavit stating complainant’s alleged title, under
Sec. 16, Rule 39, 1997 Rules of Civil Procedure, 9 or a motion to quash the writ of
execution does not stay the auction sale scheduled by the sheriff. (Go vs. Abrogar, Feb.
27, 2003)
SUMMARY HEARING BEFORE COURT AUTHORIZING EXECUTION

A third-person whose property was seized by a sheriff to answer for an obligation of a judgment debtor
may invoke the supervisory power of the court which authorized such execution. [Sy v. Discaya, G.R.
No. 86301 (1990)]
Procedure
a. Claimant files application
b. Court conducts summary hearing, and
c. The court may:
1. Command that the property be released from the mistaken levy and restored to rightful owner
or possessor, or
2. If the claimant's proofs do not persuade, the claim will be denied by the court.
The court determination is limited only to a determination of whether the sheriff has acted rightly or
wrongly in performance of his duties. The court does not and cannot pass upon the question of title. [Sy v.
Discaya, G.R. No. 86301 (1990)]
CLAIM FOR DAMAGES AGAINST THE BOND

To enforce a claim for damages against the bond, the action must be filed within 120 days from 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 bond not required - 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.
Note: If sheriff or levying officer is sued for damages,

a. He shall be represented by the Solicitor General, and
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b. If held liable, 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. [Sec. 16, Rule 39]
REIVINDICATORY ACTION
Nothing contained in Sec. 16, Rule 39 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. [Sec. 16, Rule 39]
Procedure:
He must institute an action, distinct and separate from that which the judgment is being enforced, with the
court of competent jurisdiction
• In such action, the validity and sufficiency of title of the claimant will be resolved.
• A writ of preliminary injunction against the sheriff may be issued.
Note: No need to file a claim in the court which issued a writ. The latter is not a condition sine qua non
for the former. [Sy v. Discaya, G.R. No. 86301 (1990)]
IN RE: THIRD PARTY CLAIMS IN ATTACHMENT AND REPLEVIN

If the claim is filed under Sec. 16, Rule 39, it must be filed in a separate action instituted for the purpose.
Intervention is no longer allowed since judgment has already been rendered. [1 Regalado 500-501, 2010
Ed.]
If it is filed under Sec. 14, Rule 57 (Attachment) or under Sec. 7, Rule 60 (Replevin), the claim may be
litigated in the same action involved or in a separate suit. Intervention is allowed. [1 Regalado 501, 2010
Ed.]
The reason for the difference is that the judgment in the case subject of Sec. 16, Rule 39 is already final
and executory, while Rules 57 and 60 involve actions still pending in the trial court. [1 Regalado 501,
2010 Ed.]
6. Rules on redemption
When available - Only for real property, since nothing in the ROC provides for redemption of personal
property. [Sec. 27, Rule 39]
Who may redeem

a. Judgment obligor, or his successor in interest in the whole or any part of the property
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b. A creditor (redemptioner) 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. [Sec. 27, Rule 39]
Note:
Hence,
the
certificate of sale of real property does not confer any right to the possession or ownership, of the
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real property purchased. It is the deed of sale /conveyance executed by the sheriff at the expiration of
the period of redemption which entitles the purchaser to possession of the property sold. [1 Regalado
508, 2010 Ed.]
7. Examination of judgment obligor when judgment is unsatisfied
When applicable - When the return of the writ issued against property of a judgment obligor shows that
judgment remains unsatisfied. [Sec. 36, Rule 39]
Procedure:
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
a. Requiring such 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
b. Proceedings may thereupon be had for the application of the property and income of the
judgment obligor towards the satisfactions of the judgment.
When judgment obligor not required to appear/ be examined
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a. When he is required to appear before a court or commissioner outside the province or city in
which such obligor resides or is found. [Sec. 36, Rule 39]
b. After the lapse of the five years within which a judgment may be enforced by motion. [Umali
v. Coquia, G.R. No. L46303 (1988)]
Order for payment in fixed monthly installments

If upon investigation of his current income and expenses, it appears that the earnings of the judgment
obligor for his personal services are more than necessary for the support of his family, the court may
order that:
a. He pay the judgment in fixed monthly installments, and

b. Upon his failure to pay any such installment when due without good excuse, may punish him
for indirect contempt. [Sec. 40, Rule 39]
8. Examination of obligor of judgment obligor
When applicable
a. 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
b. Upon proof that a person, corporation, or other juridical entity has property of such judgment obligor or
is indebted to him. [Sec. 37, Rule 39]
Procedure
The court may, by an order:
a. 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
b. Be examined concerning the same.
Effect of order
The service of the order shall:
a. Bind all credits due the judgment obligor and all money and property of the judgment obligor
in the possession or in the control of such person, corporation, or juridical entity from the time of
service, and
b. The court may also require notice of such proceedings to be given to any party to the action in
such manner as it may deem proper. [Sec. 37, Rule 39]
Note: This is not applicable if there is no issue concerning the indebtedness of the bank and there is no
denial by the depositor of the existence of the deposit with the bank which is considered a credit in favor
of the depositor against the bank. [PCIB v. CA, G.R. No. 84526 (1991)]
When alleged obligor denies debt or claims property
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The court may:

a. Authorize the judgment obligee to institute an action against such person or corporation for the
recovery of such interest or debt,
b. Forbid a transfer or other disposition of such interest or debt within 120 days from notice of the
order, and
c. May punish disobedience of such order as for contempt. [Sec. 43, Rule 39]
Impropriety of an action for damages as a remedy - Where the writ of execution is unsatisfied, the
remedy to enforce it is Secs. 38-39, and not a complaint for damages. [Phil. Transmarine Carriers v. CA,
G.R. No. 122346 (2000)]
OTHER REMEDIES
 Order for application of property or income - The court may order any property of the
judgment obligor, or money due him, not exempt from execution, in the hands of either himself
or another person, or of a corporation or other juridical entity, to be applied to the satisfaction of
the judgment, subject to any prior rights over such property. [Sec. 40, Rule 39]
 Payment of person indebted to the judgment obligor - After a writ of execution against
property has been issued, a person indebted to the judgment obligor may pay to the sheriff
holding the writ of execution the amount of his debt or so much thereof as may be necessary to
satisfy the judgment, in the manner prescribed in Sec. 9, Rule 39 and the sheriffs receipt shall be
a sufficient discharge for the amount so paid or directed to be credited by the judgment obligee on
the execution [Sec. 39, Rule 39]
 Appointment of receiver - The court may appoint a receiver of the property of the judgment
obligor; and it may also forbid a transfer or other disposition of, or any interference with, the
property of the judgment obligor not exempt from execution. [Sec. 41, Rule 39]
If it appears that the judgment obligor has an interest in real estate in the place in which
proceedings are had, as mortgagor or mortgagee or otherwise, and his interest therein can be
ascertained without controversy, the receiver may be ordered to sell and convey such real estate
or the interest of the obligor therein; and such sale shall be conducted in all respects in the same
manner as is provided for the sale of real estate
upon execution, and the proceedings thereon
shall be approved by the court before the
execution of the deed. [Sec. 42, Rule 39]
9. Effect of judgment or final orders
RES JUDICATA
Dual aspect:
a. Bar by former judgment. Also known as “Estoppel
by Verdict”
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b. Conclusiveness of judgment. Also known as the Rule of Auter Action Pendant [1 Riano 541, 2011
Ed.; 1 Regalado 529, 2010 Ed.]
BAR BY FORMER JUDGMENT -Requisites:

a. A final judgment or order
b. Jurisdiction over the subject matter and the parties by the court rendering judgment
c. Judgment upon merits
d. Between the two cases, there is identity of:

1. Parties
2. Subject matter
3. Cause of action [1 Riano 430, 2011 Ed.]
General rule: For res judicata to apply, trial must be made on the merits of the case [1 Regalado 530,
2010 Ed.]
Exception: Sec. 3, Rule 17: Dismissal upon fault of plaintiff - If plaintiff fails to appear at the time of
the trial, or to prosecute his action for an unreasonable length of time, or to comply with these rules or
any order of the court, the action may be dismissed upon motion of the defendant or upon the court's own
motion. This dismissal shall have the effect of an adjudication upon the merits, unless otherwise
provided by court [Development Bank v. CA, G.R. No. 110203 (2001)]
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CONCLUSIVENESS OF JUDGMENT – Requisites:

a. A final judgment or order
b. Jurisdiction over the subject matter and the parties by the court rendering it
c. Judgment upon merits
d. Between the two cases, there is identity of:

1. Parties, and
2. Issues. [1 Regalado 529-531, 2010 Ed.]
10. Enforcement and effect of foreign judgments or final orders
Nature: The civil action for enforcement of a foreign judgment is one incapable of pecuniary
estimation.
• Although the foreign judgment may result in recovery of money or property, the cause of action
and subject matter of the civil action is the foreign judgment itself (and not, as in an ordinary
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action for monetary relief, the violation of a right through an act or omission). The matter left for
proof is the foreign judgment itself, not the facts from which it prescinds. [1 Regalado 536, 2010
Ed.]
Criminal Procedure
CRIMINAL PROCEDURE
A. GENERAL MATTERS
Jurisdiction – the power to hear and try a particular case and impose punishment for it.
1. Distinguish jurisdiction over subject matter from jurisdiction over person of the accused
Jurisdiction over the Subject Matter Jurisdiction over the person
Power to hear and determine cases of the general The authority of the court over the person charged
class to which the proceedings in question belong
How acquired: How acquired:
Conferred by Constitution or law  Arrest (with/out warrant)
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NOTES:  Voluntary appearance
 determined based on the allegations in the o Appearance of the accused for

complaint. arraignment
o Appearance of counsel for the
 Applicable statute/law is the one in force accused
at the time of commencement of the
action. o Seeking affirmative reliefs from
the court
XPN: Special appearances or

those ‘whose prayer is precisely
for avoidance of jurisdiction’
e.g. motion to quash complaint on

the ground of lack of jurisdiction
over the subject matter & motion
to quash a warrant of arrest
Not subject to waiver May be waived
May be raised at any stage of the proceedings. If not objected before accused enters his plea, it is
deemed waived.
XPN: Laches (Tijam v. Sibonghanoy) where
motion to dismiss was only filed after 15 years
and after filing several motions seeking
affirmative relief
Venue in criminal cases – unlike in civil cases, venue is jurisdictional. For jurisdiction to be acquired by
courts in criminal cases the offense should have been committed or any one of its essential ingredients
took place within the territorial jurisdiction of the court.
Territorial jurisdiction in criminal cases is the territory where the court has jurisdiction to take
cognizance or to try the offense allegedly committed therein by the accused. Thus, it cannot take
jurisdiction over a person charged with an offense allegedly committed outside of that limited territory.
Furthermore, the jurisdiction of a court over the criminal case is determined by the allegations in the
complaint or information. And once it is so shown, the court may validly take cognizance of the case.
However, if the evidence adduced during the trial show that the offense was committed somewhere else,
the court should dismiss the action for want of jurisdiction. (Uy v. CA, 28 July 1997)
XPN to the rule that venue is jurisdictional:
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 Offenses with extraterritorial application (Sec. 15, Rule 110)
 Search warrants - because these are not criminal cases, rather they are special criminal process
(Dean Salvador: “Venue, for the purpose of institution of criminal action is jurisdictional, is the
better phrase), Why?
 There could be transfer of venue in criminal cases
This Court is invested with the prerogative of ordering "a change of venue or place of
trial to avoid a miscarriage of justice" (Sec. 5[4], Art. X of the Constitution). It
"possesses inherent power and jurisdiction to decree that the trial and disposition of a
case pending in a Court of First Instance be transferred to another Court of First Instance
within the same district whenever the interest of justice and truth so demand, and
there are serious and weighty reasons to believe that a trial by the court that
originally had jurisdiction over the case would not result in a fair and impartial trial
and lead to a miscarriage of justice" (Mondiguing v. Abad, 6 Nov. 1975, Also see
Ampatuan case)
2. Requisites for exercise of criminal jurisdiction
Requisites for a court to exercise jurisdiction:

a. Subject matter jurisdiction: the offense is one it is authorized by law to take cognizance of
b. Territorial jurisdiction: the territory where the court has jurisdiction to take cognizance or to try the
offense allegedly committed therein by the accused
c. Jurisdiction over the person: the person charged must have been brought before it for trial, forcibly by
arrest or upon his voluntary submission to the court.
3. Jurisdiction of criminal courts (See previous discussions)
4. When injunction may be issued to restrain criminal prosecution
General rule: Criminal prosecution may NOT be blocked by court prohibition or injunction [Brocka v.
Enrile, G.R. No. 69863-65 (1990)] for the reason that public interest requires that criminal acts be
immediately investigated and prosecuted for the protection of society [Domingo v. Sandiganbayan, G.R.
No. 109376 (2000)]
Exceptions
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1. To afford adequate protection to the constitutional rights of the accused

2. For the orderly administration of justice
3. To avoid oppression or multiplicity of suits
4. Where there is a prejudicial question which is sub judice
5. Where acts of the officer are without or in excess of authority
6. When the prosecution is under an invalid law, ordinance or regulation
7. When double jeopardy is clearly apparent
8. When the court has no jurisdiction over the offense
9. When it is a case of persecution rather than prosecution
10. Where the charges are manifestly false and motivated by vengeance
11. Where there is no prima facie case and a motion to quash on that ground has been denied
12. Where preliminary injunction has been issued by the SC to prevent the threatened unlawful arrest of
petitioners [Brocka v. Enrile, G.R. No. 69863-65 (1990)]
13. To prevent the use of the strong arm of the law in an oppressive and vindictive manner [Hernandez v.
Albano, G.R. No. L-19272 (1967)]
B. PROSECUTION OF OFFENSES (Rule 110)
1. Criminal actions, how instituted

RULE 110
Prosecution of Offenses
Section 1. Institution of criminal actions. — Criminal actions shall be instituted as follows:
(a) For offenses where a preliminary investigation is required pursuant to section 1 of Rule 112, by
filing the complaint with the proper officer for the purpose of conducting the requisite
preliminary investigation.
(b) For all other offenses, by
o filing the complaint or information directly with the Municipal Trial Courts and
Municipal Circuit Trial Courts, or
o the complaint with the office of the prosecutor.
In Manila and other chartered cities, the complaint shall be filed with the office of
the prosecutor unless otherwise provided in their charters.
The institution of the criminal action shall interrupt the running period of prescription of the
offense charged unless otherwise provided in special laws. (1a)
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The filing of the complaint for purposes of preliminary investigation interrupts the period of
prescription of criminal responsibility. This applies to both offenses under the RPC and Special Laws.
NOTE: XPN: As provided in the Revised Rules on Summary Procedure, only the filing of an
Information tolls the prescriptive period where the crime charged is involved in an ordinance.
Under Section 9 of the Rules on Summary Procedure, "the complaint or information shall be filed
directly in court without need of a prior preliminary examination or preliminary investigation."
Both parties agree that this provision does not prevent the prosecutor from conducting a preliminary
investigation if he wants to. However, the case shall be deemed commenced only when it is filed in
court, whether or not the prosecution decides to conduct a preliminary investigation. This means
that the running of the prescriptive period shall be halted on the date the case is actually filed in
court and not on any date before that. (JADEWELL PARKING SYSTEMS CORPORATION vs. Lidua,
7 Oct. 2013)
Falling under the authority of the lupon

While the dispute is under mediation, conciliation or arbitration, the prescriptive periods shall be
interrupted upon the filing of the complaint with the Punong Barangay [Sec. 410, LGC]
Limitation: Interruption shall not exceed 60 days from filing of complaint with the punong barangay
[Sec. 410(c), LGC].
The prescriptive periods shall resume upon receipt by the complainant:

1. of the complaint or
2. the certificate of repudiation or
3. of the certification to file action issued by the Lupon or Pangkat Secretary
Section 2. The Complaint or information. — The complaint or information shall be in writing, in

the name of the People of the Philippines and against all persons who appear to be responsible for
the offense involved. (2a)
Section 3. Complaint defined. — A complaint is a sworn written statement charging a person with an
offense, subscribed by the offended party, any peace officer, or other public officer charged with
the enforcement of the law violated. (3)
Section 4. Information defined. — An information is an accusation in writing charging a person with

an offense, subscribed by the prosecutor and filed with the court. (4a)
2. Who may file them, crimes that cannot be prosecuted de oficio

"Section 5. Who must prosecute criminal action. - All criminal actions either commenced by
complaint or by information shall be prosecuted under the direction and control of a public
prosecutor.
In case of heavy work schedule of the public prosecutor or in the event of lack of public prosecutors,
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the private prosecutor may be authorized in writing by the Chief of the Prosecution Office or the
Regional State Prosecutor to prosecute the case subject to the approval of the court.
Once so authorized to prosecute the criminal action, the private prosecutor shall continue to prosecute
the case up to end of the trial even in the absence of a public prosecutor, unless the authority is revoked
or otherwise withdrawn.
The crimes of adultery and concubinage shall not be prosecuted except upon a complaint filed by
the offended spouse. The offended party cannot institute criminal prosecution without including the
guilty parties, if both alive, nor, in any case, if the offended party has consented to the offense or
pardoned the offenders.
The offenses of seduction, abduction and acts of lasciviousness shall not be prosecuted except
upon a complaint filed by the offended party or her parents, grandparents or guardian, nor, in
any case, if the offender has been expressly pardoned by any of them. If the offended party dies
or becomes incapacitated before she can file the complaint, and she has no known parents,
grandparents or guardian, the State shall initiate the criminal action in her behalf.
The offended party, even if a minor, has the right to initiate the prosecution of the offenses of
seduction, abduction and acts of lasciviousness independently of her parents, grandparents, or
guardian, unless she is incompetent or incapable of doing so.
Where the offended party, who is a minor, fails to file the complaint, her parents, grandparents, or
guardian may file the same.
The right to file the action granted to parents, grandparents or guardian shall be exclusive of all other
persons and shall be exercised successively in the order herein provided, except as stated in the
preceding paragraph.
No criminal action for defamation which consists in the imputation of the offenses mentioned
above shall be brought except at the instance of and upon complaint filed by the offended party.
(5a)
The prosecution for violation of special laws shall be governed by the provisions thereof. (n)
Complaint or Information may only be filed or dismissed if there is prior written authority or
approval of the provincial or city prosecutor or chief state prosecutor or the Ombudsman or his deputy
[Sec. 4, Rule 112, as amended by A.M. 05-8-26-SC].
Private Offenses / Crimes Against Chastity

 that which cannot be prosecuted, except upon a complaint filed by the aggrieved party or other
authorized persons in certain cases.
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Crime Against Chastity Persons Authorized to file
adultery and concubinage filed by the offended spouse
offended party cannot institute criminal

prosecution
 without including the guilty parties, if

both alive,
nor, in any case, if the offended party has
 consented to the offense or

 pardoned the offenders.
NOTE: Consent may be express/implied to bar

institution of criminal action. (Compare with seduction
abduction and acts of lasciviousness.)
seduction, abduction and acts of lasciviousness filed by the
 offended party or
 her parents,
 grandparents or
 guardian, or
 State if the offended party dies or

becomes incapacitated before she can file
the complaint, and she has no known
parents, grandparents or guardian,
NOTE: Right to file the action granted to parents,

grandparents or guardian shall be exclusive of all
other persons and shall be exercised
successively in the order herein provided
Where the offended party, who is a minor, fails to

file the complaint, her parents, grandparents, or
guardian may file the same.
*Offended party has a preferred right to file the

complaint.
NOTE: Express pardon is required to bar
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institution of criminal action.
Defamation which consists in the imputation of filed by the offended party

the offenses mentioned above
Rape is no longer a crime against chastity for it is now classified as a crime against persons.
Consequently, rape is no longer considered a private crime or that which cannot be prosecuted, except
upon a complaint filed by the aggrieved party. Hence, pardon by the offended party of the offender in the
crime of rape will not extinguish the offender’s criminal liability. (Republic Act No. 8353)
Violence against women and their children shall be considered a public offense
which may be prosecuted upon the filing of a complaint by any citizen having personal knowledge
of the circumstances involving the commission of the crime. (Sec. 25, R.A. 9262)
3. Criminal actions, when enjoined (See discussions above. When Injunction May Be Issued To
Restrain Criminal Prosecution)
4. Control of prosecution
General rule: All criminal actions commenced by a complaint or information shall be prosecuted under
the direction and control of the prosecutor.
Exception: A private prosecutor may be authorized in writing by the Chief of the Prosecution office or
the Regional State Prosecutor to prosecute the case subject to the approval of the court [Sec. 5, Rule 110,
as amended by A.M. No. 02-2-07-SC (2002)]
Rule in Cases filed before MTCs/MCTCs

When the prosecutor assigned thereto or to the case is not available, the following may prosecute the
case:
a. Offended party
b. Any peace officer; or
c. Public officer charged with the enforcement of the law violated may prosecute the case.
This authority shall cease upon actual intervention of the prosecutor or upon elevation of the case to the
RTC [OCA Circular No. 3902, stating in toto Sec. 5, Rule 110, as amended by A.M. No. 02-2-07-SC]
Cases in the Court of Appeals and the Supreme Court

General rule: Only the Solicitor General may bring or defend actions in behalf of the Republic of the
Philippines, or represent the People of the Philippines or State in criminal proceedings before the SC
and the CA [Cariño v. De Castro, G.R. No. 176084 (2008)]
Exceptions:
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a. When there is denial of due process of law to the prosecution and the State or its agents
refuse to act on the case to the prejudice of the State and the private offended party [Cariño
v. De Castro, G.R. No. 176084 (2008)], and
b. When the private offended party questions the civil aspect of a decision of a lower court
[Heirs of Delgado v. Gonzalez, G.R. No. 184337 (2009)]
Cases elevated to the Sandiganbayan and the Supreme Court

The Office of the Ombudsman, through the Special Prosecutor, shall represent the People of the
Philippines, except in cases filed pursuant to EO Nos. 1,2, 14, 14-A as these are under the PCGG [Sec. 4,
P.D. 1606, as amended by R.A. 10660]
5. Sufficiency of complaint or information

Section 6. Sufficiency of complaint or information. — A complaint or information is sufficient if it
states
 the name of the accused;

 the designation of the offense given by the statute;
 the acts or omissions complained of as constituting the offense;
 the name of the offended party;
 the approximate date of the commission of the offense; and
 the place where the offense was committed.
When an offense is committed by more than one person, all of them shall be included in the complaint
or information. (6a)
Purpose: To uphold the Constitutional guarantee that every person accused of a crie shall be informed of
the nature and cause of the accusation against him.
Test of Sufficiency of Information - The fundamental test in determining the sufficiency of the material
averments in an Information is whether or not the facts alleged therein, which are hypothetically admitted,
would establish the essential elements of the crime defined by law. Evidence aliunde or matters extrinsic
of the information are not to be considered. (People v. Odtuhan, 17 July 2013)
Effect of Insufficiency:
 May be subject to Motion to Quash
Section 4, Rule 117. Amendment of the complaint or information. — If the motion to quash is

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. (4a)
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If it is 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
shall be granted if the prosecution fails to make the amendment, or the complaint or information
still suffers from the same defect despite the amendment.
 "[A]n accused cannot be convicted of a higher offense than that with which he was charged
in the complaint or information and on which he was tried. It matters not how conclusive and
convincing the evidence of guilt may be, an accused cannot be convicted in the courts of any
offense, unless it is charged in the complaint or information on which he is tried, or necessarily
included therein. (Canceran v. People, 01 July 2015)
Section 7. Name of the accused. — The complaint or information must state the name and surname of
the accused or any appellation or nickname by which he has been or is known. If his name cannot be
ascertained, he must be described under a fictitious name with a statement that his true name is
unknown.
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. (7a)
6. Designation of offense
Section 8. Designation of the offense. — The complaint or information shall state the
 designation of the offense given by the statute,

 aver the acts or omissions constituting the offense, and
 specify its qualifying and aggravating circumstances.
If there is no designation of the offense, reference shall be made to the section or subsection of
the statute punishing it. (8a)
TITLE OF THE COMPLAINT NOT CONTROLLING - "It has been held, however, that if the above
requirement [Rule 110, Sec. 7, Rules of Court] is not complied with and no name has been given to the
offense alleged to have been committed, the defect is merely of form which does not prejudice the
substantial rights of the defendant. This is especially so where the facts pleaded are clearly
constitutive of a specific offense. In such cases, the real nature of the crime charged is determined
not by the title of the complaint, nor by the specification of the provision of the law alleged to have
been violated, but by the facts recited in the complaint or information. (People v. Mabag, 24 July
1980)
NOTE: If qualifying and aggravating circumstances are not alleged in the information, it cannot be
appreciated.
7. Cause of the accusation

Section 9. Cause of the accusation. —The acts or omissions complained of as constituting the
offense and the qualifying and aggravating circumstances must be stated in ordinary and concise
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language and not necessarily in the language used in the statute, but in terms sufficient to enable a
person of common understanding to know what offense is being charged as well as its qualifying
and aggravating circumstances and for the court to pronounce judgment. (9a)
Section 10. Place of commission of the offense. —The complaint or information is sufficient if it can
be understood from its allegations that the offense was committed or some of its essential ingredients
occurred at some place within the jurisdiction of the court, unless the particular place where it was
committed constitutes an essential element of the offense charged or is necessary for its identification.
(10a)
Section 11. Date of commission of the offense. —It is not necessary to state in the complaint or
information the precise date the offense was committed except when it is a material ingredient of the
offense.
The offense may be alleged to have been committed on a date as near as possible to the actual date of
its commission. (11a)
Section 12. Name of the offended party.—The complaint or information must state the name and
surname of the person against whom or against whose property the offense was committed, or any
appellation or nickname by which such person has been or is known. If there is no better way of
identifying him, he must be described under a fictitious name.
(a) In offenses against property, if the name of the offended party is unknown, the property must be
described with such particularity as to properly identify the offense charged.
(b) 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.
(c) If the offended party is a juridical person, it is sufficient to state its name, or any name or
designation by which it is known or by which it may be identified, without need of averring that it is a
juridical person or that it is organized in accordance with law. (12a)
NOTES:
 Examples of crimes that place of commission must be specified with particularity: arson,
trespass to dwelling
 Examples of crimes that date of commission must be specified with particularity: violation of
election offenses such as gun ban, infanticide
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8. Duplicity of the offense; exception

Section 13. Duplicity of the offense. —A complaint or information must charge only one offense,
except when the law prescribes a single punishment for various offenses. (13a)
*Duplicitous information is a ground for quashal of information
Exceptions:
1. Composite Crime - A composite crime, also known as a special complex crime, is composed of
two or more crimes that the law treats as a single indivisible and unique offense for being
the product of a single criminal impulse. It is a specific crime with a specific penalty provided by
law.
e.g. rape with homicide, robbery with homicide, robbery with rape, kidnapping with serious
physical injuries, kidnapping with murder or homicide
2. Complex Crime - When a single act constitutes two or more grave or less grave felonies
(compound crime), or when an offense is a necessary means for committing the other
(complex crime proper), the penalty for the most serious crime shall be imposed, the same to be
applied in its maximum period.
3. Waiver - when the accused fails, before arraignment, to move for the quashal of such
information and goes to trial thereunder, he thereby waives the objection, and may be found
guilty of as many offenses as those charged in the information and proved during the trial.
(People v. Manalili, Sec. 3, Rule 120)
9. Amendment or substitution of complaint or information

Section 14. Amendment or substitution. —
A complaint or information may be amended, in form or in substance, without leave of court, at any
time before the accused enters his plea.
After the plea and during the trial, a formal amendment may only be made
 with leave of court and
 when it can be done without causing prejudice to the rights of the accused .
However, any amendment before plea, which
 downgrades the nature of the offense charged in or

 excludes any accused from the complaint or information,
can be made only
Page 180 of 392

 upon motion by the prosecutor, with notice to the offended party and
 with leave of court.
The court shall state its reasons in resolving the motion and copies of its order shall be furnished all
parties, especially the offended party.(n)
If it appears at any time before judgment that a mistake has been made in charging the proper
offense, the court shall dismiss the original complaint or information upon the filing of a new one
charging the proper offense in accordance with section 19, Rule 119, provided the accused shall not
be placed in double jeopardy.
The court may require the witnesses to give bail for their appearance at the trial. (14a)
Substantial Amendment Formal Amendment

A substantial amendment consists of the All other matters are merely of form.
 recital of facts constituting the offense merely states with additional precision
charged and something which is already contained in the
original information and which adds nothing
 determinative of the jurisdiction of the essential for conviction for the crime charged
court.
The following have been held to be substantial The following have been held to be mere formal
amendment by jurisprudence: amendments:
1. changing original crime charged to a (1) new allegations which relate only to the range
crime with a higher imposable penalty of the penalty that the court might impose in the
event of conviction;
2. Amendment to vest jurisdiction upon a
court
(2) an amendment which does not charge another
offense different or distinct from that charged in
the original one;
(3) additional allegations which do not alter the

prosecution’s theory of the case so as to cause
surprise to the accused and affect the form of
defense he has or will assume;
(4) an amendment which does not adversely affect

any substantial right of the accused; and
 The test of whether an accused is
prejudiced by an amendment is to
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determine whether a defense under the

original information will still be
available even after the amendment is
made and if any evidence that an
accused might have would remain
applicable even in the amended
information
(5) an amendment that 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 adds nothing essential
for conviction for the crime charged
When Proper Conditions

at any time before the accused without leave of court
enters his plea
Generally: *not allowed after

plea
Substantial Amendment
XPN: When beneficial to the
accused. (See People vs.
Janairo)
at any time before the accused without leave of court

enters his plea
After the plea and during the • with leave of court

trial
Formal Amendment and
• when it can be done without

causing prejudice to the rights of
the accused
Downgrading or excludes any amendment before plea • upon motion by the

accused from the complaint or prosecutor,
information (People v. Janairo applies)
 with notice to the
offended party and
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• with leave of court.
Sec. 14, Rule 110 of the Rules of Court, does not bar substantial amendments that are beneficial to
the accused. (People v. Janairo, 22 July 1999)
Court may order amendment without motion

Section 4. Amendment of complaint or information. — If the motion to quash is 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. (4a)
If it is 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 shall be granted if the prosecution fails to make the amendment, or the complaint or
information still suffers from the same defect despite the amendment. (n)
Exclusion of an accused in Rule Discharge of accused as state Witness Protection

110 witness (Rule 119) Program (R.A. 6981)
Double jeopardy does not attach Operates as an acquittal, and will No double jeopardy because
because he was not yet arraigned bar future prosecution for the same witness is not at all included
offense, unless he fails or refuses in the information.
to testify according to the basis of
his discharge.
Substitution - If it appears at any time before judgment that a mistake has been made in charging
the proper offense, the court shall dismiss the original complaint or information upon the filing of a
new one charging the proper offense, provided the accused shall not be placed in double jeopardy.
Substitution Amendment
substitution requires or presupposes that the new An amended information refers to the same
information involves a different offense which offense charged in the original information or
does not include or is not necessarily included to an offense which necessarily includes or is
in the original charge, hence the accused cannot necessarily included in the original charge,
claim double jeopardy. hence substantial amendments to the information
after the plea has been taken cannot be made over
No substitution if there is no change in the nature the objection of the accused, for if the original
of the offense charged. information would be withdrawn, the accused
could invoke double jeopardy.
substitution necessarily involves a substantial may involve either formal or substantial changes,
Page 183 of 392

change from the original charge
must be with leave of court as the original Amendment before plea has been entered can be
information has to be dismissed effected without leave of court,
Another preliminary investigation is entailed and Where the amendment is only as to form, there is
the accused has to plead anew to the new no need for another preliminary investigation and
information; the retaking of the plea of the accused
10. Venue of criminal actions

Section 15. Place where action is to be instituted. —
(a) 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.
(b) Where an offense is committed in a train, aircraft, or other public or private vehicle in the
course of its trip, the criminal action shall be instituted and tried in the court of any municipality
or territory where such train, aircraft, or other vehicle passed during its trip, including the place
of its departure and arrival.
(c) Where an offense is 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.
(d) Crimes committed outside the Philippines but punishable under Article 2 of the Revised Penal
Code shall be cognizable by the court where the criminal action is first filed. (15a)
Article 2, RPC. Application of its provisions. - Except as provided in the treaties and laws of preferential
application, the provisions of this Code shall be enforced not only within the Philippine Archipelago, including its
atmosphere, its interior waters and maritime zone, but also outside of its jurisdiction, against those who:
1. Should commit an offense while on a Philippine ship or airship
2. Should forge or counterfeit any coin or currency note of the Philippine Islands or obligations and
securities issued by the Government of the Philippine Islands;
3. Should be liable for acts connected with the introduction into these islands of the obligations and
securities mentioned in the presiding number;
4. While being public officers or employees, should commit an offense in the exercise of their functions; or
5. Should commit any of the crimes against national security and the law of nations, defined in Title One of
Book Two of this Code.
Page 184 of 392

Additional exceptions:
11. Intervention of offended party

Section 16. Intervention of the offended party in criminal action.—Where the civil action for
recovery of civil liability is instituted in the criminal action pursuant to Rule 111, the offended
party may intervene by counsel in the prosecution of the offense.
An offended party may intervene in the prosecution of a crime, except in the following instances:
when, from the nature of the offense, the offended parties are entitled to civil indemnity, but
(a) they waive the right to institute a civil action,
(b) expressly reserve the right to do so or
(c) the suit has already been instituted.
In any of these instances, the private complainant’s interest in the case disappears and criminal
prosecution becomes the sole function of the public prosecutor. (Rodriguez v. Ponferrada, 29 July 2005)
Page 185 of 392

NOTE: Offended party may intervene even if the law defining the offense charged does not
specifically provide for indemnity because civil liability restitution, reparation of the damages caused,
and indemnification for consequential damages. (Lee v. Lee, 07 Aug. 2013)
Intervention is subject to the direction and control of the fiscal, that is, the provincial fiscal or the
Solicitor General, the latter in the exercise of his authority to control the prosecution has the right to
move for the dismissal of the appeal interposed by the offended party, if such dismissal would not
affect the right of the offended party to civil indemnity. And in the present case the dismissal of the
information or the criminal action does not affect the right of the offended party to institute or continue
the civil action already instituted arising from the offense, because such dismissal or extinction of the
penal action does not carry with it the extinction of the civil one under section 1 (d) Rule 107, Rules of
Court. (People v. Velez, 25 Feb. 1947)
C. PROSECUTION OF CIVIL ACTION
1. Rule on implied institution of civil action with criminal action
RULE 111 - PROSECUTION OF CIVIL ACTION
Section 1. Institution of criminal and civil actions. –
(a) 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 offended party
 waives the civil action,

 reserves the right to institute it separately or
 institutes the civil action prior to the criminal action.
The reservation of the right to institute separately the civil action shall be made before the prosecution
starts presenting its evidence and under circumstances affording the offended party a reasonable
opportunity to make such reservation.
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 therefore shall constitute a first lien on the judgment awarding such
damages.
Where the amount of damages, other than actual, is specified in the complaint or information, the
corresponding filing fees shall be paid by the offended party upon the filing thereof in court.
Page 186 of 392

Except as otherwise provided in these Rules, no filing fees shall be required for actual damages.
No counterclaim, cross-claim or third-party complaint may be filed by the accused in the

criminal case, but any cause of action which could have been the subject thereof may be litigated in a
separate civil action.
(b) The criminal action for violation of Batas Pambansa Blg. 22 shall be deemed to include the
corresponding civil action. No reservation to file such civil action separately shall be allowed.
Upon filing of the aforesaid joint criminal and civil actions, the offended party shall pay in full the
filing fees based on the amount of the check involved, which shall be considered as the actual damages
claimed.
Where the complaint or information also seeks to recover liquidated, moral, nominal, temperate
or exemplary damages, the offended party shall pay additional filing fees based on the amounts
alleged therein.
If the amounts are not so alleged but any of these damages are subsequently awarded by the court, the
filing fees based on the amount awarded shall constitute a first lien on the judgment.
Where the civil action has been filed separately and trial thereof has not yet commenced, it may
be consolidated with the criminal action upon application with the court trying the latter case. If
the application is granted, the trial of both actions shall proceed in accordance with section 2 of this
Rule governing consolidation of the civil and criminal actions.
Deemed instituted in every criminal prosecution is the civil liability arising from the crime or delict
per se (civil liability ex delicto), but not those liabilities from quasi-delicts, contracts or quasi-
contracts. The civil actions referred to in Articles 32,33, 34 and 2176 of the Civil Code shall remain
"separate, distinct and independent" of any criminal prosecution based on the same act.
1. The right to bring the foregoing actions based on the Civil Code need not be reserved in the criminal
prosecution, since they are not deemed included therein.
2. The institution or waiver of the right to file a separate civil action arising from the crime charged does
not extinguish the right to bring such action.
3. The only limitation is that the offended party cannot recover more than once for the same act or
omission. (Neplum v. Orbeso, 11 July 2002)
Reservation
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 may be made orally or in writing

 filing a separate civil action before the filing of the criminal action is deemed to be a reservation.
Effects of reservation:
 offended party loses his standing in the criminal case
 offended party cannot institute separate civil action until final judgment has been
rendered in the criminal action
B.P. Blg. 22 cases – as a general rule the civil action is deemed instituted in the criminal case and it
cannot be reserved. Exception: When the civil action is filed ahead of the criminal case. However, this
is not encouraged by the courts and they may order consolidation of the cases.
Waiver – waiver of the civil aspect of the criminal case must be entered into before or during litigation,
never after final judgment. (Dasalla Sr. vs. CFI of Nueva Ecija, 26 April 1991)
2. When civil action may proceed independently
Section 3, Rule 111. When civil action may proceed independently. —In the cases provided in
Articles
 32 (Violation of Rights and Liberties)
 33 (Defamation, Fraud, and Physical Injuries)
 34 (Refusal/failure of city or police force to a person in case of danger)
 2176 (Quasi-delict)
of the Civil Code of the Philippines, the 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.
In no case, however, may the offended party recover damages twice for the same act or omission
charged in the criminal action. (3a)
*These independent civil actions are not deemed instituted in the criminal action, and may be filed
separately even without reservation.
3. When separate civil action is suspended
Page 188 of 392

Sec. 2, Rule 111. When separate civil action is suspended. –
After the criminal action has been commenced, the separate civil action arising therefrom cannot be
instituted until final judgment has been entered 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 state it may be found before judgment on the merits. The suspension
shall last until final judgment is rendered in the criminal action.
Nevertheless, before judgment on the merits rendered in the civil action, the same may, upon
motion of the offended party, be consolidated with the criminal action in the court trying the criminal
action.
In case of consolidation, the evidence already adduced in the civil action shall be deemed
automatically reproduced in the criminal action without prejudice to the right of the prosecution
to cross-examine the witness presented by the offended party in the criminal case and of the parties to
present additional evidence. The consolidated criminal and civil actions shall be tried and decided
jointly.
During the pendency of the criminal action, the running period of prescription of the civil action
which cannot be instituted separately or whose proceeding has been suspended shall be tolled.
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.
NOTE: This provision does not apply to independent civil actions based on Art. 32,33,34 and 2176 of
the Civil Code, which could proceed independently regardless of the filing of the criminal action.
*Consolidation of the criminal case with civil action not ex delicto or those not arising from the
crime is allowed under Rule 31, which states: When actions involving a common question of law or fact
are pending before the court, it may order a joint hearing or trial of any or all the matters in issue in the
actions; it may order all the actions consolidated; and it may make such orders concerning proceedings
therein as may tend to avoid unnecessary costs or delay. However, it is subject to these qualifications:
 court has jurisdiction over the cases to be consolidated
 counterclaims, cross-claims and third-party claims may not be filed in criminal cases.
Instances where an acquittal in the criminal case does not carry with it the extinction of the civil
action arising therefrom:
(a) where the acquittal is based on reasonable doubt;
Page 189 of 392

 Here, remedy of the offended party is to file a civil action for damages under Art. 29 of the
Civil Code which only requires preponderance of evidence.
(b) where the court declared that the liability of the accused is only civil; and
(c) where the civil liability of the accused does not arise from or is not based upon the crime of
which the accused is acquitted.
NOTE: The rule is that the acquittal of an accused of the crime charged will not necessarily extinguish his
civil liability, unless the court declares in a final judgment that the fact from which the civil liability
might arise did not exist. Courts can acquit an accused on reasonable doubt but still order payment
of civil damages in the same case. It is not even necessary that a separate civil action be instituted.
If the accused is acquitted on reasonable doubt but the court renders judgment on the
civil aspect of the criminal case, the prosecution cannot appeal from the judgment
of acquittal as it would place the accused in double jeopardy. However, the
aggrieved party, the offended party or the accused or both may appeal from
the judgment on the civil aspect of the case within the period therefor. (Ching v.
Nicdao, 27 April 2007)
4. Effect of the death of accused or convict on civil action

Section 4, Rule 111. Effect of death on civil actions. —
The death of the accused after arraignment and during the pendency of the criminal action shall
extinguish the civil liability arising from the delict.
However, the independent civil action instituted under section 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.
The heirs of the accused may be substituted for the deceased without requiring the appointment
of an executor or administrator and the court may appoint a guardian ad litem for the minor heirs.
The court shall forthwith order said legal representative or representatives to appear and be substituted
within a period of thirty (30) days from notice.
A final judgment entered in favor of the offended party shall be enforced in the manner
especially provided in these rules for prosecuting claims against the estate of the deceased.
If the 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. (n)
Time of Death Effect

Death After Arraignment and during pendency of The civil liability is extinguished. But,
Page 190 of 392

the criminal case

a. An independent civil action enforcing liabilities
under Art. 32, 33, 34, 35 and 2176 may be continued
against the estate or legal representative of the accused,
after proper substitution.
b. If the civil action has been reserved and

subsequently filed, the civil action shall proceed after
substitution of parties. [Sec. 4, Rule 111]
Death before Arraignment case shall be dismissed without prejudice to any civil
action the offended party may file against the estate of
the deceased.
After judgment The civil liability is not extinguished. Claims shall be

filed against the estate of the accused under Rule 86 of
the ROC. [Sec. 5, Rule 86]
5. Prejudicial question
Section 6, Rule 111. Suspension by reason of prejudicial question. — A petition for suspension of
the criminal action based upon the pendency of a prejudicial question in a civil action may be filed in
the office of the prosecutor or the court conducting the preliminary investigation.
When the criminal action has been filed in court for trial, the petition to suspend shall be filed in
the same criminal action at any time before the prosecution rests. (6a)
Section 7, Rule 111. Elements of prejudicial question. — The elements of a prejudicial question are:
(a) the previously instituted civil action involves an issue similar or intimately related to the issue
raised in the subsequent criminal action, and
(b) the resolution of such issue determines whether or not the criminal action may proceed. (5a)
* A prejudicial question generally comes into play in a situation where a civil action and a criminal
action are both pending, and there exists in the former an issue that must first be determined before
the latter may proceed, because howsoever the issue raised in the civil action is resolved would be
determinative juris et de jure of the guilt or innocence of the accused in the criminal case.
The rationale for the suspension on the ground of a prejudicial question is to avoid conflicting decisions.
*This is an exception to the rule on primacy of criminal case. There is also no option for consolidation if
there is a prejudicial question.
* Under the Revised Guidelines for Continuous Trial of Criminal Cases, a petition to suspend the action
on the ground of prejudicial question is a prohibited motion, when no civil case has been filed.
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*RIGHT TO SUSPEND MAY BE WAIVED. Since the suspension of the criminal case due to a
prejudicial question is only a procedural matter, the same is subject to a waiver by virtue of the prior acts
of the accused. After all, the doctrine of waiver is made solely for the benefit and protection of the
individual in his private capacity, if it can be dispensed with and relinquished without infringing on any
public right and without detriment to the community at large. Accordingly, petitioner's admission in the
stipulation of facts during the pre-trial of the criminal case amounts to a waiver of his defense of forgery
in the civil case. Hence, we have no reason to nullify such waiver, it being not contrary to law, public
order, public policy, morals or good customs, or prejudicial to a third person with a right recognized by
law. (Alano v. CA, 15 Dec. 1997)
Prejudicial question where administrative and criminal cases, but no civil case, involved
In San Miguel Properties, Inc. v. Perez [G.R. No. 166836 (2013)] the SC held that the administrative case
before the HLURB case raises a prejudicial question that sufficed to suspend the criminal proceedings
since the action before the HLURB was “civil in nature” and could not be instituted elsewhere except in
the HLURB whose jurisdiction over the action was exclusive and original
6. Rule on filing fees in civil action deemed instituted with the criminal action
Filing Fees
General Rule: Actual Damages Except as otherwise provided in these Rules, no
filing fees shall be required for actual damages.
offended party seeks to enforce civil liability filing fees shall constitute a first lien on the
against the accused by way of moral, nominal, judgment awarding such damages.
temperate, or exemplary damages without
specifying the amount thereof
Where the amount of damages, other than corresponding filing fees shall be paid by the
actual, is specified in the complaint or offended party upon the filing thereof in court.
information,
Upon filing of the aforesaid joint criminal and

XPN: BP 22 civil actions, the offended party shall pay in full
the filing fees based on the amount of the check
involved, which shall be considered as the
actual damages claimed.
Where the complaint or information also seeks to

recover liquidated, moral, nominal, temperate
or exemplary damages, the offended party
shall pay additional filing fees based on the
amounts alleged therein.
Page 192 of 392

If the amounts are not so alleged but any of

these damages are subsequently awarded by
the court, the filing fees based on the amount
awarded shall constitute a first lien on the
judgment.
XPN: Estafa – offended party shall pay in full the filing fees
based on the amount involved [See Sec. 20,
Rule 141]
D. PRELIMINARY INVESTIGATION
1. Nature of right
2. Purposes of preliminary investigation
RULE 112 - PRELIMINARY INVESTIGATION
Section 1. Preliminary investigation defined; when required. — 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.
Except as provided in section 7 of this 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 four (4) years, two (2) months and one (1) day without regard to the fine. (1a)
Purpose: Other than determination of probable cause or that determination whether there is a sufficient
ground to engender a well-founded belief that a crime has been committed and the respondent is probably
guilty thereof, it is just as well for the purpose of securing the innocent against hasty, malicious and
oppressive prosecution, and to protect him from an open and public accusation of a crime, from the
trouble, expense and anxiety of a public trial. It also aims to protect the state from having to conduct
useless and expensive trials.
Exception to the mandatory requirement of preliminary investigation where the penalty prescribed by
law is at least four (4) years, two (2) months and one (1) day: When a person is subjected to inquest
proceedings, but he may still ask for a preliminary investigation by a signing a waiver of the provisions
of Art. 125 of the RPC in the present of the counsel.
PRELIMINARY INVESTIGATION MAY BE WAIVED. His right to preliminary investigation, then

is deemed waived as he failed to invoke such right prior to or, at least, at the time of the entry of his
Page 193 of 392

plea in the court of first instance. (People v. Casiano, p. 483, supra) The entry of their plea constituted a
waiver of their right to preliminary investigation and any irregularity that attended it. (People v.
Umbrero, 20 May 1991)
Due process in preliminary investigation: Reasonable opportunity to be heard and submit evidence in
support of one’s defense. (Ocampo v. Abando, 11 Feb. 2014)
*Probable cause in preliminary investigation can be established with hearsay evidence as long as there is
substantial basis for crediting hearsay because such investigation is preliminary, and does not finally
adjudicate the rights and obligations of the parties. (Estrada v. Ombudsman, 21 Jan. 2015)
3. Who may conduct determination of existence of probable cause

Section 2, Rule 112. Officers authorized to conduct preliminary investigations. — The following
may conduct preliminary investigations:
(a) Provincial or City Prosecutors and their assistants;
(c) National and Regional State Prosecutors; and
(d) Other officers as may be authorized by law.
Their authority to conduct preliminary investigations shall include all crimes cognizable by the
proper court in their respective territorial jurisdictions. (2a)
*NOTE: MTC judges are no longer authorized to conduct preliminary investigation because their
authority was removed in A.M. No. 05-8-36-SC effective 03 Oct. 2005.
Other officers authorized by law:

o Ombudsman
 The Ombudsman is authorized to conduct PI and to prosecute all criminal cases
involving public officers and employees, not only those within the jurisdiction of
the Sandiganbayan, but also those within the jurisdiction of regular courts as well
[Uy v. Sandiganbayan, G.R. No. 105965-70 (2001)]
o COMELEC
o PCGG
Lack of authority of the officer who filed the information is a JURISDICTIONAL DEFECT:
In the absence of a directive from the Secretary of Justice designating State Prosecutor Tolentino as
Special Prosecutor for SSS cases or a prior written approval of the information by the provincial or city
prosecutor, the information in Criminal Case No. RTC 2001-0597 was filed by an officer without
authority to file the same. As this infirmity in the information constitutes a jurisdictional defect that
cannot be cured, the respondent judge did not err in dismissing the case for lack of jurisdiction.
(People v. Garfin, 17 April 2007). Thus, it is subject to a motion to quash.
Page 194 of 392

a. Distinguish: executive and judicial determination of probable cause
4. Resolution of investigation prosecutor

5. Review
Section 4, Rule 112. Resolution of investigating prosecutor and its review. —
If the investigating prosecutor finds cause to hold the respondent for trial, he shall prepare the
resolution and information.
He shall certify under oath in the information that he, or as shown by the record, an authorized officer,
has
o personally examined the complainant and his witnesses;
o that there is reasonable ground to believe that a crime has been committed and that the
accused is probably guilty thereof;
o that the accused was informed of the complaint and of the evidence submitted against
him; and
Page 195 of 392

o that he was given an opportunity to submit controverting evidence.
Otherwise, he shall recommend the dismissal of the complaint.
Within five (5) days from his resolution, he shall forward the record of the case to
o the provincial or city prosecutor or

o chief state prosecutor, or
o to the Ombudsman or his deputy in cases of offenses cognizable by the Sandiganbayan in
the exercise of its original jurisdiction.
They shall act on the resolution within ten (10) days from their receipt thereof and shall
immediately inform the parties of such action.
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.
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, by himself, file
the information against the respondent, or direct another assistant prosecutor or state prosecutor
to do so without conducting another preliminary investigation.
If
o upon petition by a proper party under such rules as the Department of Justice may
prescribe or
o motu proprio, the Secretary of Justice
reverses or modifies the resolution of the provincial or city prosecutor or chief state
prosecutor, he shall direct the prosecutor concerned either to file the corresponding information
without conducting another preliminary investigation, or to dismiss or move for dismissal of the
complaint or information with notice to the parties.
The same rule shall apply in preliminary investigations conducted by the officers of the Office of
the Ombudsman. (4a)
Remedy against an adverse finding
Appeal from Whom How and Where to Appeal

appeals from resolutions of the Chief State
Prosecutor, Regional State Prosecutors and An appeal may be brought to the Secretary of
Provincial/City Prosecutors in cases subject of Justice within fifteen (15) days from receipt of
Page 196 of 392

preliminary investigation/ reinvestigation. the resolution, or of the denial of the motion

for reconsideration/reinvestigation if one has
been filed within fifteen (15) days from receipt of
the assailed resolution. Only one motion for
reconsideration shall be allowed. (2000 NPS
RULE ON APPEAL)
Unless the Secretary of Justice directs otherwise,

the appeal shall not hold the filing of the
corresponding information in court on the basis
of the finding of probable cause in the appealed
resolution. (2000 NPS RULE ON APPEAL)
However, a petition for review of the resolution of

the prosecutor pending at either the Department of
Justice, or the Office of the President; will
suspend arraignment of the accused which shall
not exceed sixty (60) days counted from the
filing of the petition with the reviewing office .
(Sec. 11, Rule 116)
Ombudsman Only one motion for reconsideration or

reinvestigation of an approved
order or resolution shall be allowed, the same to
be filled within five (5)
days from notice thereof with the Office of the
Ombudsman, or the proper
Deputy Ombudsman as the case may be, with
corresponding leave of court
in cases where information has already been filed
in court;
The filing of a motion for

reconsideration/reinvestigation shall not bar the
filing of the corresponding information in
Court on the basis of the
finding of probable cause in the resolution subject
of the motion. (Rules of Procedure of the Office of
the Ombudsman)
6. When warrant of arrest may issue
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Section 5, Rule 112. When warrant of arrest may issue. —
(a) By the Regional Trial Court. —Within ten (10) days from the filing of the complaint or
information, the judge shall personally evaluate the resolution of the prosecutor and its supporting
evidence.
He may immediately dismiss the case if the evidence on record clearly fails to establish probable
cause.
If he finds probable cause, he shall issue a warrant of arrest, or a commitment order if the
accused has already been arrested pursuant to section 6 of this Rule.
In case of doubt on the existence of probable cause, the judge may order the prosecutor to present
additional evidence within five (5) days from notice and the issue must be resolved by the court within
thirty (30) days from the filing of the complaint of information .
(b) By the Municipal Trial Court. —When required pursuant to the second paragraph of section 1 of
this Rule, the preliminary investigation of cases falling under the original jurisdiction of the
Metropolitan Trial Court, Municipal Trial Court in Cities, Municipal Trial Court, or Municipal
Circuit Trial Court shall be conducted by the prosecutor. The procedure for the issuance of a
warrant of arrest by the judge shall be governed by paragraph (a) of this section.
(c) When warrant of arrest not necessary. —A warrant of arrest shall not issue if the
o accused is already under detention pursuant to a warrant issued by the municipal trial court
in accordance with paragraph (b) of this section, or
o if the complaint or information was filed pursuant to section 6 of this Rule (inquest
proceedings) or
o is for an offense penalized by fine only.
The court shall then proceed in the exercise of its original jurisdiction. (6a)
*Once the information is filed in court, it is the duty of the judge before arraignment to determine
existence of probable cause, and a pending motion to quash will not defer the issuance of warrant of
arrest.
*As long as the evidence presented shows prima facie case against the accused, there is sufficient ground
to issue warrant of arrest.
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*The judge should not rely solely on the report of the prosecutor in finding probable cause; the judge
must decide independently. The records of the preliminary investigation examined by the judge is
sufficient as long as the judge have sufficient supporting documents to rely on.
*A hearing to determine probable cause is not mandatory for a judge to issue warrant of arrest;
personal evaluation of the prosecutor’s report and supporting documents shall be sufficient
(Ocampo v. Abando, 11 Feb. 2014)
Remedy in case judge dismiss case for lack of probable cause:

 Appeal – because the dismissal is a final order that finally disposes the case; special civil action
of certiorari is not proper because appeal is available.
7. Cases not requiring a preliminary investigation

Section 8, Rule 112. Cases not requiring a preliminary investigation nor covered by the Rule on
Summary Procedure. —
(a) If filed with the prosecutor. —If the complaint is filed directly with the prosecutor involving an
offense punishable by imprisonment of less than four (4) years, two (2) months and one (1) day,
the procedure outlined in section 3(a) of this Rule shall be observed.
The prosecutor shall act on the complaint based on the affidavits and other supporting documents
submitted by the complainant within ten (10) days from its filing.
(b) If filed with the Municipal Trial Court. — If the complaint or information is filed with the
Municipal Trial Court or Municipal Circuit Trial Court for an offense covered by this section, the
procedure in section 3(a) of this Rule shall be observed.
If within ten (10) days after the filing of the complaint or information, the judge finds no
probable cause after personally evaluating the evidence, or after personally examining in writing
and under oath the complainant and his witnesses in the form of searching questions and
answers, he shall dismiss the same.
He may, however, require the submission of additional evidence, within ten (10) days from notice,
to determine further the existence of probable cause.
If the judge still finds no probable cause despite the additional evidence, he shall, within ten (10)
days from its submission or expiration of said period, dismiss the case.
When he finds probable cause, he shall issue a warrant of arrest, or a commitment order if the
accused had already been arrested, and hold him for trial.
However, 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. (9a)
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* The instances referred to in this section, apply to cases punishable by imprisonment of less than four
(4) years, two (2) months and one (1) day, but more than 6 months.; otherwise, the Rules on Summary
Procedure shall govern.
*For cases where the offense charged is punishable by imprisonment of less than four (4) years, two (2)
months and one (1) day, preliminary investigation is not mandatory.
*While probable cause should first be determined before an information may be filed in court, the
prosecutor is not mandated to require respondent to submit his counter-affidavit to oppose the complaint.
Cases requiring preliminary Cases not requiring preliminary Cases covered by the Rules on
investigation investigation Summary Procedure
Actions of the judge: Actions of the judge: Actions of the judge:
If complaint or information is
If he finds probable cause, he filed with the MTC judge Warrant of arrest is generally
shall issue a warrant of arrest, not issued except for failure to
or a commitment order if the When he finds probable cause, appear whenever required.
accused has already been he shall issue a warrant of arrest,
arrested pursuant to section 6 of or a commitment order if the
this Rule. accused had already been
arrested, and hold him for trial.
However, 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.
8. Remedies of accused if there was no preliminary investigation
ABSENCE OF PRELIMINARY INVESTIGATION NOT A GROUND FOR MOTION TO

QUASH; REMAND
- The proper procedure in case of lack of preliminary investigation is to hold in abeyance the
proceedings upon such information and the case remanded to the Office of the Provincial Fiscal or
the Ombudsman, for that matter, for him or the Special Prosecutor to conduct a preliminary investigation .
(Pilapil v. Sandiganbayan, 07 April 1993)
Note however, that motion for reinvestigation or remand for preliminary investigation is a
prohibited motion under the Revised Guidelines for Continuous Trial, which says:
Page 200 of 392

X X X The following motions are prohibited:

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 under Sec. 8, Rule 112; and
(3) when the regular preliminary investigation is required and has been actually conducted, and the
grounds relied upon in the motion are not meritorious, such as issues of credibility, admissibility of
evidence, innocence of the accused, or lack of due process when the accused was actually notified, among
others.
9. Inquest
Section 6, Rule 112. When accused lawfully arrested without warrant. —
When a person is lawfully arrested without a warrant involving an offense which requires a
preliminary investigation, 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.
In the absence or unavailability of an 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.
Before the 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 provisions of Article
125 of the Revised Penal Code, as amended, in the presence of his counsel.
Notwithstanding the waiver, he may apply for bail and the investigation must be terminated within
fifteen (15) days from its inception.
After the filing of the complaint or information in court without a preliminary investigation, the
accused may, within five (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. (7a; sec.
2, R.A. No. 7438)
Inquest is defined as an informal and summary investigation conducted by a public prosecutor in

criminal cases involving persons arrested and detained without the benefit of a warrant of arrest issued by
the court for the purpose of determining whether said persons should remain under custody and
correspondingly be charged in court.
*Applies only in cases where there is a warrantless arrest and the offense requires a preliminary
investigation. Otherwise, the case shall be directly filed in court.
Page 201 of 392

In cases which do not require preliminary investigation and the person was arrested without a warrant, the
person arrested would be immediately detained. The option of the detainee is to apply for bail.
NOTE: Inquest proceedings are only proper when accused has been lawfully arrested without
warrant.
SEC. 9. Where arrest not properly effected. —Should the Inquest Officer find that the arrest was not made
in accordance with the Rules, he shall:
a. recommend the release of the person arrested or detained;

b. note down the disposition of the referral document;
c. prepare a brief memorandum indicating the reasons for the action taken; and
d. forward the same, together with the record of the case, to the City or Provincial Prosecutor for
appropriate action.
Where the recommendation for the release of the detained person is approved by the City or Provincial
Prosecutor but the evidence on hand warrant the conduct of a regular preliminary investigation, the order of
release shall be served on the officer having custody of said detainee and shall direct the said officer to
serve upon the detainee the subpoena or notice of preliminary investigation, together with the copies of the
charge sheet or complaint, affidavits or sworn statements of the complainant and his witnesses and other
supporting evidence. (New Rules on Inquest)
NOTE: Submission of counter-affidavits in inquest proceedings is not allowed, unless the detailed person
avails of the option to avail of a preliminary investigation. (A.O. 407)
Remedies
Before the complaint or information is filed After the filing of the complaint but before
arraignment
The accused may ask for PI. The accused may ask for PI within 5 days after
he learns of the filing of the complaint or
Requisites: information
1. he must sign a waiver of the provisions of
Article 125 of RPC, in the presence of his
counsel;
2. he may apply for bail;
3. the investigation must be terminated within 15

days from its inception
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*Rules on inquest do not provide for motion for reconsideration nor is an appeal to the DOJ Secretary
available for inquest. The private party must first avail of preliminary investigation before elevating to the
DOJ Secretary.
E. ARREST
RULE 113 - ARREST
Section 1. Definition of arrest. —Arrest is the taking of a person into custody in order that he may
be bound to answer for the commission of an offense. (1)
1. Arrest, how made

Section 2, Rule 113. Arrest; how made. —An arrest is made by
 an actual restraint of a person to be arrested, or

 by his submission to the custody of the person making the arrest.
No violence or unnecessary force shall be used in making an arrest. The person arrested shall not be
subject to a greater restraint than is necessary for his detention. (2a)
Section 3. Duty of arresting officer. —It shall be the duty of the officer executing the warrant to arrest
the accused and deliver him to the nearest police station or jail without unnecessary delay. (3a)
Section 4. Execution of warrant. —The head of the office to whom the warrant of arrest was delivered
Page 203 of 392

for execution shall cause the warrant to be executed within ten (10) days from its receipt. Within ten
(10) days after the expiration of the period, the officer to whom it was assigned for execution shall
make a report to the judge who issued the warrant. In case of his failure to execute the warrant, he shall
state the reasons therefor. (4a)
2. Arrest without warrant, when lawful

Section 5, Rule 113. Arrest without warrant; when lawful. — A peace officer or a private person
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 (in flagrante delicto);
(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 (hot pursuit) and
(c) 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.
In cases falling under paragraphs (a) and (b) above, the person arrested without a warrant shall be
forthwith delivered to the nearest police station or jail and shall be proceeded against in accordance
with section 7 of Rule 112. (5a)
In Flagrante Delicto Hot Pursuit Arrest of Escaped Prisoners /

Temporarily Detained
two requisites must concur: two (2) conditions for a Escapee may be immediately
pursued or re-arrested without a
(1) the person to be arrested warrant at any time and in any
must execute an overt act first, that the person to be place within the Philippines
indicating that he has just arrested has just committed [Sec. 13, Rule 113]
committed, is actually an offense,
committing, or is attempting to  there must be a large Rationale - At the time of arrest,
commit a crime; and measure of immediacy the escapee is in continuous
between the time commission of a crime (i.e.,
(2) such overt act is done in offense was committed evasion of service of sentence).
and the time of arrest. If
the presence or within the [Parulan v. Director of Prisons,
there is appreciable
view of the arresting officer amount of time between G.R. No. L-28519 (1968)]
them, a warrant of arrest
must be secured.
second, that the arresting peace

officer or private person has
probable cause to believe based
on personal knowledge of facts
Page 204 of 392

or circumstances indicating
that the person to be arrested
is the one who committed the
offense.
 In determining probable
cause, the arresting
officer may rely on all
the information in his
possession, his fair
inferences therefrom,
including his
observations.
Mere suspicion does not

meet the requirements
of showing probable
cause to arrest without
warrant especially if it is
a mere general
suspicion. Probable
cause may rest on
reasonably trustworthy
information as well as
personal knowledge.
Thus, the arresting
officer may rely on
information supplied
by a witness or a
victim of a crime; and
under the
circumstances, the
arresting officer need
not verify such
information
Thus, even though the

police officer has not
seen someone actually
fleeing, he could still
make a warrantless
arrest if, based on his
personal evaluation of
the circumstances at the
scene of the crime, he
could determine the
Page 205 of 392

existence of probable
cause that the person
sought to be arrested has
committed the crime.
Other instances of warrantless arrest:

 Section 23, Rule 114. Arrest of accused out on bail. — For the purpose of surrendering the
accused, the bondsmen may arrest him or, upon written authority endorsed on a certified
copy of the undertaking, cause him to be arrested by a police officer or any other person of
suitable age and discretion.
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.
 Section 13, Rule 113. Arrest after escape or rescue. — If a person lawfully arrested escapes or
is rescued, any person may immediately pursue or retake him without a warrant at any time and
in any place within the Philippines. (13)
3. Method of arrest
a. By officer with warrant

Section 7, Rule 113. Method of arrest by officer by virtue of warrant. —When making an arrest by
virtue of a warrant, the officer shall inform the person to be arrested of the
 cause of the arrest and
 the fact that a warrant has been issued for his arrest, except
o when he flees or forcibly resists before the officer has opportunity to so

inform him, or
o when the giving of such information will imperil the arrest.
The officer need not have the warrant in his possession at the time of the arrest but after the
arrest, if the person arrested so requires, the warrant shall be shown to him as soon as
practicable. (7a)
After securing the person to be arrested, the officer must conduct through search for weapons and other
illegal materials on the person arrested and surrounding within his immediate control. (Revised PNP
Operational Procedures)
b. By officer without warrant

Section 8. Method of arrest by officer without warrant. —When making an arrest without a
Page 206 of 392

warrant, the officer shall
o inform the person to be arrested of his authority and

o the cause of the arrest, unless the latter is either
o engaged in the commission of an offense, is pursued immediately after its

commission,
o has escaped, flees, or forcibly resists before the officer has opportunity to so
inform him, or
o when the giving of such information will imperil the arrest. (8a)
After securing the person to be arrested, the officer must conduct through search for weapons and other
illegal materials on the person arrested and surrounding within his immediate control. (Revised PNP
Operational Procedures)
c. By private person
Section 9, Rule 113. Method of arrest by private person. —When making an arrest, a private person
shall inform the person to be arrested of
o the intention to arrest him and

o the cause of the arrest, unless the latter is either
o engaged in the commission of an offense, is pursued immediately after its

commission,
o has escaped, flees, or forcibly resists before the officer has opportunity to so
inform him, or
o when the giving of such information will imperil the arrest.
Section 10. Officer may summon assistance. —An officer making a lawful arrest may orally summon
as many persons as he deems necessary to assist him in effecting the arrest. Every person so summoned
by an officer shall assist him in effecting the arrest when he can render such assistance without
detriment to himself. (10a)
Section 11. Right of officer to break into building or enclosure. —An officer, in order to make an arrest
either by virtue of a warrant, or without a warrant as provided in section 5, may break into any building
or enclosure where the person to be arrested is or is reasonably believed to be, if he is refused
admittance thereto, after announcing his authority and purpose, (11a)
Section 12. Right to break out from building or enclosure. —Whenever an officer has entered the
building, or enclosure in accordance with the preceding section, he may break out therefrom when
necessary to liberate himself. (12a)
Page 207 of 392

Section 13. Arrest after escape or rescue. — If a person lawfully arrested escapes or is rescued, any
person may immediately pursue or retake him without a warrant at any time and in any place within the
Philippines. (13)
Section 14. Right of attorney or relative to visit person arrested. — Any member of the Philippine Bar
shall, at the request of the person arrested or of another acting in his behalf, have the right to visit and
confer privately with such person in the jail or any other place of custody at any hour of the day or
night. Subject to reasonable regulations, a relative of the person arrested can also exercise the same
right. (14a)
4. Requisites of a valid warrant of arrest
Essential requisites
The warrant must:
a. Be issued upon probable cause determined personally by the judge after examination under oath or
affirmation of the complainant and the witnesses he may produce; and
b. Particularly describe the person to be arrested [Sec. 2, Art. III, Constitution]
A hearing to determine probable cause is not mandatory for a judge to issue warrant of arrest;
personal evaluation of the prosecutor’s report and supporting documents shall be sufficient
(Ocampo v. Abando, 11 Feb. 2014)
5. Determination of probable cause for issuance of warrant of arrest
Probable cause, in connection with the issuance of a warrant of arrest, assumes the existence of facts
and circumstances that would lead a reasonably discreet and prudent man to believe that a crime has
been committed and that it was likely committed by the person sought to be arrested [People v. Tan,
G.R. No. 182310 (2009)] [See D.3, supra
F. BAIL
Page 208 of 392

1. Nature
RULE 114 BAIL
Section 1. Bail defined. —Bail 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 hereinafter specified.
Bail may be given in the form of
 corporate surety,
 property bond,
 cash deposit, or
 recognizance.
Only those persons who have either been arrested, detained, or otherwise deprived of their freedom will
ever have occasion to seek the protective mantle extended by the right to bail.
The arraignment of an accused is not a prerequisite to the conduct of hearings on his petition for
bail. A person is allowed to petition for bail as soon as he is deprived of his liberty by virtue of his arrest
or voluntary surrender. An accused need not wait for his arraignment before filing a petition for bail.
However, when a person is arrested without a warrant, applying for bail before an inquest is
conducted would be premature as the inquest proceeding would still have to be conducted.
Bail in Extradition Proceedings

Bail may be granted to a possible extraditee only upon a clear and convincing showing
(1) that he will not be a flight risk or a danger to the community, and
(2) that there exist special, humanitarian and compelling circumstances.
Constitutional Right to Bail

ARTICLE III, SECTION 13. All persons, except those charged with offenses punishable by reclusion
perpetua when evidence of guilt is strong, shall, before conviction, be bailable by sufficient sureties, or
be released on recognizance as may be provided by law.
The right to bail shall not be impaired even when the privilege of the writ of habeas corpus is suspended.
Excessive bail shall not be required.
Section 2, RULE 114. Conditions of the bail; requirements. —All kinds of bail are subject to the
following conditions:
(a) The undertaking shall be effective upon approval, and unless cancelled, shall remain in force at
Page 209 of 392

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;
(b) The accused shall appear before the proper court whenever required by the court or these Rules;
(c) 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; and
(d) The bondsman shall surrender the accused to the court for execution of the final judgment.
The original papers shall state the full name and address of the accused, the amount of the undertaking
and the conditions required by this section. Photographs (passport size) taken within the last six (6)
months showing the face, left and right profiles of the accused must be attached to the bail. (2a)
Section 3. No release or transfer except on court order or bail. —No person under detention by
legal process shall be released or transferred except upon order of the court or when he is admitted to
bail. (3a)
*EFFECTIVITY OF THE BAIL: Until promulgation in the Regional Trial Court irrespective of
whether the case was originally filed in or appealed to it
* The condition imposed upon petitioner to make himself available at all times whenever the court
requires his presence operates as a valid restriction on his right to travel.
2. When a matter of right; exceptions

Section 4, RULE 114. Bail, a matter of right; exception. —All persons in custody shall be
admitted to bail as a matter of right, with sufficient sureties, or released on recognizance as
prescribed by law or this Rule
(a) before or after conviction by the Metropolitan Trial Court, Municipal Trial Court, Municipal
Trial Court in Cities, or Municipal Circuit Trial Court, and
(b) before conviction by the Regional Trial Court of an offense not punishable by death, reclusion
perpetua, or life imprisonment. (4a)
3. When a matter of discretion

Section 5, RULE 114. Bail, when discretionary. —
Upon conviction by the Regional Trial Court of an offense not punishable by death, reclusion
perpetua, or life imprisonment, admission to bail is discretionary.
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.
Page 210 of 392

However, 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 with and resolved by the
appellate court.
Should the court grant the application, the accused may be allowed to continue on provisional liberty
during the pendency of the appeal under the same bail subject to the consent of the bondsman.
If the penalty imposed by the trial court is imprisonment exceeding six (6) years, the accused
shall be denied bail, or his bail shall be cancelled upon a showing by the prosecution, with notice
to the accused, of the following or other similar circumstances:
(a) That he is a recidivist, quasi-recidivist, or habitual delinquent, or has committed the crime
aggravated by the circumstance of reiteration;
(b) That he has previously escaped from legal confinement, evaded sentence, or violated the conditions
of his bail without valid justification;
(c) That he committed the offense while under probation, parole, or conditional pardon;
(d) That the circumstances of his case indicate the probability of flight if released on bail; or
(e) That there is undue risk that he may commit another crime during the pendency of the appeal.
The appellate court may, motu proprio or on motion of any party, review the resolution of the
Regional Trial Court after notice to the adverse party in either case. (5a)
Matter of Right / Discretion

before or after conviction by the MTC Matter of Right
before conviction by the Regional Trial Court of an

offense not punishable by death, reclusion perpetua, or
Matter of Right
life imprisonment.
Upon conviction by the Regional Trial Court of an

Matter of Discretion
life imprisonment
Upon conviction by the Regional Trial Court of an Not bailable

offense PUNISHABLE by death, reclusion perpetua, or
Page 211 of 392

life imprisonment
Upon conviction by the Regional Trial Court of an

life imprisonment
the penalty imposed by the trial court is imprisonment

exceeding six (6) years
Not bailable
and
upon a showing by the prosecution, of bail negating

circumstance or other similar circumstances:
Bail-negating circumstances not present Matter of discretion
charged with a capital offense, or an offense

punishable by reclusion perpetua or life imprisonment, Not Bailable
when evidence of guilt is strong,
*Note: Court via hearing determines whether evidence
of guilt is strong
4. Hearing of application for bail in capital offenses

Section 7, RULE 114. Capital offense or an offense punishable by reclusion perpetua or life
imprisonment, not bailable. —
No person charged with a capital offense, or an offense punishable by reclusion perpetua or life
imprisonment, shall be admitted to bail when evidence of guilt is strong, regardless of the stage of
the criminal prosecution. (7a)
NOTE: For purposes of admission to bail, the determination of whether or not evidence of guilt is
strong in criminal cases involving capital offenses, or offenses punishable with reclusion perpetua or life
imprisonment lies within the discretion of the trial court. Such discretion may be exercised only after
the hearing called to ascertain the degree of guilt of the accused for the purpose of whether or not he
should be granted provisional liberty."
Exceptional case of Enrile v. Sandiganbayan (2015): Plunder Charge granted Bail
In our view, his social and political standing and his having immediately surrendered to the
authorities upon his being charged in court indicate that the risk of his flight or escape from this
jurisdiction is highly unlikely. With his solid reputation in both his public and his private lives, his
long years of public service, and history’s judgment of him being at stake, he should be granted bail.
The currently fragile state of Enrile’s health presents another compelling justification for his admission
to bail, but which the Sandiganbayan did not recognize.
Page 212 of 392

Bail for the provisional liberty of the accused, regardless of the crime charged, should be allowed
independently of the merits of the charge, provided his continued incarceration is clearly shown to be
injurious to his health or to endanger his life. Indeed, denying him bail despite imperiling his health
and life would not serve the true objective of preventive incarceration during the trial.
HEARING OF APPLICATION FOR BAIL IN CAPITAL OFFENSES

In general - At the hearing of an application for bail filed by a person in custody for the commission of an
offense punishable by reclusion perpetua or life imprisonment, the prosecution has the burden of showing
that evidence of guilt is strong [Sec. 8, Rule 114]
Duties of judge hearing the petition for bail when capital offenses are involved
a. In all cases whether bail is a matter of right or discretion, notify the prosecutor of the hearing
of the application for bail or require him to submit his recommendation [Sec. 18, Rule 114]
b. Where bail is a matter of discretion, conduct a hearing of the application for bail regardless
strong for of whether or not the prosecution refuses to present evidence to show that the guilt of
the accused is the purpose of enabling the court to exercise its sound discretion [Sec. 7-8, Rule
114]
Guidelines under the Rules on Continuous Trial of Criminal Cases:
for bail filed after the filing of the information shall be set for summary hearing after
arraignment and pre-trial.
Petition for bail shall be heard and resolved within a non-extendible period of thirty (30)
calendar days from date of the first hearing, except in drug cases which shall be heard and
resolved within twenty (20) calendar days, without need of oral argument and submission of
memoranda, consistent with the summary nature of the proceedings.
Motion for reconsideration on the resolution of petition for bail shall be resolved within a
non- extendible period of ten (10) calendar days from date of submission of the motion.
c. Decide whether the guilt of the accused is strong based on the summary of evidence of the
prosecution
d. If the guilt of the accused is not strong, discharge the accused upon the approval of the
bail bond [Sec. 19, Rule 114]. Otherwise, the petition should be denied. [Gacal v. Infante, A.M.
No. RTJ- 04-1845 (2011)]
Note: Evidence presented during the bail hearing are automatically reproduced at the trial, but
upon motion of either party, the court may recall any witness for additional examination unless the latter
is dead, outside the Philippines, or otherwise unable to testify [Sec. 8, Rule 114]
Page 213 of 392

Where application for bail is filed

General rule: The application may be filed with the court where the case is pending.
Exceptions:
a. If the judge of the court where the case is pending is absent or unavailable, the application may
be filed with any RTC/MTC/MeTC/MCTC judge in the province, city or municipality;
b. If the accused is arrested in a province, city, or municipality other than where the case is
pending, the application may be filed with any RTC of the said place, or, if no judge is
available, then with any MeTC/MTC/MCTC judge in the said place.
c. When a person is in custody but not yet charged, he may apply with any court in the
province or city/municipality where he is held [Sec. 17, Rule 114, as amended by A.M. No.
05-8-26-SC]
Note: 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, on trial, or
appeal [Sec. 17, Rule 114, as amended by A.M. No. 05-8-26-SC]
When bail is filed with a court other than where the case is pending, the judge who accepted the bail shall
forward it, together with the order of release and other supporting papers, to the court where the case is
pending, which may, for good reason, require a different one to be filed [Sec. 19, Rule 114]
5. Guidelines in fixing amount of bail

Section 9. Amount of bail; guidelines. —The judge who issued the warrant or granted the application
shall fix a reasonable amount of bail considering primarily, but not limited to, the following
factors:
(FNP-CAW-PFFP)
(a) Financial ability of the accused to give bail;
(b) Nature and circumstances of the offense;
(c) Penalty for the offense charged;
(d) Character and reputation of the accused;
(e) Age and health of the accused;
(f) Weight of the evidence against the accused;
(g) Probability of the accused appearing at the trial;
(h) Forfeiture of other bail;
(i) The fact that the accused was a fugitive from justice when arrested; and
(j) Pendency of other cases where the accused is on bail.
Excessive bail shall not be required. (9a)
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The purpose for bail is to guarantee the appearance of the accused at the trial, or whenever so required by
the Court. The amount should be high enough to assure the presence of the accused when required
but no higher than is reasonably calculated to fulfill this purpose.
Courts are advised that they must not only be aware but should also consider the Bail Bond Guide
(Circular of DOJ) due to its significance in the administration of criminal justice. This notwithstanding,
the Court is not precluded from imposing in petitioner's case an amount higher than (based on the Bail
Bond Guide) where it perceives that an appropriate increase is dictated by the circumstances.
*The factors enumerated are not exclusive.
*To fix bail at an amount equivalent to the civil liability of which petitioner is charged (in this case,
P5,500,000.00) is to permit the impression that the amount paid as bail is an exaction of the civil liability
that accused is charged of; this we cannot allow because bail is not intended as a punishment, nor as a
satisfaction of civil liability which should necessarily await the judgment of the appellate court.
(Yap Jr. v. CA, 2001)
6. Bail when not required

Section 16, RULE 114. Bail, when not required; reduced bail or recognizance. —
No bail shall be required when the law or these Rules so provide.
When a person has been in custody for a period equal to or more than the possible maximum
imprisonment prescribed for the offense charged, he shall be released immediately, without
prejudice to the continuation of the trial or the proceedings on appeal.
If the maximum penalty to which the accused may be sentenced is destierro, he shall be released after
thirty (30) days of preventive imprisonment.
A person in custody for a period equal to or more than the minimum of the principal penalty
prescribed for the offense charged, without application of the Indeterminate Sentence Law or any
modifying circumstance, shall be released
 on a reduced bail or
 on his own recognizance,
at the discretion of the court. (16a)
NOTE: The provisions of Sections 5 and 16, Rule 114 of the Rules of Court apply only to an accused
undergoing preventive imprisonment during trial or on appeal. They do not apply to a person
convicted by final judgment and already serving sentence.
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7. Increase or reduction of bail

Section 20, RULE 114. Increase or reduction of bail. —
After the accused is admitted to bail, the court may, upon good cause, either increase or reduce its
amount.
When increased, the accused may be committed to custody if he does not give bail in the increased
amount within a reasonable period.
An accused held to answer a criminal charge, who is 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. (20a)
The court may, "upon good cause shown," either increase or decrease the amount of
the same. Needless to state, this would entail a hearing for the purpose of showing
"good cause" and hence, would require not only the presence of the accused but also of
the latter’s counsel. (Andres v. Beltran, 2001)
Sec. 3. When amount of bail may be reduced. -If the accused does not have the financial ability to post the
amount of bail that the court initially fixed, he may move for its reduction, submitting for that purpose such
documents or affidavits as may warrant the reduction he seeks. The hearing of this motion shall enjoy priority in
the hearing of cases (GUIDELINES FOR DECONGESTING HOLDING JAILS BY ENFORCING THE
RIGHTS OF ACCUSED PERSONS TO BAIL AND TO SPEEDY TRIAL)
8. Forfeiture and cancellation of bail

Section 21, RULE 114. Forfeiture of bail. —
When the presence of the accused is required by the court or these Rules, his bondsmen shall be
notified to produce him before the court on a given date and time.
If the accused fails to appear in person as required, his bail shall be declared forfeited and the
bondsmen given thirty (30) days within which to produce their principal and to show cause why no
judgment should be rendered against them for the amount of their bail.
Within the said period, the bondsmen must:

(a) produce the body of their principal or give the reason for his non-production; and
(b) explain why the accused did not appear before the court when first required to do so.
Failing in these two requisites, a judgment shall be rendered against the bondsmen, jointly and
severally, for the amount of the bail. The court shall not reduce or otherwise mitigate the
liability of the bondsmen, unless the accused has been surrendered or is acquitted. (21a)
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Section 22, RULE 114. Cancellation of bail. —Upon application of the bondsmen, with due notice
to the prosecutor, the bail may be cancelled
 upon surrender of the accused or

 proof of his death.
The bail shall be deemed automatically cancelled
 upon acquittal of the accused,

 dismissal of the case, or
 execution of the judgment of conviction
In all instances, the cancellation shall be without prejudice to any liability on the bail. (22a)
It is only after this thirty (30)-day period, during which the bondsmen are afforded the opportunity
to be heard by the trial court, that the trial court may render a judgment on the bond against the
bondsmen. Judgment against the bondsmen cannot be entered unless such judgment is preceded by
the 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. The judgment against the bondsmen on the bond
may be construed as a final order, hence subject to appeal. (Reliance Surety vs. Amante Jr, 2005)
NOTE: Cancellation of bond not proper: We hold that the cash bail cannot be cancelled. Petitioner did
not surrender the accused, charged in the four criminal cases, to the trial court. The accused was arrested
and detained because he was charged in a subsequent criminal case. (Esteban v. Alhambra, 2004)
9. Application not a bar to objections in illegal arrest, lack of or irregular preliminary investigation
Section 26, RULE 114. Bail not a bar to objections on illegal arrest, lack of or irregular
preliminary investigation. —
An application for or admission to bail shall not bar the accused from challenging
 the validity of his arrest or

 the legality of the warrant issued therefor, or
 from assailing the regularity or questioning the absence of a preliminary investigation of
the charge against him,
provided that he raises them 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, (n)
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G. ARRAIGNMENT AND PLEA
1. How made
RULE 116 - ARRAIGNMENT AND PLEA
Section 1. Arraignment and plea; how made. —
(a) The accused must be arraigned before the court where the complaint or information was filed
or assigned for trial.
The arraignment shall be made
 in open court by the judge or clerk

 by furnishing the accused with a copy of the complaint or information,
 reading the same in the language or dialect known to him, and
 asking him whether he pleads guilty or not guilty.
The prosecution may call at the trial witnesses other than those named in the complaint or
information.
(b) The accused must be present at the arraignment and must personally enter his plea.
Both arraignment and plea shall be made of record, but failure to do so shall not affect the
validity of the proceedings.
(c) When the accused refuses to plead or makes a conditional plea, a plea of not guilty shall be
entered for him. (1a)
(d) When the accused pleads guilty but presents exculpatory evidence, his plea shall be deemed
withdrawn and a plea of not guilty shall be entered for him. (n)
(e) When the accused is under preventive detention 1, his case shall be raffled and its records
transmitted to the judge to whom the case was raffled within three (3) days from the filing of the
information or complaint.
The accused shall be arraigned within ten (10) days from the date of the raffle.
The pre-trial conference of his case shall be held within ten (10) days after arraignment. (n)
(f) The private offended party shall be required to appear at the arraignment for purposes of plea
bargaining, determination of civil liability, and other matters requiring his presence.
1
Under the Revised Guidelines, both the arraignment and the pre-trial shall be set within 10 days from the court’s
receipt of the case if the accused is under preventive detention.
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In case of failure of the offended party to appear despite due notice, the court may allow the
accused to enter a plea of guilty to a lesser offense which is necessarily included in the offense
charged with the conformity of the trial prosecutor alone. (cir. 1-89)
(g) Unless a shorter period is provided by special law or Supreme Court circular , the arraignment
shall be held within thirty (30) days from the date the court acquires jurisdiction over the person
of the accused.
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.
Waiver of Reading of the Information. -In multiple cases, the court, upon personal examination of the
accused, may allow a waiver of the reading of the information upon the full understanding and
express consent of the accused and his/her counsel, which consent shall be expressly stated in both
the minutes/certificate of arraignment and the order of arraignment. 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 (REVISED GUIDELINES
FOR CONTINUOUS TRIAL OF CRIMINAL CASES)
*There can be no arraignment in absentia. The accused must be present at the arraignment and must
personally enter his plea. Otherwise, no valid judgment can be rendered. (Nolasco v. Enrile, 1985)
XPN: In environmental cases, implied waiver of the reading of the information is applicable
when accused failed to appear without justification on the date of his arraignment.
Plea of Guilty to the Crime Charged in the Information. -If the accused pleads guilty to the crime
charged in the information, judgment shall be immediately rendered, except in those cases involving
capital punishment. (REVISED GUIDELINES FOR CONTINUOUS TRIAL OF CRIMINAL CASES)
 There is no rule which provides that simply because the accused pleaded guilty to the charge
that his conviction automatically follows. Additional evidence independent of the plea may
be considered to convince the judge that it was intelligently made. (People v. Mendoza, 1994)
*When the accused pleads guilty to a capital offense, the court shall
 conduct a searching inquiry into the voluntariness and full comprehension of the
consequences of his plea and
 shall require the prosecution to prove his guilt and the precise degree of culpability. The
accused may present evidence in his behalf. (Sec. 3, Rule 116)
2. When should plea of not guilty be entered
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a. When the accused so pleaded

b. When he refuses to plead or makes a conditional plea [Sec. 1(c), Rule 116]
Conditional Plea of Guilty – A plea entered by the accused subject to the proviso that a certain
penalty be imposed upon him. It is equivalent to a plea of not guilty. [People v. Madraga, G.R.
No. 129299, (2000)]
c. When he pleads guilty but presents exculpatory evidence [Sec. 1(d), Rule 116]
d. Where the plea of guilty was compelled by violence or intimidation [Riano 402, 2016 Ed., citing
People v. Baetiong, 2 Phil. 126]
e. When the plea is indefinite or ambiguous [Riano 403, 2016 Ed., citing People v. Strong, G.R. No. L-
38626 (1975)]
3. When may accused enter a plea of guilty to a lesser offense
Section 2, RULE 116. Plea of guilty to a lesser offense. —
At arraignment, the accused, with the consent of the offended party and the prosecutor, may be
allowed by the trial court to plead guilty to a lesser offense which is necessarily included in the offense
charged.
After arraignment but before trial, the accused may still be allowed to plead guilty to said lesser
offense after withdrawing his plea of not guilty.
No amendment of the complaint or information is necessary. (sec. 4, cir. 38-98)
Plea bargaining in criminal cases, 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 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. Ordinarily, plea-bargaining is made during the
pre-trial stage of the criminal proceedings. However, the law still permits the accused sufficient
opportunity to change his plea thereafter.
NOTE: Plea even after prosecution rested its case allowed. It is immaterial that said plea was not
made during the pre-trial stage or that it was made only after the prosecution already presented several
witnesses. In People vs. Villarama, Jr., a 1992 case, the trial court allowed the accused therein to change
his plea even after the prosecution had rested its case, when the prosecution has insufficient evidence to
establish the guilt of the accused. (People v. Mamarion, 2003)
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*Plea bargaining is a matter addressed entirely to the sound discretion of the trial court. It is not a
demandable right.
* Plea bargaining allowed in Drug Cases. In Estipona v. Lobrigo, the Court said that plea bargaining
operates as a means of implementing an existing right then the rule deals merely with procedure. Thus,
prohibition on plea-bargaining under R.A. 9165 shall be struck-down as it violates the rule-making
authority of the SC.
4. Accused plead guilty to capital offense, what the court should do
Section 3, RULE 116. Plea of guilty to capital offense; reception of evidence. —
When the accused pleads guilty to a capital offense, the court
 shall conduct a searching inquiry into the voluntariness and full comprehension of the
consequences of his plea and
 shall require the prosecution to prove his guilt and the precise degree of culpability.
The accused may present evidence in his behalf. (3a)
5. Searching inquiry
A “searching inquiry” means more than informing cursorily the accused that he faces a jail term 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 [People v. Bello, G.R. No. 130411-14 (1999)]
The procedure in Sec. 3, Rule 116, when the accused pleads guilty to a capital offense, is mandatory.
[Riano 407, 2016 Ed., citing People v. Oden, G.R. No. 155511-22 (2004)]
The plea must be clear, definite and unconditional. It must be based on a free and informed judgment.
A plea of guilty to a capital offense can be held null and void where the trial court has inadequately
discharged the duty of conducting the prescribed "searching inquiry” [People v. Durango, G.R. Nos.
135438-39 (2000)]
Guidelines for conducting a search inquiry

a. Ascertain from the accused himself:
1. How he was brought into the custody of the law

2. Whether he had the assistance of a competent counsel during the custodial and preliminary
investigations, and
3. Under what conditions he was detained and interrogated during the investigations.
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b. Ask the defense counsel a series of questions as to whether he had conferred with, and completely
explained to, the accused the meaning and consequences of a plea of guilty.
c. Elicit information about the personality profile of the accused (age, socioeconomic status, and
educational background) which may serve as a trustworthy index of his capacity to give a free and
informed plea of guilty.
d. Inform the accused the exact length of imprisonment or nature of the penalty under the law and the
certainty that he will serve such sentence.
e. Inquire if the accused knows the crime with which he is charged and fully explain to him the elements
of the crime which is the basis of his indictment.
f. All questions posed to the accused should be in a language known and understood by the latter.
g. The trial judge must satisfy himself that the accused, in pleading guilty, is truly guilty. The
accused must be required to narrate the tragedy or reenact the crime or furnish its missing details [People
v. Pastor, G.R. No. 140208 (2002)]
6. Improvident plea
Section 5, RULE 116. Withdrawal of improvident plea of guilty. —
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. (5)
Improvident plea – a plea of guilty must be knowingly made by an accused; he must understand fully
the meaning of his plea and the import an inevitable conviction; otherwise it is an improvident plea. It is a
plea of guilty which is not voluntary or where the accused does not fully comprehend its
consequence.
Improvident Plea in Capital Offense

As a rule, this Court has set aside convictions based on pleas of guilty in capital offenses because of
improvidence thereof and when such plea is the sole basis of the condemnatory judgment. However,
where the trial court receives evidence to determine precisely whether or not the accused has erred
in admitting his guilt, the manner in which the plea of guilty is made (improvidently or not) loses
legal significance, for the simple reason that the conviction is based on the evidence proving the
commission by the accused of the offense charged. (People v. Derilo, 1997)
Remedies to challenge plea of guilty:

1. May withdraw it before final judgment
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-this is not a matter of right, it is addressed to the sound discretion of the trial court, with
which the appellate court will not normally interfere.
2. Motion for new trial

- After finality of judgment
H. MOTION TO QUASH
RULE 117 MOTION TO QUASH
Section 1. Time to move to quash. – At any time before entering his plea, the accused may move to
quash the complaint or information. (1)
Section 2. Form and contents. –The motion to quash shall be in writing, signed by the accused or
his counsel and shall distinctly specify its factual and legal grounds.
The court shall consider no ground other than those stated in the motion, except lack of jurisdiction
over the offense charged. (2a)
A motion to quash an Information 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
A motion to quash may still be filed after pleading to the complaint or information where the
grounds are that
o no offense is charged,
o lack of jurisdiction over the offense charged,
o extinction of the offense or penalty and
o double jeopardy
1. Grounds
Section 3, RULE 117. Grounds. –The accused may move to quash the complaint or information on
any of following grounds:
(a) That the facts charged do not constitute an offense;
(b) That the court trying the case has no jurisdiction over the offense charged;
(c) That the court trying the case has no jurisdiction over the person of the accused;
(d) That the officer who filed the information had no authority to do so;
(e) That it does not conform substantially to the prescribed form;
(f) That more than one offense is charged except when a single punishment for various offenses is
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prescribed by law;
(g) That the criminal action or liability has been extinguished;
(h) That it contains averments which, if true, would constitute a legal excuse or justification; and
(i) 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. (3a)
FACTS CHARGE DO NOT CONSTITUTE AN OFFENSE - The fundamental test in considering a

motion to quash anchored on this ground, is the sufficiency of the averments in the information, that is,
whether the facts alleged, if hypothetically admitted, would establish the essential elements of the offense
charged as defined by law.
Although an Information may be defective because the facts charged do not constitute an offense, the
dismissal of the case will not necessarily follow. The Rules specifically require that the prosecution
should be given a chance to correct the defect; the court can order the dismissal only upon the
prosecution’s failure to do so.
LACK OF JURISDICTION OVER THE OFFENSE CHARGED – may be considered by the court
motu proprio at any stage of the proceedings. It also territorial jurisdiction.
LACK OF JURISDICTION OVER THE PERSON OF THE ACCUSED - When a defendant in a

criminal case is brought before a competent court by virtue of a warrant of arrest or otherwise, in order to
avoid the submission of his body to the jurisdiction of the court he must raise the question of the court’s
jurisdiction over his person at the very earliest opportunity. If he gives bail, demurs to the complaint or
files any dilatory plea or pleads to the merits, he thereby gives the court jurisdiction over his person.
OFFICER WHO FILED THE INFORMATION HAD NO AUTHORITY TO DO SO WE HELD

THAT AN INFORMATION - when required by law to be filed by a public prosecuting officer, cannot
be filed by another. Otherwise, the court does not acquire jurisdiction. It is a valid information signed by a
competent officer which, among other requisites, confers jurisdiction on the court over the person of the
accused and the subject matter thereof. The accused’s plea to an information may be a waiver of all
formal objections to the said information but not when there is want of jurisdiction. Questions relating to
lack of jurisdiction may be raised at any stage of the proceeding. An 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.
CONTAINS AVERMENTS WHICH, IF TRUE, WOULD CONSTITUTE A LEGAL EXCUSE OR

JUSTIFICATION – pertains to Articles 11 and 12 of the RPC providing for justifying and exempting
circumstances. These circumstances must be alleged in the information to justify motion to quash.
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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
There is double jeopardy when the following requisites are present:
(1) a first jeopardy has attached prior to the second;
(2) the first jeopardy has been validly terminated; and
(3) a second jeopardy is for the same offense as that in the first.
And the first jeopardy attaches only

(a) after a valid indictment;
(b) before a competent court;
(c) after arraignment;
(d) when a valid plea has been entered; and
(e) when the accused was acquitted or convicted, or the case was dismissed or otherwise
terminated without his express consent.
NOTE:
o Grant of demurrer to evidence, is in reality an acquittal, and would constitute jeopardy.
o Where acquittal is concerned, the rules do not distinguish whether it occurs at the trial
court or on appeal from a judgment of conviction.
o To constitute jeopardy, the case was dismissed or otherwise terminated without his
express consent. This rule, however, admits of two exceptions, namely: insufficiency of
evidence and denial of the right to speedy trial. In these cases, there is jeopardy.
2. Distinguish from demurrer to evidence
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3. Effects of sustaining the motion to quash

Section 5, RULE 117. Effect of sustaining the motion to quash. —If the motion to quash is
sustained, the court may order that another complaint or information be filed except as provided in
section 6 of this Rule.
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. (5a)
Denial of motion to quash is an

interlocutory order; hence not, appealable.
Special civil action of certiorari is only
available if there are compelling reasons.
4. Exception to the rule that sustaining the motion is not a bar to another prosecution
Section 6, Rule 117. Order sustaining the motion to quash not a bar to another prosecution;
exception. —An order sustaining the motion to quash is not a bar to another prosecution for the same
offense unless the motion was based on the grounds specified in section 3 (g) and (i) of this Rule. (6a)
(g) EXTINCTION OF CRIMINAL LIABILITY. That the criminal action or liability has been
extinguished;
(h) That it contains averments which, if true, would constitute a legal excuse or justification; and
(i) DOUBLE JEOPARDY. 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.
Article 89, RPC. How criminal liability is totally extinguished. - Criminal liability is totally
extinguished:
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o By the death of the convict, as to the personal penalties and as to pecuniary penalties, liability
therefor is extinguished only when the death of the offender occurs before final judgment.
o By service of the sentence;
o By amnesty, which completely extinguishes the penalty and all its effects;
o By absolute pardon;
o By prescription of the crime;
o By prescription of the penalty;
o By the marriage of the offended woman, as provided in Article 344 of this Code.
Article III, Section 21, CONST. No person shall be twice put in jeopardy of punishment for the same
offense. If an act is punished by a law and an ordinance, conviction or acquittal under either shall
constitute a bar to another prosecution for the same act.
5. Double jeopardy
Section 7. Former conviction or acquittal; double jeopardy. —
When an
o accused has been convicted or acquitted, or
o the case against him dismissed or otherwise terminated without his express consent by a court
of competent jurisdiction,
upon
 a valid complaint or information or other formal charge
 sufficient in form and substance to sustain a conviction and
 after the accused had pleaded to the charge,
the conviction or acquittal of the accused or the dismissal of the case shall be a bar to
o another prosecution for the offense charged, or
o for any attempt to commit the same or frustration thereof, or
o for any offense which necessarily includes or is necessarily included in the offense
charged in the former complaint or information.
However, the conviction of the accused shall not be a bar to another prosecution for an offense
which necessarily includes the offense charged in the former complaint or information under any
of the following instances:
(a) the graver offense developed due to supervening facts arising from the same act or omission
constituting the former charge;
(b) the facts constituting the graver charge became known or were discovered only after a plea
was entered in the former complaint or information; or
(c) the plea of guilty to the lesser offense was made without the consent of the prosecutor and of
the offended party except as provided in section 1(f) of Rule 116.
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In any of the foregoing cases, where the accused satisfies or serves in whole or in part the judgment, he
shall be credited with the same in the event of conviction for the graver offense. (7a)
Double Jeopardy does not apply to these cases

1. Administrative Cases The dismissal of the criminal case does not result in the dismissal of the
administrative case because there exists a difference between the 2 remedies.
2. When the same criminal act gives rise to two or more separate and distinct offenses
3. Preliminary investigation (PI) A PI is merely inquisitorial. It is executive in character and is

not part of the trial; hence, a PI is not a trial to which double jeopardy attaches.
4. When the first offense was committed under the RPC and the second was committed
under a special penal law
5. When two offenses are punished by two separate penal laws
NOTE:
 When CA remand and re-raffle a criminal case to the RTC, such does not result in double
jeopardy.
 When accused appeals from the sentence of the trial court, they waive their safeguard against
double jeopardy.
 A judgment of acquittal may only be assailed in a petition for certiorari under rule 65.
Double jeopardy for the same offense Double jeopardy when an act punished by a
law and an ordinance
There is identity between the two offenses not only There can still be double jeopardy although the
when the second offense is exactly the same as the first offense is punishable under an ordinance,
first, but also when the second offense is an while the second is punishable under a law.
attempt to or frustration of or is necessarily
included in the offense charged in the first What Is required is identity of acts.
information.
Exceptions: When an offense penalized by ordinance is, by

definition, different from an offense penalized
a. The graver offense developed due to under a statute. [People v. Relova, G.R. No. L-
supervening facts arising from the same act or 45129 (1987)]
omission constituting the former charge;
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b. The facts constituting the graver charge became

known or were discovered only after a plea was
entered in the former complaint or information;
c. The plea of guilty to the lesser offense was

made without the consent of the prosecutor and of
the offended party except when offended party
failed to appear during such arraignment. [Sec 7,
Rule 117]
TEST: Whether or not evidence that proves one

likewise proves the other. [People v. Ramos, G.R.
No. L-15958 (196
6. Provisional dismissal
Section 8. Provisional dismissal. — A case shall not be provisionally dismissed except with
 the express consent of the accused and

 with notice to the offended party.
The provisional dismissal of offenses punishable by imprisonment not exceeding six (6) years
or a fine of any amount, or both, shall become permanent one (1) year after issuance of the
order without the case having been revived.
With respect to offenses punishable by imprisonment of more than six (6) years, their
provisional dismissal shall become permanent two (2) years after issuance of the order without
the case having been revived. (n)
Before the petitioner may invoke the time-bar in Section 8, he must establish the following:
1. the prosecution, with the express conformity of the accused or the accused moves for a
provisional (sin perjuicio) dismissal of the case; or both the prosecution and the accused move
for a provisional dismissal of the case;
 reason for express consent of accused: to bar him from asserting double jeopardy
when it is revived later on.
2. the offended party is notified of the motion for a provisional dismissal of the case;
3. the court issues an order granting the motion and dismissing the case provisionally;
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4. the public prosecutor is served, with a copy of the order of provisional dismissal of the case.
Although the second paragraph of Section 8 states that the order of dismissal shall become permanent one
year after the issuance thereof, without the case having been revived, such provision should be
construed to mean that the dismissal shall become permanent one year after service of the order of
dismissal on the public prosecutor, as the public prosecutor cannot be expected to comply with the
timeliness requirement unless he is served with a copy of the order of dismissal.
NOTE: If the offended party is represented by a private counsel the better rule is that the
reckoning period should commence to run from the time such private counsel was actually
notified of the order of provisional dismissal. When a party is represented by a counsel, notices
of all kinds emanating from the court should be sent to the latter at his/her given address.37
Section 2, Rule 13 of the Rules analogously provides that if any party has appeared by counsel,
service upon the former shall be made upon the latter. (Co v. New Prosperity Plastic Products,
2014)
NOTE: If these requirements are not satisfied, the time-bar rule does not apply.
REVIVAL OF THE CASE AND THE NEED FOR PRELIMINARY INVESTIGATION

The case may be revived by the State within the time-bar either by the refiling of the Information or
by the filing of a new Information for the same offense or an offense necessarily included therein.
There would be no need of a new preliminary investigation.
However, in a case wherein after the provisional dismissal of a criminal case,
 the original witnesses of the prosecution or some of them may have recanted their testimonies
or may have died or may no longer be available and new witnesses for the State have
emerged, a new preliminary investigation must be conducted before an Information is
refiled or a new Information is filed.
 A new preliminary investigation is also required if aside from the original accused, other
persons are charged under a new criminal complaint for the same offense or necessarily
included therein; or
 if under a new criminal complaint, the original charge has been upgraded; or if under a
new criminal complaint, the criminal liability of the accused is upgraded from that as
an accessory to that as a principal. The accused must be accorded the right to submit
counter-affidavits and evidence. (People v. Lacson, 2003)
When is provisional dismissal proper

Sec. 10. Provisional dismissal. –
(a) When the delays are due to the absence of an essential witness whose whereabouts are unknown or
cannot be determined and, therefore, arc subject to exclusion in determining if, compliance with the
prescribed time limits which caused the trial to exceed one hundred eighty (180) days, the court shall
provisionally dismiss the action with the express consent of the detained accused.
Page 231 of 392

(b) When the delays are due to the absence of an essential witness whose presence cannot be obtained
by due diligence though his whereabouts are known, the court shall provisionally dismiss the action with
the express consent of the detained accused provided:
(1) the hearing in the case has been previously twice postponed clue to the non-appearance of
the essential witness and both the witness and the offended party, if they are two different
persons, have been given notice of the setting of the case for third hearing, which notice
contains a warning that the case would be dismissed if the essential witness continues to be
absent; and
(2) there is proof of service of the pertinent notices of hearings or subpoenas upon the essential
witness and the offended party at their last known postal or e-mail addresses or mobile phone
numbers.
(c) For the above purpose, the public or private prosecutor shall first present during the trial the essential
witness or witnesses to the case before anyone else. An essential witness is one whose testimony dwells
on the presence of some or all of the elements of the crime and whose testimony is indispensable to
the conviction of the accused. (A.M. No. 12-11-2-SC, GUIDELINES FOR DECONGESTING
HOLDING JAILS BY ENFORCING THE RIGHTS OFACCUSED PERSONS TO BAIL AND TO SPEEDY TRIAL)
Section 9, RULE 117. Failure to move to quash or to allege any ground therefor. — The failure of
the accused to assert any ground of a motion to quash before he pleads to the complaint or information,
either because he did not file a motion to quash or failed to allege the same in said motion, shall be
deemed a waiver of any objections except those based on the grounds provided for in paragraphs
(a), (b), (g), and (i) of section 3 of this Rule. (8a)
(a) That the facts charged do not constitute an offense;

(b) That the court trying the case has no jurisdiction over the offense charged;
(g) That the criminal action or liability has been extinguished;
(i) 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.
I. PRE-TRIAL
Its main objective is to achieve an expeditious resolution of the case. This proceeding is mandatory in
criminal cases and is conducted before trial [Sec. 1, Rule 118]
1. Matters to be considered during pre-trial
Coverage - All criminal cases cognizable by the Sandiganbayan, RTC, MeTC, MTCC, MTC and MCTC
[Sec. 1, Rule 118]
Period
General rule: The court shall order a pre-trial conference after arraignment and within 30 days from the
date the court acquires jurisdiction over the person of the accused.
Page 232 of 392

Exception: A shorter period may be provided by special laws or SC circulars [Sec. 1, Rule 118]
Things considered
a. Plea bargaining
b. Stipulation of facts
c. Marking for identification of evidence
d. Waiver of objections to admissibility of evidence
e. Modification of the order of trial if accused admits the charge but interposes a lawful defense (reverse
trial)
f. Other matters that will promote a fair and expeditious trial of the civil and criminal aspects of the case
[Sec. 1, Rule 118]
Stipulation of facts
General Rule: Stipulation of facts is allowed in criminal cases
Exception: Circumstances that qualify a crime and increases its penalty to death cannot be the
subject of stipulation [People v. Sitao, G.R. No. 146790 (2002)]
Marking for identification of evidence

No evidence may be presented and offered during trial other than those identified and marked during the
pre-trial, except when allowed by the court for good cause shown.
Proffer of exhibits is not allowed. It ought to be done at the time a party closes the presentation of
evidence. [People v. Santiago, G.R. No. L80778 (1989)]
Role of the judge before pre-trial - During the pre-trial, the judge shall be the one to ask questions on
issues raised therein and all questions must be directed to him to avoid hostilities between the parties
[Item B.7, A.M. No. 03-1-09-SC]
2. What the court should do when prosecution and offended party agree to the plea offered by the
accused
The Court shall:

a. Issue an order which contains the plea bargaining arrived at
b. Proceed to receive evidence on the civil aspect of the case; and
c. Render and promulgate judgment of conviction, including the civil liability or damages duly
established by the evidence [Item B.5, A.M. No. 03-1-09-SC]
3. Pre-trial agreement
Requirements
a. Reduced in writing;
b. Signed by the accused and counsel;
Page 233 of 392

c. With approval of court if agreements cover matters in Sec. 1, Rule 118 [Sec. 2, Rule 118]
Effects:
1. Constitutional right to present evidence is waived [Rivera v. People, G.R. No. 163996 (2005)]
2. If the requisites are not followed – admissions shall be inadmissible as evidence [Item I-B[8], A.M.
No. 03-1-09-SC (2004)]
All proceedings during pre-trial shall be:

1. Recorded
2. Transcripts prepared
3. Minutes signed by the parties and their counsel
4. Non-appearance during pre-trial
Who must be present during pre-trial

1. Counsel of accused
2. Prosecutor
Note: The accused is not required to attend (unless ordered by the court) and is merely required to sign
the written agreement arrived at in the pre-trial conference, if he agrees to the contents of such. The
complainant is also not required to appear during pre-trial. It is the prosecutor who is required to appear at
the pretrial [People v. Judge Tac-An, G.R. No. 148000 (2003)]
The court may impose proper sanctions or penalties, if counsel for the accused or the prosecutor to
enforce the mandatory character of the pre-trial in criminal cases:
a. Does not appear at the pre-trial conference; and

b. Does not offer an acceptable excuse for his lack of cooperation [Sec. 3, Rule 118]
*In civil cases, the parties and their counsel are required to attend the pre-trial, and non-appearance of
either will result to dismissal with prejudice on the part of the plaintiff, while if defendant and his counsel
does not appear, it will allow the court to allow presentation of evidence ex-parte by the plaintiff and
render judgment.
5. Pre-trial order
Pre-trial order shall:

a. Be issued by the trial judge;
b. Be issued within 10 days after the termination of the pre-trial
c. Contain the following:
1. Actions taken
2. Facts stipulated
3. Evidence marked
4. Admissions made
5. Number of witnesses to be presented; and
6. Schedule of trial
Page 234 of 392

Effect
a. Binds the parties
b. Limits the trial to those matters not disposed of; and
c. Controls the course of the action during trial, unless modified by the court to prevent manifest injustice
[Sec. 4, Rule 118]
The procedure is substantially the same in civil cases, except that any modification of the pretrial order in
civil cases must be made before the trial. No such limitation is provided for in criminal cases.
APPLICATION OF JUDICIAL AFFIDAVIT RULE

a. The Judicial Affidavit Rule shall apply to all criminal actions:
1. Where the maximum of the imposable penalty does not exceed six years;
2. Where the accused agrees to the use of judicial affidavits, irrespective of the penalty involved ;
or
3. With respect to the civil aspect of the actions, whatever the penalties involved are.
b. The prosecution shall submit the judicial affidavits of its witnesses not later than five days before
the pre-trial, serving copies of the same upon the accused.
The complainant or public prosecutor shall attach to the affidavits such documentary or object
evidence as he may have, marking them as Exhibits A, B, C, and so on. No further judicial affidavit,
documentary, or object evidence shall be admitted at the trial.
c. If the accused desires to be heard on his defense after receipt of the judicial affidavits of the
prosecution, he shall have the option to submit his judicial affidavit as well as those of his witnesses to
the court within ten days from receipt of such affidavits and serve a copy of each on the public and
private prosecutor, including his documentary and object evidence previously marked as Exhibits 1,
2, 3, and so on.
These affidavits shall serve as direct testimonies of the accused and his witnesses when they appear
before the court to testify. [Sec. 9, AM 12-8-8-SC]
J. TRIAL
1. Instances when presence of accused is required by law

a. At Arraignment; [Sec. 1(b), Rule 116]
b. At the Promulgation of judgment, unless the conviction is for a light offense [Sec. 6, Rule 120]
General rule: The accused may waive his presence at the trial pursuant to the stipulations set forth in his
bail [Sec. 1(c), Rule 115]
Exception: Unless his presence is specifically ordered by the court for purposes of identification [ Sec.
1(c), Rule 115]
Exception to the exception: The presence of the accused is no longer required when he unqualifiedly
admits in open court after arraignment that he is the person named as defendant in the case on trial
[Carredo v. People, G.R. No. 77542, March 19, 1990]
Page 235 of 392

Other instances of waiver [WE]

a. The absence of the accused Without justifiable cause at the trial of which he had notice
b. When an accused under custody Escapes until custody over him is regained [Sec. 1(c), Rule 115]
2. Requisite before trial can be suspended on account of absence of witness
Effect of Absence of Witness

Any period of delay resulting from the absence or unavailability of an essential witness shall be excluded
in computing the time within which trial must commence [Sec. 3, Rule 119]
Requisites for exclusion of the period of delay: [AUE]

a. Witness is Absent or Unavailable
● “Absent”: whereabouts are unknown or cannot be determined by due diligence
● “Unavailable”: whereabouts are known but presence for trial cannot be obtained by due
diligence
b. Witness must be Essential [Sec. 3(b), Rule 119]
● “Essential”: one whose testimony dwells on the presence of some or all of the elements of the
crime and whose testimony is indispensable to the conviction of the accused.
Motion for Bail: A remedy to secure appearance of a material witness Either party may file a motion for
bail with proof/under oath that a material witness will testify when required. When the court is satisfied of
such, it may order the witness to post bail.
Effect of refusal to post bail - If the material witness refuses to post bail, the court shall commit him to
prison until he complies or is legally discharged after his testimony has been taken. [Sec. 14, Rule 119]
3. Trial in absentia
Requisites for Trial in Absentia [ANU]

a. Accused has been Arraigned
b. He was duly Notified of trial
c. His failure to appear is Unjustified [Bernardo v. People, G.R. No. 166980 (2007)]
4. Remedy when accused is not brought to trial within the prescribed period
Right to Speedy Trial: A Constitutional Right - No provision of law on speedy trial and no rule
implementing the same shall be interpreted as a bar to any charge of denial of the right to speedy trial
guaranteed by Sec. 14(2), Art. III, Constitution [Sec. 10, Rule 119]
Important Periods to Observe

1. Between acquisition of jurisdiction over the person of the accused to arraignment and pre-trial:
a. Detained accused: Within 10 days
b. Non-detained accused: Within 30 days [A.M No 15-06-10-SC, III No 8]
2. Between receipt of pre-trial order to trial: Within 30 days [Sec. 1, Rule 119]
Page 236 of 392

3. Periods of delay excluded from the computation [Sec. 3, Rule 119]
Factors to consider when assessing denial of right to speedy trial [DRAP]
a. Duration of the delay

b. Reason therefor
c. Assertion of the right or failure to assert it, and
d. Prejudice caused by such delay [Corpuz v. Sandiganbayan, G.R. No. 162214 (2004)]
Remedy - Motion to dismiss on the ground of denial of his right to speedy trial. [Sec. 9, Rule 119]
Dismissal on the ground of violation of the right to speedy trial has an effect similar to that
of acquittal - The dismissal shall be subject to the rules on double jeopardy. [Sec. 9, Rule 119]
Waiver of Right to Speedy Trial - Failure of the accused to move for dismissal prior to trial shall
constitute a waiver of the right to dismiss on the ground of denial of his right to speedy trial [Sec. 9, Rule
119]
NOTE: There is no violation of the right where the delay is imputable to the accused. When the accused
resorts to tactical maneuvers, he waives his right to speedy trial. [People v. Jardin, G.R. Nos. L-33037-42
(1983)
Page 237 of 392

5. Requisites for discharge of accused to become a state witness
Requisites for Discharge to be Proper [TRHS]
a. Two or more persons are jointly charged with the commission of any offense.
b. The prosecution files the motion before Resting its case
c. The prosecution is required to present evidence and the sworn statement of each proposed state
witness at a Hearing in support of the discharge
d. The court is Satisfied that the conditions required by the Rules are present. [Sec. 17, Rule 119]
Requisites as to the Testimony to be a State Witness [ANCoMM]
a. Absolute necessity for the testimony of the accused whose discharge is requested
• He alone has the knowledge of the crime, and not when his testimony would simply
corroborate or strengthen the evidence in the hands of the prosecution [Flores v.
Sandiganbayan, G.R. No. L-63677 (1983)];
b. There is No other direct evidence available for the proper prosecution of the offense,
except the testimony of the said accused
c. The testimony can be substantially Corroborated in its material points
d. The accused does not appear to be the Most guilty
e. The accused has not, at any time, been convicted of any offense involving Moral turpitude
[Sec. 17, Rule 119]
6. Effects of discharge of accused as state witness
Effects of Discharge as State Witness
a. in support Evidence adduced of the discharge shall automatically form part of the trial [Sec.
17, Rule 119]
• Note: If the motion to discharge is denied, the sworn statement is inadmissible as

evidence.
b. Discharge operates as an acquittal and a bar to further prosecution for the same offense
[Sec. 18, Rule 119]
Exception: When the accused fails or refuses to testify against his co-accused
7. Demurrer to evidence
A demurrer to evidence is a motion to dismiss due to the insufficiency of the evidence presented by the
prosecution to overturn the presumption of innocence in favor of the accused. [Riano 490, 2016 Ed.]
Page 238 of 392

Dismissal on the Grounds of Insufficiency of Evidence

a. May be initiated by the court motu proprio, after giving the prosecution the opportunity to be heard; or
b. Upon demurrer to evidence filed by the accused [Sec. 23, Rule 119]
How Demurrer to Evidence is Made

1. With Leave of Court:
● Oral Motion: After the prosecution has rested its case, the court shall inquire from the accused
if he desires to move for leave of court to file a demurrer to evidence or proceed with the
presentation of his evidence. If the accused orally moves for leave of court to file a demurrer to
evidence, the court shall orally resolve the same [A.M No 15-06-10-SC, III No 13 (d)]
● Written Motion: It must specifically state its grounds. Filed within a nonextendible period of 5
days after the prosecution rests its case. Prosecution may then oppose within a nonextendible
period of 5 days from receipt. [Sec. 23, Rule 119]
● If leave of court is granted, the demurrer must be filed within a nonextendible period of 10 days
from the date leave of court is granted, and the corresponding comment shall be filed within a
non-extendible period of 10
days from receipt of demurrer to evidence. [A.M No 15-06-10-SC, III No 13 (d)]
2. Without Leave of Court: 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. [A.M No 15-06-10-SC, III No 13 (d)]
Test of Sufficiency of Prosecution’s Evidence: The evidence of the prosecution must prove beyond
reasonable doubt the:
a. Commission of the crime; and

b. Precise degree of participation of the accused [Singian, Jr.v. Sandiganbayan, G.R. Nos.
195011-19 (2013)]
Effect of granting demurrer - The court dismisses the action on the ground of insufficiency of evidence
[Sec. 23, Rule 119] This amounts to acquittal of the accused [People v. Sandiganbayan, G.R. No. 164577
(2010)]
Note: The order granting the demurrer is not appealable, because it amounts to an acquittal, but may be
reviewed via certiorari under Rule 65 [People v. Sandiganbayan, G.R. No. 164577 (2010)]
Effect of denial of motion for leave to file demurrer
a. Accused may choose between

1. Filing the demurrer even without leave, or
2. Adducing evidence for his defense [Sec. 23,
Rule 119]
Page 239 of 392

b. Order denying the motion for leave or order denying the demurrer itself, is not reviewable by
appeal or by certiorari before judgment [Sec. 23, Rule 119];
Procedure if there are several accused - If there are 2 or more accused and only one presents a
demurrer without leave of court:
● the court may defer resolution until decision is

rendered on the other accused.
If it can be shown from the decision that the
resolution on the demurrer was rendered not only on
the basis of the prosecution’s evidence but also on
the evidence adduced by his co-accused, then the
demurrer is deemed resolved
8. Guidelines on continuous trial
a. Applicability
1. Newly filed criminal cases, including those governed by Special Laws and Rules, in the First
and Second Level Courts, the Sandiganbayan and the Court of Tax Appeals as of Sept 1, 2017 2.
Pending criminal cases with respect to the remainder of the proceedings
Note: These guidelines are not applicable to cases covered by the Rule on Summary
Procedure
b. Prohibited and meritorious motions
The following motions are prohibited and shall be denied outright before the scheduled
arraignment without need of comment and/or opposition:
Page 240 of 392

1. Motion for Judicial determination of probable cause
2. Motion for Preliminary Investigation:

a. When it is filed beyond the 5-day reglementary period in inquest proceedings under
Sec. 6, Rule 112
b. When required under Sec. 8, Rule 112, or allowed in inquest proceedings and the
accused failed to participate in the preliminary investigation despite due notice
3. Motion for Reinvestigation of the prosecutor recommending the filing of information once the
information has been filed before the court:
a. If the motion is filed without prior leave of court

b. When preliminary investigation is not required under Sec. 8, Rule 112, and
c. When the regular preliminary investigation is required and has been actually
conducted and the grounds relied upon in the motion are not meritorious, such as
issues of credibility, admissibility of evidence, innocence of the accused, or lack
of due process when the accused was actually notified, among others
4. Motion to Quash Information when the ground is not one of those stated in Sec. 3, Rule 117
5. Motion for Bill of particulars that does not conform to Sec. 9, Rule 116
6. Motion to suspend Arraignment based on grounds not stated under Sec. 11, Rule 116
7. Petition to Suspend criminal action on the ground of Prejudicial question, when no civil case
has been filed, pursuant to Sec. 7, Rule 111
Meritorious Motions
Motions that allege plausible grounds supported by relevant documents and/or competent
evidence, except those that are already covered by the Revised Guidelines, are meritorious
motions, such as:
1. Motion to Withdraw information, or to downgrade the charge in the original

information, or to exclude an accused originally charged therein, filed by the prosecution
as a result of a reinvestigation, reconsideration, and review
2. Motion to Quash Warrant of Arrest
3. Motion to Quash Search Warrant under Sec. 14 of Rule 121 or motion to suppress
evidence
4. Motion to dismiss on the ground that criminal case is a Strategic Lawsuit against
Public Participation (SLAPP) under Rule 6 of the Rules of Procedure for Environmental
Cases
c. Arraignment and pre-trial
Schedule of Arraignment and Pre-Trial
Page 241 of 392

● If accused is detained: within 10 calendar days from receipt of case

● If accused is not detained: within 30 calendar days from acquiring jurisdiction over the
person
Notice of Arraignment and Pre-Trial - Notice shall be sent to the accused, his counsel, private
complainant or complaining law enforcement agent, public prosecutor, and witnesses whose
names appear in the information for purposes of plea bargaining, arraignment and pre-trial. [A.M
No 15-06-10SC, III No 8(b)]
Waiver of Reading of the Information - The court may allow a waiver of the reading of the
information if:
a. There are multiple cases,

b. There is personal examination of the accused by the court,
c. Full understanding and express consent of the accused and his counsel,
d. Such consent is expressly stated in both the minutes/certificate of arraignment and
order of arraignment,
e. The court shall explain the waiver to the accused in a language/dialect known to him
and ensure his full understanding of the consequences [A.M No 15-06-10-SC, III No
8(c)]
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 offended party in
private crimes, or the arresting officer in victimless crimes, is present to give his consent with the
conformity of the public prosecutor to the plea bargaining. Thereafter, judgement shall be
immediately rendered in the same proceedings. [A.M No 15-06-10-SC, III No 8(d (i))]
Plea of Guilty to the Crime Charged in the Information - If the accused pleads guilty to the
crime charged in the information, judgement shall be immediately rendered except in those cases
involving capital punishment. [A.M No 15-0610-SC, III No 8(d (ii))]
Where No Plea Bargaining or Plea of Guilty Takes Place - If the accused does not enter a plea
of guilty, the court shall immediately proceed with the arraignment and the pre-trial. [A.M No 15-
0610-SC, III No 8(d (iii))]
Arraignment and Preliminary Conference of Mediatable Cases - Subject to the Rule on

Summary Procedure The arraignment and preliminary conference shall be held simultaneously
and the court shall take up all the matters required under Sec. 14, Rule on Summary Procedure
during the preliminary conference. [A.M No 15-06-10-SC, III No 8(e)]
Absence of parties in the pre-trial - The court shall proceed with the pre-trial despite the
absence of the accused and/or private complainant, provided:
a. They were duly notified, and

b. The counsel for the accused and public prosecutor are present. [A.M No 15-06-10SC,
III No 8(f (i))]
Stipulations - Proposals for stipulations shall be done with the active participation of the court
itself and shall not be left alone to the counsels. [A.M No 15-06-10-SC, III No 8(f (ii))]
Page 242 of 392

Marking of Evidence - The documentary evidence of the prosecution and the accused shall be
marked. [A.M No 1506-10-SC, III No 8(f (iii))]
Pre-Trial Order - The Pre-trial Order shall immediately be served upon the parties and counsel
on the same day after the termination of the pre-trial. [A.M No 15-06-10-SC, III No 8(f (iv))]
d. Trial; memoranda
TRIAL
Examination of witnesses - The court shall encourage the accused and the prosecution to avail
of:
a. For the accused: Application for examination of witness for the accused before trial
[Sec. 12 and 13, Rule 119]
b. For the prosecution: Conditional Examination of Witness for the prosecution [Sec. 15,
Rule 119; A.M No 15-06-10-SC, III No 13 (a)]
Absence of counsel de parte - In the absence of the counsel de parte, the hearing shall proceed
upon appointment by the court of a counsel de officio. [A.M No 15-06-10SC, III No 13 (b)]
Oral Offer of Evidence

• How made: the offer of evidence, the comment/objection thereto, and the court ruling
shall be made orally.
o If exhibits are attached to the record: In making the offer, the counsel shall cite
the specific page number of the court record where the exhibits being offered are
found. The court shall ensure that all exhibits offered are submitted to it on the
same day of the offer.
o If the exhibits are not attached to the record: the party making the offer must
submit the same during the offer of evidence in open court.
• When made: on the same day after the presentation of his last witness, the opposing
party is required to immediately interpose his oral comment/objection thereto. Thereafter,
the court shall make a ruling on the offer of evidence in open court [A.M No 15-06-10-
SC, III No 13 (c)]
Presentation of Rebuttal and Sur-rebuttal Evidence - If the court grants the motion to
present rebuttal evidence, the prosecution shall immediately proceed with its presentation
after the defense has rested its 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 there is any, and orally rest the case after the presentation of its
last sur-rebuttal witness. Thereafter, the court shall submit the case for decision. [A.M No
15-06-10-SC, III No 13 (e)]
One-day examination of witness rule - The court shall strictly adhere to the rule that a witness
has to be fully examined in one day. [A.M No 15-06-10-SC, III No 13 (f)]
Page 243 of 392

MEMORANDA
Submission of Memoranda
• Submission of memoranda is discretionary on the part of the court
• Format:
o Does not exceed 25 pages
o Single spaced o Legal sized paper o Size 14 font
• Period to submit shall be non-extendible and shall not suspend the
running of the period of promulgation of the decision. With or without
memoranda, the promulgation shall push through as scheduled. [A.M No
15-06-10-SC, III No 14]
e. Promulgation
Schedule of Promulgation
• Date of promulgation shall be announced in open court and included in the order
submitting the case for decision
• Date shall not be more than 90 calendar days from the date the case is submitted for
decision
o Exception: Case is covered by Special Rules and other laws which provide for a
shorter period [A.M No 15-06-10-SC, III No 16(a)]
Resolution of motion for reconsideration of judgment of conviction or motion for new trial -
A motion for reconsideration of judgment of conviction or motion for new trial filed within 15
days from promulgation shall be resolved within a non-extendible period of 10 calendar days
from the submission of the comment of the prosecution. With or without comment, the court
shall resolve the motion within the 10-day period. [A.M No 15-06-10-SC, III No 16(b)]
K. JUDGMENT
Judgment is the adjudication by the court that the accused is guilty or not guilty of the offense charged
and the imposition on him of the proper penalty and civil liability, if any [Sec. 1, Rule 120]
1. Requisites of a judgment
a. Written in the official language
Note: If given verbally, it is incomplete [People v. Catolico, G.R. No. L-31260 (1972)]
b. Personally and directly prepared by the judge

c. Signed by the judge
d. Contains clearly and distinctly a statement of the facts and the law upon which judgment is
based [Sec. 1, Rule 120]
Page 244 of 392

There is sufficient compliance if the decision summarizes the evidence of both parties,
synthesizes the findings and concisely narrates how the offense was committed.
Judge who renders decision - The judge who presided over the entire trial would be in a better
position to ascertain the truth or falsity of the testimonies. But the judge who only took over can
render a valid decision by relying on the transcript. It does not violate due process [People v.
Badon, G.R. No. 126143 (1999)]
2. Contents of judgment
a. Conviction
The judgment of conviction shall state [LQ-PPe-CD]:
1. The Legal Qualification of the offense constituted by the acts committed by the accused and
the aggravating/mitigating circumstances which attended its commission
2. The Participation of the accused in the offense, whether as principal, accomplice or accessory
after the fact
3. The Penalty imposed upon the accused
4. The Civil liability or Damages caused by his wrongful act/omission to be recovered from the
accused by the offended party, if there is any, unless the enforcement of the civil liability by a
separate civil action has been reserved/waived. [Sec. 2, Rule 120]
The penalty should not be imposed in the alternative. There should be no doubt as to the offense
committed and the penalty for it.
When two or more offenses are charged in a single complaint or information but the accused fails to
object to it before trial, the court may convict him of as many offenses as are charged and proved, and
impose on him the penalty for each offense, setting out separately the findings of fact and law in each
offense [Sec. 3, Rule 120]
Variance between allegation and proof (Variance Doctrine)

General rule: The defendant can be convicted only of the crime with which he is charged [Riano 504,
2016 Ed.]
However, a minor variance between the information and the evidence does not alter the nature of the
offense, nor does it determine or qualify the crime or penalty, so that even if a discrepancy exists, this
cannot be pleaded as a ground for acquittal [People v. Noque, G.R. No. 175319 (2010)]
Exception: Accused shall be convicted if:

a. Offense proved which is included in the offense charged (offense proved is lesser) – some or
all of the ingredients of the offense charged constitutes the offense proved
Example: Murder includes homicide; Serious physical injuries includes less serious or slight
physical injuries; Robbery includes theft [Riano]
b. Offense charged which is included in the offense proved (offense charged is lesser) –
essential ingredients of the offense charged constitute or form part of the ingredients of the
offense proven
Example: Less serious physical injuries are included in serious physical injuries; Acts of
lasciviousness are included in rape; Theft is included in robbery [Riano]
Where a complex crime is charged and the evidence fails to support the charge as to one of the
component offenses, the accused can be convicted of the one which is proven [People v. Llaguno,
G.R. No. 91262 (1998)]
Page 245 of 392

Exception to the exception: Where there are facts that supervened after the filing of the information
which change the nature of the offense.
b. Acquittal
The judgment of acquittal shall state whether:
1. The evidence of the prosecution absolutely failed to prove the guilt of the ` accused; or
2. Merely failed to prove his guilt beyond reasonable doubt.
In either case, the judgment shall determine if the act or omission complained from which the
civil liability might arise did not exist. [Sec. 2, Rule 120]
Effect of Acquittal on Civil Liability

General Rule: Acquittal based on failure to prove guilt beyond reasonable doubt does not extinguish the
civil liability arising from his acts. [Lontoc v. MD Transit, G.R. No. L-48949 (1988)]
Exception: Acquittal extinguishes civil liability only when the judgment includes a declaration that the
facts from which the civil liability might arise did not exist [Lontoc v. MD Transit, G.R. No. L-48949
(1988)]
Thus:
1. The court may nonetheless hold the accused civilly liable in favor of the offended party, or it
may deny the award of civil damages expressly or impliedly by being silent on the matter.
2. The losing party may appeal the ruling on the civil liability, as in any other ordinary appeal, in
his name and not in the name of the People.
The Court is not precluded from expressing disapproval of certain acts

General rule: The court has authority to express disapproval of certain acts even if judgment is for
acquittal.
Exception: The court is not permitted to censure the accused in a judgment for acquittal – no matter how
light, a censure is still a punishment.
3. Promulgation of judgment; instances of promulgation of judgment in absentia
Promulgation of judgment is an official proclamation or announcement of the decision of the court

[Pascua v. Court of Appeals, G.R. No. 140243 (2000), citing Jacinto, Sr. 521, Commentaries and
Jurisprudence on the Revised Rules of Court [Criminal Procedure], 1994 Ed.]
Requisites a. There must be a court legally organized or constituted; and there must be a judge, or
judges, legally appointed or elected and actually acting, either de jure or de facto [Luna v.
Rodriguez, G.R. No. 12647 (1917)] b. Said judgment must be duly signed and promulgated during
the incumbency of the judge who penned it [Payumo v. Sandiganbayan, G.R. No. 151911 (2011)] c.
The judgment is promulgated by reading it in the presence of the accused and any judge of the
court in which it was rendered [Sec. 6, Rule 120]
Failure to promulgate Where there is no promulgation of judgment, no right to appeal accrues.

Merely reading the dispositive portion of the decision is not sufficient [Pascua v. CA, G.R. No.
140243 (2000)]
Notice for promulgation The proper clerk of court shall give notice to the accused personally or
through his bondsman or warden and counsel, requiring him to be present at the promulgation of
the decision. If the accused was tried in absentia because he jumped bail or escaped from prison,
the notice to him shall be served at his last known address [Sec. 6, Rule 120]
Page 246 of 392

PROMULGATION IN CERTAIN CIRCUMSTANCES
a. When the judge is absent or outside the province or city
The judgment may be promulgated by the clerk of court [Sec. 6, Rule 120].
b. Where Presence of Accused Is Required; Exceptions

General rule: Presence of the accused is mandatory in the promulgation of judgment.
Exception: If the conviction is for a light offense, the judgment may be pronounced in the presence of his
counsel or representative [Sec. 6, Rule 120]
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 the Rules against the judgment and the court shall order his arrest.
However, within 15 days from promulgation of judgment, he may surrender and file a motion for
leave of court to avail of these remedies. He shall state the reasons for his absence. If he proves his
absence was for a justifiable cause, he shall be allowed to avail of the remedies within 15 days from
notice [Sec. 6, Rule 120; People v. De Grano, G.R. No. 167710 (2009)]
Effect of failure of the accused to appear at the scheduled date of promulgation -Promulgation is
made by recording the judgment in the criminal docket and serving a copy at the accused’s last known
address or through counsel [Sec. 6, Rule 120]
c. If the accused is confined or detained in another province or city

The judgment may be promulgated by the executive judge of the RTC 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 [Sec. 6, Rule 120]
d. Promulgation when a judge is no longer a judge

A judgment promulgated after the judge who signed the decision has ceased to hold office is not valid
and binding. In like manner, it cannot be promulgated after the retirement of the judge [Nazareno v. CA,
G.R. No. 111610 (2002)]
4. Instances when judgment becomes final
Modification of judgment - A judgment of conviction may, upon motion of the accused, be modified or
set aside before the judgment becomes final or before appeal is perfected [Sec. 7, Rule 120, Rules of
Court]
When does judgment become final

a. After the lapse of the period for perfecting an appeal;
Page 247 of 392

b. When the sentence has been partially/totally satisfied or served;
c. The accused has waived in writing his right to appeal;
a. When the accused has applied for probation; and
Note: Appeal and Probation are mutually exclusive remedies. It is implicit in an

application for probation that there is an admission of guilt. [Prof. Bautista]
d. Judgment also becomes final when judgment is an acquittal [People v. Sandiganbayan, G.R.
No. 164577 (2010)]
Exception: where the death penalty is imposed [Sec. 7, Rule 120]
After finality, the TC is divested of authority to amend/alter the judgment, except to correct clerical
errors. See Quirino v. PNB [G.R. No. L9159 (1957)]
Remedies of the Accused against a Judgment of Conviction
1. Modification of judgment [Sec. 7, Rule 120]
2. Reopening of proceedings [Sec. 24, Rule 119]
Section 24. Reopening. —At any time before finality of the judgment of conviction, the judge
may, motu proprio or upon motion, with hearing in either case, reopen the proceedings to avoid a
miscarriage of justice. The proceedings shall be terminated within thirty (30) days from the order
granting it. (n)
3. Motion for new trial [Sec. 1, Rule 121]
4. Motion for reconsideration [Sec. 1, Rule 120]
5. Appeal from judgment [Rule 122]
L. NEW TRIAL OR RECONSIDERATION

1. Grounds for new trial
2. Grounds for reconsideration
3. Requisites before a new trial may be granted on ground of newly discovered evidence
4. Effects of granting a new trial or reconsideration
NEW TRIAL RECONSIDERATION
Grounds for New Trial The court shall grant reconsideration on the
ground of errors of law or fact in the judgment,
a. Errors of law or irregularities prejudicial to which requires no further proceedings [Sec. 3,
the substantial rights of the accused have been Rule 121
committed during the trial
Page 248 of 392

General rule: Errors of the defense

counsel in the conduct of the trial is
neither an error of law nor an irregularity
[CenizaManantan v. People, G.R. No.
156248 (2007)]
Exception: They become an error of law

or irregularity when acquittal would, in all
probability, have followed the
introduction of certain testimony which
was not submitted at the trial under
improper or injudicious advice of
incompetent counsel of the accused.
[Aguilar v. Court of Appeals, G.R. No.
114282 (1995)]
Irregularities must be with such

seriousness as to affect prejudicially the
substantial rights of the accused. [Sec.
2(a), Rule 121; Tabobo v. People, G.R.
No.220977 (2017)]
b. New and material evidence has been

discovered which the accused could not with
reasonable diligence have discovered and
produced at the trial and which if introduced
and admitted would probably change the
judgment
Interest of justice as gauge for introduction of

new evidence In People v. Almendras [G.R. No.
145915 (2003)], the court ruled that a motion for a
new trial may be granted on a ground not
specifically provided in the rules, provided that it
is sought in the interest of justice. In that case, the
relief of a new trial was granted to a client who
has suffered by reason of his/her counsel’s gross
mistake and negligence
Requisites Before a New Trial May be Granted

on Ground of Newly Discovered Evidence
Page 249 of 392

The evidence
a. Was discovered after the trial
b. Could not have been discovered and produced

at the trial even with the exercise of reasonable
diligence
c. Is material, not merely cumulative/

corroborative/impeaching; and
d. Is of such weight that it would probably change

the judgment if admitted [Tadeja v. People, G.R.
No. 145336 (2013)]
The accused has the burden of proving item (b)

above [US v. Torrente, G.R. No. 1001 (1922)]
The determinative test is the presence of due or

reasonable diligence to locate the thing to be used
as evidence in the trial [Briones v. People, G.R.
No. 156009 (2009)]
Effects of Granting a New Trial or Effects of Granting a New Trial or

Reconsideration Reconsideration
In general In general
a. The original judgment set aside or vacated; and a. The original judgment set aside or vacated; and
b. A new judgment is rendered accordingly [Sec. b. A new judgment is rendered accordingly [Sec.
6, Rule 121] 6, Rule 121]
Other effects of granting new trial or

reconsideration depending on ground
Errors of law or irregularities committed

during the trial:
- All proceedings and evidence affected shall be
set aside and taken anew. If error or irregularity
goes into the jurisdiction, the entire proceeding is
void and must be set aside.
Page 250 of 392

Newly-discovered evidence:
Evidence already adduced shall stand and the
newly-discovered and such other evidence shall
be taken and considered together with the
evidence already in the record.
In BOTH: The court will allow introduction of

additional evidence in the interest of justice.
The Neypes doctrine allows a fresh period of 15 days within which to file the notice of appeal in the
RTC, counted from receipt of the order denying a MNT or MR. Neypes v. CA [G.R. No. 141534
(2005)] declared that:
“Henceforth, this ‘fresh period rule’ shall also apply to Rule 40 governing appeals from the Municipal
Trial Courts to the Regional Trial Courts; Rule 42 on petitions for review from the Regional Trial
Courts to the Court of Appeals; Rule 43 on appeals from quasi-judicial agencies to the Court of
Appeals and Rule 45 governing appeals by certiorari to the Supreme Court.”
The “fresh period rule” enunciated in Neypes also applies to criminal actions, particularly to Sec. 6
of Rule 122 (Appeal) [Yu v. Tatad, G.R. No. 170979 (2011)
Page 251 of 392

M. APPEAL
Page 252 of 392

1. Effect of an appeal
2. Where to appeal
Page 253 of 392

Probation allowed even after appeal
“SEC. 4, Probation Law as amended. Grant of Probation. — Subject to the provisions of this Decree, the trial court may, after it shall have
convicted and sentenced a defendant for a probationable penalty and upon application by said defendant within the period for perfecting an
appeal, suspend the execution of the sentence and place the defendant on probation for such period and upon such terms and conditions as it may
deem best.
No application for probation shall be entertained or granted if the defendant has perfected the appeal from the judgment of conviction:
Provided, that when a judgment of conviction imposing a non-probationable penalty is appealed or reviewed, and such judgment is
modified through the imposition of a probationable penalty, the defendant shall be allowed to apply for probation based on the modified
decision before such decision becomes final.
The application for probation based on the modified decision shall be filed in the trial court where the judgment of conviction imposing a non-
probationable penalty was rendered, or in the trial court where such case has since been re-raffled. In a case involving several defendants where
some have taken further appeal, the other defendants may apply for probation by submitting a written application and attaching thereto a certified
true copy of the judgment of conviction.
“The trial court shall, upon receipt of the application filed, suspend the execution of the sentence imposed in the judgment.
“This notwithstanding, the accused shall lose the benefit of probation should he seek a review of the modified decision which already imposes a
probationable penalty.
“Probation may be granted whether the sentence imposes a term of imprisonment or a fine only. The filing of the application shall be deemed a
waiver of the right to appeal.1âwphi1
“An order granting or denying probation shall not be appealable.”
4. Effect of appeal by any of several accused
General rule:
a. An appeal taken by one or more of several accused shall not affect those who did not appeal.
b. The appeal of the offended part from the civil aspect shall not affect the criminal aspect of the
judgment or order appealed from
c. Upon perfection of the appeal, the execution of the judgment or final order appealed from shall
be stayed as to the appealing party [Sec. 11, Rule 122]
Effect of appeal by any of several accused - 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. [People v. Valdez, G.R. No. 175602 (2013)]
Page 254 of 392

5. Grounds for dismissal of appeal
3. How appeal taken
Page 255 of 392

N. SEARCH AND SEIZURE

1. Nature of search warrant
Page 256 of 392

RULE 126 SEARCH AND SEIZURE
Section 1. Search warrant defined. —A search warrant is an
 order in writing
 issued in the name of the People of the Philippines,
 signed by a judge and
 directed to a peace officer, commanding him to search for personal property described therein
and bring it before the court. (1)
Page 257 of 392

SECTION 2, ARTICLE III, CONST. The right of the people to be secure in their persons, houses, papers,
and effects against unreasonable searches and seizures of whatever nature and for any purpose shall be
inviolable, and no search warrant or warrant of arrest shall issue except upon probable cause 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 persons or
things to be seized.
*As a general rule, a search warrant is required before a law enforcer can validly search or seize the
persons, houses, papers, and effects of any individual.
* Search warrant is definitively considered merely as a process, generally issued by a court in the exercise
of its ancillary jurisdiction, and not a criminal action to be entertained by a court pursuant to its original
jurisdiction.
* The immutable truth is that every search warrant is applied for and issued by and under the authority of
the State, regardless of who initiates its application or causes its issuance.
Search Warrant Proceedings and Preliminary Investigation are independent of each other - When
the court, in determining probable cause for issuing or quashing a search warrant, finds that no offense
has been committed, it does not interfere with or encroach upon the proceedings in the preliminary
investigation. The court does not oblige the investigating officer not to file the information for the court’s
ruling that no crime exists is only of purposes of issuing or quashing the warrant. This does not, as
petitioners would like to believe, constitute a usurpation of the executive function. Indeed, to shirk from
this duty would amount to an abdication of a constitutional obligation. (Sony Music Entertainment v.
Espanol, 2005)
Page 258 of 392

2. Distinguish from warrant of arrest
3. Application for search warrant, where filed
Page 259 of 392

Section 2, RULE 126. Court where application for search warrant shall be filed. —
An application for search warrant shall be filed with the following:
(a) Any court within whose territorial jurisdiction a crime was committed.
(b) 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.
However, if the criminal action has already been filed, the application shall only be made in the
court where the criminal action is pending. (n)
NOTE: Administrative Matter (A.M.) No. 03-8-02 SC, which is the 2004 rule that allowed Manila and
QC executive judges to issue search warrants "in places outside their territorial jurisdiction has been
repealed in July 9, 2021. – Now, "The executive judges and vice executive judges concerned shall issue
the [search] warrants, if justified, which may be served in places outside the territorial jurisdiction but
within the judicial regions of these courts.
Requisites of a valid search warrant:

The requisites for the issuance of a search warrant are:
(1) probable cause is present;

(2) such probable cause must be determined personally by the judge;
3) the judge must examine, in writing and under oath or affirmation, the and the
witnesses he or she may produce;
(4) the applicant and the witnesses testify on the facts personally known
to them; and
(5) the warrant specifically describes the place to be searched and the things to be
seized
NOTE: Absent any of these requisites, the party aggrieved may file a motion to quash the search warrant
with the issuing court or with the court where the action is subsequently instituted.
4. Probable cause for issuance of search warrant
Probable cause means the existence of such facts and circumstances which would lead a reasonably
discreet and prudent man to believe that
 an offense has been committed, and
 that objects sought in connection with the offense are in the place sought to be
searched [People v. Breis., G.R. No. 205823 (2015)]
Page 260 of 392

This probable cause must be shown to be within the personal knowledge of the complainant or the
witnesses he may produce and not based on mere hearsay. The probable cause must refer only to one
specific offense [Roan v. Gonzales, G.R. No. 71410 (1986)]
Note: Probable cause to arrest does not necessarily involve a probable cause to search and vice-versa.
*Probable cause justifying an intrusive warrantless search and seizure cannot possibly arise from
double hearsay evidence and from an irregularly-received tipped information. A reasonably discreet
and prudent man will surely not believe that an offense has been committed and that the item sought in
connection with said offense are in the place to be searched based solely on the say-so of an unknown
duty guard that a random, unverified text message was sent to an unofficial mobile phone by a complete
stranger.
Therefore, with the glaring absence of probable cause that justifies an intrusive warrantless search,
considering that the police officers failed to rely on their personal knowledge and depended solely on
an unverified and anonymous tip, the warrantless search conducted on accused-appellant Sapla was an
invalid and unlawful search of a moving vehicle. (People v. Sapla, 2020)
 In finding that there was no probable cause on the part of the police that justified a warrantless
search, the Court, through Associate Justice Marvic Mario Victor F. Leonen, astutely explained
that in cases finding sufficient probable cause for the conduct of warrantless searches, " the police
officers using their senses observed facts that led to the suspicion. Seeing a man with reddish
eyes and walking in a swaying manner, based on their experience, is indicative of a person who
uses dangerous and illicit drugs." However, the Court reasoned that the case of the accused was
different because "he was simply a passenger carrying a bag and traveling aboard a jeepney.
There was nothing suspicious, moreover, criminal, about riding a jeepney or carrying a bag. The
assessment of suspicion was not made by the police officer but by the jeepney driver. It was the
driver who signaled to the police that Cogaed was 'suspicious.'" (People v. Cogaed)
5. Personal examination by judge of the applicant and witnesses

The Rules require the judge to comply with a specific procedure in the conduct of the examination of the
complainant and the witnesses he may produce
a. The examination must be personally conducted by the judge;
b. The examination must be in the form of searching questions and
answers;
c. The complainant and the witnesses shall be examined on those facts
personally known to them;
d. The statements must be in writing and under oath; and
e. The sworn statements of the complainant and the witnesses, together with the affidavits
submitted, shall be attached to the record. [Sec. 5, Rule 126]
Searching questions and answers - Although there is no hard-and-fast rule governing how a judge
should conduct his investigation, it is axiomatic that the examination must be probing and exhaustive, not
merely routinary, general, peripheral, perfunctory or pro forma. The judge must not simply rehash the
contents of the affidavit but must make his own inquiry on the intent and justification of the
application [Yao v. People, G.R. No. 168306 (2007)]
Page 261 of 392

Examination under oath - The judge must examine under oath or affirmation the complainant and the
witness he may produce [Sec. 2, Art. III, Constitution]
6. Particularity of place to be searched and things to be seized

Warrant issued must particularly describe the place to be searched and the things to be seized [Sec. 2, Art.
III, Constitution]
Particularity of place to be searched - Description of the place to be searched is sufficient if the officer
with the search warrant can, with reasonable efforts, ascertain and identify the place intended [People v.
Veloso, G.R. No. L-23051 (1925)]
The search warrant does not require the name of the person who occupies the described premises. The
search warrant is issued for the search of specifically described premises only and not for the search of a
person [Quelnan v. People, G.R. No. 166061 (2007)]
Particularity of the things to be seized - search warrant fulfills the requirement of particularity in the
description of the things to be seized when the things described are limited to those that bear a direct
relation to the offense for which the warrant is being issued.
7. Personal property to be seized

Section 3. Personal property to be seized. —
A search warrant may be issued for the search and seizure of personal property:
(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. (2a)
8. Exceptions to search warrant requirement

The essential requisite of probable cause must be satisfied before a warrantless search and seizure
can be lawfully conducted. Without probable cause, the articles seized cannot be admitted in evidence
against the person arrested.
a. Search incidental to lawful arrest
b. Consented search
c. Search of moving vehicle
d. Check points; body checks in airport
e. Plain view situation
f. Stop and frisk situation
g. Enforcement of custom laws
Exceptions to search warrant requirement NOTES
Search incidental to lawful arrest Section 13, RULE 126. Search incident to lawful
arrest. —A person lawfully arrested may be
Page 262 of 392

searched for dangerous weapons or anything which

may have been used or constitute proof in the
commission of an offense without a search warrant.
The arrest must precede the search; generally, the

process cannot be reversed. Nevertheless, a search
substantially contemporaneous with an arrest can
precede the arrest if the police have probable cause to
make the arrest at the outset of the search [Sy v.
People, G.R. No. 182178 (2011) citing People v.
Racho (erroneously referred to as Rancho), G.R. No.
186529 (2010)]
The rule assumes that the arrest is legal. If the arrest is

illegal, then the search is illegal and as a result, the
things seized are inadmissible as evidence [People v.
Aruta, G.R. No. 120195 (1998)]
Where a search is first undertaken, and an arrest was

effected based on evidence produced by such search,
both search and arrest are illegal [Lui v. Matillano,
G.R. No. 141176 (2004)]
A valid arrest allows the seizure of evidence or

dangerous weapons either on the person of the one
arrested or within the area of his immediate control.
The phrase "within the area of his immediate control"
means the area from within which he might gain
possession of a weapon or destructible evidence.
(Valeroso v. CA, 2009)
Consented search Consent to a search is not to be lightly inferred, but

shown by clear and convincing evidence.
It must be voluntary in order to validate an otherwise

illegal search; that is, the consent must be
unequivocal, specific, intelligently given and
uncontaminated by any duress or coercion.
Whether consent to the search was in fact voluntary is

a question of fact to be determined from the totality of
all the circumstances. Relevant to this determination
are the following characteristics of the person giving
consent and the environment in which consent is given:
(1) the age of the defendant;

(2) whether the defendant was in a public or a secluded
location;
Page 263 of 392

(3) whether the defendant objected to the search or

passively looked on;
(4) the education and intelligence of the defendant;
(5) the presence of coercive police procedures;
(6) the defendant’s belief that no incriminating
evidence would be found;
(7) the nature of the police questioning;
(8) the environment in which the questioning took
place; and
(9) the possibly vulnerable subjective state of the
person consenting.
It is the State that has the burden of proving, by clear

and positive testimony, that the necessary consent was
obtained, and was freely and voluntarily given.
Search of moving vehicle When a vehicle is stopped and subjected to an

extensive search, such a warrantless search should be
constitutionally permissible only if the officers
conducting the search have reasonable or probable
cause to believe, before the search, that either:
1. the motorist is a law-offender; or
2. they will find the instrumentality or evidence

pertaining to a crime in the vehicle to be searched
[Caballes v. CA, G.R. No. 136292 (2002)]
Peace officers may lawfully conduct searches of

moving vehicles without need of a warrant as it is
impracticable to secure a judicial warrant before
searching a vehicle since it can be quickly moved out
of the locality or jurisdiction in which the warrant may
be sought [People v. Tuazon, G.R. No. 175783 (2007)]
However, these searches would be limited to visual

inspection and the vehicles or their occupants cannot
be subjected to physical or body searches, except
where there is probable cause to believe that the
occupant is a law offender or the contents of the
vehicles are instruments or proceeds of some criminal
offense.
Check points; Although the general rule is that motorists and their
vehicles as well as pedestrians passing through
checkpoints may only be subjected to a routine
inspection, vehicles may be stopped and extensively
searched when there is probable cause which justifies a
reasonable belief of the men at the checkpoints that
Page 264 of 392

either the motorist is a law offender or the contents of

the vehicle are or have been instruments of some
offense [People v. Vinecario, G.R. No. 141137 (2004)]
Routine inspections are not regarded as violative of an

individual’s right against
unreasonable search
1. Where the officer merely draws aside the curtain of
a vacant vehicle which is parked on the public fair
grounds
2. Officer simply looks into a vehicle
3. Officer flashes a light therein without opening car’s

doors
4. Occupants not subjected to a physical search
5. Inspection is limited to visual search or visual

inspection, or
6. Routine check is conducted in a fixed area [Caballes

v. CA, G.R. No. 136292 (2002)]
body checks in airport Persons may lose the protection of the search and
seizure clause by exposure of their persons or property
to the public in a manner reflecting a lack of subjective
expectation of privacy, which expectation society is
prepared to recognize as reasonable. Such recognition
is implicit in airport security procedures. With
increased concern over airplane hijacking and terrorism
has come increased security at the nation’s airports.
Passengers attempting to board an aircraft routinely
pass through metal detectors; their carry-on baggage as
well as checked luggage are routinely subjected to x-
ray scans. Should these procedures suggest the
presence of suspicious objects, physical searches are
conducted to determine what the objects are. There is
little question that such searches are reasonable, given
their minimal intrusiveness, the gravity of the safety
interests involved, and the reduced privacy
expectations associated with airline travel. (People v.
Canton, 2002)
Under Section 9 of Republic Act No. 6235 reading as
Page 265 of 392

follows:
SEC. 9. Every ticket issued to a passenger by the

airline or air carrier concerned shall contain among
others the following condition printed thereon:
"Holder hereof and his hand-carried luggage(s) are
subject to search for, and seizure of, prohibited
materials or substances. Holder refusing to be
searched shall not be allowed to board the aircraft,"
which shall constitute a part of the contract between
the passenger and the air carrier.
This constitutes another exception to the proscription

against warrantless searches and seizures.
Plain view situation The State must adduce evidence, testimonial or

documentary, to prove the confluence of the essential
requirements for the doctrine to apply, namely:
(a) the executing law enforcement officer has a prior

justification for an initial intrusion or otherwise
properly in a position from which he can view a
particular order;
 The doctrine is not an exception to the

warrant. It merely serves to supplement the
prior justification – whether it be a warrant for
another object, hot pursuit, search as an
incident to a lawful arrest or some other
legitimate reason for being present,
unconnected with a search directed against the
accused. The doctrine may not be used to
extend a general exploratory search from one
object to another until something
incriminating at last emerges. It is a
recognition of the fact that when executing
police officers comes across immediately
incriminating evidence not covered by the
warrant, they should not be required to close
their eyes to it, regardless of whether it is
evidence of the crime they are investigating or
evidence of some other crime. It would be
needless to require the police to obtain another
warrant.
(b) the officer must discover incriminating evidence

inadvertently; and
 Means that the officer must not have known in
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advance of the location of the evidence and

intend to seize it. Discovery is not anticipated.
(c) it must be immediately apparent to the police that

the items they observe may be evidence of a crime,
contraband, or otherwise subject to seizure.
 The immediate requirement means that the

executing officer can, at the time of discovery
of the object or the facts therein available to
him, determine probable cause of the object’s
incriminating evidence.
In other words, to be immediate, probable

cause must be the direct result of the officer’s
instantaneous sensory perception of the
object. The object is apparent if the executing
officer had probable cause to connect the
object to criminal activity.
The incriminating nature of the evidence

becomes apparent in the course of the search,
without the benefit of any unlawful search or
seizure. It must be apparent at the moment of
seizure.
Stop and frisk situation (Terry Searches) A stop-and-frisk was defined as the act of a police
officer to stop a citizen on the street, interrogate
him, and pat him for weapon(s) or contraband.
The police officer should properly introduce himself

and make initial inquiries, approach and restrain a
person who manifests unusual and suspicious conduct,
in order to check the latter’s outer clothing for
possibly concealed weapons.
The apprehending police officer must have a genuine

reason, in accordance with the police officer’s
experience and the surrounding conditions, to
warrant the belief that the person to be held has
weapons (or contraband) concealed about him.
It should therefore be emphasized that a search and

seizure should precede the arrest for this principle to
apply.28
Stop and Frisk vs. Search Incidental to Lawful

Arrest - The latter happens when one is caught in
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flagrante delicto, the former is done in order to prevent

a crime from occurring [People v. Cogaed, G.R. No.
200334 (2015)]
Enforcement of custom laws For the enforcement of customs duties and tariff laws,
the Collector of Customs is authorized to effect
searches and seizure [General Travel Services v.
David, G.R. No. L19259 (1966)]
The Customs Modernization and Tariff Act (CMTA)

authorizes customs officers to:
1. Enter, pass through or search any land, enclosure,

warehouse [Sec. 219, CMTA]
2. Inspect/search/examine any vessel or aircraft and

any trunk/package/box/envelope or any person on
board, or stop and examine any vehicle/beast/person
suspected of holding/conveying any
dutiable/prohibited article introduced into the
Philippines contrary to law [Sec. 221, CMTA]
Exception: In the search of a dwelling house, a search

warrant is required [Sec. 220, CMTA]
Note: RTCs are devoid of any competence to pass

upon the validity or regularity of seizure and forfeiture
proceedings conducted by the Bureau of Customs and
to enjoin or otherwise interfere with these proceedings.
It is the Collector of Customs, sitting in seizure and
forfeiture proceedings, who has exclusive jurisdiction
to hear and determine all questions touching on the
seizure and forfeiture of dutiable goods [Asian
Terminals, Inc. v. Bautista-Ricafort, G.R. No. 166901
(2006)]
Searches in Public Transportation Prior to entry, passengers and their bags and luggages
can be subjected to a routine inspection akin to airport
and seaport security protocol. In this regard, metal
detectors and x-ray scanning machines can be installed
at bus terminals. Passengers can also be frisked. In lieu
of electronic scanners, passengers can be required
instead to open their bags and luggages for inspection,
which inspection must be made in the passenger's
presence. Should the passenger object, he or she can
validly be refused entry into the terminal.
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While in transit, a bus can still be searched by

government agents or the security personnel of the bus
owner in the following three instances. First, upon
receipt of information that a passenger carries
contraband or illegal articles, the bus where the
passenger is aboard can be stopped en route to allow
for an inspection of the person and his or her effects.
This is no different from an airplane that is forced to
land upon receipt of information about the contraband
or illegal articles carried by a passenger onboard.
Second, whenever a bus picks passengers en route, the
prospective passenger can be frisked and his or her bag
or luggage be subjected to the same routine inspection
by government agents or private security personnel as
though the person boarded the bus at the terminal. This
is because unlike an airplane, a bus is able to stop and
pick passengers along the way, making it possible for
these passengers to evade the routine search at the bus
terminal. Third, a bus can be flagged down at
designated military or police checkpoints where State
agents can board the vehicle for a routine inspection of
the passengers and their bags or luggages.
In both situations, the inspection of passengers and

their effects prior to entry at the bus terminal and the
search of the bus while in transit must also satisfy the
following conditions to qualify as a valid reasonable
search. First, as to the manner of the search, it must be
the least intrusive and must uphold the dignity of the
person or persons being searched, minimizing, if not
altogether eradicating, any cause for public
embarrassment, humiliation or ridicule. Second, neither
can the search result from any discriminatory motive
such as insidious profiling, stereotyping and other
similar motives. In all instances, the fundamental rights
of vulnerable identities, persons with disabilities,
children and other similar groups should be protected.
Third, as to the purpose of the search, it must be
confined to ensuring public safety. Fourth, as to the
evidence seized from the reasonable search, courts
must be convinced that precautionary measures were in
place to ensure that no evidence was planted against
the accused. (Saluday v. People, 2018)
*Not included in the syllabus

Section 4. Requisites for issuing search warrant. —A search warrant shall not issue except upon
probable cause in connection with one specific offense to be determined personally by the judge after
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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. (3a)
Section 5. Examination of complainant; record. —The judge must, before issuing the warrant,
personally examine in the form of searching questions and answers, in writing and under oath, the
complainant and the witnesses he may produce on facts personally known to them and attach to the
record their sworn statements, together with the affidavits submitted. (4a)
Section 6. Issuance and form of search warrant. —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, which must be substantially in the form prescribed by these Rules. (5a)
Section 7. Right to break door or window to effect search. —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. (6)
Section 8. Search of house, room, or premises to be made in presence of two witnesses. —No
search of a house, room, or any other premises shall be made except in the presence of the lawful
occupant thereof or any member of his family or in the absence of the latter, two witnesses of sufficient
age and discretion residing in the same locality. (7a)
Section 9. Time of making search. —The warrant must direct that it be served in the day time, unless
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. (8)
Section 10. Validity of search warrant. —A search warrant shall be valid for ten (10) days from its
date. Thereafter, it shall be void. (9a)
Section 11. Receipt for the property seized. —The officer seizing property under the warrant must
give a detailed receipt for the same to the lawful occupant of the premises in whose presence the search
and seizure were made, or in the absence of such occupant, must, in the presence of at least two
witnesses of sufficient age and discretion residing in the same locality, leave a receipt in the place in
which he found the seized property. (10a)
Section 12. Delivery of property and inventory thereof to court; return and proceedings thereon.
—
(a) 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.
(b) Ten (10) days after issuance of the search warrant, the issuing judge shall ascertain if the return has
been made, and if none, shall summon the person to whom the warrant was issued and require him to
explain why no return was made.
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If the return has been made, the judge shall ascertain whether section 11 of this Rule has been complied
with and shall require that the property seized be delivered to him. The judge shall see to it that
subsection (a) hereof has been complied with.
(c) 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 section shall constitute contempt of court. (11a)
9. Remedies from unlawful search and seizure

Section 14. Motion to quash a search warrant or to suppress evidence; where to file. —A motion
to quash a search warrant and/or to suppress evidence obtained thereby may be filed in and acted
upon only by the court where the action has been instituted.
If no criminal action has been instituted, the motion may be filed in and resolved by the court that
issued the search warrant.
However, if such 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. (n)
Who can file motion to quash / suppress evidence – The rules do not require them to be parties to the
search warrant proceeding for them to be able to file a motion to suppress. It is not correct to say that only
the parties to the application for search warrant can question its issuance or seek suppression of evidence
seized under it. The proceeding for the issuance of a search warrant does not partake of an action where a
party complains of a violation of his right by another. (SEC vs. Mendoza, 2012)
A motion to quash a search warrant may be based on grounds extrinsic of the search warrant, such as (1)
the place searched or the property seized are not those specified or described in the search warrant; and
(2) there is no probable cause for the issuance of the search warrant.
Motion to quash / suppression of evidence; alternative not cumulative remedies

Where no motion to quash the search warrant was filed in or resolved by the issuing court, the interested
party may move in the court where the criminal case is pending for the suppression as evidence of the
personal property seized under the warrant if the same is offered therein for said purpose.
In order to prevent forum shopping, a motion to quash shall consequently be governed by the omnibus
motion rule, provided, however, that objections not available, existent or known during the proceedings
for the quashal of the warrant may be raised in the hearing of the motion to suppress.
Other remedies:
 File criminal action against officer
o A public officer/employee who procures a search warrant without just cause is criminally
liable under Art. 129, RPC, on search warrants maliciously obtained and abuse in the
service of those legally obtained.
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 File a motion to return things seized

o Exception: The illegality of the search warrant does not call for the return of the things
seized, the possession of which is prohibited by law [Castro v. Pabalan, G.R. No. L-
28642 (1976)]
 The following offenses may result from unreasonable search and seizure
a. Violation of domicile [Art. 128, RPC]
b. Search warrant maliciously obtained [Art. 129, RPC]
c. Searching domicile without witnesses [Art. 130, RPC]
d. Unjust interlocutory order [Art. 206, RPC]
The public officer or employee may be held liable for: a. Entering without authority; against the
will; refuses to leave b. A search warrant procured without just cause or if with just cause,
exceeds his authority or uses unnecessary severity of force c. Conducting the search without the
required witnesses.
The judge may be held liable for a. Knowingly rendering an unjust interlocutory order [Art. 206,
RPC] b. Inexcusable negligence or ignorance [Art. 205, RPC]
It may also result in civil liability for a. Violation of rights and liberties [Art. 32(9), CC] b.
Malicious prosecution and acts referred to Art. 32 [Art. 2218, CC]
Malice or bad faith is not required.
Not only official actions, but all persons who are responsible for the violation are liable for
damages [MHP Garments v. CA, G.R. No. 86720 (1994)]
10. Cybercrime warrants (Rule on Cybercrime Warrants)

a. Scope and applicability
The rule provides for the procedure in the application and grants of warrants and related orders involving
preservation, disclosure, interception, search, seizure, and/or examination of computer data
b. General provisions
VENUE FOR FILING A CRIMINAL ACTION
i. Violation of Section 4 (Cybercrime offenses) and/or Section 5 (Other offenses) of RA 10175
(Cybercrime Prevention Act of 2012 hereinafter “RA 10175”)
General Rule: The criminal action shall be filed before the designated cybercrime court of the province
or city:
1. Where the offense or any of its elements is committed, or
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 was first filed shall acquire jurisdiction to the exclusion of
other courts.
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ii. All other crimes committed using Information and Communication Technology (ICT)
General Rule: The criminal action shall be filed before the regular or specialized courts as the case
maybe.
VENUE FOR FILING AN APPLICATION FOR CYBERCRIME WARRANT

iii. Violation of Section 4 and Section 5 of RA 10175
General Rule: Application shall be filed before the designated cybercrime courts of the
province or the city where:

Note: Cybercrime courts in Quezon City, City of Manila, Makati City, Pasig City, Cebu City, Iloilo City,
Davao City, and Cagayan De Oro City have the special authority to act on applications and issue warrants
which shall be enforceable nationwide and outside the Philippines.
iv. Application for a warrant for violation of all crimes defined, and penalized by
RPC and other special laws if committed using Information Communication
Technology (ICT) shall be filed with the regular courts or other specialized RTC in
the places:

Effectivity of Warrants General Rule: Not exceeding 10 days from its issuance
Exception: The issuing court may, upon motion, extend its effectivity based only on justifiable reasons
for a period not exceeding 10 from the expiration of the original period.
Contempt - The responsible law enforcement authorities shall be subject to action for contempt in case:
1. Failure to timely file the return for any of the issued warrants under this Rule
2. Failure to duly turn-over to the court’s custody any of the items disclosed intercepted, searched, seized,
and/or examined
c. Preservation of computer data
General Rule: Data should be kept, retained, and preserved by a service provider for a minimum period
of 6 months from:
1. The date of transaction in the case of traffic data and subscriber’s information;
2. The date of receipt of order from law enforcement requiring its preservation in the
case of content data
Exception: 1. A one-time extension for another 6 months may be ordered
The data is preserved until the final termination of a case once the data that is preserved,
transmitted or stored by the service provider is used as evidence in a case.
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The receipt by the service provider of transmittal of document to the Office of the Prosecutor shall be
deemed a notification to preserve data until the final termination of the case.
CYBERCRIME WARRANTS UNDER THIS RULE

1. Warrant to Disclose Computer Data (WDCD) [Sec. 4]
2. Warrant to Intercept Data (WICD) [Sec. 5]
3. Warrant to Search, Seize and Examine Computer Data (WSSECD) [Sec. 6]
4. Warrant to Examine Computer Data (WECD) [Sec 6.9]
d. Disclosure of computer data

Warrant to Disclose Computer Data (WDCD) - It is an order in writing issued in the name of the
People of the Philippines, signed by the judge, upon application of law enforcement authorities,
authorizing the latter to issue an order to disclose and accordingly, 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.
Disclosure of Computer Data

1. The person or service provider must disclose or submit the subscriber’s information, traffic data or
relevant data in his/her or its possession or control within 72 hours from receipt of an Order;
2. The Order must be in relation to a complaint officially docketed and assigned for investigation; and
3. The disclosure must be necessary and relevant for the purpose of investigation.
Return on the WDCD

Duty of Law Enforcement Officer: Within 48 hours from implementation or after the expiration of the
effectivity of the WDCD, whichever comes first, the law enforcement officer shall:
1. Submit a return on the WDCD to the court that issued it; and
2. Simultaneously turn over the custody of the disclosed computer data or subscriber’s information
thereto
The officer is allowed to retain a copy of the copy of the disclosed data or subscriber’s information
subject of the WDCD without the need of court intervention, provided: 1. It will be utilized for case
build-up or preliminary investigation purposes
2. The details are kept strictly confidential, and the retained copy shall be labelled as such
3. The retained copy shall be turned over upon filing of a criminal action involving the disclosed
computer data or subscriber’s information, or upon order of the issuing court if no criminal action is filed.
Duty of the Issuing Judge: It is the duty of the issuing judge to:
1. Ascertain if the return has been made, and
2. If no return was made, summon the officer to whom the WDCD was issued, and require him/her to
explain why no return was made, without prejudice to any action of contempt
e. Interception of computer data

Interception refers to [LRMS-DI]:
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1. Listening to, 2. Recording, 3. Monitoring, or 4. Surveillance of the content of communications,

including procuring of the content data:
a. Directly, through access and use of a computer system, or
b. Indirectly through the use of electronic eavesdropping or tapping devices, at the same
time that the communication if occurring.
Warrant Required - Interception may be carried out only by virtue of a court issued warrant, duly
applied for by law enforcement authorities.
Warrant to Intercept Computer Data (WICD) - It is an order in writing issued in the name of the
People of the Philippines, signed by a judge, upon application of law enforcement authorities, authorizing
the latter to carry out any or all of the activities of interception (see above).
*Same duty of law enforcement officer and court as abovementioned.
Notice to Person Intercepted after Filing of Return Required

Duty of Law Enforcement - The law enforcement officer has the duty to notify the person whose
communication or computer data have been intercepted of the activities conducted pursuant to the WICD:
1. Within 30 days from the filing of the return, attaching a copy of the return to the
notice; or
2. From the lapse of 48-hour period to file the return, if no return was filed. The notice shall
state the details of the interception activities, including the contents of the intercepted
communication or computer data.
Remedy of the Person Involved - Within 10 days from notice, the person whose communication or
computer data have been intercepted may challenge, by motion, the legality of the interception before the
issuing court
f. Search, seizure, and examination of computer data

Warrant to Search, Seize and Examine Computer Data (WSSECD) - It is an order in writing issued
in the name of the People of the Philippines, signed by a judge, upon application of law enforcement
authorities, authorizing the latter to search the particular place for items to be seized and/or examined.
Content of Application for a WSSECD - The content shall state the essential fact similar to WDCD
except that the subject matter is the computer data sought to be searched, seized and examined, and
all other items related thereto.
Further, it shall contain an explanation of the search and seizure strategy to be implemented taking into
account the nature of the computer data involved, the computer or computer system’s security features,
and/or other relevant circumstances.
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Off-site and On-site Principle –

General rule: Law enforcement shall endeavor to first make a forensic image of the computer data on-
site as well as limit their search to the place specified in the warrant.
Exception: Off-site search may be conducted provided that a forensic image is made, and that the reasons
for the off-site search are stated in the initial return
Remedy of Person whose devices have been searched and seized off-site - The concerned individual
may, upon motion, seek the return of the said items from the court issuing the WSSCED provided that a
forensic image of the data subject of the WSSECD has already been made.
What Activities are Allowed During the Implementation of the WSSECD

1. Interception of communications and computer data may be conducted during the implementation of
the WSSECD which shall:
a. limited to communications and computer that are reasonably related to the subject matter
of WSSECD; and
b. the activities are fully disclosed which shall be duly explained in the initial return.
2. Law enforcement may order any person who has knowledge of the functioning of the computer data
therein, to provide necessary information to enable the undertaking of the search, seizure and examination
Initial Return of WSSECD - The authorized law enforcement shall submit within 10 days from issuance
of WSSECD an initial return which contains:
1. A list of all items that were seized, with a detailed identification of the devices of the computer system
seized;
2. Statement on whether a forensic image of the computer data was made on-site, and if not, the reason
for making forensic image off-site;
3. Statement on whether the search was conducted on-site, and not, the reasons for conducting the search
and seizure off-site;
4. 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 item’ reasonable
relation to the computer data subject of WSSECD;
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
6. A reasonable estimation of how long the examination of the items seized will be concluded and the
justification therefor.
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Period to Examine Seized Items After Initial Return - The Court shall issue an order fixing the period
to conclude the examination of all the items seized. The period may be extended not exceeding 30 days,
upon motion, for justifiable reasons.
Warrant to Examine Computer Data (WECD) - It refers to a warrant applied for by law enforcement
authorities before searching a computer device or computer system (for the purpose of obtaining for
forensic examination the computer data) which was obtained via a lawful warrantless arrest or by any
other lawful method. It is available when:
1. The law enforcement authority acquires possession of a computer device or computer
system;
2. Through a lawful warrantless arrest, or other lawful method;
3. The law enforcement authority shall first apply for WECD before searching for
forensic examination the computer data contained therein.
g. Custody of computer data
Upon filing of the return for WDCD or WICD, or the final return for a WSSECD or WECD with the
issuing court, the following are likewise submitted:
1. All computer data shall be simultaneously deposited in a sealed package with the issuing court;
2. A complete and verified inventory of all the other items seized
3. Affidavit of the duly authorized law enforcement.
Duty of the Prosecutor When Criminal Action is Instituted - Within 10 days from the time of the
criminal action is instituted, it is the duty of the prosecutor, or his/her duly authorized representatives,
once a criminal action is instituted, to file a motion before the issuing court to:
1. Move for the immediate transmittal of the records, and

2. Move for 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
Within 5 days, the court shall act upon the motion filed.
Access and Use of Computer Data

General Rule: The package containing the computer data deposited in the issuing court shall not
1. be opened, or
2. the recordings replayed, or
3. its contents revealed, or,
4. in any manner as used as evidence
Exception: The court may grant so upon filing a motion for the purpose stating:
1. the relevance of the computer data sought to be opened, replayed, revealed, or used as evidence; and
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2. the names of the persons who will be allowed to have access thereto, if the motion is granted.
3. Must include proof of service of copies sent to the person/s whose computer data is subject of the
motion.
Within 10 days from receipt of notice thereof, the person must file comment thereto. After which, the
court shall rule on the motion, unless a clarificatory hearing is needed.
h. Destruction of computer data

Duty of Service Providers and Law Enforcement Authorities to Destroy - The service providers and
law enforcement authorities, as the case maybe, shall immediately and completely destroy the computer
data subject of preservation and examination upon expiration of the periods provided in Sec. 13 and 15 of
RA 10175.
1. Sec 13 (Preservation): Service providers preserve the data for a minimum of 6 months, unless a one-
time extension of another 6 months is ordered by the law enforcement authority, or in the event that that
the data was used as evidence in which case the data is preserved until the final termination of the case.
2. Sec 15 (Search, Seizure and Examination): After lapse of the time period specified in the warrant,
unless the court granted extension of time to complete examination for no longer than 30 days (from the
time of the court’s approval).
How Destruction of Computer Data is Made

1. Made in the presence of the Branch Clerk of-Court, or in his/her absence, in the presence of any other
person duly designated by the court to witness the same
2. The accused or the person from whom the items were seized, or his/her representative or counsel, or
law enforcement agency may be allowed to witness.
Provided, they appear during the scheduled date of destruction upon written notice to them by the Branch
Clerk of Court.
3. Within 24 hours from the destruction of data, the Branch Clerk of Court or the witness duly designated
by court shall issue a sworn certification as to the fact of destruction
4. The Branch Clerk of Court shall file the said certificate with the same court
5. The storage device or other items turned over to the court’s custody shall be destroyed by: a. Shredding
b. Drilling of four holes through the device, c. Prying the platters apart, or d. Other means that will
sufficiently make it inoperable
0. PROVISIONAL REMEDIES IN CRIMINAL CASES
RULE 127 PROVISIONAL REMEDIES IN CRIMINAL CASES
Section 1. Availability of provisional remedies. —The provisional remedies in civil actions, insofar
Page 278 of 392

as they are applicable, may be availed of in connection with the civil action deemed instituted with the
criminal action. (1a)
Section 2. Attachment. —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:
(a) When the accused is about to abscond from the Philippines;
(b) 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;
(c) When the accused has concealed, removed, or disposed of his property, or is about to do so;
and
(d) When the accused resides outside the Philippines. (2a)
Provisional remedies are not available when

a. Offended party has waived the civil claim
b. Offended party has reserved the civil claim
c. Offended party has already instituted a separate civil action
d. Criminal action carries with it no civil liability.
Note: If civil action has been waived, reserved, or instituted separately, the provisional remedy applicable
should be applied for in the separate civil action instituted [Riano 571, 2011 Updated Ed.]
Issuance and implementation - The writ may be issued ex parte before acquisition of jurisdiction over
the accused [Cuarter v. CA, G.R No. 102448 (1992))
However, it may be implemented only after acquisition of jurisdiction over the person of the accused
[Gonzalez v. State Properties, G.R. No. 140765 (2001)]
A public prosecutor has the authority to apply for preliminary attachment to protect the interest of the
offended party, particularly considering that the corresponding civil liability of the culprits is to be
determined therein, no reservation having been made of the right to enforce it in a separate civil action
[Santos v. Judge Flores, G.R. No. L-18251 & L-18252 (1962)]
No notice to the adverse party or hearing on the application is required before a writ of preliminary
attachment may issue as a hearing would defeat the purpose of the provisional remedy. The time which
such hearing would take could be enough to enable the defendant to abscond or dispose of his property
before a writ of attachment may issue [Mindanao Savings and Loan Assoc. v. CA, G.R. No. 84481
(1989)]
Injunction
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General rule: Criminal prosecution may not be stayed or restrained by injunction, preliminary or final.
Exceptions:
1. To afford adequate protection to the constitutional rights of the accused
2. When necessary for the orderly administration of justice or to avoid oppression or multiplicity of
actions;
3. When there is a pre-judicial question which is sub judice
4. When the acts of the officer are without or in excess of authority
5. Where the prosecution is under an invalid law, ordinance or regulation
6. When double jeopardy is clearly apparent
7. Where the court has no jurisdiction over the offense
8. Where it is a case of persecution rather than prosecution
9. Where the charges are manifestly false and motivated by the lust for vengeance
10. When there is clearly no prima facie case against the accused and a motion to quash on that ground
has been denied, and
11. Preliminary injunction has been issued by the Supreme Court to prevent the threatened unlawful arrest
of petitioners [Brocka v. Enrile, G.R. No. 69863 (1990)]
Appeal (Rules 41, 45)
Appeal from judgments or final orders of the Regional Trial Courts
RULE 41 - Appeal from the RTC to the CA via Rule 41 presupposes that
1. The RTC rendered the judgment or final order in the civil action or special proceeding in the exercise
of its original jurisdiction; and
2. That the appeal is taken to the CA on:

a. Questions of fact or
b. Mixed questions of fact and law [1 Regalado 555, 2010 Ed.]
NOTICE OF APPEAL
Contents
1. Parties to the appeal
2. Judgment or final order or part thereof appealed from
3. Court to which the appeal is being taken, and 4. Material dates showing the timeliness of the
appeal [Sec. 5, Rule 41]
RECORD ON APPEAL
General Rule: No record on appeal shall be required
Exception: In special proceedings and other cases of multiple or separate appeals where the law or the
ROC so require. • In such cases, the record on appeal shall be filed and served in like manner. [Sec. 2(a),
Rule 41]
Page 280 of 392

Contents of the record on appeal

1. Full names of all the parties to the proceedings shall be stated in the caption of the record on
appeal
2. The judgment or final order from which the appeal is taken and,
3. 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,
4. Together with such data as will show that the appeal was perfected on time. [Sec. 6, Rule 41]
Note: The requirement that the record on appeal must show on its face that the appeal was perfected on
time is mandatory and jurisdictional that if not complied with, the appeal must be dismissed. [1 Regalado
563, 2010 Ed.]
Exception: If the trial court issued an order to the effect that the appeal was seasonably perfected with the
filing of the notice of appeal and the record on appeal within the reglementary period. [Pimentel v. CA,
G.R. No. L-39684 (1975)]
If an issue of fact is to be raised on appeal, the record on appeal shall include by reference all the
evidence taken upon the issue involved.
1. The reference shall specify the
a. Documentary evidence by the exhibit numbers or letters by which it was identified
when admitted or offered at the hearing, and
b. Testimonial evidence by the names of the corresponding witnesses
2. 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.
3. Every record on appeal exceeding 20 pages must contain a subject index. [Sec. 6, Rule 41]
Approval of the record on appeal

1. Upon the filing of the record on appeal for approval and if no objection is filed by the appellee
within 5 days from receipt of a copy thereof, the trial court may:
a. Approve it as presented or upon its own motion, or
b. At the instance of the appellee, may direct its amendment
• by the inclusion of any omitted matters which are deemed essential to the determination
of the issue of law or fact involved in the appeal.
2. If the trial court orders the amendment of the record, the appellant, within the time limited in
the order, or such extension thereof as may be granted, or if no time is fixed by the order within
10 days from receipt thereof, shall:
Page 281 of 392

a. Redraft the record by including therein, in their proper chronological sequence, such
additional matters as the court may have directed him to incorporate, and
b. Submit the redrafted record for approval, upon notice to the appellee, in like manner as
the original draft. [Sec. 7, Rule 41]
Joint record on appeal - Where both parties are appellants, they may file a joint record on appeal within
30 days from notice of judgment or final order, or that fixed by the court. [Secs. 3 and 8, Rule 41]
Period to appeal
1. Within 15 days from notice of judgment or final order appealed from
2. Within 30 days from notice of judgment or final order where a record on appeal is required
3. Within 48 hours from notice of judgment or final order appealed from in habeas corpus cases [Sec. 3,
Rule 41]
Reckoning point of reglementary period

Period for filing the appeal should be counted from the date when the party’s counsel received a copy
of the judgment or final order because that is the effective service of the decision. When a party is
represented by counsel, service of process must be made on counsel, not on the party. [Fajardo v. CA,
G.R. No. 140356 (2001); Sec. 2, Rule 13]
Note: The mere filing and pendency of motion for extension to perfect appeal does not suspend the
running of the reglementary period. [King v. Corro, G.R. No. L-23617 (1967)]
The period to appeal may be extended but such extension is addressed to the sound discretion of the
court. [Gregorio v. CA, G.R. No. L-43511 (1976)]
Note: If the trial court approves the record on appeal even if the period for the appeal has expired, this is
tantamount to a valid order granting the extension prayed for by the appellant if any such motion has been
filed
[Berkenkotter v. CA, G.R. No. L-36629 (1973)] Conversely, dismissal constitutes a denial of the
extension prayed for, in which case the only question that can arise is whether the trial court had gravely
abused its discretion in denying such extension. [PVTA v. Delos Angeles, G.R. No. L-29736, (1974)]
Pleadings to be filed
1. Appellant’s brief
2. Appellee's brief
3. Appellant’s reply brief
Appellant’s brief - It shall be the duty of the appellant to file with the court, within 45 days from receipt
of the notice of the clerk that all the evidence, oral and documentary, are attached to the record, 7 copies
of his legibly typewritten, mimeographed or printed brief, with proof of service of 2 copies thereof upon
the appellee. [Sec. 7, Rule 44]
Page 282 of 392

Note: Under Sec. 5(b) of the Efficient Use of Paper Rule [A.M. 11-9-4-SC], file one original (properly
marked) and 2 copies with their annexes with the CA.
Grounds for dismissal with respect to appellant’s brief:

1. Failure of the appellant to serve and file the required number of copies of his brief within the time
provided by the ROC, or
2. Absence of specific assignment of errors in the appellant’s brief. [Sec. 1(e)-(f), Rule 50]
Appellee’s brief - Within 45 days from receipt of the appellant’s brief, the appellee shall file with the
court 7 copies of his legibly typewritten, mimeographed or printed brief, with proof of service of 2 copies
thereof upon the appellant. [Sec. 8, Rule 44]
Note: Under Sec. 5(b) of the Efficient Use of Paper Rule [A.M. 11-9-4-SC], file one original (properly
marked) and 2 copies with their annexes with the CA.
Contents
1. Subject index
2. Statement of Facts or Counter-Statement of Facts
3. Argument [Sec. 14, Rule 44]
Appellant’s reply brief - Within 20 days from receipt of the appellee’s brief, the appellant may file a
reply brief answering points in the appellee’s brief not covered in his main brief. [Sec. 9, Rule 44]
Extension of time for filing briefs:

General rule: Not allowed
Exception: Good and sufficient cause, and only if the motion for extension is filed before the expiration
of the time sought to be extended. [Sec. 12, Rule 44]
Payment of docket fees

1. Within the period for taking an appeal, the appellant shall pay to the clerk of the court which rendered
the judgment or final order appealed from, the full amount of the appellate court docket and other lawful
fees.
2. Proof of payment of said fees shall be transmitted to the appellate court together with the original
record or the record on appeal. [Sec. 4, Rule 41]
Note: Payment of docket fees in full is mandatory and is a condition sine qua non for the perfection of an
appeal. Subsequent payment of appellate docket fees does not cure the defect of the appeal because
payment is a jurisdictional requirement. [Santander v Villanueva, G.R. No. L-6184 (1958)]
Perfection of appeal
1. A party’s appeal by notice of appeal is deemed perfected as to him upon the filing of the notice of
appeal in due time.
Page 283 of 392

2. A party’s appeal by record on appeal is deemed perfected as to him with respect to the subject matter
thereof upon the approval of the record on appeal filed in due time. [Sec. 9, Rule 41]
Note: An appellant who fails to perfect his appeal on time due to FAME may file for a petition for relief
under Sec. 2, Rule 38. If his petition for relief is denied, he can file a petition under Rule 65, since the
denial of a petition for relief is no longer appealable under Sec. 1 of Rule 41 [De Luna v. Palacio, G.R.
No. L-26927 (1969)]
Effect of perfected appeal

1. In appeals by notice of appeal, the court loses jurisdiction over the case upon the perfection of the
appeals filed in due time and the expiration of the time to appeal of the other parties.
2. In appeals by record on appeal, the court loses jurisdiction only over the subject matter thereof
upon the approval of the records on appeal filed in due time and the expiration of the time to appeal of the
other parties. [Sec. 9, Rule 41]
Residual powers/jurisdiction of the RTC

In either case, prior to the transmittal of the original record or the record on appeal, the court may
1. Issue orders for the protection and preservation of the rights of the parties which do not involve any
matter litigated by the appeal
2. Approve compromises
3. Permit appeals of indigent litigants
4. Order execution pending appeal in accordance with Sec. 2 of Rule 39, and
5. Allow withdrawal of the appeal [Sec. 9, Rule 41]
Note: There is no residual jurisdiction to speak of where no appeal or petition has even been filed.
[Fernandez v. CA, G.R. No. 131094 (2005)]
Duty of clerk upon perfection of appeal

1. Within 30 days after perfection of all the appeals in accordance with the preceding section, it shall be
the duty of the COC of the lower court:
a. To verify the correctness of the original record or the record on appeal and to make a
certification of its correctness,
b. To verify the completeness of the records that will be transmitted to the appellate court,
c. If found to be incomplete, to take such measures as may be required to complete the records,
availing of the authority that he or the court may exercise for this purpose; and
d. To transmit the records to the appellate court
2. 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
nontransmittal, and the steps taken or that could be taken to have them available.
3. The COC shall furnish the parties with copies of his letter of transmittal of the records to the appellate
Page 284 of 392

Note: Even if the appeal has already been perfected but the records have not yet been transmitted to the
appellate court, the trial court still has jurisdiction to set aside its order approving the record on appeal.
[Cabungcal v. Fernandez, G.R. No. L-16520 (1964)]
Dismissal of appeal - 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:
1. Having been taken out of time, or
2. Non-payment of the docket and other lawful fees within the reglementary period. [Sec. 13,
Rule 41]
RULE 42 - Petition for review from the RTC to the CA

Appeal via Rule 42 is proper when one appeals from a decision of the RTC in the exercise of its
appellate jurisdiction.
It may be taken on either questions of fact, questions of law, or on mixed questions of fact and law.
[Macawiwili Gold Mining and Development Co., Inc. v. CA, G.R. No. 115104 (1998)]
This mode of appeal is not a matter of right but is a
matter of discretion on the part of the CA, on
whether or not to entertain the appeal [1 Regalado
581, 2010 Ed.]
Note: Since Rule 42 is a petition for the purpose of

appeal and not petitions in original actions, lower
courts/judges that rendered the judgment complained
of are not impleaded as parties in the appeal. [1
How taken
If a party desires to appeal from a decision of the
RTC in its appellate jurisdiction:
1. File a verified petition for review with the CA

a. Within 15 days from notice of judgment
or final order, or
b. Within 15 days from notice of denial of
petitioner’s MNT or MR
2. Pay at the same time to the clerk of the CA the

corresponding docket and other lawful fees,
3. Deposit PHP 500.00 for costs, and
Page 285 of 392

4. Furnish the RTC and the adverse party with a copy of the petition. [Sec. 1, Rule 42]
Extension of period - Upon proper motion and the payment of the full amount of the docket and other
lawful fees and the deposit for costs before the expiration of the reglementary period, the CA may grant
an additional period of 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 15
days. [Sec. 1, Rule 42]
Effect of appeal
General rule: The appeal shall stay the judgment or final order.
Exceptions:
1. Civil cases decided under the Rule on Summary Procedure, or
2. The CA, the law, or ROC provide otherwise [Sec. 8(a), Rule 42]
Action on petition
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The CA may:
1. Require the respondent to file a comment on the petition, not a motion to dismiss, within 10 days from
notice; or
2. Dismiss the petition if it finds

a. The same to be patently without merit or prosecuted manifestly for delay, or
b. That the questions raised therein are too insubstantial to require consideration [Sec. 4, Rule 42]
Note: Under this Rule, appeal is discretionary on the CA which may give its due course only when the
petition shows prima facie that the lower court has committed error. [1 Riano 600, 2011 Ed.]
Due course
1. If upon the filing of the comment or such other
pleadings as the court may allow or require, or
2. After the expiration of the period for the filing thereof

without such comment or pleading having been submitted,
the CA finds prima facie that the lower court has
committed an error of fact or law that will warrant a
reversal or modification of the appealed decision, it may
accordingly give due course to the petition. [Sec. 6, Rule
42]
Whenever the CA deems it necessary, it may order the

COC of the RTC to elevate the original record of the
case including the oral and documentary evidence
within 15 days from notice. [Sec. 7, Rule 42]
Submission for decision

1. If the petition is given due course, the CA may
a. set the case for oral argument or
b. require the parties to submit memoranda within a period of 15 days from notice.
2. 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. [Sec. 9, Rule 42]
RULE 45 - Appeal by certiorari from the RTC to the SC via Rule 45
RTC must have rendered judgment in the exercise of its original jurisdiction. [1 Regalado 609, 2010
Ed.]
If the RTC is in exercise of its appellate jurisdiction, proper remedy is to appeal to the CA via Rule 42
even if only questions of law are raised. [1 Regalado 609, 2010 Ed.]
Page 287 of 392

Note: A question of law exists when there is a doubt/controversy as to what the law is on a certain
state of facts. There is a question of fact when the doubt/ difference arises as to the truth/ falsehood
of facts. [Ramos v. Pepsi, G.R. No. L-22533 (1967)]
If the test is whether the appellate court can determine the issue raised without reviewing or
evaluating the evidence, it is a question of law. The question must not involve the examination of the
probative value of the evidence presented. [Vda. De Arroyo v. El Beaterio, G.R. No. L22005 (1968)]
Grave abuse of discretion is not an allowable ground under Rule 45. [Martires v. CA, G.R. No. 78036-37
(1990)]
j. Appeal from judgments or final orders of the Court of Appeals
Any alleged errors committed in the exercise of its jurisdiction will amount to nothing more than errors of
judgment which are reviewable by timely appeal and not by special civil action of certiorari. [Chuidian v.
Sandiganbayan (Fifth Division), G.R. No. 139941 (2001)]]
As provided in Rule 45, decisions, final orders or resolutions of the CA in any case, i.e., regardless of
the nature of the action or proceedings involved, may be appealed to the SC by filing a petition for
review, which would be but a continuation of the appellate process over the original case. [Fortune
Guarantee and Insurance Corporation v. CA, G.R. No. 110701 (2002)]
Rule 45 Rule 65
Brings up for review, errors of judgment Writ of certiorari issues for the correction of
committed by the court. errors of jurisdiction only or grave abuse of
discretion amounting to lack or excess of
jurisdiction
Based on questions of law which the appellant Petition raises the issue as to whether the lower
desires the appellant court to resolve court acted without or in excess of jurisdiction or
with grave abuse of discretion
Involves the review of the judgment, award or May be directed against an interlocutory order
final order on the merits of the court prior to appeal from the judgment or
where there is no appeal or any other plain,
speedy or adequate remedy
Must be made within the reglementary period May be filed not later than 60 days from notice
for appeal of the judgment, order or resolution sought to be
assailed
Page 288 of 392

Stays the judgment, award or order appealed from Unless a writ of preliminary injunction or a
TRO shall have been issued, does not stay the
challenged proceeding
Petitioner and respondent are the original parties The parties are the aggrieved party against the
to the action, and the lower court or lower court or quasi-judicial agency and the
quasijudicial agency is not to be impleaded prevailing parties, who thereby respectively
become the petitioner and respondents
Prior filing of a MR is not required MR is a condition precedent [Villa Rey Transit v.

Bello, G.R. No. L-18957 (1963)], subject to
certain exceptions.
Appellate court is in the exercise of its appellate Higher court exercises original jurisdiction
jurisdiction and power of review under its power of control and supervision over
the proceedings of lower courts
Propriety as a mode of appeal
A party desiring to appeal by certiorari from a judgment

or final order or resolution of the CA, the Sandiganbayan,
the RTC or other courts whenever authorized by law,
may file with the SC a verified petition for review on
certiorari. [Sec. 1, Rule 45]
Only questions of law are allowed. The petition shall

raise only questions of law. [Sec. 1, Rule 45]
Whether an appeal involves only questions of law or both

questions of law and fact is best left to the
determination of an appellate court and not by the
court which rendered the decision appealed from . [PNB
v. Romillo, etc., et al., G.R. No. L-70681 (1985)]
Conclusiveness of findings of fact

General rule: The SC is not a trier of facts, and is not to review or calibrate the evidence on record.
Moreover, findings of facts of trial court, as affirmed on appeal by the CA, are conclusive on the court.
[Boston Bank of the Philippines v. Manalo, G.R. No. 158149 (2006)]
Page 289 of 392

Exceptions: CA’s findings of fact may be reviewed by the SC on appeal by certiorari when:
1. Conclusion is a finding grounded entirely on
speculations, surmises or conjectures
2. Inference made is manifestly mistaken,

absurd or impossible
3. There is grave abuse of discretion in the

appreciation of facts
4. Judgment is based on a misapprehension of

facts
5. The CA’s findings of fact are conflicting
6. The CA, in making its findings, went beyond

the issues of the case and the same is contrary
to the admissions of both appellant and
appellee
7. The CA manifestly overlooked certain

relevant facts not disputed by the parties and
which, if properly considered, would justify a
different conclusion
8. The CA’s findings of fact are contrary to

those of the trial court, or are mere conclusions
without citation of specific evidence, or where
the facts set forth by the petitioner are not
disputed by the respondent, or where the
findings of fact of the CA are premised on absence of evidence but are contradicted by the
evidence of record.
Note: The Neypes doctrine which gives a fresh 15-day period to the appellant is also applicable to Rule
45 petitions. [Neypes v. CA, G.R. No. 141524 (2005)
Extension of period - On motion duly filed and served, with full payment of the docket and other lawful
fees and the deposit for costs before the expiration of the reglementary period, the SC may for justifiable
reasons grant an extension of 30 days only within which to file the petition. [Sec. 2, Rule 45]
Grounds for denial of petition

The SC may dismiss the petition on motion or motu proprio upon showing:
Page 290 of 392

a. Failure of petitioner to comply with

1. Payment of docket or other lawful fees
2. Deposit for costs
3. Proof of Service; and
4. Contents of and documents which would accompany the petition
b. Appeal is without merit
c. It is prosecuted manifestly for delay
d. That the questions raised are so unsubstantial as to require consideration. [Sec. 5, Rule 45]
Notes: Although the lower court is not a party to the case, failure to present proof of service of copies to
the lower court and to the adverse party shall result in the outright dismissal of the appeal. This is because
the service is for the purpose of giving the lower court notice that its judgment should not be entered since
it is not yet executory due to the pending petition. [1 Regalado 615-616, 2010 Ed.]
Review is discretionary - A review is not a matter of right, but of sound judicial discretion, and will be
granted only when there are special and important reasons therefore.
The following are examples that may be considered by the court:

1. When the court a quo has decided a question of substance, not theretofore determined by the SC, or has
decided it in a way probably not in accord with law or with the applicable decisions of the SC, or
2. When the court a quo has so far departed from the accepted and usual course of judicial proceedings, or
so far sanctioned such departure by a lower court, as to call for an exercise of the power of supervision
[Sec. 6, Rule 45]
Elevation of records - If the petition is given due course, the SC may require the elevation of the
complete record of the case or specified parts thereof within 15 days from notice. [Sec. 8, Rule 45]
Annulment of Judgment (Rule 47)
Annulment of Judgments or final orders and resolutions
Nature
An action for annulment of judgment is a remedy in equity exceptional in character availed of only
when other remedies are wanting. [Spouses Teano vs The Municipality of Navotas, G.R. No. 205814
(2016)]
Page 291 of 392

It is a remedy independent of the case where the judgment sought to be annulled is rendered. It is
not the continuation of the same case, like in the reliefs of MR, appeal, or petition for relief. [CIR vs
Kepco Ilijan Corp., G.R. No. 199422 (2016)]
Such remedy is considered an exception to the final judgment rule or the doctrine of immutability of
judgments. [Diona v. Balangue, 688 SCRA 22, 34, (2013)]
Rule 47 is not applicable to

 criminal cases. (People v. Bitanga, 26 June 2007).
 judgments or final orders of quasi-judicial bodies, (Imperial v. Armes, 30 Jan 2017, Jardeleza, J.)
Purpose
The purpose of such action is to have the final and executory judgment set aside so that there will be
a renewal of litigation. [Spouses Teano v. The Municipality of Navotas, G.R. No. 205814 (2016)]
When proper
An action for annulment of judgment may be availed of even if the judgment to be annulled has already
been fully executed or implemented. [Islamic Da’wah Council of the Philippines. v. CA, G.R. No. 80892
(1989)]
When not available

The remedy may not be invoked:
a. Where the party has availed himself of the remedy of

 new trial,
 appeal,
 petition for review,
 or other appropriate remedy
and lost, or
b. Where he has failed to avail himself of those remedies through his own fault or negligence.
[Republic v. ‘G’ Holdings, Inc., G.R. No. 141241 (2005)]
Note: It is a condition sine qua non that one must have failed to avail of those remedies, through no
fault attributable to him. Otherwise, he would benefit from his own inaction or negligence. [Republic v.
De Castro, G.R. No. 189724 (2011)]
Page 292 of 392

Instance where non-party was allowed even without fraud or collusion

Even where there was no fraud and collusion, however, the Supreme Court has allowed persons to file
petitions for annulment of judgment to question precisely their non-inclusion as parties to the original
case. (Intestate Estate of the Sian v. Philippine National Bank, 513 SCRA 662, 671 [2007])
a. Grounds for annulment

The annulment may be based only on the grounds of:
b. Extrinsic fraud, and
• Note: Such shall not be a valid ground if it was availed of, or could have been availed of, in
a MNT or petition for relief.
b. Lack of jurisdiction. [Sec. 2, Rule 47]
c. Jurisprudence also recognizes denial of due process as an additional ground. Where a court
approved a commissioner's project of partition when only three of the nine heirs were notified of
the meeting to discuss the project, the aggrieved heirs could resort to R47 in order to nullify the
court's order of approval. (Benatiro v. Heirs of Cuyos, 560 SCRA 478 [2008]).
Extrinsic fraud - It refers to any fraudulent act of the prevailing party in litigation committed outside the
trial of the case where the defeated party
prevented from fully exhibiting his side by fraud or deception practiced on him by his opponents like:
a. Keeping him away from court,
Page 293 of 392

b. Giving him false promise of a compromise, or

c. Where an attorney fraudulently or without authority connives at his defeat. [Cagayan
Economic Zone Authority vs Meridien Vista Gaming Corp, G.R. No. 194962 (2016)]
Note: Use of forged instruments, perjured testimonies, or other manufactured evidence is not extrinsic
fraud since such evidence does not preclude a party’s participation in trial. [Bobis v. CA, G.R. No.
113796 (2000), and Conde v. IAC, G.R. No. 70443 (1986)]
Lack of jurisdiction - Either lack of jurisdiction over the person of the defending party, or over the
subject matter of the claim. [1 Regalado 630, 2010 Ed.]
Petitioner must show absolute lack of jurisdiction and not mere abuse of judicial discretion; a claim
of grave abuse of discretion will support a petition for certiorari but not an action for annulment of
judgment. [1 Riano 633, 2011 Ed.]
Only evidence found in the record can justify nullity. [Arcelona v. CA, G.R. No. 102900 (1997)]
NOTE: In a case where a petition for the annulment of a judgment or final order of the RTC filed under
R47 is grounded on lack of jurisdiction over the person of the defendant/respondent or over the
nature or subject of the action, the petitioner need not allege in the petition that the ordinary
remedy of new trial or reconsideration of the final order or judgment or appeal therefrom are no
longer available through no fault of her own. This is so because a judgment rendered or final order
issued by the RTC without jurisdiction is null and void and may be assailed any time either collaterally or
in a direct action or by resisting such judgment or final order in any action or proceeding whenever it is
invoked, unless barred by laches. (Alvarez v. Domantay, 3 June 2019, Reyes, J.)
Form and contents of petition

1. Verified petition, alleging therein:
a. With particularity the facts and the law relied upon
b. Petitioner’s good and substantial cause of action or defense
2. In 7 clearly legible copies, together with sufficient copies corresponding to the number of respondents
3. Certified true copy of the judgment or final order or resolution shall be attached to the original copy of
the petition intended for the court and indicated as such by the petitioner
4. Affidavits of witnesses or documents supporting the cause of action or defense; and
5. Certificate of non-forum shopping. [Sec. 3, Rule 47]
b. Period to file action
Page 294 of 392

Action of the court
1. Should the court find no substantial merit in the petition, the same may be dismissed outright with
specific reasons for such dismissal.
2. Should prima facie merit be found in the petition, the same shall be given due course and summons
shall be served on the respondent. [Sec. 5, Rule 47]
Note: Prima facie determination is not available in annulment of judgments or final orders of MTCs
before the RTC. [Sec. 10, Rule 47]
Procedure
The procedure in ordinary civil cases shall be observed. Should a trial be necessary, the reception of the
evidence may be referred to a member of the court or a judge of a RTC. [Sec. 6, Rule 47]
c. Effects of judgment of annulment
Based on lack of jurisdiction Based on extrinsic fraud

A judgment of annulment shall The court may on motion order the trial court
to try the case as if a timely motion for new
 set aside the questioned judgment or trial had been granted therein. [Sec. 7, Rule 47]
final order or resolution and
 render the same null and void,
without prejudice to the original action being

refiled in the proper court. [Sec. 7, Rule 47]
Note: The judgment of annulment may include the award of damages, attorney’s fees, and other reliefs.
[Sec. 9, Rule 47]
If the questioned judgment or final order or resolution had already been executed, the court may issue
such orders of restitution or other relief as justice and equity may warrant under the circumstances.
Effect on prescriptive period for refiling of the original action

When suspended - from the filing of said original action until the finality of the judgment of annulment.
When not suspended - where the extrinsic fraud is attributable to the plaintiff in the original action.
[Sec. 8, Rule 47]
Q. Aside from a direct attack under R47, may a void judgment or final order be attacked
collaterally or resisted in any action or proceeding in which it is invoked?
A. Yes. It may be said to be a lawless thing which can be treated as an outlaw and slain at sight, or
ignored wherever and whenever it exhibits its head. Thus it may be assailed anytime, collaterally or in a
Page 295 of 392

direct action or by resisting such judgment or final order in any action or proceeding whenever it is
invoked. (Benatiro v. Heirs of Cuyos, 560 SCRA 478 [2008]).
Small Claims (See UP BOC 2020)
Evidence (See UP BOC 2020)
Special Civil Actions (expropriation, certiorari, prohibition, mandamus, quo warranto)
SPECIAL CIVIL ACTIONS
A. NATURE OF SPECIAL CIVIL ACTIONS

Special civil actions are generally brought or filed for the same purpose as a civil action, that is, for a
party to sue another for the enforcement of a right, or the prevention or redress of a wrong. [1 Riano 495,
2007 Ed.] A special civil action is governed by the rules for ordinary civil actions, subject to the special
rules prescribed for a special civil action. [Sec. 3(a), Rule 1]
B. DISTINGUISH: ORDINARY CIVIL ACTIONS AND SPECIAL CIVIL ACTIONS
Page 296 of 392

C. JURISDICTION AND VENUE
Jurisdiction over special civil actions is determined by the Constitution [e.g. Sec. 5, Art. VIII, for the
Supreme Court] and statutes (e.g. B.P. 129).
Venue is a procedural matter and generally set by the Rules of Court. Hence, the venue of civil actions is
determined by the general rules on venue, unless otherwise subject to special rules for special civil actions
(e.g. quo warranto). [1 Regalado 771, 2010 Ed.]
G. CERTIORARI, PROHIBITION AND MANDAMUS

1. Definitions and distinctions
2. Requisites
3. When petition for certiorari, prohibition and mandamus is proper
Certiorari Prohibition Mandamus

Certiorari is a writ
Prohibition is a writ Mandamus is a writ to
emanating from the proper issued by the proper compel a tribunal,
court directed against any court and directed corporation, board, officer
tribunal, board or officer against any tribunal, or person to do the act
exercising judicial or quasi-
corporation, board, required to be done to
judicial functions, the
officer or person, protect the rights of the
purpose of which is to whether exercising petitioner
correct errors of
judicial, quasi-judicial or
jurisdiction - i.e. withoutministerial functions, when the respondent
or in excess of
commanding the unlawfully neglects the
jurisdiction, or with graverespondent to desist performance of an act
abuse of discretion
from further which the law
amounting to the same. proceedings in the specifically enjoins as a
DEFINITION [Sec. 1, Rule 65] action or matter duty resulting from an
specified therein [Sec. 2, office, trust, or station, or
Purpose: To annul or Rule 65]
modify judgment, order, excludes another from
resolution or proceedings. the use and enjoyment of
a right or office to which
such other is entitled, and
there is no other plain,

speedy and adequate
remedy in the ordinary
course of law. [Sec. 3,
Rule 65]
REQUISITES a. Respondent is exercising a. Respondent is a. Respondent unlawfully
Page 297 of 392

judicial or quasi- judicial exercising judicial or

function; quasi- judicial or 1. Neglects the
ministerial function; performance of an act
b. Respondent acted which the law
without or in excess of its b. Respondent acted specifically enjoins as a
jurisdiction or acted with without or in excess of duty resulting from an
grave abuse of its jurisdiction or acted office, trust, or station,
discretion amounting to with grave abuse of
lack of jurisdiction; discretion amounting or
to lack of jurisdiction;
and 2. Excludes another from
and the use and enjoyment of
c. There must be no a right or office to which
appeal or no other c. There must be such other is entitled,
plain, speedy, and no appeal or no
adequate remedy.
other plain, speedy, and
[Sec. 1, Rule 65;
Barbers v. and adequate
COMELEC, G.R. remedy. [Sec. 1, b. There is no other plain,
No. 165691 (2005)] Rule 65; Barbers v. speedy and adequate
COMELEC, G.R. remedy in the ordinary
No. 165691 (2005)] course of law. [Sec. 3,
Rule 65]
WHEN Certiorari is a corrective Prohibition is a There must be a well-
PROPER remedy used to correct preventive remedy. defined, clear legal right
errors of jurisdiction, not However, to prevent the or duty. [Valmonte v.
errors of judgment. respondent from Belmonte, G.R. No. 74930
performing the act (1989)]
Note: Errors of judgement sought to be prevented
are those errors arising during the pendency of The duty must be
from erroneous conclusions the proceedings for the enjoined by law; hence, a
of law. They are reviewable writ, the petitioner contractual duty cannot be
by appeal, not by certiorari. should obtain a enforced by mandamus
[Heirs of Valientes v. restraining order and/or [Province of Pangasinan v.
Ramas, 638 SCRA 444] a writ of preliminary Reparations Commission,
injunction. [1 Regalado G.R. No. L-27448 (1977)]
Questions of fact cannot 801, 2010 Ed.]
be raised in an original The respondent must be
action for certiorari. Only The office of prohibition exercising a ministerial
established or is not to correct errors duty. [Roble Arrastre, Inc.
admitted facts may be of judgment but to v. Villaflor, G.R. No.
considered. [Suarez v. prevent or restrain 128509 (2006)]
NLRC, G.R. No. 124723 usurpation by inferior
(1998)] tribunals and to As such, mandamus “will
compel them to lie to compel discharge of
Page 298 of 392

General rule: Where an observe the limitation the discretionary duty

appeal is available, of their jurisdictions. [3 itself but not to control
certiorari will not lie [Jose Herrera 321, 2006 Ed.] the discretion to be
v. Zulueta, G.R. No. L- exercised.
16598 (1961)] General rule:
Prohibition, as a rule, In other words, a
Exceptions: does NOT lie to mandamus can be issued
a. Where appeal does not restrain an act which is to require action, but not
constitute a speedy and already fait accompli specific action.”
adequate remedy; (one that has already [Association of Small
been done) [Cabañero Landowners in the
b. Where orders were also and Mangornong v. Philippines, Inc. v. Sec. of
issued either in excess of or Torres, G.R. No. L- Agrarian Reform, G.R.
without jurisdiction; 43352 (1935)] No. 78742 (1989)]
c. For certain special Exception: A writ of However, in extreme

considerations, as public prohibition will lie to situations generally in
welfare or public policy; prevent the unlawful criminal cases, mandamus
creation of a new lies to compel the
d. Where, in criminal province by those in the performance by the fiscal
actions, the court rejects the corridors of power who of discretionary functions
rebuttal evidence for the could avoid judicial where his actuations are
prosecution as, in the case intervention and review tantamount to a willful
of acquittal, there could be by merely speedily and refusal to perform a
no remedy; stealthily completing the required duty. [1 Regalado
commission of such 804, 2010 Ed.]
e. Where the order is a illegality. [Tan v.
patent nullity; and COMELEC, G.R. No. Mandamus is the proper
73155 (1986)] remedy when the
f. Where the decision in the respondent unlawfully
certiorari case will avoid excludes the petitioner
future litigations. [Villarica from a public office,
Pawnshop v. Gernale, G.R. position or franchise to
No. 163344 (2009)] which the latter is entitled
without usurping,
intruding into or
unlawfully holding the
office.
However, if the
respondent claims any
right to the office and
usurps, intrudes into or
unlawfully holds it against
Page 299 of 392

the petitioner, quo

warranto is the proper
remedy [Sec. 1, Rule 66]
Notes on certiorari:
a. A respondent is said to be exercising judicial functions where he has the power to determine what the
law is and what the legal rights of parties are.
b. Quasi-judicial function is a term which applies to the action of administrative officers or bodies to
investigate facts and draw conclusions. [2 Riano 195, 2016 Bantam Ed.]
c. The acts that may be the object of the petition are:
1. Acts without jurisdiction - It refers to a case where the court or quasi-court does not have subject-
matter jurisdiction over the case or dispute.
2. Excess of jurisdiction - It refers to a case where the court or quasi-court has subject-matter jurisdiction
but it issues an order which it has no power or which is beyond its power to do so.
3. Grave abuse of discretion - connotes capricious and whimsical exercise of judgement as to be
equivalent to lack or excess of jurisdiction. [2 Riano 205, 2016 Bantam Ed.]
NOTES:
 Administrative agencies, such as the Department of Agrarian Refonn Adjudication Board
(DARAB), are not courts of law exercising judicial power. The power to issue writs of
certiorari is an incident of judicial review. Thus, administrative agencies may not issue writs
of certiorari to annul acts of officers or state organs even when they exercise supervisory
authority over these officers or organs. (Zoleta v. Land Bank, 9 August 2017, Leanen, J.).
 SC’s Expanded jurisdiction of Certiorari and Prohibition - As a rule, the special civil actions
for certiorari would lie only as against judicial and quasi-judicial acts, with respect to certiorari,
and judicial, quasi-judicial, and ministerial acts, with respect to prohibition.
Page 300 of 392

With respect to the Supreme Court, however, the remedies of certiorari and prohibition are
necessarily broader in scope and reach, and the writ of certiorari or prohibition may be
issued to correct errors of Jurisdiction committed not only by a tribunal, corporation,
board or officer exercising judicial, quasi-judicial or ministerial functions but also to set
right, undo and restrain any act of grave abuse of discretion amounting to lack or excess of
jurisdiction by any branch or instrumentality of the Government, even if the latter does not
exercise judicial, quasi-judicial or ministerial functions. This application is expressly
authorized by the text of the second paragraph of Section 1, Article VIII of the Constitution on
the expanded judicial power of the SC. (Villanueva v. Judicial and Bar Council, 7 April 2015,
e.b., Reyes, J.; Council of Teachers and Staff of Colleges and Universities of the Philippines v.
Secretary of Education, 9 October 2018, e.b., Caguioa, J.).
 Motion for reconsideration required before Petition for Certiorari may be availed of - the
general rule is that the person filing a special civil action for certiorari should first have moved
for the reconsideration of the court or quasijudicial body's decision. The reason is to afford the
court or body an opportunity at the first instance to correct the imputed error. (B.A. Finance Corp.
v. Pineda, L-61628, 29 December 1982).
Is the foregoing rule subject to exceptions?

A. Yes. In the following instances, a prior motion for reconsideration is not necessary:
1) When the challenged order is a patent nullity
2) When the case involves matters of extreme urgency.
3) When the issue raised is one purely of law.
4) Where public interest is involved.
5) When the question raised in the certiorari petition had been properly raised, argued and
submitted to the respondent court or body and passed upon by it.
Parties cannot seek reconsideration, nor appeal decisions in summary judicial proceedings under
the Family Code because by express mandate of Article 247 of the Family Code, judgments
rendered thereunder are immediately final and executory.
While parties are precluded from filing a motion for reconsideration or a notice of appeal,
in a petition for declaration of presumptive death, they may challenge the decision of the
court a quo through a petition for certiorari to question grave abuse of discretion amounting to
lack of jurisdiction. (Republic v. Catubag, 18 April 2018, Reyes, J.).
 The grant of an informer's reward for the discovery, conviction, and punishment of tax
offenses is a discretionary quasi-judicial matter that cannot be the subject of a writ of
mandamus. It is not a legally mandated ministerial duty. This reward cannot be given to a person
who only makes sweeping averments about undisclosed wealth, rather than specific tax offenses,
and who fails to show that the information which he or she supplied was the undiscovered pivotal
cause for the revelation of a tax offense, the conviction and/or punishment of the persons liable,
and an actual recovery made by the State. (Lihaylihay v. Tan, 23 July 2018, Leonen, J.).
4. Injunctive relief
General rule: The petition shall not interrupt the course of the principal case
Page 301 of 392

• The public respondent shall proceed with the principal case within 10 days from filing of the
petition for certiorari with the higher court, absent a TRO or preliminary injunction, or upon its
expiration.
• Failure of the public respondent to proceed with the principal case may be a ground for an
administrative charge. [Sec. 7, Rule 65, as amended by A.M. No. 077-12-SC]
Exceptions:
a. When a TRO or a writ of preliminary injunction has been issued, enjoining the public
respondent from further proceeding with the case. [Sec. 7, Rule 65, as amended by A.M. No. 07-
7-12-SC]
b. The doctrine of judicial courtesy: Even if there is no injunction issued, the lower court should
defer to the higher court where there is a strong probability that the issues before the higher court
would be rendered moot and moribund as a result of the continuation of proceedings in the court
of origin. [Republic v. Sandiganbayan, G.R. No. 166859 (2006)]
d. Where a person has been adjudged in direct contempt and he avails himself of the remedies of
certiorari or prohibition, the execution of the judgment shall be suspended pending resolution of
the petition, provided such person files a bond. (S2 R71).
5. Distinguish: certiorari, appeal by certiorari, and Article VIII, Section 1 of the Constitution
Page 302 of 392

6. Distinguish: prohibition, mandamus, and injunction
Page 303 of 392

7. When and where to file petition
Q. When may a petition for certiorari, prohibition, or mandamus be filed?
A. The petition may be filed not later than 60 days from notice of the judgment, order or resolution.
In case a motion for reconsideration or new trial is timely filed, whether such motion is required or
not, the 60-day period shall be counted from notice of the denial of said motion. (S4 R65).
The 60-day period would not apply in case there is no judgment, order or resolution to be assailed, as for
instance in a mandamus petition where what is being assailed is the continuing refusal to perform a
ministerial duty.
Take note however that a petition for certiorari seeking to restrain or set aside actions taken by the
Monetary Board of the BSP in respect of conservatorship, receivership, and liquidation
proceedings should be filed within 10 days from receipt by the board of directors of the institution
of the order directing conservatorship, receivership, or liquidation. (Sec. 30, New Central Bank Act).
Also a petition for mandamus based on unlawful exclusion from public office must be filed within
one year from such exclusion. (Galano v. Roxas, 67 SCRA 8, 16 [19751).
Q. Where should the petition for under R65 be filed?
RTC exercising jurisdiction over the territorial the petition relates to the act or omission of a
area as defined by the SC MTC or of a corporation, a board, an officer or a
person
Page 304 of 392

petition involves an act or an omission of a quasi-

judicial agency, unless otherwise provided by law
CA
or these rules
election cases involving an act or an omission of a

filed exclusively with the COMELEC, in aid of
MTC or RTC
its appellate jurisdiction.
CA or with the Sandiganbayan whether or not in the same is in aid of the court's
appellate jurisdiction
8. Exceptions to filing of motion for reconsideration before filing petition
Exceptions: An MR may be dispensed with in some cases, such as:
a. Where the order is a patent nullity;

b. Where questions raised in the certiorari proceeding have been duly raised and passed upon by the lower
court, or are the same as those raised and passed upon in the lower court;
c. Where there is urgent necessity for the resolution of the question and any further delay would prejudice
the interests of the Government;
d. Where under the circumstances, an MR would be useless, as where the court had already indicated that
it would deny any MR of its questioned order;
e. Where the petitioner was deprived of due process and there is extreme urgency for relief;
f. Where, in a criminal case, relief from an order of arrest is urgent and granting such relief by trial court
is improbable;
g. Where the proceedings in the lower court are a nullity for lack of due process;
h. Where the proceeding was ex-parte or in which the petitioner had no opportunity to object;
i. Where the issue raised is one purely of law or where public interest is involved;
j. Where the subject matter of the action is perishable. [Ombudsman v. Laja, G.R. No. 169241 (2006)]
9. Reliefs petitioner is entitled to
Reliefs
Court may:
a. Issue orders expediting the proceedings, and it may also grant a temporary restraining order or a writ of
preliminary injunction for the preservation of the rights of the parties. [Sec. 7, Rule 65]
b. Incidental reliefs as law and justice may require. [Secs. 1-2, Rule 65]
c. Other reliefs prayed to which the petitioner is entitled. [Sec. 8, Rule 65]
d. Disciplinary sanctions for erring lawyers for patently dilatory and unmeritorious petitions for certiorari.
[Sec. 8, Rule 65]
Prayers
Certiorari Prohibition Mandamus
a. That the judgment be a. That the judgment be a. That the judgment be
Page 305 of 392

rendered annulling or modifying rendered commanding the rendered commanding the

the proceedings of such tribunal, respondent to desist from further respondent, immediately or at
board or officer; and proceedings in the action or some other time to be specified
matter specified; by the court, to do the act
b. Granting such incidental required to be done to protect
reliefs as law and justice may or the rights of the petitioner; and
require [Sec. 1, Rule 65]
b. Otherwise granting such b. To pay the damages sustained
incidental reliefs as law and by the petitioner by reason of
justice may require [Sec. 2, Rule the wrongful acts of the
65] respondent [Sec. 3, Rule 65]
10. Acts or omissions of first-level/Regional Trial Courts in election cases
In election cases involving an act or omission of a municipal or RTC, the petition [for certiorari,
prohibition, or mandamus] shall be filed exclusively with the COMELEC, in aid of its appellate
jurisdiction. [Sec. 4, par. 3, Rule 65 as amended by A.M. No. 07-7-12- SC (2007)]
11. Effects of filing of an unmeritorious petition

The court may dismiss the petition if:
a. It finds the same patently without merit or prosecuted manifestly for delay, or
b. If the questions raised therein are too insubstantial to require consideration.
Effect of dismissal
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.
• The Court may impose motu proprio, based on res ipsa loquitur, other disciplinary
measures on erring lawyers for patently dilatory and unmeritorious petitioner for
certiorari. [Sec. 8, Rule 65]
H. QUO WARRANTO
In Latin, quo warranto means "by what right or authority."
It is a special civil action brought in the name of the Republic against the usurpation of public office,
position or franchise, and commenced by the filing of a verified petition.
Page 306 of 392

It may also be brought by an individual in his own name, who claims to be entitled to a public office or
position usurped or unlawfully held or exercised by another.
Q. Against whom may a quo warranto case be brought?
A. Against:
1) A person who usurps, intrudes into, or unlawfully holds or exercises a public office, position or
franchise.
2) A public officer who does or suffers an act which, by the provision of law, constitutes a ground
for the forfeiture of his office; or
3) An association which acts as a corporation within the Philippines without being legally
incorporated or without lawful authority so to act. (S1 R65).
Note however that a quo warranto proceeding in the third case is within the original and exclusive
jurisdiction of the regional trial court pursuant to Sec. 5.2 of the Securities Regulation Code, in
relation to Section 5(b) of P.O. No. 902-A which speaks of a controversy "between [a] corporation ... and
the state insofar as it concerns [the corporation's] franchise or right to exist." (See also A.M. No. 0303-03-
SC effective 1 July 2003).
When not proper

1. Against persons who usurp an office in a private corporation [Calleja v. Panday, G.R. No. 168696
(2006)]
2. If the dispute is as to the counting of votes or on matters connected with the conduct of the
election, a quo warranto is not the proper remedy but an election protest. [Cesar v. Garrido, G.R. No.
30705 (1929)]
3. Acts or omissions, even if it relates to the qualification of integrity, being a continuing

requirement but nonetheless committed during the incumbency of a validly appointed and/or
validly elected official, cannot be the subject of a quo warranto proceeding. [Republic v. Sereno, G.R.
No. 237428 (2018)]
Jurisdiction:
The Supreme Court, the Court of Appeals, and the Regional Trial Courts have original and
concurrent jurisdiction.
The Sandiganbayan has original jurisdiction in quo warranto arising in cases filed under Executive Order
Nos. 1, 2, 14, 14-A, in aid of its appellate jurisdiction. (Sec. 4, P.D. No. 1606).
Page 307 of 392

Quo warranto actions against corporations with regard to franchises and rights granted to them, as
well as the dissolution of corporations now fall under the jurisdiction of the RTC. [Sec. 5.2, RA No. 8799
Securities Regulation Code in relation to P.D. 902-A; Unilongo v. CA, G.R. No. 123910 (1999)]
The usurpation of an office in a private corporation falls under the jurisdiction of the RTC under Sec.
5.2, R.A. 8799 Securities Regulation Code in relation to P.D. 902-A; Calleja v. Panday, G.R. No. 168696
(2006)]
1. Distinguish: quo warranto under the Rules of Court and quo warranto under the Omnibus
Election Code
Quo warranto under Rule 66 Quo warranto in electoral proceedings [Sec.

253, Omnibus Election Code]
Filed by whom:
The OSG, either mandatory or discretionary, as

discussed below.
OR
Any voter
A person claiming to be entitled to a public
office or position usurped or unlawfully held or
exercised by another in his own name. [Sec. 5,
Rule 66]
Where filed:
If against the election of a Member of Congress,
When Commenced by Solicitor General: RTC
regional, provincial or city officer, file in the
Manila, CA, or SC
COMELEC
Otherwise:
If against a municipal or barangay officer, file in
RTC with jurisdiction over the territorial area
the appropriate RTC or MTC, respectively.
where respondent or any of the respondents
resides, CA, or SC [Sec. 7, Rule 66
Period for filing: Within 10 days after proclamation of results
Page 308 of 392

Within one year after the cause of such ouster, or

the right of the petitioner to hold such office or
position, arose
Grounds:
a. A person who usurps, intrudes into, or

unlawfully holds or exercises a public office, a. Ineligibility, or
position or franchise; or
b. Disloyalty to the Republic of the Philippines
c. A public officer who does or suffers
an act which, by the provision of law,
constitutes a ground for the forfeiture
of his office [Sec. 1, Rule 66]
Effect:
The occupant who was declared ineligible or
When the respondent is found guilty of usurping, disloyal will be unseated but the petitioner may be
intruding into, or unlawfully holding or exercising declared the rightful occupant of the office if the
a public office, position or franchise, judgment respondent is disqualified and the petitioner
shall be rendered that such respondent be ousted received the second number of votes. [Maquiling
and altogether excluded therefrom, and that the v. COMELEC, G.R. No. 195649 (2013)]
petitioner or relator, as the case may be, 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. [Sec. 9,
Rule 66]
If judgment be 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, take upon himself the execution of the office,
and may 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. If the
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. The person adjudged
entitled to the office may also bring action against
the respondent to recover the damages sustained
by such person by reason of the usurpation. [Sec.
Page 309 of 392

10, Rule 66]
2. When government commences an action against individuals or associations
Q. When is quo warranto compulsory?

A. The Solicitor General or a public prosecutor, when
 directed by the President of the Philippines, or
 when upon complaint where the OSG has good reason to believe that any of the cases specified in
S1 R66 can be established by proof,
must commence the action.
Q. When is quo warranto discretionary?
A. The Solicitor General or a public prosecutor may, with the permission of the court in which the
action is to be commenced, bring such an action at the request and upon the relation of another person;
but in such case the officer bringing it may first require an indemnity for the expenses and costs of the
action in an amount approved by and to be deposited in the court by the person at whose request and
upon whose relation the same is brought.
3. When individual may commence an action

A person claiming to be entitled to a public office or position usurped or unlawfully held or exercised by
another may bring an action therefor in his own name.
QUO WARRANTO ACTION COMMENCED QUO WARRANTO ACTION COMMENCED

BY A PRIVATE INDIVIDUAL BY THE SOLICITOR GENERAL OR
PUBLIC PROSECUTOR
it is necessary for the petitioner to prove his right it is not necessary that there be a person claiming
to the office in dispute. If he fails to prove this, it to be entitled to the office alleged to have been
is unnecessary for the court to pass upon the right usurped.
of the respondent to the office.
The duty of the court is to pass upon the right
of the respondent only.
Prescriptive period for bringing a quo warranto action affecting title to public office
- The action must be brought within one year after the cause of such ouster, or the right of the petitioner
to hold such office or position arose. (S11 R66)
Page 310 of 392

XPN: The one-year limitation is not applicable when the quo warranto action is filed by the State at
its own instance through the Solicitor General. Here the petitioner is not a mere private individual
pursuing a private interest, but the government itself seeking relief for a public wrong and suing for
public interest. ~Republic v. Sereno, 11 May 2018, e.b., Tijam, J.).
XPN to XPN: The one-year prescriptive period shall apply to a quo warranto action even if filed by the
Solicitor General or public prosecutor but at the request and upon relation of another person.
Prescriptive period for bringing an action for damages sustained by the person adjudged entitled to
the office as a result of the usurpation - Within one year after the entry of the judgment establishing the
petitioner's right to the office in question. (S11 R66).
NOTE: The Supreme Court has held that in quo warranto proceedings, no one is compelled to exhaust
administrative remedies since public interest requires that the right to public office should be
determined as expeditiously as possible. Furthermore, the action for quo warranto must be brought within
one year from the date of ouster. (Galano v. Roxas, 67 SCRA 8, [1975]
4. Judgment in quo warranto action

When respondent is found guilty of usurping into, intruding into, or unlawfully holding or exercising a
public office, position, or franchise, judgment shall be rendered that:
a. Such respondent is ousted and altogether excluded therefrom; and
b. Petitioner, as the case may be, recovers his costs.
Note: Further judgment may be rendered determining the respective rights in and to the public
office, position, or franchise of all parties to the action as justice requires.
5. Rights of a person adjudged entitled to public office
When judgment is rendered in favor of a person averred in the complaint to be entitled to the public
office, such person may take upon himself:
a. The execution of the office after taking the oath of office and executing any official bond
required by the law;
b. Demand of the respondent all the books and papers in the respondent’s custody or
control appertaining to the office to which judgment relates. - If the 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. [Sec. 10, Rule 66]
6. Limitations
Nothing contained in Rule 66 shall be construed:
Page 311 of 392

a. To authorize an action against a public officer or employee for his ouster from office
unless the same be commenced within 1 year after the cause of such ouster, or the right of the
petitioner to hold office arose, nor
b. To allow the person entitled to the office to file for damages unless the action is
commenced within 1 year after the entry of judgement establishing the petitioner’s right to the office in
question. [Sec. 11, Rule 66]
I. EXPROPRIATION
Eminent domain is the right of the state or the sovereign to take private property for public use upon
payment of just compensation.
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.
Q. What entities may exercise the power of eminent domain?

A.
1) The State.
2) Local governments. (Sec. 19, Local Government Code). There must' be an ordinance passed by the
LGU, a mere resolution will not suffice. (Beluso v. Mun. of Panay, Capiz, G.R. No. 153974, 7 August
2006).
3) Public utilities when authorized by their franchise.
Jurisdiction: Jurisdiction over eminent domain cases lies with the regional trial court. An expropriation
case is one whose subject matter is incapable of pecuniary estimation. The subject of an expropriation
case is the determination of the government's right to take private property for public use. (Brgy. San
Roque v . . Pastor, G.R. 138896, 20 June 2000)
Requisites:
1. The property taken must be private property;
2. There must be genuine necessity to take the private property;
3. The taking must be for public use;
4. There must be payment of just compensation; and
5. The taking must comply with due process of law. [Manapat v. CA, G.R. No. 110478 (2007)]
Page 312 of 392

There is taking when the expropriator enters private property not only for a momentary period but for a
more permanent duration for the purpose of devoting the property to a public use in such a manner as to
oust the owner and deprive him of all the beneficial enjoyment thereof. [Republic v. Sarabia, G.R. No.
157847 (2005)]
1. Matters to allege in complaint for expropriation
The verified complaint shall

a. State with certainty the right and purpose of expropriation,
b. Describe the real or personal property sought to be expropriated, and
c. Join as defendants all persons owning or claiming to own, or occupying, any part thereof or interest
therein, showing, so far as practicable, the separate interest of each defendant.
Note: If the title to any property sought to be expropriated appears to be in the Republic of the
Philippines, although occupied by private individuals, or if the title is otherwise obscure or doubtful so
that the plaintiff cannot with accuracy or certainty specify who are the real owners, averment to that effect
shall be made in the complaint. [Sec. 1, Rule 67]
2. Two stages in every action for expropriation
First stage: Propriety of expropriation

a. This stage involves the 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
b. Ends with an order of dismissal or order of condemnation declaring that the plaintiff has a lawful
right to take the property sought to be condemned, for the public use or purpose described in the
complaint, upon the payment of just compensation to be determined as of the date of the filing of the
complaint.
1. An order of dismissal, would be a final one, since it finally disposes of the action and leaves
nothing more to be done by the court on the merits.
2. So, too, would an order of condemnation be a final one, for thereafter, as the ROC expressly
states, in the proceedings before the Trial Court, "no objection to the exercise of the right of
condemnation (or the propriety thereof) shall be filed or heard.” [National Power Corporation v.
Posada, G.R. No. 191945 (2015)]
Note: A final order sustaining the right to expropriate the property may be appealed by any party
aggrieved thereby. Such appeal, however, shall not prevent the court from determining the just
compensation to be paid. [Sec. 4, Rule 67]
Second Stage: Just compensation
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a. This stage involves the determination by the Court of "the just compensation for the property
sought to be taken” with the assistance of not more than three (3) commissioners.
b. The order fixing the just compensation on the basis of the evidence before, and findings of, the
commissioners would be final, too. It would finally dispose of the second stage of the suit, and leave
nothing more to be done by the Court regarding the issue. [National Power Corporation v. Posada, G.R.
No. 191945 (2015)]
3. When plaintiff can immediately enter into possession of the real property
The plaintiff shall have the right to take or enter upon possession of the real property upon:
a. Filing of complaint or at any time thereafter,
b. After due notice to defendant, and
c. Making a preliminary deposit [Sec. 2, Rule 67]
NOTE: What is required under S2 R67 is due notice to the defendant but not a hearing.
4. New system of immediate payment of initial just compensation

R.A. 10752 (For national government infrastructure projects) Republic Act 10752, also known as “The
Right of Way Act” ensures that owners of real property acquired for national government infrastructure
projects are promptly paid just compensation for the expeditious acquisition of the required right-of-way
for the projects.
Upon the filing of the complaint or at any time thereafter, and after due notice to the defendant, the
implementing agency shall immediately deposit to the court in favor of the owner the amount
equivalent to the sum of
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a. 100% of the value of the land based on the current relevant zonal valuation of the BIR issued
not more than 3 years prior to the filing of the expropriation complaint
b. The replacement cost at current market value of the improvements and structures as
determined by
1. The implementing agency
2. A government financial institution with adequate experience in property appraisal, and
3. An independent property appraiser accredited by the BSP.
c. The current market value of crops and trees located within the property as determined by
a government financial institution or an independent property appraiser to be selected as indicated
in Sec. 5(a)
Upon compliance with the guidelines above mentioned, the court shall immediately issue to the
implementing agency an order to take possession of the property and start the implementation of the
project. [Sec. 6, R.A. 10752]
For non-government infrastructure projects: If expropriation is engaged in by the national

government for purposes other than national infrastructure projects, the assessed value standard and
deposit mode prescribed in Rule 67 continues to apply. In such a case, the government is required only
to make an initial deposit with an authorized government depository. [2 Riano 297-298, 2016 Bantam
Ed.]
In case of expropriation by a local government unit - The local government unit may immediately take
possession of the property upon the filing of the expropriation proceedings and upon making a deposit
with the proper court of at least 15% of the fair market value of the property based on the current
tax declaration of the property to be expropriated.
NOTE: While S4 R67 provides that just compensation shall be determined at the time of the
filing of the complaint if the filing precedes the taking, such provision cannot prevail over
Section 19 of the Local Government Code, a substantive law, which states that just
compensation should be based on the fair market value of the property at the time of the
taking of the property. (City of Cebu v. Dedamo, 7 May 2002, Davide, C.J.) Hence in
expropriation by a local government, it is Section 19 of the LGC not S4 R67 which governs.
5. Defenses and objections
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NOTE: At the trial of the issue of just compensation, whether or not a defendant has previously appeared
or answered, he may present evidence as to the amount of the compensation to be paid for his property,
and he may share in the distribution of the award. (S3 R67).
While under the 1964 Rules the defendant in an expropriation case may file a motion to dismiss, under
the 1997 Rules of Civil Procedure the defendant may no longer file a motion to dismiss. Any
objections or defenses the defendant may have to the taking of his property must be set forth in an
answer. (S3 R67; Masikip v. City of Pasig, G.R. No. 136349, 23 January 2006).
6. Order of expropriation
When shall the order of expropriation issue?
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 If the objections to and the defenses against the right of the plaintiff to expropriate the property
are overruled, or
 when no party appears to defend,
the court may issue an order of expropriation declaring that the plaintiff has a lawful right to take the
property sought to be expropriated, for the public use or purpose described in the complaint and upon
the payment of just compensation. (S4 R67).
If the defendant has no objection or defense to the action or the taking of his property or if no party
appears to defend, the court may issue the order of expropriation without a hearing. Otherwise a hearing
shall be conducted
A final order sustaining the right to expropriate the property may be appealed by any party
aggrieved thereby. Such appeal, however, shall not prevent the court from determining the just
compensation to be paid. (S4 R67).
Manner of appeal: The party taking the appeal shall file a notice of appeal and a record on appeal
within 30 days from notice of the order of expropriation. (Municipality of Binan v. Garcia, 180 SCRA
576). This is because the appeal from the order of expropriation is a separate appeal. (S2[a] R41).
Contents of order:
The court may issue an order of expropriation declaring that:
a. The plaintiff has a lawful right to take the property sought to be expropriated,
b. For the public use or purpose described in the complaint,
c. Upon the payment of just compensation to be determined as of the date of the taking of the
property or the filing of the complaint, whichever came first. [Sec. 4, Rule 67]
7. Ascertainment of just compensation
Just compensation is the

 market value of the property
 plus consequential damages to the property not taken
 less the consequential benefits to be derived by the owner from the public use or purpose of
the property taken
The consequential benefits assessed shall in no case exceed the consequential damages assessed.
This is to avoid the property owner being deprived of the actual value of his property.
Just Compensation = FMV + (CD-CB)
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Consequential benefits refers to the actual benefits derived by the owner on the remaining portion of his
or her land which are the direct and proximate results of the improvements consequent to the
expropriation and not the general benefits which he receives in common with the community
Fair market value or market value is the price at which the property would bring in a market of willing
buyers and willing sellers in the ordinary course of trade and neither operating under pressures or
constraints. (STEVEN GIFIS, LAW DICTIONARY 125 [1975]).
Inverse condemnation refers to the action for recovery of just compensation filed by the property owner
in the situation wherein the State, local government unit or public utility seizes or takes private property
for public use without filing beforehand a complaint for expropriation. It is called inverse because it is the
property owner rather than the State which initiated the proceedings for the payment of just
compensation. (National Power Corporation v. Makabangkit, 24 August 2011, Bersamin, J.).
Upon the rendition of the order of expropriation, the court shall appoint not more than 3 competent
and disinterested persons as commissioners to ascertain and report to the court the just compensation
for the property sought to be taken. [Sec. 5, Rule 67]
Order of appointment:
The order of appointment shall:
a. Designate the time and place of the first session of the hearing to be held by the commissioners,
b. Specify the time within which the commissioners' report shall be submitted to the court,
c. Be served on the parties. [Sec. 5, Rule 67]
NOTE: S5 R67 on the appointment of commissioners does not apply to inverse condemnation
proceedings. Nothing of course prevents the court from appointing commissioners to
determine the just compensation. (Rebadulla v. Republic, 31 January 2018, Tijam, J.).
8. Appointment of commissioners; commissioner's report; court action upon commissioner's report
Qualifications
a. Competent; and
b. Disinterested. [Sec. 5, Rule 67]
Objection to the appointment

Objections to the appointment of any of the commissioners shall be:
a. Filed with the court within 10 days from service, and
b. Resolved within 30 days after all the commissioners shall have received copies of the
objections. [Sec. 5, Rule 67]
Q. Describe in brief the proceedings before the commissioners.
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A.
1) The commissioners have the power to receive evidence and are authorized to administer oaths on
hearings before them.
2) The commissioners, after due notice to the parties to attend, may view and examine the subject
property and its surroundings, and may measure the same.
3) The commissioners shall assess the consequential damages to the property not taken and deduct
therefrom the consequential benefits to be derived by the owner from the public use or purpose of the
property taken. But in no case shall the consequential benefits assessed exceed the consequential damages
assessed. (S6 R67).
4) 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.
5) Upon the filing of the commissioners' report, the clerk of court shall serve copies on all interested
parties, with notice that they are allowed 10 days within which to file objections to the findings of the
report. (S7 R67).
Q What are the actions that the court may take upon the commissioners' report?
A. The court may, after hearing:
1) Accept the report and render judgment in accordance therewith;
2) Recommit the report to the commissioners for further report of facts;
3) Set aside the report and appoint new commissioners; or
4) Accept the report in part and reject it in part.
The court may 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. (S8 R67).
9. Rights of plaintiff upon judgment and payment

The plaintiff shall have the right to:
a. Enter upon the property expropriated and to appropriate it for the public use or purpose defined in the
judgment, or
b. Retain it should he have taken immediate possession thereof under the provisions of Sec. 2, Rule 67.
[Sec. 10, Rule 67]
Note: Such rights of the plaintiff are not delayed by an appeal from the judgment. But if the appellate
court determines that the plaintiff has no right of expropriation, judgment shall be rendered ordering
the RTC to forthwith enforce the restoration to the defendant of the possession of the property, and to
determine the damages which the defendant sustained and may recover by reason of the possession taken
by the plaintiff. (S 11 R67).
 In a case where the Government appealed from the judgment awarding just
compensation to the defendant landowner: Execution pending appeal not applicable to
expropriation proceedings. The reason is that public funds cannot be seized under a writ
of execution. (National Power Corp. v. Rabie, 17 Aug 2016, Carpio, J.).
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All costs, including the commissioners' fees, shall be paid by the plaintiff. However, if the property
owner takes an appeal and the judgment is affirmed, the costs of the appeal shall be paid by the owner.
(S12 R67).
When the rights arise

a. Upon payment by the plaintiff to the defendant of the compensation fixed by the judgment, with legal
interest thereon from the taking of the possession of the property, or
b. After tender to him of the amount so fixed and payment of the costs. [Sec. 10, Rule 67]
If the ownership as to the property is uncertain or there are conflicting claims, the court may order
that the payment be made to the court for the benefit of the person adjudged to be entitled thereto. This is
to enable the plaintiff to enter the property or retain it. [Sec. 9, Rule 67]
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. [Sec. 10,
Rule 67]
Effect of non-payment of just compensation: Non-payment of just compensation does not entitle the
private landowner to recover possession of the expropriated lots. However, in cases where the
government failed to pay just compensation within 5 years from the finality of judgment in the
expropriation proceedings, the owners concerned shall have the right to recover possession of their
property. [Yujuico v. Atienza, G.R. No. 164282 (2005)]
10. Effect of recording of judgment
Contents of the judgment The judgment rendered shall state definitely:
a. By an adequate description, the particular property or interest therein expropriated, and
b. The nature of the public use or purpose for which it is expropriated. [Sec. 13, Rule 67]
When title to property vests

a. Personal property - upon payment of just compensation. [Sec. 10, Rule 67]
b. Real property - Upon
1. Payment of just compensation; and
2. Registration of property (by recording of the judgment in the registry of deeds where the
property is situated) [Sec. 13, Rule 67]
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Special proceedings (habeas corpus, habeas data, writ of amparo, Rules of Procedure for
Environmental Cases) (See UP BOC 2020)
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Ethics (4 Questions)
Qualifications for new lawyers (includes those who reacquire citizenship)
Qualifications
Section 2. Requirements for all applicants for admission to the bar. — Every applicant for
admission as a member of the bar must be a citizen of the Philippines, at least twenty-one years of
age, of good moral character, and resident of the Philippines; and must produce before the Supreme
Court satisfactory evidence of good moral character, and that no charges against him, involving
moral turpitude, have been filed or are pending in any court in the Philippines.
Section 6. Pre-Law. — No applicant for admission to the bar examination shall be admitted unless he
presents a certificate that he has satisfied the Secretary of Education that, before he began the study of
law, he had pursued and satisfactorily completed in an authorized and recognized university or
college, requiring for admission thereto the completion of a four-year high school course, the course
of study prescribed therein for a bachelor's degree in arts or sciences with any of the following subjects
as major or field of concentration: political science, logic, english, spanish, history and economics.
Section 5. Additional requirements for other applicants. — All applicants for admission other than
those referred to in the two preceding section shall, before being admitted to the examination,
satisfactorily show that they have regularly studied law for four years, and successfully completed
all prescribed courses, in a law school or university, officially approved and recognized by the
Secretary of Education. The affidavit of the candidate, accompanied by a certificate from the
university or school of law, shall be filed as evidence of such facts, and further evidence may be
required by the court.
No applicant shall be admitted to the bar examinations unless he has satisfactorily completed the
following courses in a law school or university duly recognized by the government: civil law,
commercial law, remedial law, criminal law, public and private international law, political law,
labor and social legislation, medical jurisprudence, taxation and legal ethics.
Requirements for admission to the Bar:

1. Citizen of the Philippines;
2. At least 21years of age;
3. Of Good moral character;
4. Resident of the Philippines;
5. Must produce before the SC satisfactory Evidence of good moral character;
6. No charges against him, involving moral turpitude, have been filed or are pending in any court in the
Philippines;
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7. Must have successfully completed all the prescribed courses for the degree of Bachelor of Laws or its
equivalent degree, in a law school or university officially recognized by the Philippine Government or by
the proper authority in the foreign jurisdiction where the degree has been granted;
8. Must Pass the bar examinations;
9. Take the lawyer’s Oath
10. Sign the Roll of Attorneys.
A Filipino citizen who graduated from a foreign law school must submit to the SC certifications
showing:
a. Completion of all courses leading to the degree of Bachelor of Laws or its equivalent degree;
b. Recognition or accreditation of the law school by the proper authority;
c. Completion of all fourth-year subjects in the Bachelor of Laws academic program in a law school duly
recognized by the Philippine Government; and
d. Present proof of completing a separate bachelor’s degree.
b. Citizenship; reacquisition of the privilege to practice law in the Philippines

The practice of all professions in the Philippines shall be limited to Filipino citizens save in cases
prescribed by law [Sec. 14, Art. XII, 1987 Constitution].
Filipino citizenship is a requirement for admission to the bar and is, in fact, a continuing
requirement for the practice of law. The loss thereof means termination of the petitioner’s membership
in the bar; ipso jure the privilege to engage in the practice of law… Thus, a Filipino lawyer who
becomes a citizen of another country and later reacquires his Philippine citizenship under R.A. No.
9225, remains to be a member of the Philippine Bar. However, the right to resume the practice of
law is not automatic. R.A. No. 9225 provides that a person who intends to practice his profession in
the Philippines must apply with the proper authority for a license or permit to engage in such
practice [In re: Petition to re-acquire the privilege to practice law in the Philippines of Muneses, B.M.
No. 2112 (2012)].
In In re: Petition to re-acquire the privilege to practice law in the Philippines of Muneses, in pursuance to
the qualifications laid down by the Court for the practice of law, the Office of the Bar Confidant required
Muneses to submit the original or certified true copies of the following documents in relation to his
petition:
1. Petition for Re-Acquisition of Philippine Citizenship;
2. Order (for Re-Acquisition of Philippine citizenship);
3. Oath of Allegiance to the Republic of the Philippines;
4. Identification Certificate issued by the Bureau of Immigration;
5. Certificate of Good Standing issued by the IBP;
6. Certification from the IBP indicating updated payments of annual membership dues;
7. Proof of payment of professional tax; and
8. Certificate of compliance issued by the MCLE office.
These documents will be submitted to the OBC and will be reviewed by the Court en banc for resolution.
Page 323 of 392

Before a lawyer who reacquires Filipino citizenship pursuant to R.A. No. 9225 can resume his law
practice, he must first secure from this Court the authority to do so, conditioned on:
1. the updating and payment in full of the annual membership dues in the IBP;
2. the payment of professional tax;
3. the completion of at least 36 credit hours of mandatory continuing legal education; this is especially
significant to refresh the applicant/petitioner’s knowledge of Philippine laws and update him of legal
developments; and
4. the retaking of the lawyer’s oath which will not only remind him of his duties and responsibilities as a
lawyer and as an officer of the Court, but also renew his pledge to maintain allegiance to the Republic of
the Philippines.
Compliance with these conditions will restore his good standing as a member of the Philippine bar
[Petition for Leave to Resume Practice of Law of Dacanay, B.M. No. 1678 (2007)].
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Page 325 of 392

Code of Professional Responsibility (including duties incorporated in the Lawyer’s Oath)

Lawyer's oath
Section 17. Admission and oath of successful applicants. — An applicant who has passed the
required examination, or has been otherwise found to be entitled to admission to the bar, shall take and
subscribe before the Supreme Court the corresponding oath of office.
LAWYER’S OATH
I, ____________________ do solemnly swear that I will maintain allegiance to the Republic of the
Philippines;
I will support the Constitution and obey the laws as well as the legal orders of the duly constituted
authorities therein;
I will do no falsehood, nor consent to the doing of any in court;
I will not wittingly or willingly promote or sue any groundless, false or unlawful suit, nor give aid nor
consent to the same.
I will delay no man for money or malice, and will conduct myself as a lawyer according to the best of
my knowledge and discretion with all good fidelity as well as to courts as to my clients; and
I impose upon myself these voluntary obligations without any mental reservation or purpose of
evasion. So help me God.
B. DUTIES AND RESPONSIBILITIES OF A LAWYER

Rule 138, Section 20. Duties of attorneys. — It is the duty of an attorney:
(a) To maintain allegiance to the Republic of the Philippines and to support the Constitution and obey
the laws of the Philippines.
(b) To observe and maintain the respect due to the courts of justice and judicial officers;
(c) To counsel or maintain such actions or proceedings only as appear to him to be just, and such
defenses only as he believes to be honestly debatable under the law.
(d) To employ, for the purpose of maintaining the causes confided to him, such means only as are
consistent with truth and honor, and never seek to mislead the judge or any judicial officer by an
artifice or false statement of fact or law;
(e) To maintain inviolate the confidence, and at every peril to himself, to preserve the secrets of his
client, and to accept no compensation in connection with his client's business except from him or with
his knowledge and approval;
(f) To abstain from all offensive personality and to advance no fact prejudicial to the honor or
reputation of a party or witness, unless required by the justice of the cause with which he is charged;
Page 326 of 392

(g) Not to encourage either the commencement or the continuance of an action or proceeding, or delay
any man's cause, from any corrupt motive or interest;
(h) Never to reject, for any consideration personal to himself, the cause of the defenseless or oppressed;
(i) In the defense of a person accused of crime, by all fair and honorable means, regardless of his
personal opinion as to the guilt of the accused, to present every defense that the law permits, to the end
that no person may be deprived of life or liberty, but by due process of law.
CHAPTER I. THE LAWYER AND SOCIETY
A LAWYER SHALL…
CANON 1 - UPHOLD THE CONSTITUTION, OBEY THE LAWS OF THE LAND AND
PROMOTE RESPECT FOR LAW OF AND LEGAL PROCESSES.
CANON 2 - MAKE HIS LEGAL SERVICES AVAILABLE IN AN EFFICIENT AND

CONVENIENT MANNER
CANON 3 - IN MAKING KNOWN HIS LEGAL SERVICES SHALL USE ONLY TRUE, HONEST,
FAIR, DIGNIFIED AND OBJECTIVE INFORMATION OR STATEMENT OF FACTS.
CANON 4 - PARTICIPATE IN THE DEVELOPMENT OF THE LEGAL SYSTEM BY

INITIATING OR SUPPORTING EFFORTS IN LAW REFORM AND IN THE IMPROVEMENT OF
THE ADMINISTRATION OF JUSTICE.
CANON 5 - SHALL KEEP ABREAST OF LEGAL DEVELOPMENTS, PARTICIPATE IN

CONTINUING LEGAL EDUCATION PROGRAMS, SUPPORT EFFORTS TO ACHIEVE HIGH
STANDARDS IN LAW SCHOOLS
CANON 6 - THESE CANONS SHALL APPLY TO LAWYERS IN GOVERNMENT SERVICES IN

THE DISCHARGE OF THEIR TASKS.
CHAPTER II. THE LAWYER AND THE LEGAL PROFESSION
CANON 7 - UPHOLD THE INTEGRITY AND DIGNITY OF THE LEGAL PROFESSION AND
SUPPORT THE ACTIVITIES OF THE INTEGRATED BAR
CANON 8 - CONDUCT HIMSELF WITH COURTESY, FAIRNESS AND CANDOR TOWARDS

HIS PROFESSIONAL COLLEAGUES, AND SHALL AVOID HARASSING TACTICS AGAINST
OPPOSING COUNSEL.
CANON 9 - SHALL NOT, DIRECTLY OR INDIRECTLY, ASSIST IN THE UNAUTHORIZED

PRACTICE OF LAW.
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CHAPTER III. THE LAWYER AND THE COURTS
CANON 10 - OWES CANDOR, FAIRNESS AND GOOD FAITH TO THE COURT.
CANON 11 - OBSERVE AND MAINTAIN THE RESPECT DUE TO THE COURTS AND TO
JUDICIAL OFFICERS
CANON 12 - CONSIDER IT HIS DUTY TO ASSIST IN THE SPEEDY AND EFFICIENT

ADMINISTRATION OF JUSTICE.
CANON 13 - REFRAIN FROM ANY IMPROPRIETY WHICH TENDS TO INFLUENCE, OR

GIVES THE APPEARANCE OF INFLUENCING THE COURT.
CHAPTER IV. THE LAWYER AND THE CLIENT
CANON 14 - SHALL NOT REFUSE HIS SERVICES TO THE NEEDY.
CANON 15 - SHALL OBSERVE CANDOR, FAIRNESS AND LOYALTY IN ALL HIS DEALINGS
AND TRANSACTIONS WITH HIS CLIENTS.
CANON 16 - SHALL HOLD IN TRUST ALL MONEYS AND PROPERTIES OF HIS CLIENT
THAT MAY COME INTO HIS PROFESSION.
CANON 17 - OWES FIDELITY TO THE CAUSE OF HIS CLIENT AND HE SHALL BE

MINDFUL OF THE TRUST AND CONFIDENCE REPOSED IN HIM.
CANON 18 - SHALL SERVE HIS CLIENT WITH COMPETENCE AND DILIGENCE.
CANON 19 - SHALL REPRESENT HIS CLIENT WITH ZEAL WITHIN THE BOUNDS OF THE
LAW.
CANON 20 - SHALL CHARGE ONLY FAIR AND REASONABLE FEES.
CANON 21 - SHALL PRESERVE THE CONFIDENCE AND SECRETS OF HIS CLIENT EVEN
AFTER THE ATTORNEY-CLIENT RELATION IS TERMINATED.
CANON 22 - SHALL WITHDRAW HIS SERVICES ONLY FOR GOOD CAUSE AND UPON
NOTICE APPROPRIATE IN THE CIRCUMSTANCES.
1. Society (Canons 1-6)

CHAPTER I. THE LAWYER AND SOCIETY
CANON 1 - A LAWYER SHALL UPHOLD THE CONSTITUTION, OBEY THE LAWS OF THE
Page 328 of 392

LAND AND PROMOTE RESPECT FOR LAW OF AND LEGAL PROCESSES.
CANON 2 - A LAWYER SHALL MAKE HIS LEGAL SERVICES AVAILABLE IN AN

EFFICIENT AND CONVENIENT MANNER COMPATIBLE WITH THE INDEPENDENCE,
INTEGRITY AND EFFECTIVENESS OF THE PROFESSION.
CANON 3 - A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES SHALL USE ONLY
TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE INFORMATION OR STATEMENT OF
FACTS.
CANON 4 - A LAWYER SHALL PARTICIPATE IN THE DEVELOPMENT OF THE LEGAL

SYSTEM BY INITIATING OR SUPPORTING EFFORTS IN LAW REFORM AND IN THE
IMPROVEMENT OF THE ADMINISTRATION OF JUSTICE.
CANON 5 - A LAWYER SHALL KEEP ABREAST OF LEGAL DEVELOPMENTS,

PARTICIPATE IN CONTINUING LEGAL EDUCATION PROGRAMS, SUPPORT EFFORTS TO
ACHIEVE HIGH STANDARDS IN LAW SCHOOLS AS WELL AS IN THE PRACTICAL
TRAINING OF LAW STUDENTS AND ASSIST IN DISSEMINATING THE LAW AND
JURISPRUDENCE.

a. Respect for law and legal processes

CANON 1 - A LAWYER SHALL UPHOLD THE CONSTITUTION, OBEY THE LAWS OF THE
LAND AND PROMOTE RESPECT FOR LAW OF AND LEGAL PROCESSES.
Note: Canon 1 is the 4th top source of Questions on the CPR. It was asked 21 times in the last 25 years as
of 2017 [Lex Pareto (2017)].
Freedom of speech and of expression, like all constitutional freedoms, is not absolute and that freedom of
expression needs on occasion to be adjusted to and accommodated with the requirements of equally
important public interests. One of these fundamental public interests is the maintenance of the integrity
and orderly functioning of the administration of justice [Zaldivar v. Gonzales, G.R. No. Nos. 79690-707
and 80578 (1988)].
The responsibility of a ‘public’ lawyer (such as Special Prosecutor), who owes duties of fidelity and
respect to the Republic and to the Supreme Court as the embodiment and the repository of the judicial
power in the government of the Republic, to uphold the dignity and authority of the Supreme Court and
not to promote distrust in the administration of justice is heavier than that of a private practicing lawyer
[Zaldivar v. Gonzales, supra].
Rule 1.01 - A lawyer shall not engage in unlawful, dishonest, immoral or deceitful conduct.
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An unlawful conduct is act or omission which is against the law. It is a transgression of any provision of
law, which need not be penal. [Re: Report on the Financial Audit Conducted on the Books of Accounts of
Atty. Kho, A.M, P-062177 (2007)]
Dishonesty involves lying or cheating. It is a disposition to cheat, deceive, defraud. [Agpalo (2004)]
Deceitful conduct means having the proclivity for fraudulent and deceptive misrepresentation, artifice or
device that is used upon another who is ignorant of the true facts, to the prejudice and damage of the party
imposed upon.
Immoral conduct has been defined as that conduct which is willful, flagrant, or shameless, and which
shows a moral indifference to the opinion of the good and respectable members of the community.
For such conduct to warrant disciplinary action, the same must be "grossly immoral," that is, it
must be so corrupt and false as to constitute a criminal act or so unprincipled as to be reprehensible
to a high degree. [Ui v. Bonifacio, A.M. No. 3319 (2000)]. Grossly immoral conduct may be a ground
for disbarment.
Examples of Grossly Immoral Acts Examples of Acts Not Considered Grossly

Immoral
 Wanton disregard for the sanctity of  Mere intimacy between a man and a
marriage as shown when the lawyer woman, both of whom possess no
pursued a married woman and thereafter impediment to marry, voluntarily carried
cohabited with her [Guevarra v. Eala, and devoid of deceit on the part of the
A.C. No. No. 7136 (2007)] respondent, even if a child was born out
of wedlock of such relationship; it may
 Rape of a neighbor’s wife, which suggest a doubtful moral character but not
constitutes serious moral depravity, even grossly immoral [Figueroa v. Barranco,
if his guilt was not proved beyond SBC Case No. 519 (1997)]
reasonable doubt in the criminal
prosecution for rape [Calub v. Suller,  Stealing a kiss from a client [Advincula v.
A.C. No. No. 1474 (2000)] Macabata, A.C. No. No. 7204 (2007)]
 Obtaining money from a client, without  Making sexual advances towards a client,
rendering proper legal services, and but stopping right after the client refused
appropriating the proceeds of the such advances [Roa v. Moreno, A.C. No.
insurance policies of the client’s deceased 8382 (2010)].
husband [Freeman v. Zenaida, A.C. No.
6246 (2011)]  Although siring a child with a woman
other than his legitimate wife constituted
 Falsifying documents [Cobalt Resources, immorality, he committed the immoral
Inc. v. Aguado, A.C. No. 10781, (2016)] conduct when he was not yet a lawyer.
The degree of his immoral conduct was
 The issuance of checks without sufficient not as grave than if he had committed the
funds to cover the same. [Aca v. Salvado, immorality when already a member of the
A.C. No. No. 10952, (2016)] Philippine Bar [Advincula v. Advincula
A.C. No. 9226 (2016)].
 Abandonment of wife and cohabiting with
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another woman;  Turning the head of his client to kiss her

on the lips while in a public place and
 A lawyer who had carnal knowledge with then immediately apologizing afterwards
a woman through a promise of marriage via text message;
which he did not fulfill;
 Live-in relationship involving two
 Seduction of a woman who is the niece of unmarried persons; or
a married woman with whom respondent
lawyer had an adulterous relation;  Failure to pay a loan.
 Lawyer arranging marriage of his son to a

woman with whom the lawyer had illicitGR: A lawyer may not be disciplined for failure to
relations; pay a loan. The proper remedy is the filing of an
action for collection of a sum of money in regular
 Lawyer inveigling a woman into courts (Toledo v. Abalos, A.C. No. 5141,
believing that they have been married September 29, 1999).
civilly to satisfy his carnal desire;
XPN: A deliberate failure to pay just debts and the
 Lawyer taking advantage of his position issuance of worthless checks (Lao v. Medel, A.C.
as chairman of the college of medicine
No. 5916, July 1, 2003).
and asked a lady student to go with him to
Manila where he had carnal knowledge of
her under threat that if she refused, she
would flunk in all her subjects;
 Bigamy perpetrated by the lawyer;
 Concubinage coupled with failure to

support illegitimate children;
 Maintaining adulterous relationship with

a married woman;
 A retired judge who penned a decision 7

months after he retired, antedating the
decision and forcing his former court staff
to include it in the expediente of the case;
 Forging a Special Power of Attorney;
 Attempting to engage in an opium deal;

and
 Facilitating the travel of a person to the

U.S. using spurious travel documents.
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Moral turpitude includes everything which is done contrary to justice, honesty, modesty, or good
morals. It involves an act of baseness, vileness, or depravity in the private duties which a man owed
his fellowmen, or to society in general [Barrios v. Martinez, A.C. No. No. 4585 (2004)].
Considered crimes involving moral turpitude:

 Murder
 Estafa
 Rape
 Violation of Batas Pambansa Blg. 22 (Bouncing Checks Law)
 Bribery
 Bigamy
 Adultery
 Seduction
 Abduction
 Concubinage
 Smuggling
 Falsification of a public document
In order to hold the lawyer amenable to disbarment by reason of his or her having committed a
crime involving moral turpitude, it is not enough to show that there is a pending case involving
moral turpitude against him or her because Section 27 of Rule 138 expressly requires that he or she
must have been found by final judgment guilty of the crime involving moral turpitude [Interadent
Zahntechnik Phil., Inc. v. Atty. Rebecca S. Francisco-Simbillo, A.C. No. 9464, (2016)].
Rule 1.02 - A lawyer shall not counsel or abet activities aimed at defiance of the law or at lessening
confidence in the legal system.
The Supreme Court does not claim infallibility; it will not denounce criticism made by anyone against the
Court for, if well-founded, can truly have constructive effects in the task of the Court, but it will not
countenance any wrongdoing nor allow the erosion of our people’s faith in the judicial system, let alone
by those who have been privileged by it to practice law in the Philippines [Estrada v. Sandiganbayan,
G.R. No. 159486 (2003)].
A lawyer should advise his client to uphold the law, not to violate or disobey it. Conversely, he
should not recommend to his client any recourse or remedy that is contrary to law, public policy, public
order, and public morals [Coronel v. Cunanan, A.C. No. 6738 (2015)].
Rule 1.03 - A lawyer shall not, for any corrupt motive or interest, encourage any suit or
proceeding or delay any man's cause.
Barratry is an offense of frequently exciting and

stirring up quarrels and suits, either at law or
otherwise; lawyer’s act of fomenting suits among
individuals and offering his legal services to one of
them. Barratry is not a crime under the Philippine laws.
However, it is proscribed by the rules of legal ethics.
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Ambulance chasing is an act of chasing victims of accidents for the purpose of talking to the said victims
(or relatives) and offering his legal services for the filing of a case against the person(s) who caused the
accident(s). Unethical practice of inducing personal injury victims to bring suits. The practice of lawyers
in frequenting hospitals and homes of the injured to convince them to go to court [Lex Pareto (2014)].
Rule 1.04 - A lawyer shall encourage his clients to avoid, end or settle a controversy if it will admit
of a fair settlement.
The function of a lawyer is not only to conduct litigation but to avoid it where possible, by advising
settlement or withholding suit. He must act as mediator for compromise rather than an instigator of
controversy and a predator of conflict [Agpalo (2004)].
The rule requires that lawyers encourage settlement only when the same is fair. It should be noted that the
duty and the right of the lawyer is limited to encouraging the client to settle. Ultimately, however, the
final decision to settle a claim rests upon the client. A lawyer cannot compromise the case of his client
without the latter’s consent even if he believes that the compromise is for the better interest of the client
(Pineda, 2009, citing Philippine Aluminum Wheels Inc. v. FASGI Enterprises Inc., G.R. No. 137378,
October 12, 2000).
b. Efficient and convenient legal services

CANON 2 - A LAWYER SHALL MAKE HIS LEGAL SERVICES AVAILABLE IN AN
EFFICIENT AND CONVENIENT MANNER COMPATIBLE WITH THE INDEPENDENCE,
INTEGRITY AND EFFECTIVENESS OF THE PROFESSION.
Free access to the courts and quasi-judicial bodies and adequate legal assistance shall not be denied to any
person by reason of poverty. [Sec. 11, Art. III, 1987 Constitution]
A person in need of legal services should be able to find a lawyer who is qualified to provide them. It is
the responsibility of the bar to make such services available [Agpalo (2004)].
Rule 2.01 - A lawyer shall not reject, except for valid reasons, the cause of the defenseless or the
oppressed.
Membership in the bar is a privilege burdened with conditions. It could be that for some lawyers,
especially the neophytes in the profession, being appointed counsel de officio is an irksome chore. For
those holding such belief, it may come as a surprise that counsel of repute and of eminence welcome such
an opportunity. It makes even more manifest that law is indeed a profession dedicated to the ideal of
service and not a mere trade. It is understandable then why a high degree of fidelity to duty is required of
one so designated. [Ledesma v. Climaco, G.R. No. L23815 (1974)]
Lawyers covered by the Rule on Community Legal Aid Service are required to render 120 hours of pro
bona legal aid services to qualified parties enumerated in Section 4(b) thereof, within the first year of the
covered lawyers' admission Bar, counted from the time they signed the Roll of Attorneys. For this
purpose, covered lawyers shall report to the chairperson of the IBP Chapter Legal Aid Committee of their
choice or the chairperson, director, or supervising partner or lawyer from the Accredited Legal Aid
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Service Provider of their choice for their compliance with this Rule [Sec. 5(a), Rule on Community Legal
Aid Service].
Exemptions:
 Covered lawyers in the executive and legislative branches of government, provided that the
covered lawyer must already be in government service at least six (6) months before admission
into the Bar; however, those employed upon admission into the Bar with the judiciary, the Public
Attorney's Office, the National Prosecution Service, the Office of the Solicitor General, the
Office of the Government Corporate Counsel, and Office of the Ombudsman shall be exempt
with this Rule;
 Those who have already undergone and completed the clinical legal education program duly
organized and accredited Rule 138-A (The Law Student Practice Rule);
 Covered lawyers who have worked for at least 1 year in law firms offering pro bono legal
services or regularly accepting counsel de oficio appointments;
 Covered lawyers who have previously worked for more than 1 year as staff of a Law School
Legal Aid Office, a Public Interest Law Group, or an alternative or developmental law group; and
 Covered lawyers who have worked with lawyers for Public Interest Law Groups or alternative or
law groups for more than one (1) year and have filed public interest cases [Sec. 5(a), Rule on
Community Legal Aid Service]
Rule 2.02 - In such cases, even if the lawyer does not accept a case, he shall not refuse to render legal
advice to the person concerned if only to the extent necessary to safeguard the latter's rights.
Advice may be on what preliminary steps to take until the client has secured the services of counsel. But
he shall refrain from giving legal advice if the reason for not accepting the case is that there is a conflict
of interest between him and a prospective client or between a present client and a prospective client.
[Agpalo (2004)]
Rule 2.03 - A lawyer shall not do or permit to be done any act designed primarily to solicit legal
business.
The practice of soliciting cases at law for the purpose of gain, either personally or through paid agents or
brokers, constitutes malpractice [Sec. 27, Rule 138, RoC].
A lawyer is not prohibited from engaging in business or other lawful occupation. Impropriety arises,
though, when the business is of such a nature or is conducted in such a manner as to be inconsistent with
the lawyer’s duties as a member of the bar. This inconsistency arises when the business is one that can
readily lend itself to the procurement of professional employment for the lawyer; or that can be used as a
cloak for indirect solicitation on the lawyer’s behalf; or is of a nature that, if handled by a lawyer, would
be regarded as the practice of law [Villatuya v. Tabalingcos, A.C. No. 6622 (2012)].
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NOTE: The rule against solicitation applies to a lawyer who offers monetary reward to those who can
serve as witness/es in the case, which he is handling (CPR Annotated, PhilJA).
Rule 2.04 - A lawyer shall not charge rates lower than those customarily prescribed unless the
circumstances so warrant.
Ratio: The practice of law is a profession and not a trade. It is improper to lower legal rates just because
another lawyer has offered a lower legal fee. [Lex Pareto (2014)]
GR: A lawyer shall not charge rates lower than those customarily prescribed.
XPN: When circumstances so warrant such as when clients are relatives, co-lawyers, or are indigents.
c. True, honest, fair, dignified, and objective information on legal services

CANON 3 - A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES SHALL USE ONLY
TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE INFORMATION OR STATEMENT OF
FACTS.
Note: Canon 3 is 5th top source of Questions on CPR; it was asked 16 times in the last 25 years as of
2017 [Lex Pareto (2017)].
Rule 3.01 - A lawyer shall not use or permit the use of any false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement or claim regarding his qualifications or legal services.
Advertisements
GR: Advertisement by lawyers is NOT allowed. The worthiest and effective advertisement possible is the
establishment of a well-merited reputation for professional capacity and fidelity to trust which must be
earned as the outcome of character and conduct. (Director of Religious Affaits v. Bayot, A.C. No. L-
1117, March 20, 1944).
XPNs: [LEPO-LABAN-PD]
1. Reputable Law lists, in a manner consistent with the standards of conduct imposed by the canons, of
brief biographical and informative data;
2. Advertisements or simple announcement of the Existence of a lawyer or his law firm posted
anywhere where it is proper such as his place of business or residence except courtrooms and government
buildings;
3. Ordinary, simple Professional Card.
It may contain only a statement of his name, the name of the law firm which he is connected with,
address, telephone number and the special branch of law practiced;
4. A simple announcement of the Opening of a law firm or of changes in the partnership, associates,
firm name or office address, being for the convenience of the profession;
5. Advertisements or announcement in any Legal publication, including books, journals, and legal
magazines and in telephone directories (Ulep v. Legal Clinic, Inc., B.M. No. 553, June 17, 1993);
6. Writing legal Articles;
7. Engaging in Business and other occupations except when such could be deemed improper, be seen
as indirect solicitation or would be the equivalent of a law practice;
8. Activity of an association for legal representation;
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9. Notice to other local lawyers and publishing in a legal journal of one’s availability to act as an
associate for them;
10. Seeking a Public office, which can only be held by a lawyer or, in a dignified manner, a position as a
fulltime corporate counsel; and
11. Listing in a phone Directory, but not under a designation of a special branch of law (Atty. Khan Jr.
v. Atty. Simbillo, A.C. No. 5299, August 19, 2003).
NOTE: For solicitation to be proper, it must be compatible with the dignity of the legal profession. If
made in a modest and decorous manner, it would bring no injury to the lawyer or to the bar (Pineda,
2009).
Prohibited Advertisements [Sec. 27, Canon of Professional Ethics (hereinafter, CPE)]:

1. Through touters of any kind whether allied real estate firms or trust companies advertising to secure the
drawing of deeds or wills;
2. Offering retainers in exchange for executorships or trusteeships to be influenced by the lawyer;
3. Furnishing or inspiring newspaper comments concerning the manner of their conduct, the magnitude of
the interests involved, the importance of lawyer’s position, and all other like self-laudation.
A lawyer may not properly publish his brief biographical and informative data in a daily paper, magazine,
trade journal or society program in order to solicit legal business. A paid advertisement in the newspaper
which reads, “Annulment of Marriage Specialist” is also prohibited [Khan v. Simbillo, A.C. No. 5299
(2003)].
The use of a card containing “As a notary public, he can execute for you a deed of sale, can renew lost
documents and can make your application for homestead and execute any kind of affidavit. As a lawyer,
he can help you collect your loans as well as any complaint for or against you.” is a form of prohibited
advertisement. [In re: Tagorda, supra]. Where to draw the line is a question of good faith and good taste.
Entering into other businesses If entering into other businesses which are not inconsistent with the
lawyer’s profession, it is advisable that they be entirely separate and apart such that a layman could
distinguish between the two functions.
The lawyer must make it clear to his client whether he is acting as a lawyer or in another capacity.
Certain self-laudatory information such as election to a public office, scholastic honors and achievements,
and legal authorships may be disseminated. What is prohibited is that which “creates an unjustified
expectation about results the lawyer can achieve (Funa, 2009).
Rule 3.02 - In the choice of a firm name, no false, misleading or assumed name shall be used. The
continued use of the name of a deceased partner is permissible provided that the firm indicates in all its
communications that said partner is deceased.
Ratio: All the partners have, by their joint and several efforts over a period of years contributed to the
goodwill attached to the firm name. In the case of a firm having widespread connections, this goodwill is
disturbed by a change in firm name every time a partner dies, and that reflects a loss in some degree of
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the goodwill to the building up of which the surviving partners have contributed their time, skill and labor
through a period of years (CPR Annotated, PhilJA).
Firms may not use misleading names showing association with other firms to purport legal services of
highest quality and ties with multinational business enterprise especially when such firm attached as an
associate cannot legally practice law in the Philippines [Dacanay v. Baker and McKenzie, A.C. No. 2131
(1985)].
Rule 3.03 - Where a partner accepts public office, he shall withdraw from the firm and his name shall
be dropped from the firm name unless the law allows him to practice law currently.
A civil service officer or employee whose duty or responsibility does not require his entire time to be at
the disposal of the government may not engage in the private practice of law without the written permit
from the head of the department concerned [Agpalo (2004)].
It is unlawful for a public official or employee to, among others, engage in the private practice of their
profession, unless authorized by the Constitution or law, provided that such practice will not conflict or
tend to conflict with official functions. The inclusion or retention of the public official’s name in the
professional card constitutes as an unlawful continuance of engagement in private practice. [Samonte v.
Gatdula, A.M. No. P-99-1292 (1999)].
(See previous discussion on those absolutely prohibited from the practice of law and those relatively
prohibited from the practice of law. p.25)
Rule 3.04 - A lawyer shall not pay or give anything of value to representatives of the mass media in
anticipation of, or in return for, publicity to attract legal business.
This rule prohibits making indirect publicity gimmickry, such as furnishing or inspiring newspaper
comments, procuring his photograph to be published in connection with cases which he is handling,
making a courtroom scene to attract the attention of newspapermen, or arranging for the purpose an
interview with him by the media [Agpalo 2004].
d. Participation in the improvements and reforms in the legal system

CANON 4 - A LAWYER SHALL PARTICIPATE IN THE DEVELOPMENT OF THE LEGAL
SYSTEM BY INITIATING OR SUPPORTING EFFORTS IN LAW REFORM AND IN THE
IMPROVEMENT OF THE ADMINISTRATION OF JUSTICE.
e. Participation in legal education program

CANON 5 - A LAWYER SHALL KEEP ABREAST OF LEGAL DEVELOPMENTS,
PARTICIPATE IN CONTINUING LEGAL EDUCATION PROGRAMS, SUPPORT EFFORTS TO
ACHIEVE HIGH STANDARDS IN LAW SCHOOLS AS WELL AS IN THE PRACTICAL
TRAINING OF LAW STUDENTS AND ASSIST IN DISSEMINATING THE LAW AND
JURISPRUDENCE.
Purpose: The lawyer’s life is one of continuous and laborious study; otherwise, his skill and knowledge of
law and related disciplines will lag behind and become obscure due to obsoleteness.
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Mandatory Continuing Legal Education [hereinafter, MCLE] Program - A program which requires
lawyers to show proof of having undertaken improvement in their knowledge as a precondition for
renewing their license to practice [Lex Pareto (2014)].
Atty. Echanez’s acts of: (a) not complying with two MCLEs for two compliance periods; (b) repeatedly
indicating false MCLE compliance numbers in his pleadings before the trial courts; and, (c) repeatedly
failing to obey legal orders of trial court, IBP Commission on Bar Discipline and also the Supreme Court
despite due notice, taken together, constitute serious cases that merit disbarment [Mapalad v. Atty.
Echanez; A.C. No. 10911 (2017)].
f. Lawyers in government service discharging their tasks

Generally speaking, a lawyer who holds a government office may not be disciplined as a member of the
Bar for misconduct in the discharge of his duties as a government official. However, if said misconduct as
a government official also constitutes a violation of his oath as a lawyer, then he may be disciplined by
this Court as a member of the Bar… A member of the Bar who assumes public office does not shed his
professional obligations. Hence, the CPR… was not meant to govern the conduct of private practitioners
alone, but all lawyers including those in government service. This is clear from Canon 6 of said Code.
Lawyers in government are public servants who owe the utmost fidelity to the public service. Thus, they
should be more sensitive in the performance of their professional obligations, as their conduct is subject
to the ever-constant scrutiny of the public. [Vitriolo v. Dasig, A.C. No. 4984 (2003)].
Instances when a former government lawyer may be prohibited from accepting legal engagement:
 A lawyer shall not, after leaving the government service, accept engagement or employment in
connection with any matter in which he had intervened while in said service;
 Retired members of the judiciary receiving pensions from the government should not practice law
where the government is the adverse party or in a criminal case involving a government employee
in the performance of his duties as such [Lex Pareto (2014)].
Sec. 4, R.A. No. 6713 (Code of Conduct and Ethical Standards for Public Officials and Employees)
provides the norms of conduct of public officials and employees.
His supposed compliance with the recommended two-month suspension could not be satisfied by going
on leave from his work at the NBI. His being a government employee necessitates that his suspension
from practice of law should include his suspension from office. A leave of absence will NOT suffice. This
is so considering that his position mandated him to be a member of the Philippine Bar in good standing. If
the rule is different, this exercise of reprobation of an erring lawyer by the Court is rendered inutile and
becomes a mockery because he can continue to receive his salaries and other benefits by simply going on
leave for the duration of his suspension from the practice of law (Advincula v. Atty. Advincula, A.C. No.
9226, June 14, 2016).
Rule 6.01 - The primary duty of a lawyer engaged in public prosecution is not to convict but to see that
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justice is done. The suppression of facts or the concealment of witnesses capable of establishing the
innocence of the accused is highly reprehensible and is cause for disciplinary action.
Rule 6.02 - A lawyer in the government service shall not use his public position to promote or advance
his private interests, nor allow the latter to interfere with his public duties.
Government employees are expected to devote themselves completely to public service. For this reason,
the private practice of profession is prohibited. Lawyers in government service cannot handle private
cases for they are expected to devote themselves full-time to the work of their respective offices [Ramos
v. Imbang, A.C. No. 6788 (2007)].
Rule 6.03 - A lawyer shall not, after leaving government service, accept engagement or employment in
connection with any matter in which he had intervened while in said service.
How government lawyers may leave government service:

1. Retirement;
2. Resignation;
3. Expiration of the term of office;
4. Abandonment;
5. Dismissal.
General rule: Practice of profession is allowed immediately after leaving public service.
Exceptions: The lawyer cannot practice as to matters with which he had connection during his term. This
prohibition lasts:
 For one year, if he had not intervened;
 Permanently, if he had intervened.
2. The legal profession

CHAPTER II. THE LAWYER AND THE LEGAL PROFESSION
CANON 7 - A LAWYER SHALL AT ALL TIMES UPHOLD THE INTEGRITY AND DIGNITY OF
THE LEGAL PROFESSION AND SUPPORT THE ACTIVITIES OF THE INTEGRATED BAR.
CANON 8 - A LAWYER SHALL CONDUCT HIMSELF WITH COURTESY, FAIRNESS AND

CANDOR TOWARDS HIS PROFESSIONAL COLLEAGUES, AND SHALL AVOID HARASSING
TACTICS AGAINST OPPOSING COUNSEL.
CANON 9 - A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY, ASSIST IN THE

UNAUTHORIZED PRACTICE OF LAW.
a. Integrated Bar of the Philippines (Rule 139-A)
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Bar Integration The Supreme Court may adopt rules of court to effect the integration of the Philippine Bar
under such conditions as it shall see fit in order to raise the standards of the legal profession, improve the
administration of justice, and enable the bar to discharge its public responsibility more effectively. [Sec.
1, R.A. No. 6397 (An Act Providing for the Integration of the Philippine Bar, and Appropriating Funds
Therefor)]
Integration does not make a lawyer a member of any group of which he is not already a member. He
became a member of the Bar when he passed the Bar Examinations. All that integration actually does is to
provide an official national organization for the well-defined but unorganized and incohesive group of
which every lawyer is already a member [In the matter of the Integration of the Bar of the Philippines,
(1973)].
General Objectives of the IBP:

1. To elevate the standards of the legal profession;
2. To improve the administration of justice;
3. To enable the bar to discharge its public responsibility more effectively [Sec. 2, IBP By-Laws].
b. Membership and dues

Section 9. Membership dues. — Every member of the Integrated Bar shall pay such annual dues as
the Board of Governors shall determine with the approval of the Supreme Court. A fixed sum
equivalent to ten percent (10%) of the collection from each Chapter shall be set aside as a Welfare
Fund for disabled members of the Chapter and the compulsory heirs of deceased members thereof.
Section 10. Effect of non-payment of dues. — Subject to the provisions of Section 12 of this Rule,
default in the payment of annual dues for six months shall warrant suspension of membership in the
Integrated Bar, and default in such payment for one year shall be a ground for the removal of the name
of the delinquent member from the Roll of Attorneys.
Membership dues are not prohibited by the Constitution. The fee is imposed as a regulatory measure,
designed to raise funds for carrying out the purposes and objectives of the integration (In the Matter of
IBP Membership dues delinquency of Atty. Marcial Edillon, A.M. No. 1928, August 3, 1978).
NOTE: There is no such thing as retirement in the IBP as understood in labor law. A lawyer, however,
may terminate his bar membership after filing the required verified notice of termination with the
Secretary of the Integrated Bar (In Re: Atty. Jose Principe, Bar Matter No. 543, September 20, 1990).
c. Upholding the dignity and integrity of the profession

CANON 7 - A LAWYER SHALL AT ALL TIMES UPHOLD THE INTEGRITY AND DIGNITY OF
THE LEGAL PROFESSION AND SUPPORT THE ACTIVITIES OF THE INTEGRATED BAR.
The bar has to maintain a high standard of legal proficiency, honesty, and fair dealing to be an effective
instrument in the proper administration of justice. In order to do so, it is necessary that every lawyer
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should strive to uphold the honor and dignity of the legal profession and to improve not only the law, but
the administration of justice as well [Agpalo (2004)].
A lawyer should actively support the activities of the IBP and not limit himself to paying dues [Agpalo
(2004)].
Rule 7.01 - A lawyer shall be answerable for knowingly making a false statement or suppressing a
material fact in connection with his application for admission to the bar.
Penalties for knowing suppression or false representation of a material fact in the application for
admission to the bar:
1. Disqualification of the applicant from taking the bar, if the concealment is discovered before he takes
the bar examinations;
2. Prohibition from taking the lawyer’s oath, if the concealment is discovered after the candidate has
taken the bar examinations;
3. Revocation of license to practice, if the concealment was discovered after he has taken his lawyer’s
oath [In re: Petition to Take the Lawyer’s Oath, Caesar Z. Distrito, petitioner, B.M. No. 1209 (2003)].
If what the applicant concealed is a crime which does not involve moral turpitude, it is the fact of
concealment and not the commission of the crime itself that makes him morally unfit to become a lawyer.
It should be noted that the application was made under oath, which he lightly took when he made the
concealment [In re: Petition to Take the Lawyer’s Oath, Caesar Z. Distrito, petitioner, supra].
Honest mistake as excuse in making false statement

- An honest mistake in making false statement may be a valid excuse but the burden of proof lies on the
one who alleges it.
On the other hand, to be liable for suppressing a fact or information in the application, the suppression
must be:
1. Deliberately or knowingly made; and
2. The fact or information suppressed must be material (CPR Annotated, PhilJA).
Rule 7.02 - A lawyer shall not support the application for admission to the bar of any person known by
him to be unqualified in respect to character, education, or other relevant attribute.
A lawyer should not readily execute an affidavit of good moral character in favor of an applicant who has
not lived up to the standard set by law [Agpalo (2004)].
Rule 7.03 - A lawyer shall not engage in conduct that adversely reflects on his fitness to practice law,
nor shall he whether in public or private life, behave in a scandalous manner to the discredit of the legal
profession.
There is no distinction as to whether the transgression is committed in the lawyer’s professional capacity
or in his private life or in his private transaction because a lawyer may not divide his personality so as to
be an attorney at one time and a mere citizen at another. The moral turpitude for which an attorney may
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be disbarred may consist of misconduct in either his professional or nonprofessional activities, in his
professional and private capacity. [Royong v. Oblena, A.C. No. No 376 (1963); In Re: Pelaez (1923)].
Keeping a mistress, entering into another marriage while a prior one still subsists, as well as abandoning
and mistreating complainant and their children, show his disregard of family obligations, morality and
decency, the law and the lawyers’ oath. Such gross misbehavior over a long period of time clearly shows
a serious flaw in respondent’s character, his moral indifference to scandal in the community, and his
outright defiance of established norms [Tapucar v. Tapucar, A.C. No. 4148 (1998)].
Whether a lawyer’s sexual congress with a woman not his wife or without the benefit of marriage should
be characterized as grossly immoral conduct depends on the surrounding circumstances. The case at bar
involves a relationship between a married lawyer and a married woman who is not his wife. It is
immaterial whether the affair was carried out discreetly [Guevarra v. Eala, A.C. No. 7136 (2007)].
d. Courtesy, fairness, and candor towards professional colleagues

CANON 8 - A LAWYER SHALL CONDUCT HIMSELF WITH COURTESY, FAIRNESS AND
CANDOR TOWARDS HIS PROFESSIONAL COLLEAGUES, AND SHALL AVOID HARASSING
TACTICS AGAINST OPPOSING COUNSEL.
Lawyer don’ts:
1. Take advantage of the excusable unpreparedness or absence of counsel during the trial of a case;
2. Make use, to his or to his client’s benefit, the secrets of the adverse party acquired through design or
inadvertence;
3. Criticize or impute ill motive to the lawyer who accepts what in his opinion is a weak case;
4. Proceed to negotiate with the client of another lawyer to waive all kinds of claims when the latter is
still handling the civil case [Camacho v. Pangulayan, A.C. No. 4807 (2000)];
5. Steal another lawyer’s client;
6. Induce a client to retain him by promise of better service, good result or reduced fees for his services;
7. Disparage another lawyer, make comparisons or publicize his talent as a means to further his law
practice;
8. In the absence of the adverse party’s counsel, interview the adverse party and question him as to the
facts of the case even if the adverse party was willing;
9. Sanction the attempt of his client to settle a litigated matter with the adverse party without the consent
or knowledge of the latter’s counsel.
Lawyers should treat their opposing counsels and other lawyers with courtesy, dignity and civility.
Mutual bickering, unjustified recriminations and offensive behavior among lawyers not only detract from
the dignity of the legal profession, but also constitute highly unprofessional conduct subject to
disciplinary action [Reyes v. Chiong, A.C. No. 5148 (2003)].
Respondent's acts of repeatedly intimidating, harassing, and blackmailing complainant with purported
administrative and criminal cases and prejudicial media exposures were performed as a tool to return the
inconvenience suffered by his client. His actions demonstrated a misuse of the legal processes available to
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him and his client. More significantly, the foregoing showed respondent's lack of respect and despicable
behavior towards a colleague in the legal profession, and constituted conduct unbecoming of a member
thereof [Roque v. Balbin, A.C. No. 7088 (2018)].
Atty. Ailes violated the entire Canon 8 of the CPR. It is inconsequential that the statements were merely
relayed to Atty. Ailes’ brother in private. As a member of the bar, Atty. Ailes should have been more
circumspect in his words, being fully aware that they pertain to another lawyer to whom fairness as well
as candor is owed. It was highly improper for Atty. Ailes to interfere and insult Atty. Noble to his client
(Atty. Noble III v. Atty. Ailes, A.C. No. 10628, July 1, 2015, PERLAS-BERNABE).
Rule 8.01 - A lawyer shall not, in his professional dealings, use language which is abusive, offensive or
otherwise improper.
Examples of Improper Language:

 Behaving without due regard for the trial court and the opposing counsel and threatening the
court that he would file a petition for certiorari [Bugaring v. Espanol, G.R. No. 133090 (2001)].
 Calling an adverse counsel as “bobo” or using the word “ay que bobo” in reference to the manner
of offering evidence [Castillo v. Padilla, A.C. No. 2339 (1984)].
 Stating that “justice is blind and also deaf and dumb” [In Re: Almacen, G.R. No. L27654 (1970)].
 Stating that the demand from a former client’s counsel should be treated “as a mere scrap of
paper or should have been addressed by her counsel…to the urinal project of the MMDA where it
may serve its rightful purpose” [Sanchez v. Aguilos, supra].
 Calling complainant a "quack doctor," "Reyna ng Kaplastikan," "Reyna ng Payola," and "Reyna
ng Kapalpakan," and insinuating that she has been bribing people to destroy respondent smacks
of bad faith and reveals an intention to besmirch the name and reputation of complainant, as well
as BMGI. Respondent also ascribed criminal negligence upon complainant and BMGI by posting
that complainant disfigured ("binaboy") his client Norcio, labeling BMGI a "Frankenstein
Factory," and calling out a boycott of BMGI's services [Ma. Victoria G. Belo-Henares vs. Atty.
Roberto “Argee” Guevarra, A.C. No. 11394, (2016)].
 Stating in an Answer to a complaint before the IBP CBD the following excerpts: “another
outrageously funny and ridiculous statement totally devoid of any logic and reason... Who does
she think she is -the only qualified doctor in town?... From where did she get this outrageously
funny, conceited and arrogant claim”; “…is again outrageously funny... Where do they get these
twisted ideas and strange concepts? Are these people suffering from Alzheimer's or what have
you? Where do they get these gutter logic and reasoning?” [Mendoza v. Gadon, A.C. No. 11810
(2019)].
Lack or want of intention is no excuse for the disrespectful language employed [Rheem of the Philippines
v. Ferrer, G.R. No. L-22979 (1967)].
Exceptions:
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 Utterances made out of impulse in the course of an argument may be forgiven and should not be
penalized [Cruz v. Cabrera, AC No. 5737 (2004)].
 Statements made in the course of judicial proceedings are absolutely privileged regardless of
defamatory tenor and malice, provided it is relevant, pertinent or material to the cause of the
subject or inquiry [Tolentino v. Baylosis, G.R. No. 15742 (1961)].
Criticism
-Mere criticism or comment on the correctness or
wrongness, soundness or unsoundness of the decision of the
court in a pending case made in good faith may be tolerated;
but to hurl the false charge that the Supreme Court has been
committing deliberately so many blunders and injustices
would tend necessarily to undermine the confidence of the
people in the honesty and integrity of its members, and
consequently to lower or degrade the administration of
justice, and it constitutes contempt (Ilusorio v. Ilusorio, G.R.
No. 157384, June 5, 2009).
The defense of the Atty. Guevarra is untenable. Before one

can have an expectation of privacy in his or her online social
networking activity, it is first necessary that said user manifests the intention to keep certain posts private,
through the employment of measures to prevent access thereto or to limit its visibility. Here, Atty.
Guevarra’s inappropriate and obscene language, and his act of publicly insulting and undermining the
reputation of Belo-Henares through the Facebook posts are in complete and utter violation of the
following provisions in the CPR. By posting the remarks on Facebook directed at Belo-Henares and
BMGI, Atty. Guevarra’s disregarded the fact that, as a lawyer, he is bound to observe proper decorum at
all times, be it in his public or private life. He overlooked the fact that he must behave in a manner
befitting of an officer of the court, that is, respectful, firm, and decent. Instead, he acted inappropriately
and rudely; he used words unbecoming of an officer of the law, and conducted himself in an aggressive
way by hurling insults and maligning Belo-Henares’ and BMGI’s reputation (Belo-Henares v. Atty.
Guevarra, A.C. No. 11394, December 1, 2016, PERLAS-BERNABE).
Rule 8.02 - A lawyer shall not, directly or indirectly, encroach upon the professional employment of
another lawyer, however, it is the right of any lawyer, without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful or neglectful counsel.
NOTE: A person without a retained lawyer is a legitimate prospective client for any lawyer. But, as soon
as he had retained one and had not dismissed said counsel, efforts on the part of another lawyer to take
him as a client constitutes as encroachment of employment. A lawyer is encroaching when he promises
better service, lowers attorney’s fees, and downgrades the qualifications or services of the first attorney.
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A lawyer may:
1. Accept employment to handle a matter previously handled by another lawyer:
a. Provided the other lawyer has been given notice of termination of service, lest it amounts to an
improper encroachment upon the professional employment of the original counsel [Laput v. Remotigue,
A.M. No. 219 (1962)]; or
b. In the absence of a notice of termination from the client, provided he has obtained the
conformity of the counsel whom he would substitute; or
c. In the absence of such conformity, a lawyer must at least give sufficient notice to original
counsel so that original counsel has the opportunity to protect his claim against the client.
2. Give advice or assistance to any person who seeks relief against an unfaithful or neglectful lawyer;
3. Associate as a colleague in a case, provided he communicate with the original counsel before making
an appearance as co-counsel:
a. Should the original lawyer object, he should decline association but if the original lawyer is
relieved, he may come into the case; or
b. Should it be impracticable for him, whose judgment has been overruled by his co-counsel to
cooperate effectively, he should ask the client to relieve him.
e. No assistance in unauthorized practice of law

CANON 9 - A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY, ASSIST IN THE
UNAUTHORIZED PRACTICE OF LAW.
In Cayetano v. Monsod, the Court held that practice of law means any activity, in or out of court,
which requires the application of law, legal procedure, knowledge, training and experience.
Generally, to practice law is to render any kind of service which requires the use of legal knowledge
or skill [Aguirre v. Rana, supra].
Examples of Practice of Law:

 Legal advice and instructions to clients to inform them of their rights and obligations
 Preparation for clients of documents requiring knowledge of legal principles not possessed by
ordinary laymen
 Appearance for clients before public tribunals, whether administrative, quasi-judicial or
legislative agencies
Examples of Unauthorized Practice of Law

 It is the signing of the Roll of Attorneys that finally makes one a full-fledged lawyer. Appearing
as counsel even before taking lawyer’s oath is unauthorized practice [Aguirre v. Rana, B.M. No.
1036 (2003)] ! Using the title “Attorney” in his name even though he is a Shari’a lawyer [Alawi
v. Alauya, A.M. No. SDC-97-2-P (1997)]
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 Using a letterhead which listed as senior partners those who are only paralegals due to their
investments in the law firm [Cambaliza v. Cristal-Tenorio, AC No. 6290, (2004)]
 A lawyer who only signed the attendance record at the PICC entrance and not the Roll of
Attorneys, after he realized his mistake of fact and yet continued his operations [In Re: Petition to
Sign the Roll of Attorneys Michael A. Medado, B.M. No. 2540 (2013)]
 A corporation cannot engage in the practice of law directly or indirectly. It may only hire in-
house lawyers to attend to its legal business. A corporation cannot employ a lawyer to appear for
others for its benefit. A corporation cannot perform the conditions required for membership to the
bar. In addition, the confidential and trust relation between an attorney and his client cannot arise
if the attorney is employed by a corporation [Agpalo (2004)].
Rule 9.01 - A lawyer shall not delegate to any unqualified person the performance of any task which by
law may only be performed by a member of the bar in good standing.
The qualifications to be a lawyer are personal and the Bar is an exclusive group of professionals who
possess the requisite qualifications and for whom defined functions are reserved. To delegate the
functions would violate the rationale behind reserving defined functions exclusively for those who are
admitted to the bar (Ulep v. The Legal Clinic, Inc., B.M. No. 553, June 17, 1993).
Although the authority of a lawyer to represent a client cannot be delegated to an unqualified person, it
does not follow however that the retained lawyer is automatically authorized to make such delegation to a
qualified person because a client-lawyer relationship is personal (CPR Annotated, PhilJA).
Unqualified persons:
 Non-lawyers;
 Lawyers who are not in good standing;
 Lawyers who are not qualified.
Examples of acts that may only be done by a lawyer

 The computation and determination of the period within which to appeal an adverse judgment
[Eco v. Rodriguez, G.R. No. L16731 (1960)]
 The examination of witnesses or the presentation of evidence [Robinson v. Villafuerte, G.R. No.
L-5346 (1911)].
Examples of acts that may be delegated to non-lawyers:

 The examination of case law
 Finding and interviewing witnesses
 Examining court records
 Delivering papers and similar matters [Agpalo, 2004].
Rule 9.02 - A lawyer shall not divide or stipulate to divide a fee for legal services with persons not
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licensed to practice law, except:
(a) Where there is a pre-existing agreement with a partner or associate that, upon the latter's death,
money shall be paid over a reasonable period of time to his estate or to persons specified in the
agreement; or
(b) Where a lawyer undertakes to complete unfinished legal business of a deceased lawyer; or
(c) Where a lawyer or law firm includes non-lawyer employees in a retirement plan even if the plan is
based in whole or in part, on a profit sharing agreement.
Purpose: Allowing non-lawyers to get attorney’s fees would confuse the public as to whom they should
consult. It would leave the bar in a chaotic condition because non-lawyers are also not subject to
disciplinary action.
An agreement between a union lawyer and a layman president of the union to divide equally the
attorney’s fees that may be awarded in a labor case violates this rule and is illegal and immoral
[Amalgamated Laborers Assn. v. CIR, G.R. No. L-23467 (1968)].
A donation by a lawyer to a labor union of part of his attorney’s fees taken from the proceeds of a
judgment secured by him for the labor union is improper because it amounts to a rebate or commission
[Halili v. CIR, G.R. No. L24864 (1965)].
While non-lawyers may appear before the NLRC or any labor arbiter under Art. 222, Labor Code, they
are still not entitled to receive attorney’s fees. The statutory rule that an attorney shall be entitled to have
and recover from his client a reasonable compensation or remuneration for the services they have
rendered presupposes the existence of an attorney-client relationship. Such a relationship cannot exist
when the client’s representative is a non-lawyer [Five J Taxi v. NLRC, G.R. No. 111474 (1994)].
3. The courts
CHAPTER III. THE LAWYER AND THE COURTS
CANON 10 - A LAWYER OWES CANDOR, FAIRNESS AND GOOD FAITH TO THE COURT.
CANON 11 - A LAWYER SHALL OBSERVE AND MAINTAIN THE RESPECT DUE TO THE
COURTS AND TO JUDICIAL OFFICERS AND SHOULD INSIST ON SIMILAR CONDUCT BY
OTHERS.
CANON 12 - A LAWYER SHALL EXERT EVERY EFFORT AND CONSIDER IT HIS DUTY TO
ASSIST IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF JUSTICE.
CANON 13 - A LAWYER SHALL RELY UPON THE MERITS OF HIS CAUSE AND REFRAIN
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FROM ANY IMPROPRIETY WHICH TENDS TO INFLUENCE, OR GIVES THE APPEARANCE

OF INFLUENCING THE COURT.
a. Candor, fairness, and good faith towards the courts

CANON 10 - A LAWYER OWES CANDOR, FAIRNESS AND GOOD FAITH TO THE COURT.
A lawyer is, first and foremost, an officer of the court. Accordingly, should there be a conflict between
his duty to his client and that to the court, he should resolve the conflict against the former and in favor of
the latter, his primary responsibility being to uphold the cause of justice [Cobb Perez v. Lantin, G.R. No.
L-22320 (1968)].
Obligations to Uphold Candor:

1. Not to suppress material and vital facts which bear on the merit or lack of in the complaint or petition;
2. To volunteer to the court any development of the case which renders issues moot and academic;
3. To disclose to the court any adverse decision to his position of which opposing counsel is apparently
ignorant and which the court should consider in deciding the case;
4. Not to represent himself as a lawyer for a client, appear in court and present pleadings, only to claim
later that he was not authorized to do so. [Agpalo, 2004]
Rule 10.01 - A lawyer shall not do any falsehood, nor consent to the doing of any in Court; nor shall he
mislead, or allow the Court to be misled by any artifice.
A lawyer should not conceal the truth from the court, nor mislead the court in any manner no matter how
demanding his duties to clients may be. His duties to his client should yield to his duty to deal candidly
with the court. For no client is entitled to receive from the lawyer any service involving dishonesty to the
courts [Comments of IBP Committee that drafted the Code, hereinafter, IBP Committee].
Examples of Falsehood Committed by Lawyers

 Falsely stating in a deed of sale that property is free from all liens and encumbrances [Sevilla v.
Zoleta, 96 Phil 979 (1955)]
 Falsifying a power of attorney to use in collecting the money due to the principal and
appropriating the money for his own benefit [In Re: Rusiana, A.C. No. 270 (1959)]
 Denying having received the notice to file a brief which is belied by the return card [Ragasajo v.
IAC, G.R. No. L-69129 (1987)]
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 Presenting falsified documents in court which he knows to be false [Bautista v. Gonzales, A.M.
No. 1625 (1990)]
 Filing false charges or groundless suits [Retia v. Gorduiz, A.M. No. 1388 (1980)]
 Knowingly alleging an untrue statement of fact in a pleading [Young v. Batuegas, supra]
 Allowing the use of a forged signature on a petition filed before a court [VelascoTamaray v.
Daquis, A.C. No. 10868 (2016)].
 Anticipating that their Motion for Bail will be denied by the court if it found that it had no
jurisdiction over the person of the accused, respondents craftily concealed the truth by alleging
that accused had voluntarily surrendered to a person in authority and was under detention.
[Young v. Batuegas, AC No. 5379 (2003)]
Canon 32, CPE provides that, “A lawyer should not render any service or advice to any client–no matter
how powerful or important is the cause–which will involve disloyalty to the laws of the country which he
is bound to uphold and obey.”
Rule 10.02 - A lawyer shall not knowingly misquote or misrepresent the contents of a paper, the
language or the argument of opposing counsel, or the text of a decision or authority, or knowingly cite
as law a provision already rendered inoperative by repeal or amendment, or assert as a fact that which
has not been proved.
NOTE: They should be verbatim reproductions of the Supreme Courts decisions, down to the last word
and punctuation mark (Insular Life Assurance Co., Ltd., Employees Association v. Insular Life Assurance
Co., Ltd., G.R. No. L-25291, January 30,1971).
A mere typographical error in the citation of an authority is not contemptuous. But when misquotation is
intended, the lawyer is subject to disciplinary action [COMELEC v. Nonay, GR No. 144412 (2003)].
There is a difference between the academic and judicial standards of writing. While the academic
publishing model is based on the originality of the writer’s thesis, the judicial system is based on the
doctrine of stare decisis, which encourages courts to cite historical legal data, precedents, and related
studies in their decisions. The judge is not expected to produce original scholarship in every respect.
The strength of a decision lies in the soundness and general acceptance of the precedents and long held
legal opinions it draws from. Justice, not originality, form and style, is the object of every decision of
a court of law. The reason for individual judges not to use original or unique language when reinstating
the laws involved in the cases they decide is that it is their duty to apply the laws as these are written.
A judge writing to resolve a dispute, whether trial or appellate, is exempted from a charge of
plagiarism even if ideas, words or phrases from a law review article, novel thoughts published in a
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legal periodical or language from a party’s brief are used without giving attribution. Thus, judges
are free to use whatever sources they deem appropriate to resolve the matter before them, without fear of
reprisal. The same rule of exemption from the charge of plagiarism should apply as well to
practicing lawyers. They should not be exposed to charges of plagiarism in what they write so long as
they do not depart, as officers of the court, from the objective of assisting the Court in the administration
of justice. [In the Matter of Charges of Plagiarism against Justice Del Castillo, AM No. 10-7-17-SC
(2011)].
Judges need to answer only to two standards:

 Diligence; and
 honesty.
By honesty here is meant that good faith attempt to attribute to the author his original words and analysis.
Even if a judge has to rely in large part on the drafts of his legal researchers, the work of a diligent and
honest judge will never display the severe plagiarism evident in the Vinuya Decision published under the
name of Justice del Castillo. Analysis shows objective plagiarism viewed through three lenses:
1) extent of unattributed copying belying inadvertence,
2) deliberateness shown by systematic commission of plagiarism, and
3) effect [Dissenting Opinion of Justice Sereno in In the Matter of Charges of Plagiarism against Justice
Del Castillo, AM No. 10-7-17-SC (2011)].
Rule 10.03 - A lawyer shall observe the rules of procedure and shall not misuse them to defeat the ends
of justice.
Filing multiple actions constitutes an abuse of the court’s processes. Those who file multiple or repetitive
actions subject themselves to disciplinary action for incompetence or willful violation of their duties as
attorneys to act with good fidelity to the courts, and to maintain only such actions that appear to be just
and consistent with truth and honor [Olivares v. Villalon, A.C. No. 6323 (2007)].
Instances when lawyers can be disciplined based on the pleadings they filed: When a counsel
deliberately:
(1) Files an unsigned pleading in violation of the rules;
(2) Alleges scandalous matters therein; or
(3) Fails to promptly report to the court a change of his address.
b. Respect for courts and judicial officers

CANON 11 - A LAWYER SHALL OBSERVE AND MAINTAIN THE RESPECT DUE TO THE
COURTS AND TO JUDICIAL OFFICERS AND SHOULD INSIST ON SIMILAR CONDUCT BY
OTHERS.
If a pleading containing derogatory, offensive and malicious statements is submitted in the same court or
judge in which the proceedings are pending, it is direct contempt, equivalent to a misbehavior committed
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in the presence of or so near a court or judge as to interrupt the administration of justice. Direct contempt
is punishable summarily [In re: Letter of Atty. Sorreda, A.M. No. 5-3-04 (2006)].
Liberally imputing sinister and devious motives and questioning the impartiality, integrity, and authority
of the members of the Court result in the obstruction and perversion of the dispensation of justice [Estrada
v. Sandiganbayan, G.R. No. 148560 (2000)].
In Bueno v. Raneses, A.M. No. 8383 (2012) the lawyer was disbarred because “he maligned the judge
and the Judiciary by giving the impression that court cases are won, not on the merits, but through
deceitful means – a decidedly black mark against the Judiciary.”
Rule 11.01 - A lawyer shall appear in court properly attired.
A lawyer who dresses improperly may be cited with contempt [Agpalo (2004)].
Courts have ordered a male attorney to wear a necktie and have prohibited a female attorney from
wearing a hat. However, the permission of a dress with a hemline five inches above the knee was held to
be acceptable as such “had become an accepted mode of dress even in places of worship” [“Reviewer on
Legal and Judicial Ethics” by Aguirre (2006)].
Q: Atty. Jesus Falcis appeared in a preliminary conference before the Supreme Court wearing a casual
jacket, cropped jeans, and loafers without socks. Did Atty. Falcis commit any ethical impropriety?
A: YES. Atty. Falcis is reminded of the requirement under Canon 11 of the CPR for lawyers to “observe
and maintain the respect due to the Courts and to judicial officers and to insist on similar conduct by
others.” This duty encompasses appearances before courts in proper attire. This Court does not insist on
sartorial pomposity. It does not prescribe immutable minutiae for physical appearance. Still, Professional
courtesy demands that persons, especially lawyers, having business before courts, act with discretion and
manifest this discretion in their choice of apparel (Atty. Falcis III v. Civil Registrar General, G.R. No.
217910, July 3, 2018).
Rule 11.02 - A lawyer shall punctually appear at court hearings.
Inexcusable absence from, or repeated tardiness in, attending a pre-trial or hearing may subject the lawyer
to disciplinary action as his actions show disrespect to the court and are therefore considered
contemptuous behavior [Agpalo (2004)].
Non-appearance at hearings on the ground that the issue to be heard has become moot and academic is a
lapse in judicial propriety [De Gracia v. Warden of Makati, G.R. No. L-42032 (1976)].
Rule 11.03 - A lawyer shall abstain from scandalous, offensive or menacing language or behavior
before the Courts.
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Every citizen has the right to comment upon and criticize the actuations of public officers. This right is
not diminished by the fact that the criticism is aimed at a judicial authority, or that it is articulated by a
lawyer. Well-recognized therefore is the right of a lawyer, both as an officer of the court and as a
citizen, to criticize in properly respectful terms and through legitimate channels the acts of courts
and judges. But it is the cardinal condition of all such criticism that it shall be bona fide, and shall
not spill over the walls of decency and propriety. Intemperate and unfair criticism is a gross violation
of the duty of respect to courts [In Re: Almacen, supra].
It is human nature that there be bitter feelings which often reach to the judge as the source of the
supposed wrong. A judge, therefore, ought to be patient, and tolerate everything which appears as
but a momentary outbreak of disappointment. Lawyers may not be held to too strict an account for
words said in the heat of the moment, because of chagrin at losing cases, and that the big way is for the
court to condone even contemptuous language. While judges must exercise patience, lawyers must also
observe temperate language as well. [Soriano v. CA, G.R. No. 100633 and 101550 (2001)].
Q: An administrative case for disbarment was filed against MDS, a Lady Senator, for uttering offensive
remarks in her privilege speech delivered in the Senate floor. She was quoted as saying that she wanted
“to spit on the face of Chief Justice and his cohorts in the Supreme Court,” and calling the Court a
“Supreme Court of idiots.” She alleged that it was considered as part of her parliamentary immunity as
such was done during the session. Is she correct?
A: YES. Her statements, being part of her privilege speech as a member of Congress, were covered by the
constitutional provision on parliamentary immunity. Her privilege speech is not actionable criminally or
in a disciplinary proceeding under the Rules of Court. However, as a member of the Bar, the Court wishes
to express its deep concern about the language Senator MDS used in her speech and its effect on the
administration of justice. To the Court, the lady senator has undoubtedly crossed the limits of decency
and good professional conduct. No lawyer who has taken an oath to maintain the respect due to the courts
should be allowed to erode the people’s faith in the judiciary. In this case, the lady senator clearly
violated Canon 8, Rule 8.01 and Canon 11 of the Code of Professional Responsibility (Pobre v. Senator
Santiago, A.C. No. 7399, August 25, 2009).
Rule 11.04 - A lawyer shall not attribute to a Judge motives not supported by the record or have no
materiality to the case.
Rule 11.05 - A lawyer shall submit grievances against a Judge to the proper authorities only.
An administrative complaint is not an appropriate remedy where judicial recourse is still available, such
as a motion for reconsideration, an appeal, or a petition for certiorari, unless the assailed order or decision
is tainted with fraud, malice, or dishonesty (Santiago III v. Justice Enriquez, Jr., A.M. No. CA-09-47-J,
February 13, 2009).
c. Assistance in the speedy and efficient administration of justice

CANON 12 - A LAWYER SHALL EXERT EVERY EFFORT AND CONSIDER IT HIS DUTY TO
ASSIST IN THE SPEEDY AND EFFICIENT ADMINISTRATION OF JUSTICE.
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Note: asked 11 times in the last 25 years as of 2017 [Lex Pareto (2017)].
It is the duty of an attorney not to encourage either the commencement or the continuance of an action or
proceeding or delay any man’s cause from any corrupt motive or interest. [Sec. 20(g), Rule 138, RoC].
The filing of another action containing the same subject matter, in violation of the doctrine of res judicata,
runs contrary to this canon [Siy Lim v. Montano, A.C. No. 5653 (2006)].
Rule 12.01 - A lawyer shall not appear for trial unless he has adequately prepared himself on the law
and the facts of his case, the evidence he will adduce and the order of its preference. He should also be
ready with the original documents for comparison with the copies.
Rule 18.02 - A lawyer shall not handle any legal matter without adequate preparation.
Consequences of Non-Preparation:
1. The postponement of the pre-trial or hearing, which would thus entail delay in the early disposition of
the case;
2. The judge may consider the client nonsuited or in default;
3. The judge may consider the case submitted for decision without client’s evidence, to his prejudice
[Agpalo (2004)].
A newly hired counsel who appears in a case in the midstream is presumed and obliged to acquaint
himself with all the antecedent processes and proceedings that have transpired in the record prior to his
takeover [Villasis v. CA, G.R. No. L-34369 (1974)].
Rule 12.02 - A lawyer shall not file multiple actions arising from the same cause.
Purpose: There is an affirmative duty of a lawyer to check against useless litigations. His signature in
every pleading constitutes a certificate by him that to the best of his knowledge there is a good ground to
support it and that it is not to interpose for delay. The willful violation of this rule may subject him to
appropriate disciplinary action or render him liable for the costs of litigation [Agpalo (2004)].
This Rule prohibits forum shopping. There is forum shopping:
1. When, as a result or in anticipation of an adverse decision in one forum, a party seeks a favorable
opinion in another forum through means other than appeal or certiorari by raising identical causes of
action, subject matter, and issues.
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2. The institution of cases involving the same parties for the same cause of action, either simultaneously
or successively, on the supposition that one or the other court would come out with a favorable
disposition [Araneta v. Araneta, G.R. No. 190814 (2013)].
3. An indicium of the presence of or the test for determining whether a litigant violated the rule against
forum shopping is where the elements of litis pendentia are present or where a final judgment in one case
will amount to res judicata in the other case.
Failure to comply with the foregoing requirements shall not be curable by mere amendment of the
complaint or other initiatory pleading but shall be cause for the dismissal of the case without prejudice,
unless otherwise provided, upon motion after hearing.
False Certificate of Non-Forum Shopping Willful and deliberate forum shopping

Submission of a false certification or If acts of the party or his counsel constitute willful
noncompliance with any of the undertakings in a and deliberate forum shopping:
certification of non-forum shopping shall 1. Be a ground for summary dismissal with
constitute indirect contempt of court, without prejudice;
prejudice to the corresponding administrative 2. Constitute direct contempt;
and criminal actions. 3. Be a cause for administrative sanctions.
The rule against forum shopping and the requirement that a certification to that effect be complied with in
the filing of complaints, petitions or other initiatory pleadings in all courts and agencies applies to quasi-
judicial bodies, such as the NLRC or Labor Arbiter [Agpalo (2004)].
Rule 12.03 - A lawyer shall not, after obtaining extensions of time to file pleadings, memoranda or
briefs, let the period lapse without submitting the same or offering an explanation for his failure to do
so.
The court censures the practice of counsels who secures repeated extensions of time to file their pleadings
and thereafter simply let the period lapse without submitting the pleading on even an explanation or
manifestation of their failure to do so. There exists a breach of duty not only to the court but also to the
client [Achacoso v. CA, G.R. No. L35867 (1973)].
Postponement is not a matter of right but of sound judicial discretion. [Edrial v. QuilatQuilat, GR No.
133625 (2000)].
Rule 12.04 - A lawyer shall not unduly delay a case, impede the execution of a judgment or misuse
Court processes.
Page 354 of 392

Rule 12.05 - A lawyer shall refrain from talking to his witness during a break or recess in the trial,
while the witness is still under examination.
Purpose: To prevent the suspicion that he is coaching the witness what to say during the resumption of the
examination; to uphold and maintain fair play with the other party and to prevent the examining lawyer
from being tempted to coach his own witness to suit his purpose [“Legal and Judicial Ethics Reviewer”
by Callanta].
Q: May an attorney talk to his witnesses before and during the trial? (2014 Bar)
A: An attorney can talk with his witnesses before the trial, but it is unethical to do so if the client is
already on the witness stand during the trial (Agpalo, 2009).
Rule 12.06 - A lawyer shall not knowingly assist a witness to misrepresent himself or to impersonate
another.
While a lawyer may interview witnesses in advance of trial or attend to their needs if needed, the lawyer
should avoid any action as may be misrepresented as an attempt to influence the witness what to say in
court [Agpalo (2004)].
The lawyer who presented a witness knowing him to be a false witness is criminally liable for offering
false testimony in evidence. The lawyer is both criminally and administratively liable [Art. 184, Revised
Penal Code (hereinafter, RPC)].
Subornation of perjury is committed by a person who knowingly and willfully procures another to swear
falsely and the witness suborned [or induced] does testify under circumstances rendering him guilty of
perjury [US v. Ballena, G.R. No. L-6294 (1911)].
Rule 12.07 - A lawyer shall not abuse, browbeat or harass a witness nor needlessly inconvenience him.
Rights of Witnesses [Sec. 3, Rule 132, RoC]

1. To be protected from irrelevant, improper or insulting questions and from a harsh or insulting
demeanor;
2. Not to be detained longer than the interests of justice require
3. Not to be examined except as to matters pertinent to the issues before the court;
4. Not to give an answer which will tend to subject him to a penalty for an offense unless otherwise
provided by law;
5. Not to give an answer which will tend to degrade the witness’ reputation, but a witness must answer the
fact of any previous final conviction for a criminal offense.
Page 355 of 392

It was highly inconsiderate for the prosecutor and the defense counsel to trade quips at the precise time
the victim was reliving her harrowing experience. Levity has no place in the courtroom during the
examination of the victim of rape and at her expense. [People v. Nuguid, GR No. 148991 (2004)]
Rule 12.08 - A lawyer shall avoid testifying in behalf of his client, except:
(a) on formal matters, such as the mailing, authentication or custody of an instrument, and the like; or
(b) on substantial matters, in cases where his testimony is essential to the ends of justice, in which
event he must, during his testimony, entrust the trial of the case to another counsel.
Matters to which a lawyer CANNOT testify on: [TARCC]

1. When, as an attorney, he is to Testify on the theory of the case;
2. When such would Adversely affect any lawful interest of the client with respect to which
confidence has been reposed on him;
3. Having accepted a Retainer, he cannot be a witness against his client;
4. He cannot serve Conflicting interests; and
5. When he is to violate the Confidence of his client.
Matters to which a lawyer CAN testify on: [FETAD]

1. On Formal matters, such as the mailing, authentication or custody of instrument and the like;
2. Acting as an Expert on his fee;
3. On substantial matters in cases where his Testimony is essential to the ends of justice, in which event
he must, during his testimony, entrust the trial of the case to another counsel;
4. Acting as an Arbitrator; and
5. Deposition
d. Reliance on merits of case, not on impropriety tending to influence the courts

CANON 13 - A LAWYER SHALL RELY UPON THE MERITS OF HIS CAUSE AND REFRAIN
FROM ANY IMPROPRIETY WHICH TENDS TO INFLUENCE, OR GIVES THE APPEARANCE
OF INFLUENCING THE COURT.
Note: asked 11 times in the last 25 years as of 2017 [Lex Pareto (2017)].
The Court will not hesitate in future similar situations to apply the full force of the law and punish
for contempt those who attempt to pressure the Court into acting one way or the other in any case
pending before it. Grievances, if any, must be ventilated through the proper channels, i.e., through
appropriate petitions, motions or other pleadings in keeping with the respect due to the Courts as impartial
administrators of justice entitled to "proceed to the disposition of its business in an orderly manner, free
from outside interference obstructive of its functions and tending to embarrass the administration of
justice." The right of petition is conceded to be an inherent right of the citizen under all free governments.
Page 356 of 392

However, such right, natural and inherent though it may be, has never been invoked to shatter the
standards of propriety entertained for the conduct of courts
… Moreover, "parties have a constitutional right to have their causes tried fairly in court by an impartial
tribunal, uninfluenced by publication or public clamor. Every citizen has a profound personal interest
in the enforcement of the fundamental right to have justice administered by the courts, under the
protection and forms of law free from outside coercion or interference" [Nestle Philippines, Inc. v.
Sanchez, G.R. No. 75209 (1987)].
Rule 13.01 - A lawyer shall not extend extraordinary attention or hospitality to, nor seek opportunity
for cultivating familiarity with Judges.
Marked attention and unusual hospitality on the part of a lawyer to a judge, uncalled for by the personal
relations of the parties, subject both the judge and the lawyer to misconstructions of motive and should be
avoided [Canon 3, CPE].
In order to not subject both the judge and the lawyer to suspicion, the common practice of some lawyers
of making judges and prosecutors godfathers of their children to enhance their influence and their law
practice should be avoided by judges and lawyers alike [IBP Committee].
It is improper for a litigant or counsel to see a judge in chambers and talk to him about a matter related to
the case pending in the court of said judge [Austria v. Masaquel, G.R. No. L22536 (1967)].
It is highly improper for a judge to meet privately with an accused who has a pending case before him,
without the presence of other party [Gallo v. Cordero, A.M. No. MTJ095-1035 (1995)].
Rule 13.02 - A lawyer shall not make public statements in the media regarding a pending case tending
to arouse public opinion for or against a party.
Purpose: Newspaper publications regarding a pending or anticipated litigation may interfere with a fair
trial, prejudice the administration of justice, or subject a respondent or an accused to a trial by publicity
and create a public inference of guilt against him [Agpalo (2004)].
Making public statements in the media regarding a pending case which tends to arouse public opinion for
or against a party may constitute indirect contempt [Sec. 3, Rule 71, RoC].
In the original decision of the Supreme Court in Re: Request Radio-TV Coverage of the Trial in the
Sandiganbayan of the Plunder Cases against Former President Joseph Estrada, A.M. No. 01-4-03-SC
(2001), it was held that the propriety of granting or denying the petition involves the weighing out of
the constitutional guarantees of freedom of the press and the right to public information, on the one
hand, and the fundamental rights of the accused, on the other hand, along with the constitutional
power of a court to control its proceedings in ensuring a fair and impartial trial. It was held that
when these rights race against one another, the right of the accused must be preferred to win,
considering the possibility of losing not only the precious liberty but also the very life of an accused.
Page 357 of 392

In the resolution of the motion for reconsideration, the Supreme Court allowed the video recording
of proceedings, but provided that the release of the tapes for
Broadcast should be delayed. In so doing, concerns that those taking part in the proceedings will be
playing to the cameras and will thus be distracted from the proper performance of their roles –
whether as counsel, witnesses, court personnel, or judges – will be allayed.
In order to warrant a finding of prejudicial publicity, there must be an allegation and proof that the
judges had been unduly influenced, not simply that they might be [People v. Teehankee Jr., G.R. No.
111206-08, (1995), Martelino v. Alejandro, G.R. No. L-30894 (1970)].
Principle of Sub judice (2007 Bar)

 Sub judice is defined as, "under or before a judge or court; under judicial consideration;
undetermined" (Black's Law Dictionary, Sixth Edition, 1990). The sub judice rule restricts
comments and disclosures pertaining to the judicial proceedings in order to avoid prejudging the
issue, influencing the court, or obstructing the administration of justice (Marantan v. Diokno,
G.R. No. 205956, February 12, 2014).
In the class discussions, Judge Conde violated the sub judice rule. The sub judice rule restricts comments
and disclosures pertaining to the judicial proceedings in order to avoid prejudging the issue, influencing
the court, or obstructing the administration of justice (Marantan v. Diokno, G.R. No. 205956, February
12, 2014). When Judge Conde discussed the marriage scams, the investigation relative to the said case
had not
Rule 13.03 - A lawyer shall not brook or invite interference by another branch or agency of the
government in the normal course of judicial proceedings.
Purpose: The rule is based upon the principle of separation of powers [Aguirre (2006)]. It also endangers
the independence of the judiciary [IBP Committee].
4. The clients
CHAPTER IV. THE LAWYER AND THE CLIENT
CANON 14 - A LAWYER SHALL NOT REFUSE HIS SERVICES TO THE NEEDY.
CANON 15 - A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND LOYALTY IN ALL

HIS DEALINGS AND TRANSACTIONS WITH HIS CLIENTS.
CANON 16 - A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND PROPERTIES OF HIS
CLIENT THAT MAY COME INTO HIS PROFESSION.
Page 358 of 392

CANON 17 - A LAWYER OWES FIDELITY TO THE CAUSE OF HIS CLIENT AND HE SHALL
BE MINDFUL OF THE TRUST AND CONFIDENCE REPOSED IN HIM.
CANON 18 - A LAWYER SHALL SERVE HIS CLIENT WITH COMPETENCE AND

DILIGENCE.
CANON 19 - A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL WITHIN THE
BOUNDS OF THE LAW.
CANON 20 - A LAWYER SHALL CHARGE ONLY FAIR AND REASONABLE FEES.
CANON 21 - A LAWYER SHALL PRESERVE THE CONFIDENCE AND SECRETS OF HIS

CLIENT EVEN AFTER THE ATTORNEY-CLIENT RELATION IS TERMINATED.
CANON 22 - A LAWYER SHALL WITHDRAW HIS SERVICES ONLY FOR GOOD CAUSE
AND UPON NOTICE APPROPRIATE IN THE CIRCUMSTANCES.
The attorney-client relationship is:

a. Strictly personal;
b. Highly confidential;
c. Fiduciary.
A written contract, although the best evidence to show the presence of an attorney-client relationship, is
not essential for the employment of an attorney.
Documentary formalism is not an essential element in the employment of an attorney; the contract may be
express or implied. To establish the relation, it is sufficient that the advice and assistance of an attorney is
sought and received in any matter pertinent to his profession [Pacana v. Pascual-Lopez, A.C. No. No.
8243 (2009)].
NOTE: A client who employs a law firm engages the entire law firm; hence, the resignation, retirement or
separation from the law firm of the handling lawyer does not terminate the relationship, because the law
firm is bound to provide a replacement (Rilloraza, Africa, De Ocampo and Africa v. Eastern
Telecommunication Philippines, Inc., G.R. No. 104600, July 2, 1999).
Commencement of 17, 2017, PERLAS-BERNABE).

attorney-client relationship - Case law instructs that a lawyer-client relationship commences when a
lawyer signifies his agreement to handle a client's case and accepts money representing legal fees from
the latter (Samonte v. Atty. Jumamil, A.C. No. 11668, July
Retainer:
1. Either the act of a client by which he engages the services of an attorney to render legal advice or to
defend and prosecute his cause in court (general or special) OR the fee which a client pays to an attorney
when the latter is retained [Agpalo (2004)].
Page 359 of 392

2. The relation of attorney to client begins from the time an attorney is retained.
Three principal types of professional activity of a lawyer: [LAP]

1. Legal advice and instructions to clients to inform them of their rights and obligations;
2. Appearance for clients before public tribunals which possess power and authority to determine rights of
life, liberty, and property according to law, in order to assist in proper interpretation and enforcement of
law; and
3. Preparation for clients of documents requiring knowledge of legal principles not possessed by ordinary
layman (CPR Annotated, PhilJA).
a. Availability of service without discrimination

CANON 14 - A LAWYER SHALL NOT REFUSE HIS SERVICES TO THE NEEDY.
Note: Canon 14 is the 2nd top source of Questions on the CPR. It was asked 28 times in the last 25 years
as of 2017 [Lex Pareto (2017)].
General Rule: A lawyer is not obliged to act as legal counsel for any person who may wish to become
his client. He has the right to decline employment.
Exceptions:
1. A lawyer shall not refuse his services to the needy. [Canon 14, CPR]
2. A lawyer shall not decline to represent a person solely on account of the latter’s race, sex, creed or
status of life, or because of his own opinion regarding the guilt of said person. [Rule 14.01, CPR]
3. A lawyer may not refuse to accept representation of an indigent client unless:
● He is in no position to carry out the work effectively or competently;
● He labors under a conflict of interest between him and the prospective client or between a
present client and the prospective client. [Rule 14.03, CPR]
Indigent
1. A person who has no visible means of income or whose income is insufficient for the
subsistence of his family, to be determined by the fiscal or judge, taking into account the
members of his family dependent upon him for subsistence [Sec. 2, R.A. 6033 (An Act Requiring
Courts to Give Preference to Criminal Cases Where the Party or Parties Involved are Indigents)]
2. A person who has no visible means of support or whose income does not exceed P300.00 per
month or whose income even in excess of P300.00 per month is insufficient for the subsistence of
his family [Sec. 2, R.A. No. 6035 (An Act Requiring Stenographers to Give Free Transcript of
Notes to Indigent and Low Income Litigants and Providing a Penalty for the Violation Thereof)].
Page 360 of 392

Q: Are there instances where a lawyer has the duty to decline employment? (1993 Bar)
A: A lawyer should decline no matter how attractive the fee offered may be if its acceptance will involve:
[RACCAA]
1. A violation of any of the Rules of the legal profession;

2. Advocacy in any manner in which he had intervened while in the government service;
3. Nullification of a Contract which he prepared;
4. Employment with a Collection agency which solicits business to collect claims;
5. Employment, the nature of which might easily be used as a means of Advertising his professional
services of his skill; or
6. Any matter in which he knows or has reason to believe that he or his partner will be an essential
witness for the prospective client.
R.A. No. 9999 provides incentives for free legal service. Thus, a lawyer or professional partnerships
rendering actual free legal services shall be entitled to an allowable deduction from the gross income,
1. The amount that could have been collected for the actual free legal services rendered OR
2. Up to 10% of the gross income derived from the actual performance of legal profession, whichever is
lower.
This is different from the 60-hour mandatory legal aid services under Mandatory Legal Aid Service for
Practicing Lawyers, B.M. No. 2012 (2009).
Laws on indigents or low income litigants:

1. All courts shall give preference to the hearing and/or disposition of criminal cases where an indigent is
involved either as the offended party or accused [Sec. 1, R.A. No. 6033]
2. Any indigent litigant may, upon motion, ask the Court for adequate travel allowance to enable him and
his indigent witnesses to attend the hearing of a criminal case commenced by his complaint or filed
against him. The allowance shall cover actual transportation expenses by the cheapest means from his
place of residence to the court and back. When the hearing of the case requires the presence of the
indigent litigant and/or his indigent witnesses in court the whole day or for two or more consecutive days,
allowances may, in the discretion of the Court, also cover reasonable expenses for meal and lodging [Sec.
1, R.A. 6034 (An Act Providing Transportation and Other Allowances for Indigent Litigants)].
i. Services regardless of person's status

Rule 14.01 - A lawyer shall not decline to represent a person solely on account of the latter's race, sex.
creed or status of life, or because of his own opinion regarding the guilt of said person.
It is the duty of an attorney, in the defense of a person accused of a crime, by all fair and honorable
means, regardless of his personal opinion as to the guilt of the accused, to present every defense that the
Page 361 of 392

law permits, to the end that no person may be deprived of life or liberty, but by due process of law [Sec.
20(i), Rule 138, RoC].
ii. Services as counsel de oficio

Rule 14.02 - A lawyer shall not decline, except for serious and sufficient cause, an appointment as
counsel de officio or as amicus curiae, or a request from the Integrated Bar of the Philippines or any of
its chapters for rendition of free legal aid.
Counsel de officio – One appointed or assigned by the court.

Counsel de parte – One employed or retained by the party himself.
Amicus Curiae – A friend of the court; a person with strong interest in or views on the subject matter of
an action, but not a party to the action. They commonly file briefs concerning matters of broad public
interest.
A court may assign an attorney to render professional aid free of charge to any party in a case, if upon
investigation it appears that the party is destitute and unable to employ an attorney, and that the services
of counsel are necessary to secure the ends of justice and to protect the rights of the party. It shall be the
duty of the attorney so assigned to render the required service, unless he is excused therefrom by the court
for sufficient cause shown [Sec. 31, Rule 138].
Who may be appointed as counsel de officio in criminal cases:

1. A member of the bar in good standing who, by reason of their experience and ability, can competently
defend the accused [Sec. 7, Rule 116, RoC]
2. In localities without lawyers:

a. Any person, resident of the province and of good repute for probity and ability [Sec. 7, Rule
116, RoC]; Note: In relation to Sec. 34, Rule 138, RoC this is only allowed in the municipal trial
court.
b. A municipal judge or a lawyer employed in any branch, subdivision or instrumentality of the

government within the province [Sec. 1, PD 543 (Authorizing the Designation of Municipal
Judges and Lawyers in any Branch of the Government Service to Act as Counsel De Officio for
the Accused Who Are Indigent in Places Where There Are No Available Practicing Attorneys)].
A counsel de officio must take the case not as a burden but as an opportunity to assist in the proper
dispensation of justice. No lawyer is to be excused from this responsibility except only for the most
compelling and cogent reasons.
Grounds of refusal of appointment to be a Counsel de Oficio:

1. Too many de officio cases assigned to the lawyer (People v. Daeng, G.R. No. L-34091, January 30,
1973);
2. Conflict of interest (Rule 14.03, CPR);
3. Lawyer is not in a position to carry out the work effectively or competently (supra);
Page 362 of 392

4. Lawyer is prohibited from practicing law by reason of his public office which prohibits appearances in
court;
5. Lawyer is preoccupied with too many cases which will spell prejudice to the new clients;
6. Health reasons; and
7. Extensive travel abroad.
iii. Valid grounds for refusal

Rule 14.03 - A lawyer may not refuse to accept representation of an indigent client unless:
(a) he is not in a position to carry out the work effectively or competently;
(b) he labors under a conflict of interest between him and the prospective client or between a present
client and the prospective client.
Even if the lawyer does not accept a case, he shall not refuse to render legal advice to the person
concerned if only to the extent necessary to safeguard the latter’s rights. [Rule 2.02, Canon 2, CPR]
Rule 14.04 - A lawyer who accepts the cause of a person unable to pay his professional fees shall
observe the same standard of conduct governing his relations with paying clients.
Pursuant to A.M. No. 08-11-7-SC IRR (2009), clients of the National Legal Aid Committee and the IBP
local chapter’s legal aid offices are exempted from the payment of legal fees.
Under Sec. 16-D, R.A. No. 9406 (An Act Reorganizing and Strengthening the Public Attorney's Office
(PAO)), clients of the PAO are exempted from paying docket and other fees incidental to institution
actions in court and other quasi-judicial bodies.
b. Candor, fairness, and loyalty to clients

CANON 15 - A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND LOYALTY IN ALL
HIS DEALINGS AND TRANSACTIONS WITH HIS CLIENTS.
Note: Canon 15 is the top source of Questions on the CPR. It was asked 31 times in the last 25 years as of
2017 [Lex Pareto (2017)].
Page 363 of 392

i. Confidentiality rule
ii. Privileged communication
Rule 15.02.- A lawyer shall be bound by the rule on privilege communication in respect of matters
disclosed to him by a prospective client.
Purpose: To make the prospective client free to discuss whatever he wishes with the lawyer without fear
that what he tells the lawyer will not be divulged nor used against him, and for the lawyer to be equally
free to obtain information from the prospective client [IBP Committee].
Requisites:
1. The person to whom information is given is a lawyer.
● However, if a person is pretending to be a lawyer and client discloses confidential
communications, the attorney-client privilege still applies;
● This includes persons appointed as counsel de officio.
2. There is a legal relationship existing, except in cases of prospective clients;
3. Legal advice must be sought from the attorney in his professional capacity with respect to
communications relating to that purpose.
Page 364 of 392

4. The client must intend that the communication be confidential.
Disclosure of a prospective client Matters disclosed by a prospective client to a lawyer are protected by
the rule on privileged communication even if the prospective client does not thereafter retain the lawyer
or the latter declines the employment. It covers crimes and offenses already committed by the client
(Mercado v. Vitriolo, A.C. No. 5108, May 26, 2005)
Persons entitled to privilege

1. The lawyer, client, and third persons who by reason of their work have acquired information about the
case being handled, including:
a. Attorney’s secretary, stenographer and clerk;
b. Interpreter, messengers, or agents transmitting communication;
c. Accountant, scientist, physician, or engineer who has been hired for effective consultation.
2. Assignee of the client’s interest as far as the communication affects the realization of the assigned
interest.
Scope
1. Period to be considered is the date when the privileged communication was made by the client to the
attorney in relation to either a crime committed in the past, or with respect to a crime intended to be
committed in the future. If the crime was committed in the past, the privilege applies. If it is still to be
committed, the privilege does not apply because the communication between a lawyer and his client must
be for a lawful purpose or in furtherance of a lawful end to be privileged [People v. Sandiganbayan, G.R.
No. 115439 (1996)].
2. Limited only to communications which are legitimately and properly within the scope of a lawful
employment of a lawyer. It does not extend to those made in contemplation of a crime or perpetration of a
fraud. It is not within the profession of a lawyer to advise a client as to how he may commit a crime.
[Genato v. Silapan, A.C. No. 4078 (2003)].
3. Embraces not only oral or written statements but also actions, signs or other means of communications.
4. An attorney cannot, without the consent of his client, be examined as to any communication made by
the client to him or his advice given thereon in the course of professional employment; nor can an
attorney’s secretary, stenographer, or clerk be examined, without the consent of the client and his
employer, concerning any fact the knowledge of which has been acquired in such capacity [Sec. 24(b),
Rule 130].
General rule: As a matter of public policy, a client’s identity should not be shrouded in mystery. Thus, a
lawyer may not invoke the privilege and refuse to divulge the name or identity of this client.
Page 365 of 392

Exceptions: Client identity is privileged in the following instances:

1. Where a strong probability exists that revealing the client's name would implicate that client in the very
activity for which he sought the lawyer's advice;
2. Where disclosure would open the client to civil liability; or
3. Where the government's lawyers have no case against an attorney's client unless, by revealing the
client’s name, the said name would furnish the only link that would form the chain of testimony necessary
to convict an individual of a crime [Regala v. Sandiganbayan, G.R. No. 105938 (1996)].
Canon 21 enjoins a lawyer to preserve the confidence and secrets of his client even after the
attorney-client relation is terminated. The privilege continues even after the termination of the
attorney-client relationship. It outlasts the lawyer’s engagement. It ceases only when waived by the
client himself or after his death, by his heir or representative. [Baldwin v. CIR (1942)]
Exception: Some privileged communications lose their privileged character by some supervening act
done pursuant to the purpose of the communication (e.g., a communication intended by the client to be
sent to a third person through his attorney loses confidential character once it reaches the third party).
Examples of privileged matters:

● Work product of lawyer (his effort, research and thought contained in his file);
● Report of a physician, an accountant, an engineer or a technician, whose services have been secured by
a client as part of his communication to his attorney or by the attorney to assist him in rendering effective
legal assistance to his client;
● Records concerning an accident in which a party is involved;
● Consultation which has to do with the preparation of a client to take the witness stand.
Betrayal of trust: revelation of secrets Any attorney-at-law who, by any malicious breach of professional
duty or of inexcusable negligence or ignorance shall prejudice his client or reveal any of the secrets
learned by him in his professional capacity shall be criminally liable [Art. 209, RPC].
iii. Conflict of interest
Rule 15.01. - A lawyer, in conferring with a prospective client, shall ascertain as soon as practicable
whether the matter would involve a conflict with another client or his own interest, and if so, shall
forthwith inform the prospective client.
Rule 15.03. - A lawyer shall not represent conflicting interests except by written consent of all
concerned given after a full disclosure of the facts.
The rule prohibiting conflict of interest was fashioned to prevent situations wherein a lawyer would be
representing a client whose interest is directly adverse to any of his present or former clients [Tulio v.
Buhangin, A.C. No. 7110, (2016)
Page 366 of 392

Lawyers are expected not only to keep inviolate the client’s confidence, but also to avoid the appearance
of treachery and double-dealing for only then can litigants be encouraged to entrust their secrets to their
lawyers, which is of paramount importance in the administration of justice [Gonzales v. Cabucana, A.C.
No. 6836 (2006)].
Where a lawyer is disqualified from appearing as counsel in a case because of conflict of interest with the
law firm of which he is a member, any member, associate, or assistant therein is similarly disqualified or
prohibited from so acting. [Hilado v. David, G.R. No. L-961 (1949)].
Three tests to determine existence of conflict of interest:

1. Conflicting Duties - When, on behalf of one client, it is the attorney’s duty to contest for that which
his duty to another client requires him to oppose or when possibility of such situation will develop.
2. Invitation of Suspicion - Whether the acceptance of the new relation will prevent a lawyer from the
full discharge of his duty of undivided fidelity and loyalty to his client or will invite suspicion of
unfaithfulness or double-dealing in the performance thereof.
3. Use of Prior Knowledge Obtained - Whether a lawyer will be called upon in his new relation to use
against the first client any knowledge acquired in the previous employment.
NOTE: The test to determine whether there is a conflict of interest in the representation is probability, not
certainty, of conflict.
Exception: Representation of conflicting interests is allowed where clients knowingly consent to the dual
representation.
Exception to the exception: A lawyer cannot continue representing a client in an action even with the
client’s consent after the lawyer brings suit in his own behalf, against the defendant if it is uncertain
whether the defendant will be able to satisfy both judgments. A lawyer is not authorized to have
financial stakes in the subject matter of the suit brought in behalf of his client . [Gamilla v. Marino Jr,
AC No. 4763, (2003)]
Being a counsel-of-record of the other party is not a requisite to be guilty of representing conflicting
interests
 To be guilty of representing conflicting interests, a counsel-of-record of one party need not also
be counselof-record of the adverse party. He does not have to publicly hold himself as the counsel
of the adverse party, nor make his efforts to advance the adverse party's conflicting interests of
record—although these circumstances are the most obvious and satisfactory proof of the charge.
It is enough that the counsel of one party had a hand in the preparation of the pleading of the
other party, claiming adverse and conflicting interests with that of his original client. To require
that he also be counsel-of-record of the adverse party would punish only the most obvious form
of deceit and reward, with impunity, the highest form of disloyalty (Artueza v. Atty. Maderazo,
A.C. No. 4354, April 22, 2002).
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Rule 15.04. - A lawyer may, with the written consent of all concerned, act as mediator, conciliator or
arbitrator in settling disputes.
An attorney’s knowledge of the law and his reputation for fidelity may make it easy for the disputants to
settle their differences amicably. However, he shall not act as counsel for any of them. [Agpalo (2004)]
iv. Candid and honest advice to clients

Rule 15.05. - A lawyer when advising his client, shall give a candid and honest opinion on the merits
and probable results of the client's case, neither overstating nor understating the prospects of the case.
Lawyers are not merely hired employees who must unquestionably do the bidding of the client, however
unreasonable this may be, when tested by their own expert appreciation of the facts, applicable law and
jurisprudence. Counsel must counsel [Periquet v. NLRC, G.R. No. 91298 (1990)].
Rule 15.06. - A lawyer shall not state or imply that he is able to influence any public official, tribunal
or legislative body.
v. Compliance with laws

Rule 15.07. - A lawyer shall impress upon his client compliance with the laws and the principles of
fairness.
It is the duty of an attorney to counsel or maintain such actions or proceedings only as appear to him to be
just, and such defenses only as he believes to be honestly debatable under the law [Sec. 20(c), Rule 138,
RoC].
A lawyer is required to represent his client within the bounds of law. He is enjoined to employ only fair
and honest means to attain the lawful objectives of his client and not to allow his client to dictate the
procedure in handling the case.
Instead of advising the Geronimo Sr. to settle the estate of Perla to enable the proper registration of the
property in their names preliminary to the sale to Aquino, she voluntarily signed the subject deed, as
attorney-in-fact of Geronimo Sr., despite the patent irregularities in its execution. Despite being aware
that something was amiss with the documents of sale, Atty. Jimeno allowed herself to become a party to
the subject deed which contained falsehood and/or inaccuracies in violation of her duties as a lawyer. The
act of Atty. Jimeno in affixing her signature on a deed of sale containing falsehood and/or inaccuracies
constitutes malpractice and gross misconduct in her office as attorney (Jimeno v. Atty. Jimeno, A.C. No.
12012, July 02, 2018, PERLAS-BERNABE).
vi. Concurrent practice with another profession
Page 368 of 392

Rule 15.08. - A lawyer who is engaged in another profession or occupation concurrently with the
practice of law shall make clear to his client whether he is acting as a lawyer or in another capacity.
Purpose: Certain ethical considerations may be operative in one profession and not in the other [Agpalo
(2004)].
Impropriety arises only when the business is conducted in a manner inconsistent with his duties as a
member of the bar [IBP Committee].
A lawyer is not barred from dealing with his client, but the business transaction must be
characterized with utmost honesty and good faith. Business transactions between an attorney and his
client are disfavored and discouraged by policy of law because by virtue of a lawyer’s office, he is in an
easy position to take advantage of the credulity and ignorance of his client. Thus, there is no presumption
of innocence or improbability of wrongdoing in favor of lawyers [Nakpil v. Valdez, A.C. No. 2040
(1998)].
c. Client's money and properties

CANON 16 - A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND PROPERTIES OF HIS
CLIENT THAT MAY COME INTO HIS POSSESSION.
Under Article 1491 of the Civil Code, lawyers cannot acquire or purchase, even at public or judicial
auction, either in person or through the mediation of another the property and rights which may be the
object of any litigation in which they take part by virtue of their profession.
NOTE: This prohibition is entirely independent of fraud and such need not be alleged or proven. Art.
1491 (5) of the NCC applies only if the sale or assignment of the property takes place during the
pendency of the litigation involving the client’s property (Ramos v. Ngaseo, A.C. No. 6210, December 9,
2004).
Requisites:
1. There is an attorney-client relationship;
2. The property or interest of the client is in litigation;
3. The attorney takes part as counsel in the case;
4. The attorney purchases or acquires the property or right, by himself or through another, during the
pendency of litigation [Laig v. CA, G.R. No. L-26882 (1978)]
Any scheme which has the effect of circumventing the law comes within the prohibition [Agpalo (2004)].
Instances when prohibition in Art. 1491, Civil Code applies:

● Even if the purchase or lease of the property in litigation is in favor of a partnership, of which counsel
is a partner [Mananquil v. Villegas, A.C. No. No. 2430 (1990)]
● If the purchase is made by the wife of the attorney [In re: Calderon, G.R. No. L-2409 (1907)]
Page 369 of 392

● Mortgage of property in litigation to the lawyer. In this case, acquisition is merely postponed until
foreclosure but effect is the same. It also includes assignment of property [Ordonio v. Eduarte, A.M. No.
3216 (1992)].
● The purchase by a lawyer of the property in litigation from his client is void and could produce no legal
effect [Art. 1409(7), Civil Code]
Instances when prohibition in Art. 1491 does not apply:

● When the attorney is not a counsel in the case involving the same property at the time of acquisition;
● When purchaser is a corporation, even if the attorney was an officer [Tuason v. Tuason, G.R. No. L-
3404 (1951)]
● When sale takes place after termination of litigation, except if there was fraud or use/abuse of
confidential information or where lawyer exercised undue influence;
● Where property in question is stipulated as part of attorney’s fees, provided that the same is contingent
upon the favorable outcome of litigation and, provided further, that the fee must be reasonable.
i. Fiduciary relationship
Rule 16.01 - A lawyer shall account for all money or property collected or received for or from the
client.
When a lawyer collects or receives money from his client for a particular purpose (such as for filing fees,
registration fees, transportation and office expenses), he should promptly account to the client how the
money was spent. If he does not use the money for its intended purpose, he must immediately return it to
the client [Belleza v. Macasa, A.C. No. 7815 (2009)].
The fact that a lawyer has a lien for fees on money in his hands would not relieve him from the duty of
promptly accounting for the funds received [Daroy v. Legaspi, A.C. No. 936 (1975)].
Ethical and practical considerations make it both natural and imperative for a lawyer to issue receipts,
even if not demanded, and to keep copies of the receipts for his own records [Tarog v. Ricafort, A.C. No.
8243 (2011)].
A lawyer's failure to return upon demand the funds held by him on behalf of his client gives rise to the
presumption that he has appropriated the same for his own use, in violation of the trust reposed in him by
his client [Sison v. Camacho, A.C. No. 10910, (2016)].
ii. Co-mingling of funds

Rule 16.02 - A lawyer shall keep the funds of each client separate and apart from his own and those of
others kept by him.
iii. Delivery of funds

Rule 16.03 - A lawyer shall deliver the funds and property of his client when due or upon demand.
Page 370 of 392

However, he shall have a lien over the funds and may apply so much thereof as may be necessary to
satisfy his lawful fees and disbursements, giving notice promptly thereafter to his client. He shall also
have a lien to the same extent on all judgments and executions he has secured for his client as provided
for in the Rules of Court.
A lawyer is not entitled to unilaterally appropriate his client’s money for himself by the mere fact alone
that the client owes him attorney’s fees. The fact alone that a lawyer has a lien for fees on moneys in his
hands collected for his client does not relieve him of his duty to promptly account for the moneys
received; his failure to do so constitutes professional misconduct [Rayos v. Hernandez, G.R. No. 169079
(2007)].
When an attorney unjustly retains in his hands money of his client after it has been demanded, he may be
punished for contempt as an officer of the Court who has misbehaved in his official transactions; but
proceedings under Sec. 25, Rule 138 shall not be a bar to criminal prosecution.
Elements for the exercise of retaining lien: Elements for exercise of charging lien:
1. Attorney-client relationship; 1. Attorney-client relationship;
2. Lawful possession by the lawyer of the client’s 2. Legal Services was rendered;
funds, documents and papers in his professional
capacity; and 3. Favorable Money judgment secured by the
counsel for his client;
3. Unsatisfied claim for attorney’s fees or
disbursements (Miranda v. Atty. Carpio, A.C. No. 4. The attorney has a Claim for Attorney’s fees or
6281, September 26, 2011; Ampil v. Judge advances; and
Agrava, G.R. No. L-27394, July 31, 1970).
5. A statement of the claim has been duly
Recorded in the case with notice thereof served
upon the client and the adverse party.
iv. Borrowing or lending

Rule 16.04 - A lawyer shall not borrow money from his client unless the client's interest are fully
protected by the nature of the case or by independent advice. Neither shall a lawyer lend money to a
client except, when in the interest of justice, he has to advance necessary expenses in a legal matter he
is handling for the client.
A lawyer is prohibited from borrowing money from his client.
Page 371 of 392

Purpose: This rule is intended to prevent the lawyer from taking advantage of his influence over his client
[Junio v. Grupo, A.C. No. 5020 (2001)].
A lawyer who borrows jewelry from his client in order to obtain and appropriate for himself the proceeds
from a pledge is liable under this canon [Yu v. Dela Cruz, A.C. No. 10912 (2016)].
XPN: The client’s interests are fully protected by the nature of the case or by independent advice.
Atty. Dela Rosa is guilty of violating Rule 16.04 and Canon 7 of the CPR. Atty. Dela Rosa borrowed
money from Spouses Conception who were his clients and whose interests, by the lack of any security on
the loan, were not fully protected. Owing to their trust and confidence in Atty. Dela Rosa, they relied
solely on the former’s word that he will return the money plus interest within five (5) days. However,
Atty. Dela Rosa abused the same and reneged on his obligation, giving his previous clients the runaround.
Furthermore, in unduly borrowing money from the Spouses and by blatantly refusing to pay the same,
Atty. Dela Rosa abused the trust and confidence reposed in him by his clients, and, in so doing, failed to
uphold the integrity and dignity of the legal profession (Concepcion v. Atty. Dela Rosa, A.C. No. 10681,
February 3, 2015, PERLASBERNABE).
A lawyer is prohibited from lending money to his client.

Purpose: The canon intends to assure the lawyer’s independent professional judgment, for if the lawyer
acquires a financial interest in the outcome of the case, the free exercise of his judgment may be adversely
affected [Agpalo (2004)].
Exception: When, in the interest of justice, he has to advance necessary expenses in a legal matter he is
handling.
Return of money in an administrative case
If the money is received in a transaction If the money is received in a transaction

separate and distinct from, and not intrinsically linked to his professional
intrinsically linked to his professional engagement
engagement
Rule: The Court cannot order the return of the Rule: The Court can order the return of the money
money. The clients must institute a separate civil
action to recover it. Ex. Filing fees, acceptance fees, attorney’s fees
Ex. Money from a loan
Page 372 of 392

d. Fidelity to client's cause

CANON 17 - A LAWYER OWES FIDELITY TO THE CAUSE OF HIS CLIENT AND HE SHALL
BE MINDFUL OF THE TRUST AND CONFIDENCE REPOSED IN HIM.
Atty. Gagate violated Canon 17 when he failed to exercise the required diligence in handling Pitcher’s
cause: First, he failed to represent her competently and diligently by acting and proffering professional
advice beyond the proper bounds of law; and, Second, he abandoned his client’s cause while the grave
coercion case against them was pending. He remained unmindful of his client’s trust in him – in
particular, her trust that Atty. Gagate would only provide her with the proper legal advice in pursuing her
interests. Atty. Gagate’s also grossly and inexcusablely neglected his client, leaving Pitcher totally
unrepresented in a criminal case. Atty. Gagate’s act of advising Pitcher to go into hiding in order to evade
arrest in the criminal case can hardly be maintained as proper legal advice since the same constitutes
transgression of the ordinary processes of law (Pitcher v. Gagate, A.C. No. 9532, October 8, 2013,
PERLAS-BERNABE).
Once he agrees to take up the cause of the client, no fear or judicial disfavor or public unpopularity
should restrain him from the full discharge of his duty [Santiago v. Fojas, A.M. No. 4103 (1995)].
In the discharge of his duty of entire devotion to the client's cause, a lawyer should present every remedy
or defense authorized by law in support of his client’s cause, regardless of his personal views. He should
not be afraid of the possibility that he may displease the judge or the general public [Agpalo (2004)].
i. Use of fair and honest means

Rule 19.01 - A lawyer shall employ only fair and honest means to attain the lawful objectives of his
client and shall not present, participate in presenting or threaten to present unfounded criminal charges
to obtain an improper advantage in any case or proceeding.
ii. Client's fraud

Rule 19.02 - A lawyer who has received information that his client has, in the course of the
representation, perpetrated a fraud upon a person or tribunal, shall promptly call upon the client to
rectify the same, and failing which he shall terminate the relationship with such client in accordance
with the Rules of Court.
iii. Procedure in handling cases

Rule 19.03 - A lawyer shall not allow his client to dictate the procedure in handling the case.
e. Competence and diligence

CANON 18 - A LAWYER SHALL SERVE HIS CLIENT WITH COMPETENCE AND
DILIGENCE.
Page 373 of 392

Degree of diligence required in the profession

 The legal profession demands of a lawyer that degree of vigilance and attention of a good father
of a family (Lapena, 2009) or ordinary pater familias (Pineda, 2009). He is not required to
exercise extraordinary diligence (Edquibal v. Ferrer, Jr., A.C. No. 5687, February 3, 2005).
In the absence of evidence on the contrary, however, a lawyer is presumed to be prompt and diligent in
the performance of his obligations and to have employed his best efforts, learning, and ability in the
protection of his client’s interests and in the discharge of his duties as an officer of the court [Agpalo
(2004)].
Jurisprudence provides that the lawyer's duties of competence and diligence include not merely reviewing
cases or giving sound legal advice, but also consist of properly representing a client before any court or
tribunal, attending scheduled hearings and conferences, preparing and filing the required pleadings,
prosecuting handled cases with reasonable dispatch, and urging their termination without waiting for the
client or the court to prod him to do so. A lawyer's negligence in fulfilling these duties subjects him to
disciplinary action. Here, Atty. Gatchalian failed to exercise the diligence required of lawyers in handling
Sps. Montecillo’s case. Based on the records, he failed to file the necessary motion to postpone the
hearing due to a conflict in his schedule, and as a result, Sps. Montecillo lost their opportunity to present
their evidence in the ejectment case. As the counsel in the ejectment case, Atty. Gatchalian was expected
to exercise due diligence. He should have been more circumspect in preparing and filing the motion,
considering the serious consequence of failure to attend the scheduled preliminary conference (Montecillo
v. Atty. Gatchalian, A.C. No. 8371, June 28, 2017, PERLAS-BERNABE).
i. Adequate protection
Rule 18.02 - A lawyer shall not handle any legal matter without adequate preparation.
A lawyer should safeguard his client’s rights and interests by thorough study and preparation, mastering
applicable law and facts involved in a case, and keeping constantly abreast of the latest jurisprudence and
developments in all branches of the law [Agpalo (2004)].
A lawyer should give adequate attention, care and time to his cases. This is the reason why a practicing
lawyer should accept only so many cases he can handle. [Legarda v. CA, G.R. No. 94457 (1991)]
The lawyer’s diligence and dedication to his work and profession not only promote the interest of his
client, it likewise helps attain the ends of justice by contributing to the proper and speedy administration
of cases, bring prestige of the bar and maintain respect to the legal profession [Endaya v. Oca, A.C. No.
3967 (2003)].
ii. Negligence
Rule 18.03 - A lawyer shall not neglect a legal matter entrusted to him, and his negligence in
connection therewith shall render him liable.
Q: Are the mistakes or negligence of a lawyer binding upon the client? (1998, 2000, 2002 Bar)
Page 374 of 392

GR: Client is bound by attorney’s conduct, negligence and mistake in handling a case or in the
management of litigation and in procedural technique, and he cannot complain that the result might have
been different had his lawyer proceeded differently.
XPNs: [LIPIG]
1. Lack of acquaintance with technical aspect of procedure;
2. When adherence thereto results in outright deprivation of client’s liberty or property or where Interest
of justice so requires;
3. Where error by counsel is Purely technical which does not substantially affect client’s cause;
4. Ignorance, incompetence, or inexperience of lawyer is so great and error so serious that client,
who has a good cause, is prejudiced and denied a day in court; and
5. Gross negligence of lawyer.
NOTE: If by reason of the lawyer’s negligence, actual loss has been caused to his client, the latter has a
cause of action against him for damages. However, for the lawyer to be held liable, his failure to exercise
reasonable care, skill and diligence must be proximate cause of the loss.
Examples of lawyer’s negligence:

● Failure of counsel to ask for additional time to answer a complaint resulting in a default judgment
against his client (Mapua v. Mendoza, G.R. No. L-19295 (1923)]
● Failure to ascertain date of receipt from the post office of notice of decision resulting in the non-
perfection of the appellant’s appeal [Joven-De Jesus v. PNB, G.R. No. L-19299 (1964)]
● Failure to file briefs within the reglementary period [People v. Cawili, G.R. No. L-30543, (1970)]
● Failure to attend a trial without filing a motion for postponement or without requesting either of his two
partners in the law office to take his place and appear for the defendants [Gaerlan v. Bernal, G.R. No. L-
4039 (1952)]
● Failure to appear at pre-trial [Agravante v. Patriarca, G.R. No. L-48324 (1990)]
● Failure of counsel to notify clients of the scheduled trial which prevented the latter to look for another
lawyer to represent them while counsel was in the hospital [Ventura v. Santos, 59 Phil. 123 (1993)]
iii. Collaborating counsel

Rules 18.01 - A lawyer shall not undertake a legal service which he knows or should know that he is
not qualified to render. However, he may render such service if, with the consent of his client, he can
obtain as collaborating counsel a lawyer who is competent on the matter.
When a lawyer accepts a case, whether for a fee or not, his acceptance is an implied representation:
1. That he possesses the requisite degree of academic learning, skill and ability necessary in the practice
of his profession;
2. That he will exert his best judgment in the prosecution or defense of the litigation entrusted to him;
3. That he will exercise ordinary diligence or that reasonable degree of care and skill demanded of the
business he undertakes to do, to protect the client’s interests and take all steps or do all acts necessary
thereof [Uy v. Tansinsin, A.C. No. 8252 (2009)]; and
Page 375 of 392

4. That he will take steps as will adequately safeguard his client’s interests. [Islas v. Platon, G.R. No. L-
23183 (1924)]
Collaborating Counsel is subsequently engaged to assist a lawyer already handling a particular case for a
client (Pineda, 2009).
NOTE: The handling lawyer cannot just take another counsel without the consent of the client. The new
lawyer on the other hand cannot just enter his appearance as collaborating counsel without the conformity
of the first counsel.
The same diligence of the first counsel is required of the collaborating counsel [Sublay v. NLRC, G.R.
No. 130104 (2000)].
iv. Duty to apprise client

Rule 18.04 - A lawyer shall keep the client informed of the status of his case and shall respond within a
reasonable time to the client's request for information.
Duty to Keep the Client Fully Informed:

1. The client must receive from the lawyer, full and periodic updates on the developments affecting the
case;
2. The lawyer should apprise the client of the mode and the manner which he is utilizing to defend the
clients’ interests;
3. The lawyer must advise the client of the risks, alternatives and their consequences; and
4. The client must be informed within the period to appeal to enable him to decide whether or not he will
still seek appellate review of an adverse decision.
Even if the lawyer was honestly and sincerely protecting the interests of his client, he still does not have
the right to waive the appeal without the knowledge and consent of his client [Abay v. Montesino, A.C.
No. 5718 (2003)].
The client should not, however, sit idly by. It is also his duty to make proper inquiries from his counsel
concerning his case, in keeping with that standard of care which an ordinarily prudent man bestows upon
his important business [Agpalo (2004)].
f. Representation with zeal within legal bounds

CANON 19 - A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL WITHIN THE
BOUNDS OF THE LAW.
A lawyer’s duty is not to his client but to the administration of justice; To that end, his client’s success is
wholly subordinate and his conduct ought to and must always be unscrupulously observant of law and
ethics [Magsalang v. People, G.R. No. 90083, (1990)].
Page 376 of 392

Rule 19.01 - A lawyer shall employ only fair and honest means to attain the lawful objectives of his
client and shall not present, participate in presenting or threaten to present unfounded criminal charges
to obtain an improper advantage in any case or proceeding.
Rule 19.02 - A lawyer who has received information that his client has, in the course of the
representation, perpetrated a fraud upon a person or tribunal, shall promptly call upon the client to
rectify the same, and failing which he shall terminate the relationship with such client in accordance
with the Rules of Court.
This rule merely requires the lawyer to terminate his relationship with the client in the event the latter
fails or refuses to rectify the fraud. The lawyer may not volunteer the information concerning the client’s
commission of fraud to anyone, as it will violate his obligation to maintain the client’s secrets undisclosed
[Agpalo (2004)].
Rule 19.03 - A lawyer shall not allow his client to dictate

the procedure in handling the case.
An attorney may not impair, compromise, settle, surrender, or

destroy rights without his client's consent. A lawyer has no
implied authority to waive his client’s right to appeal or to
withdraw a pending appeal.
If a lawyer believes that the appeal of his client is frivolous, he

cannot move to dismiss the appeal, without the consent of his
client. His remedy is to withdraw from the case People v.
Pagarao, G.R. No. 930026-27 (1991)].
Authority of counsel to compromise:

GR: The attorney has no authority to compromise his client’s case is so because the client, even if
represented by counsel, retains exclusive control over the subject matter of the litigation. The client can,
of course, authorize his lawyer to compromise his case, and the settlement made by the lawyer will bind
his client.
XPNs:
1. When the lawyer is confronted with an emergency where prompt and urgent action is necessary to
protect the interest of his client and there is no opportunity for consultation with the latter.
2. Settlement of monetary obligation to client is full payment in cash.
NOTE: The Rules of Court requires lawyers to secure special authority from their clients when entering
into a compromise agreement that dispenses with litigation (Luna v. Galarrita, A.C. No.10662, July 7,
2015, RULES OF COURT, Rule 138, sec. 23.).
Page 377 of 392

g. Attorney's fees
CANON 20 - A LAWYER SHALL CHARGE ONLY FAIR AND REASONABLE FEES.
Note: Canon 20 is the 3rd top source of Questions on the CPR. It was asked 22 times in the last 25 years
as of 2017 [Lex Pareto (2017)]
Although the practice of law is not a business, an attorney is entitled to be properly compensated for the
professional services rendered for the client, who is bound by her express agreement to duly compensate
the attorney. The client may not deny her attorney such just compensation based on Article 19 of the Civil
Code, which mandates that "every person must, in the exercise of his rights and in the performance of his
duties, act with justice, give everyone his due, and observe honesty and good faith." (Malvar vs. Kraft
Food Philippines, G.R. No. 183952, September 9, 2013).
No court shall be bound by the opinion of attorneys as expert witnesses as to the proper compensation and
may disregard such testimony and base its conclusion on its own professional knowledge.
A written contract for services shall control the amount to be paid therefore unless found by the court to
be unconscionable or unreasonable [Sec. 24, Rule 138, RoC].
Subject to the availability of funds, the court may, in its discretion, order an attorney employed as counsel
de officio to be compensated in such a sum as the court may fix in accordance with Sec. 24, Rule 138,
RoC [Sec. 32, Rule 138, RoC].
When a lawyer cannot recover the full amount stipulated in the contract
1. When the services were not performed, and if the lawyer withdrew before the case was finished, he will
be allowed only reasonable fees;
2. When there is justified dismissal of an attorney, the contract will be nullified and payment will be on
quantum meruit basis;
3. When the stipulated fees are unconscionable or unreasonable;
4. When the stipulated fees are in excess of what is expressly provided by law;
5. When the lawyer is guilty of fraud or bad faith in the manner of his employment; 6. When the
counsel’s services are worthless because of negligence;
7. When the contract is contrary to laws, morals, and good policies.
When there is no express contract - The absence of a formal contract will not negate the payment of
attorney’s fees because the contract may be express or implied. In the absence of an express contract,
payment of attorney’s fees may be justified by virtue of the innominate contract of facio ut des (I do and
you give) which is based on the principle that “no one shall enrich himself at the expense of another”
[Corpus v. CA, G.R. No. L-40424 (1980)].
Rule 20.01 - A lawyer shall be guided by the following factors in determining his fees:
Page 378 of 392

(a) the time spent and the extent of the service rendered or required;
(b) the novelty and difficulty of the questions involved;
(c) The importance of the subject matter;
(d) The skill demanded;
(e) The probability of losing other employment as a result of acceptance of the proffered case;
(f) The customary charges for similar services and the schedule of fees of the IBP chapter to which he
belongs;
(g) The amount involved in the controversy and the benefits resulting to the client from the service;
(h) The contingency or certainty of compensation;
(i) The character of the employment, whether occasional or established; and
(j) The professional standing of the lawyer.
Manners by which attorneys may be paid:

● A fixed or absolute fee which is payable regardless of the result of the case; A fixed fee payable per
appearance;
● A fixed fee computed by the number of hours spent;
● A fixed fee based on a piece of work;
● A contingent fee that is conditioned upon the securing of a favorable judgment and recovery of money
or property and the amount of which may be on a percentage basis;
● A combination of any of the above stipulated fees.
Rule 20.02 - A lawyer shall, in case of referral, with the consent of the client, be entitled to a division
of fees in proportion to the work performed and responsibility assumed.
The referral of a client by a lawyer to another lawyer does not entitle the former to a commission or to a
portion of the attorney’s fees. It is only when, in addition to the referral, he performs legal service or
assumes responsibility in the case that he will be entitled to a fee [Agpalo (2004)].
Rule 20.03 - A lawyer shall not, without the full knowledge and consent of the client, accept any fee,
reward, costs, commission, interest, rebate or forwarding allowance or other compensation whatsoever
related to his professional employment from anyone other than the client.
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Purpose: The rule is designed to secure the lawyer’s fidelity to the client’s cause and to prevent that
situation in which receipt by him of a rebate or commission from another in connection with the client’s
cause may interfere with the full discharge of his duty to his client [Agpalo (2004)].
It is the duty of an attorney to accept no compensation in connection with his client’s business except
from him or with his knowledge and approval [Sec. 20(e), Rule 138, RoC].
i. Acceptance fees
Acceptance fee - the charge imposed by the lawyer for merely accepting a case, because once the lawyer
agrees to represent a client, he is precluded from handling the case of the opposing party based on the
prohibition on conflict of interest
NOTE: An acceptance fee is generally non-refundable, but such rule presupposes that the lawyer has
rendered legal service to his client. In the absence of such service, the lawyer has no basis for retaining
complainant's payment (Martin v. Atty. Dela Cruz, A.C. No. 9832, September 4, 2017, PERLAS-
BERNABE).
Acceptance of money from a client establishes an attorney-client relationship and gives rise to the duty of
fidelity to the client’s cause [Emiliano Court Townhouses Homeowners Association v. Dioneda, A.C. No.
5162 (2003)].
Failure to render the legal services agreed upon, despite receipt of an acceptance fee, is a clear violation
of the CPR [Macarulay v. Seriña, A.C. No. 6591 (2005)].
Retaining fee – a preliminary fee given to an attorney or counsel to insure and secure his future services,
and induce him to act for the client. (Pineda, 2009)
ii. Contingency fee arrangements

iii. Champertous contracts
Contingent fee contracts are subject to the supervision and close scrutiny of the court in order that clients
may be protected from unjust charges. A much higher compensation is allowed as contingent fees
Page 380 of 392

because of the risk that the lawyer may get nothing if the suit fails [Masmud v. NLRC, G.R. No. 183385
(2009)].
Champertous contract is void for being against public policy.
iv. Attorney's liens
RETAINING LIEN CHARGING LIEN

An attorney shall have a lien upon the funds, He shall also have a lien to the same extent upon
documents and papers of his client which have all judgments for the payment of money, and
lawfully come into his possession. Thus: 1. He executions issued in pursuance of such judgments,
may retain the same until his lawful fees and which he has secured in a litigation of his client.
disbursements have been paid; 2. May apply such This lien exists from and after the time when he
funds to the satisfaction thereof. [Sec. 37, Rule shall have caused:
138, RoC]
1. A statement of his claim of such lien to be
entered upon the records of the court rendering
such judgment, or issuing such execution; and
2. Written notice thereof to be delivered to his

client and to the adverse party.
Requisites: Requisites:
1. Attorney-client relationship; 1. Attorney-client relationship;
2. Lawful possession by lawyer of the client’s 2. The attorney has rendered services;
funds, documents and papers in his professional
capacity; and 3. A money judgment favorable to the client has
been secured in the action; and
3. Unsatisfied claim for attorney’s fees or
disbursements. 4. The attorney has a claim for attorney’s fees or
advances statement of his claim has been recorded
in the case with notice served upon the client and
adverse party.
Effectivity: As soon as the lawyer gets possession Effectivity: As soon as the claim for attorney’s
of the funds, papers, documents, property fees had been entered into the records of the case
Applicability: May be exercised before judgment Applicability: Generally, it is exercisable only

or execution, or regardless thereof when the attorney had already secured a favorable
judgment for his client
Page 381 of 392

Client need not be notified to make it effective Client and adverse party need to notified to make
it effective
v. Fees and controversies with clients

Rule 20.04 - A lawyer shall avoid controversies with clients concerning his compensation and shall
resort to judicial action only to prevent imposition, injustice or fraud.
A lawyer should avoid controversies with clients concerning compensation so far as shall be compatible
with self-respect and with his right to receive a reasonable recompense for his services, and he should
resort to lawsuits with clients only to prevent injustice, imposition or fraud. Lawyers thus seldom, if ever,
file judicial actions for the recovery of their fees unless righteous and well founded and unless forced by
the client's intolerable attitude because such lawsuits cannot fail to create the impression, however, wrong
it may be, that those instituting them are mercenaries [Agpalo (2004)].
Judicial actions to recover attorney’s fees:

1. An appropriate motion or petition as an incident in the main action where he rendered legal services;
2. A separate civil action for collection of attorney’s fees.
vi. Concepts of attorney's fees
Ordinary attorney's fee Extraordinary concept

The reasonable compensation paid to a lawyer by An indemnity for damages ordered by the court to
his client for the legal services he has rendered to be paid by the losing party in litigation (Ortiz v.
the latter (Ortiz v. San Miguel Corporation, G.R. San Miguel Corporation, G.R. No. 151983-84,
No. 151983-84, July 31, 2008). July 31, 2008).
NOTE: The basis for this compensation is the fact NOTE: The basis for this is any of the cases
of his employment by and his agreement with the provided for by law where such award can be
client. made, such as those authorized in Article 2208 of
the Civil Code, and is payable to the client, NOT
to the lawyer unless they have agreed that the
award shall pertain to the lawyer as additional
compensation or as part thereof.
h. Preservation of client's confidences

CANON 21 - A LAWYER SHALL PRESERVE THE CONFIDENCE AND SECRETS OF HIS
CLIENT EVEN AFTER THE ATTORNEY-CLIENT RELATION IS TERMINATED.
GR: A lawyer shall not reveal the confidences and secrets of his client.
XPNs:
Page 382 of 392

1. When authorized by his client after acquainting him of the consequences of the disclosure;
NOTE: The only instance where the waiver of the client alone is insufficient is when the person to be
examined regarding any privileged communication is the attorney’s secretary, stenographer or clerk, in
respect to which, the consent of the attorney is likewise necessary.
2. When required by law; or
3. When necessary to collect his fees or to defend himself, his employees or associates by judicial action.
i. Prohibited disclosures and use
Rule 21.02 - A lawyer shall not, to the disadvantage of his client, use information acquired in the
course of employment, nor shall he use the same to his own advantage or that of a third person, unless
the client with full knowledge of the circumstances consents thereto.
Rule 21.03 - A lawyer shall not, without the written consent of his client, give information from his
files to an outside agency seeking such information for auditing, statistical, bookkeeping, accounting,
data processing, or any similar purpose.
The work and product of a lawyer, such as his effort, research, and thought, and the records of his client,
contained in his files are privileged matters. Neither the lawyer nor, after his death, his heir or legal
representative may properly disclose the contents of such file cabinet without client’s consent [Agpalo
(2004)].
Rule 21.05 - A lawyer shall adopt such measures as may be required to prevent those whose services
are utilized by him, from disclosing or using confidences or secrets of the clients.
The client’s secrets which clerical aids of lawyers learn of, in the performance of their services are
covered by privileged communication. It is the duty of lawyer to ensure that this is being followed (e.g.,
execution of confidentiality agreements) [Agpalo (2004)].
Rule 21.06 - A lawyer shall avoid indiscreet conversation about a client's affairs even with members of
his family.
A lawyer must also preserve the confidences and secrets of his clients outside the law office, including his
home. He should avoid committing calculated indiscretion, that is, accidental revelation of secrets
obtained in his professional employment [Agpalo (2004)
Rule 21.07 - A lawyer shall not reveal that he has been consulted about a particular case except to
avoid possible conflict of interest.
The privileged communication rule applies even to prospective clients. The disclosure and the lawyer’s
opinion thereon create an attorney-client relationship, even though the lawyer does not eventually accept
the employment or the prospective client did not thereafter actually engage the lawyer. By the
Page 383 of 392

consultation, the lawyer already learned of the secrets of prospective client. This rule, of course, is subject
to the exception of representation of conflicting interests [Agpalo (2004)].
ii. Disclosures, when allowed

Rule 21.01 - A lawyer shall not reveal the confidences or secrets of his client except;
(a) When authorized by the client after acquainting him of the consequences of the disclosure;
(b) When required by law;
(c) When necessary to collect his fees or to defend himself, his employees or associates or by judicial
action.
Rule 21.01(a) refers to a waiver by the client. Since the attorney-client privilege against disclosure of the
client's confidence is intended primarily for the client's protection, only the client as a rule can waive the
privilege.
Rule 21.01 (b) and (c) are for the protection of the attorney’s rights. The privileged relation cannot be
used as a shield against wrongdoing nor can it be employed as an excuse to deny a lawyer the right to
protect himself against abuse by the client or false charges by third persons [Agpalo (2004)].
Rule 21.04 - A lawyer may disclose the affairs of a client of the firm to partners or associates thereof
unless prohibited by the client.
The professional employment of a law firm is equivalent to the retainer of the members thereof even
though only one of them is consulted; conversely, the employment of one member of a law firm is
generally considered as employment of the law firm [Agpalo (2004)].
i. Withdrawal of services
CANON 22 - A LAWYER SHALL WITHDRAW HIS SERVICES ONLY FOR GOOD CAUSE
AND UPON NOTICE APPROPRIATE IN THE CIRCUMSTANCES.
Rule 22.01 - A lawyer may withdraw his services in any of the following case:
(a) When the client pursues an illegal or immoral course of conduct in connection with the matter
he is handling;
(b) When the client insists that the lawyer pursue conduct violative of these canons and rules;
(c) When his inability to work with co-counsel will not promote the best interest of the client;
Page 384 of 392

(d) When the mental or physical condition of the lawyer renders it difficult for him to carry out
the employment effectively;
(e) When the client deliberately fails to pay the fees for the services or fails to comply with the
retainer agreement;
(f) When the lawyer is elected or appointed to public office; and
(g) Other similar cases.
A lawyer may retire at any time from any action or special proceeding:
● With the written consent of his client filed in court and copy thereof served upon the adverse party; or
● Without the consent of his client, should the court, on notice to the client and attorney, and on hearing,
determine that he ought to be allowed to retire [Sec. 26, Rule 138, RoC].
General rule: The withdrawal in writing, with the client’s conformity, does not require the approval of
the court to be effective.
Exception: If no new counsel has entered his appearance, the court may, in order to prevent a denial of a
party’s right to the assistance of counsel require that the lawyer’s withdrawal be held in abeyance until
another lawyer shall have appeared for the party [Villasis v. CA, G.R. No. L-34369 (1974)].
Although a lawyer may withdraw his services when the client deliberately fails to pay the fees for the
services, withdrawal is unjustified if client did not deliberately fail to pay [Montano v. IBP, A.C. No.
4215 (2001)].
Q: Can a client discharge the services of his lawyer without a cause? (1994, 1997, 1998 Bar)
A: YES. A client has the right to discharge his attorney at any time with or without a cause or even
against his consent.
1. With just cause – lawyer is not necessarily deprived of his right to be paid for his services. He
may only be deprived of such right if the cause for his dismissal constitutes in itself a sufficient
legal obstacle for recovery.
2. Without just cause

a. No express written agreement as to fees - reasonable value of his services up to the date of his
dismissal (quantum meruit).
b. There is written agreement and the fee stipulated is absolute and reasonable – full payment of
compensation.
c. The fee stipulated is contingent.
Page 385 of 392

d. If dismissed before the conclusion of the action - reasonable value of his services (quantum
meruit)
e. If contingency occurs or client prevents its occurrence – full amount.
NOTE: A lawyer should question his discharge otherwise he will only be allowed to recover on
quantum meruit basis.
A client may at any time dismiss his attorney or substitute another in his place, but if the contract between
the client and the attorney has been reduced to writing and the dismissal was without justifiable cause, he
shall be entitled to recover from the client the full compensation stipulated in the contract [Sec. 26, Rule
138, RoC].
Heavy workload is NOT an excuse for withdrawal as counsel

 Standing alone, heavy workload is not sufficient reason for the withdrawal of a counsel. When a
lawyer accepts to handle a case, whether for a fee or gratis et amore, he undertakes to give his
utmost attention, skill and competence to it regardless of its significance. Failure to fulfill his
duties will subject him to grave administrative liability as a member of the Bar (Ceniza v. Atty.
Rubia, A.C. No. 6166, October 2, 2009).
Hot Potato Rule

GR: A lawyer may not unreasonably withdraw from representing a client.
XPN: Withdrawal may be allowed if there is a conflict of interests arising from circumstances beyond the
control of the lawyer or the law firm (Black’s Law Dictionary, 9th edition)
NOTE: In cases letters “a” to “e” (above), the lawyer must file a written motion with an express consent
of his client and the court shall determine whether he ought to be allowed to retire. He may also retire at
any time from an action or special proceeding without the consent of his client, should the court, on
notice to the client and attorney, and on hearing, determine that he ought to be allowed to retire (Sec. 26,
Rule 138, RRC)
Procedure to follow when withdrawal is without client’s consent

1. File a petition for withdrawal in court.
2. Serve a copy of this petition upon his client and the adverse party at least 3 days before the date set for
hearing.
j. Duties of lawyers in case of death of parties represented

Rule 22.02 - A lawyer who withdraws or is discharged shall, subject to a retainer lien, immediately turn
over all papers and property to which the client is entitled, and shall cooperative with his successor in
the orderly transfer of the matter, including all information necessary for the proper handling of the
Page 386 of 392

matter.
Death of parties represented is a cause for termination of the attorney-client relationship. According to
Rule 22.02, the duties of lawyers in such a case, subject to a retaining lien, are:
1. To immediately turn over all papers and property to which the client is entitled
2. To cooperate with his successor in the orderly transfer of the matter. This includes all information
necessary for the proper handling of the matter.
Requirements of a valid substitution of counsel:

1. The filing of a written application for substitution;
2. The client’s written consent;
3. The written consent of the attorney to be substituted.
At the discretion of the court, a lawyer, who has been dismissed by a client, is allowed to intervene in a
case in order to protect the client’s rights [Obando v. Figueras, G.R. No. 134854 (2000)].
The offensive attitude of a client is not an excuse to just disappear and withdraw from a case without
notice to the court and to the client, especially when attorney’s fees have already been paid [Chang v.
Hidalgo, A.C. No. 6934 (2016)].
Applicability of the Canons to judges and justices and other court officials (2014 Bar)
 Some administrative cases against judges, justices (except Supreme Court Justices who can only
be the subject of impeachment) and court officials who are lawyers are based on grounds which
are likewise grounds for the disciplinary action of members of the Bar for violation of the
Lawyer's Oath, the Code of Professional Responsibility, and the Canons of Professional Ethics, or
for such other forms of breaches of conduct that have been traditionally recognized as grounds for
the discipline of lawyers. Thus, they are required to comment on the complaints filed against
them and show cause why they should not be suspended, disbarred or otherwise disciplinary
sanctioned as a member of the bar. The administrative case shall also be considered a disciplinary
action against the respondent Justice, judge or court official concerned as a member of the Bar
(RE: Automatic Conversion of Some Administrative Cases Against Justices of the Court of
Appeals and the Sandiganbayan; Judges of Regular and Special Courts; and Court Officials Who
are Lawyers as Disciplinary Proceedings Against Them Both as Such Officials and as Members
of the Philippine Bar, A.M. No. 02-9-02-SC, September 17, 2002).
Page 387 of 392

Disqualifications/inhibition for judges
DISQUALIFICATION OF JUDICIAL OFFICERS

Types of disqualification
Mandatory or compulsory disqualification Voluntary disqualification or inhibition
Grounds for mandatory disqualification: The judge may in his discretion inhibit himself,
for just and valid reasons other than the grounds
1. When he, or his wife, or child is pecuniarily for mandatory disqualification. The rule on
interested as heir, legatee, creditor, or voluntary disqualification or inhibition is
otherwise; discretionary upon the judge on the basis of his
conscience. (Kilosbayan Foundation and Bantay
2. When he is related to either party within the Katarungan Foundation v. Leoncio M. Janolo, Jr.,
6th degree of consanguinity or affinity or to G.R. No. 180543, July 27, 2010).
counsel within the 4th civil degree; A decision to disqualify himself is not conclusive
and his competency may be determined on
3. When he has been an executor, guardian, application for mandamus to compel him to act.
administrator, trustee, or counsel; or
NOTE: The filing of an administrative case
4. When he has presided in an inferior court against a judge does not automatically
where his ruling or decision is subject to disqualify him from sitting in a case. It must be
review, without the written consent of the shown that there are other acts or conducts by the
parties (Rule 137, RRC). judge which constitute a ground for his
disqualification (Aparicio v. Andal, G.R. Nos.
86587-93, July 25, 1989; Medina v. Judge De
Sec. 5, Canon 3 makes an enumeration when Guia, A.M. No. RTJ-88216, March 1, 1993).
judges should disqualify themselves. It notes of
the following instances where they are unable to It must be filed before rendition of the
decide the matter impartially or which may appear judgment and it cannot be raised on appeal.
to a reasonable observer that they are unable to act Otherwise, the parties are deemed to have waived
with impartiality. The cases include: any objection regarding the impartiality of the
a. Actual bias or prejudice concerning a party judge (Government vs. Heirs of Abella, G.R. No.
or personal knowledge of the disputed 25009, September 8, 1926).
evidentiary facts;
A judge should not be disqualified because he was
b. Judge previously served as a lawyer or is a a classmate (or a co-member in a fraternity) of
material witness on the matter; one of the counsels if there is no proof that such a
relationship results in actual bias or prejudice. To
c. The judge or a member of his family has a allow disqualification would unnecessarily burden
material interest in the outcome of the other trial judges to whom the case will be
controversy; assigned. Confusion would result, because a judge
would then be barred from sitting in a case
d. Judge previously served as an executor, whenever one of his former classmates (and he
administrator, guardian, trustee, or lawyer, in could have many) appeared [Masadao and
Page 388 of 392

the controversy; Elizaga, cited in Lex Pareto (2014)].
e. That the judge’s ruling in a lower court is The mere fact that a counsel who is appearing
the subject of review; before a judge was one of those who
recommended him to the Bench is not a valid
f. Relation of the judge by consanguinity or ground from voluntary inhibition. “Utang na
affinity to a party litigant within the sixth civil loob” per se should not be a hindrance to the
degree or to counsel within the fourth civil administration of justice. Nor should recognition
degree; of such value prevent the performance of judicial
duties. However, where the judge admits that he
g. The judge knows that his or her spouse or may be suspected of surrendering to the
child has a financial interest as an heir, legatee, persuasions of utang na loob, and he may
creditor, fiduciary or otherwise in the succumb to it considering that he and members of
controversy, or has any other interest that the family no less shall ever remain obliged in
could substantially be affected by the outcome eternal gratitude to the recommending counsel,
of the proceedings. the judge should inhibit himself [Query of
Executive Judge Estrella Estrada, etc, A.M. No.
Note: The enumeration in Sec. 5, Canon 3 is 87-9-3918-RTC (1987) cited in Lex Pareto
not exclusive. The proviso states that such (2014)].
instances may include but are not limited to the
enumeration in Section 5. The mere imputation of bias or partiality is not
enough ground for inhibition, especially when
The law conclusively presumes that a judge the charge is without basis. Extrinsic evidence
cannot objectively or impartially sit in such a case must further be presented to establish bias,
and, for that reason, prohibits him and strikes at bad faith, malice, or corrupt purpose, in
his authority to hear and decide it, in the absence addition to palpable error which may be inferred
of written consent of all parties concerned. The from the decision or order itself [Philippine
purpose is to preserve the people's faith and Commercial International Bank v. Dy Hong Pi,
confidence in the courts' justice [Garcia v. De La G.R. No. 171137 (2009)].
Peña, A.M. No. MTJ92-687 (1994)].
The relationship of the judge with one of the

parties may color the facts and distort the law to
the prejudice of a just decision. Where this is
probable or even only possible, due process
demands that the judge inhibit himself, if only out
of a sense of delicadeza [Javier v. COMELEC,
G.R. No. L-68379-81 (1996)].
The objecting party to his competency may, in
Requirements for a judge to continue hearing a writing, file with the subject official his objection
case despite the existence of reasons for and its grounds. The said official may, in
disqualifications accordance with his determination of the question
of his disqualification, either:
1. The bona fide disclosure to the parties in 1) proceed with the trial or
Page 389 of 392

litigation; and 2) withdraw therefrom.
2. The express acceptance by all the parties of the The decision of the said official shall be in writing
cited reason as not material or substantial. and filed with the other papers in the case, but no
appeal or stay shall be allowed from, or by reason
of, his decision in favor of his own competency,
until final judgment in the case [Sec. 2].
Reviewing Own Cases

In Sandoval v. CA (1996), the Supreme Court found that an Associate Justice who only partly presided
over a case in the trial court and who did not render the final decision cannot be said to have been placed
in a position where he had to review his own decision and, as such, was not legally bound, on this ground,
to inhibit himself as ponente of the case. Nevertheless, it was held that he should have voluntarily
inhibited himself for his earlier involvement in the case constitutes just or valid reason under Sec. 1, Rule
137. A judge should not handle a case in which he might be perceived, rightly or wrongly, to be
susceptible to bias and partiality
Actual Bias or Prejudice

In Umale v. Villaluz (1973), a judge inhibited himself from trying a robbery case due to his personal
knowledge of the case. The Supreme Court stated that it is possible that the respondent Judge might be
influenced by his personal knowledge of the case when he tries and decides the same on the merits, which
would certainly constitute a denial of due process to the party adversely affected by his judgment or
decision. Thus, it is best that after some reflection, the judge, on his own initiative, disqualifies himself
from hearing the robbery case and thereby rendering himself available as witness to any of the parties
subject to cross-examination.
The right of a party to seek the inhibition or disqualification of a judge who does not appear to be wholly
free, disinterested, impartial and independent in handling the case must be balanced with the latter’s
sacred duty to decide cases without fear of repression. Thus, it was incumbent upon a lawyer to establish
by clear and convincing evidence the ground of bias and prejudice in order to disqualify a Judge from
participating in a particular trial (Judge Madrid v. Atty. Dealca, A.C. No. 7474, September 09, 2014).
Page 390 of 392

Direct and indirect contempt

2. Contempt (RULE 71)
Direct Contempt Indirect Contempt
! Misbehavior in the presence of or so near a court 1. Misbehavior of an officer of a court in the
as to obstruct or interrupt the proceedings before performance of his official duties or in his official
the same; transactions;
! Disrespect toward the court; 2. Disobedience of or resistance to a lawful writ,

process, order, or judgment of a court, including
! Offensive personalities toward others; the act of a person who, after being dispossessed
or ejected from any real property by the judgment
! Refusal to be sworn or to answer as a witness; or or process of any court of competent jurisdiction,
! Refusal to subscribe an affidavit or deposition enters or attempts or induces another to enter into
when lawfully required to do so. or upon such real property, for the purpose of
executing acts of ownership or possession, or in
Direct contempt may be summarily adjudged by any manner disturbs the possession given to the
such court. person adjudged to be entitled thereto;
Punishment for direct contempt: 3. Any abuse of or any unlawful interference with
1. If with RTC or a court of equivalent or higher the processes or proceedings of a court not
rank - a fine not exceeding two thousand pesos or constituting direct contempt under section 1 of
imprisonment not exceeding ten (10) days, or this Rule;
both.
4. Any improper conduct tending, directly or
2. If with a lower court - a fine not exceeding two indirectly, to impede, obstruct, or degrade the
hundred pesos or imprisonment not exceeding one administration of justice;
(1) day, or both [Sec. 1, Rule 71, RoC].
5. Assuming to be an attorney or an officer of a
court, and acting as such without authority;
6. Failure to obey a subpoena duly served;
7. The rescue, or attempted rescue, of a person or

property in the custody of an officer by virtue of
an order or process of a court held by him [Sec. 3,
Rule 71, RoC].
Punishment for indirect contempt:

1. If with RTC or a court of equivalent or higher
rank - a fine not exceeding thirty thousand pesos
or imprisonment not exceeding six (6) months, or
both
Page 391 of 392

2. If with a lower court - a fine not exceeding five

thousand pesos or imprisonment not exceeding
one (1) month, or both; 3. If the contempt consists
in the violation of a writ of injunction, temporary
restraining order or status quo order - complete
restitution to the party injured by such violation of
the property involved or such amount as may be
alleged and proved.
Practical Exercises (2 Questions)

Parts of conveyancing, affidavits
Parts of pleadings, motions
Page 392 of 392

Sources: Key Philippine Civil Procedure Cases and Concepts

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Procedure and Professional Ethics (18 Questions)

Other cases not directly governed by the Rules of Court:

 Cases falling under Summary Procedure

Requirements for the commencement of civil action:

Effect of filing of complaint:

It is within the inherent power of the SC to suspend its own rules.

The two pre-requisites for the relaxation of the rules are:

2. Meaning of special civil actions

3. Meaning of criminal actions

4. Distinguish: civil actions and special proceedings

Parties in an ordinary civil action: Parties:

1. Personal actions and real actions

6. Local and transitory actions

7. Actions in rem, in personam and quasi in rem

Why distinction is important

Bases of cause of action

Elements of a cause of action

When cause of action must exist

2. Distinguish: right of action and cause of action

Right of Action Cause of Action

3. Distinguish: failure to state a cause of action and lack of cause of action

4. Test of the sufficiency of a cause of action

However, there is no hypothetical admission of the veracity of the allegations if:

5. Splitting a single cause of action and its effects

Plaintiff's remedy if other reliefs not included in the complaint: Amendment

Tests to determine a “single” cause of action

6. Joinder and misjoinder of causes of action

Examples of Special Civil Action: Examples of Special Proceedings:

 Interpleader (Rule 62)  Probate of the Will

D. PARTIES TO CIVIL ACTIONS

Who may be parties

1. Real parties in interest; indispensable parties; representatives as parties; necessary parties;

Real Parties in Interest

Why necessary to determine the real party in interest

Exception: Unless otherwise provided by law or the Rules. [Sec. 2, Rule 3]

Remedy for the Plaintiff

When real party-in-interest bound despite not being formally impleaded

A representative may be a trustee of an express trust, a guardian, an executor or administrator, or

Section 5, Rule 3. Minor or incompetent persons. – A minor or a person alleged to be incompetent,

NOTE: Representatives are not real parties in interest.

2. Compulsory and permissive joinder of parties

Compulsory Joinder of Parties

Effect of non-joinder of indispensable parties

3. Misjoinder and non-joinder of parties

Effect of misjoinder or non-joinder of parties

Non-joinder of Necessary Parties

Only general interest in the subject matter of litigation required

No dismissal upon the instance of plaintiff or due to compromise

Examples of Class Suits

Not a Class Suit

5. Suits against entities without juridical personality

6. Effect of death of party litigant

Summons not necessary

Effect of failure to order substitution

• the successor adopts or continues his predecessor’s action, or threatens to do so

Action on Contractual Money Claims

On dismissal based on improper venue

1. Venue of real actions

Classic examples of real actions:

2. Venue of personal actions

Classic examples of personal actions:

3. Venue of actions against non-residents