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II. CIVIL PROCEDURE Q. CONSOLIDATION OR SEVERANCE (RULE

31)
R. DEMURRER TO EVIDENCE (RULE 33)
TOPIC OUTLINE UNDER THE 2022 SYLLABUS S. JUDGMENTS AND FINAL ORDERS
1. Judgment on the pleadings (Rule 34)
A. GENERAL PROVISIONS (RULE 1) 2. Summary judgments (Rule 35)
B. CAUSE OF ACTION (RULE 2) 3. Rendition and entry of judgments and final
C. PARTIES TO CIVIL ACTIONS (RULE 3) orders (Rule 36)
D. VENUE (RULE 4) T. MOTION FOR NEW TRIAL OR
E. PLEADINGS RECONSIDERATION
1. Kinds (Rule 6) 1. Rule 37
2. Parts of a pleading (Rule 7) 2. Remedy against denial and fresh-period
3. Manner of making allegations (Rule 8) rule
4. Effect of failure to plead (Rule 9) U. EXECUTION, SATISFACTION, AND EFFECT
5. Amended and supplemental pleadings OF JUDGMENTS (RULE 39)
(Rule 10)
6. When to file responsive pleadings (Rule
11)
7. Bills of Particulars (Rule 12)
8. Efficient use of paper rule; e-filing
F. FILING AND SERVICE OF PLEADINGS,
JUDGMENTS, FINAL ORDERS, AND
RESOLUTIONS
1. Rules on payment of docket fees; effect of
non-payment
2. Rule 13
G. SUMMONS
1. Nature and purpose of summons in
relation to actions in personam, in rem,
and quasi in rem
2. Rule 14
H. MOTIONS
1. In general (Rule 15)
2. Non-litigous motions (Rule 15, Sec. 4)
3. Litigous Motions (Rule 12, Sec. 5)
4. Prohibited Motions (Rule 15, Sec. 12)
I. DISMISSAL OF ACTIONS
1. With prejudice vs. without prejudice;
dismissals which have an effect of an
adjudication on the merits
2. Rule 17
J. PRE-TRIAL (RULE 18)
K. INTERVENTION (RULE 19)
L. CALENDAR OF CASES (RULE 20)
M. SUBPOENA (RULE 21)
N. COMPUTATION OF TIME (RULE 22)
O. MODES OF DISCOVERY
1. Depositions (Rules 23 and 24)
2. Interrogatories to parties (Rule 25)
3. Admission by adverse party (Rule 26)
4. Production or inspection of documents or
things (Rule 27)
5. Physical and mental examination of
persons (Rule 28)
6. Refusal to comply with modes of discovery
(Rule 29)
P. TRIAL (RULE 30)

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A. GENERAL PROVISIONS (Rule 1)
1. MEANING OF ORDINARY CIVIL ACTIONS
An action is a formal demand of one’s legal rights
in a court of justice in a manner prescribed by the
court or by the law. It is governed by ordinary rules.
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. (Rule 1, Sec.
3[a][1])
A civil action may be either ordinary or special.
2. MEANING OF SPECIAL CIVIL ACTIONS
A special civil action contains special features not
found in ordinary civil actions. It is also governed by
ordinary civil actions, subject to specific rules (Rules
62-71) for special civil actions. (Rule 1, Sec. 3[a][2].
3. MEANING OF CRIMINAL ACTIONS
A criminal action is one by which the State
prosecutes a person for an act or omission
punishable by law. (Rule 1, Sec. 3[b])
4. CIVIL ACTIONS VERSUS SPECIAL
PROCEEDINGS
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.
Proceedings are to be regarded as civil when the
purpose is primarily compensatory.
On the other hand, the purpose of a special
proceeding is to establish a status, a right or a
particular fact. (Rule 1, Sec. 3[c])
5. PERSONAL ACTIONS AND REAL ACTIONS
Real actions are those which affect title to or
possession of real property or an interest therein.
It involves actions in which personal property is
sought to be recovered or damages for breach of
contract are sought.
While a real action is founded on privity of real
estate, a personal action is founded on privity of
contract.
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6. LOCAL AND TRANSITORY ACTIONS
A real action is local, i.e., its venue depends upon
the location of the property involved in the litigation.
It is filed in the court where the property or any part
thereof is situated. An example of such action is
recovery of real property.
A personal action is transitory, i.e., its venue
depends upon the residence of the plaintiff or the
defendant at the option of the plaintiff. An example
of such action is recovery of sum of money.
7. ACTIONS IN REM, IN PERSONAM AND QUASI
IN REM
The distinction is important to determine:
Whether or not jurisdiction over the person of the
defendant is required;
The type of summons to be employed and how it is
served; and
Upon whom judgment is binding
(a) In Rem
1. A proceeding to determine the state or
condition of a thing.
2. Directed against the thing itself.
3. Jurisdiction over the person of the defendant
is not required; Only jurisdiction over the
res/thing is required. .
4. Judgment is binding on the whole world.
An action in rem is an action against the thing itself,
instead of against the person. (Regner v. Logarta,
G.R. No. 168747, 2007)
Examples: probate and cadastral proceedings.
(b) In Personam
1. An action to impose a responsibility or liability
upon a person directly.
2. Directed against a particular person.
3. Jurisdiction over the person of the defendant
is required.
4. Judgment is binding only upon the parties
impleaded or their successors in interest.
An action in personam is brought against a person
on the basis of personal liability. (Regner v. Logarta,
G.R. No. 168747, 2007)
Examples: actions for specific performance and
actions for breach of contract.
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(c) Quasi In Rem
1. It is a proceeding, the purpose of which is to
subject the interest of a named defendant
over a particular property to an obligation or
lien burdening it.
2. Directed against particular persons.
3. Jurisdiction over the person of the defendant
is not required as long as jurisdiction over the
res is acquired.
4. Judgment is binding upon the particular
persons.
An action quasi in rem is one wherein an individual
is named as defendant and the purpose of the
proceeding is to subject his interest therein to the
obligation or lien burdening the property. (Biaco v.
PH Countryside Rural Bank, G.R. No. 161417,
2007)
Note: An action in personam may be converted into
an action in rem or quasi in rem, through attachment
of the properties under Rule 57, Sec.
Examples: actions for partition and foreclosure of
real estate mortgages.
ACTIONS CAPABLE AND INCAPABLE OF
PECUNIARY ESTIMATION
Purpose of Distinction
The purpose of the distinction is to determine
whether the action falls under the jurisdiction of the
Regional Trial Court.
Note that all civil actions in which the subject of the
litigation is incapable of pecuniary estimation falls
under the exclusive original jurisdiction of the
Regional Trial Court. (B.P. 129, Sec. 1(1)).
How Determination is Made
To determine if the subject matter of an action is one
capable of pecuniary estimation, it is necessary to
ascertain the nature of the principal action or
remedy sought. (Genesis Investment v. Heirs of
Ebarasabal, G.R. No. 181622, 2013)
Capable of Pecuniary Estimation
If it is primarily for the recovery of a sum of money,
the claim is considered capable of pecuniary
estimation. (Id.)
Example: action for a sum of money
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Incapable of Pecuniary Estimation
If the principal action sought is something other than
the recovery of a sum of money or the money claim
is merely incidental to the principal relief sought, the
action is incapable of pecuniary estimation. (Id.)
Example: specific performance, support, or
foreclosure of mortgage, or annulment of judgment
INDEPENDENT CIVIL ACTION
Definition
Independent civil actions refer to those provided for
in Articles 32, 33, 34 and 2176 of the Civil Code of
the Philippines.
Purpose: To make the court’s disposition of the
criminal case of no effect whatsoever on the
separate civil case. Purpose is to enforce civil
liability arising from the tort/quasi-delict
Requisites
May be brought by the offended party;
Shall proceed independently of criminal action; and
Shall require only a preponderance of evidence.
(Rule 111, Sec. 3)
Note: Rule on Double Recovery – An offended party
cannot recover damages twice for the same act or
omission charged in the criminal action . (Rule 111,
Sec. 3)
Recall:
Article 32, Civil Code
General Rule
Violation, impediment or impairment of a person’s
rights and liberties by any public officer or employee,
or any private individual.
Exception
Not demandable from a judge unless his act or
omission constitutes a violation of the Penal Code
or other penal statute.
Note: The indemnity shall include moral damages.
Exemplary damages may also be adjudicated.
Article 33, Civil Code
Cases of defamation, fraud, and physical injuries a
civil action for damages, entirely separate and
distinct from the criminal action.
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Article 34, Civil Code
When a member of a city or municipal police force
refuses or fails to render aid or protection to any
person in case of danger to life or property, such
peace officer shall be primarily liable for damages,
and the city or municipality shall be subsidiarily
responsible therefor.
Article 2176, Civil Code
Whoever by act or omission causes damage to
another, there being fault or negligence, is obliged
to pay for the damage done. Such fault or
negligence, if there is no pre-existing contractual
relation between the parties, is called a quasi-delict
and is governed by the provisions of this Chapter
(Quasi-Delicts).
COMMENCEMENT OF ACTION
When Commenced
A civil action commences upon 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. (Rule 1, Sec.
5)
Docket Fees
The payment of docket fees is an essential
requirement of due process. (7107 Islands
Publishing v. House Printers Corp., G.R. No.
193420, 2015)
To vest the court with jurisdiction over the subject
matter, the following should be complied with:
1. 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. Where
the filing of the initiatory pleading is not
accompanied by payment of the docket fee,
the court may allow payment of the fee within
a reasonable time but in no case beyond the
applicable prescriptive or reglementary
period.
2. The same rule applies to permissive
counterclaims, third party claims and similar
pleadings, which shall not be considered filed
until and unless the filing fee prescribed
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therefor is paid. The court may also allow
payment of said fee within a reasonable time
but also in no case beyond its applicable
prescriptive or reglementary period.
3. Where the trial court acquires jurisdiction over
a claim by the filing of the appropriate pleading
and payment of the prescribed filing fee but,
subsequently, the judgment awards a claim not
specified in the pleading, or if specified the
same has been left for determination by the
court, the additional filing fee therefor shall
constitute a lien on the judgment. It shall be the
responsibility of the Clerk of Court or his duly
authorized deputy to enforce said lien and
assess and collect the additional fee. (Sun
Insurance Office Ltd. v. Asuncion G.R. No.
79937-38, 1989)
Effective August 16, 2004 under Sec. 7, Rule 141,
as amended by A.M. No. 04-2-14-SC, docket fees
are now required to be paid in compulsory
counterclaim or cross-claim. (Korea
Technologies v. Lerma, G.R. No. 143581, 2008).
Thus, docket fees are now required for both
permissive and compulsory counterclaims.
Effect of Non-Payment of Docket Fees
The non-payment of the prescribed filing fees at the
time of the filing of the complaint or other initiatory
pleading fails to vest jurisdiction over the case in the
trial court.
Yet, where the plaintiff has paid the amount of filing
fees assessed by the clerk of court, and the amount
paid turns out to be deficient, the trial court still
acquires jurisdiction over the case, subject to the
payment by the plaintiff of the deficiency
assessment. (Fedman Dev’t Corp v. Agcaoili, G.R.
No. 165025, 2011)
Note: Where the action is commenced by registered
mail, the date of mailing is considered the date of
the commencement of the action.
CONSTRUCTION OF THE RULES
General Rule:
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. (Rule 1, Sec. 6)
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Exceptions:
Service of Summons;
Reglementary Periods;
Forum Shopping; and
Docket Fees (7107 Islands v. House Printers
Corp., G.R. No. 193420, 2015)
The liberal interpretation and application of rules
apply only in proper cases of demonstrable merit
and under justifiable causes and circumstances.
The Court cannot be expected to be liberal or
indulgent when petitioner is without a valid
explanation [for non-compliance]. (Rural Bank of
Seven Lakes v. Dan, G.R. No. 174109, 2008)
————- end of topic ————-
B. CAUSE OF ACTION (Rule 2)
Basis of Ordinary Civil Actions
Every ordinary civil action must be based on a
cause of action. (Rule 2, Sec. 1)
1. MEANING OF CAUSE OF ACTION
A cause of action is an act or omission of one party
in violation of the legal rights of another.
Elements of a cause of action (ROB):
1. Legal Right of the plaintiff;
2. Correlative Obligation of the defendant to
respect plaintiff’s right;
3. Act or omission (i.e. Breach) of the defendant
in violation of plaintiff’s legal right.
Recall: The obligations referred to above are
enumerated in Civil Code, Art. 1157:
1. Law
2. Contract
3. Quasi-Contract
4. Delict
5. Quasi-Delict
A single act or omission can be violative of various
rights at the time, but where there is only one delict
or wrong, there is but one single cause of action
regardless of the number of rights violated. (Joseph
v. Bautista, G.R. No. L-41423, 1989)
A party may not institute more than one suit for a
single cause of action. (Rule 2, Sec. 3)
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Whether one is a party or not in a contract is not
determinative of the existence of a cause of action—
participation in a contract is not an element in
considering whether or not a complaint states a
cause of action. Even a third party outside the
contract can have a cause of action against either
or both contracting parties. (Camarines Sur IV
Electric Cooperative, Inc. v. Aquino, G.R. No.
167691, 2008)
The phrase “financial and business difficulties”
in the complaint is a vague notion, ambiguous in
concept. With no “particular injury” alleged in the
complaint, there is no delict or wrongful act or
omission attributable to the petitioner that would
violate the primary rights of the respondent, there is
failure to state a cause of action. (Vinzons-Chato v.
Fortune, G.R. No. 141309, 2008)
2. RIGHT OF ACTION VERSUS CAUSE OF
ACTION
Cause of Action
A delict or wrongful act or omission committed by
the defendant in violation of the primary rights of the
plaintiff.mm
Right of Action
A remedial right or right to relief granted by law to a
party to institute an action against a person who has
committed a delict or wrong against him/her; it is the
right of a person to bring and prosecute an action to
obtain a judgment, the elements of which are as
follows:
1. There must be a cause of action;
2. Compliance with all the conditions precedents;
and
3. Action must be instituted by the proper party.
Performance or fulfillment of all conditions
precedent upon which a right of action depends
must be sufficiently alleged, considering that the
burden of proof to show that a party has a right of
action is upon the person initiating the suit.
(Philippine American General Insurance Co., v.
Sweet Lines, G.R. No. 87434, 1992)
While the “cause of action” is the reason for the
action (e.g. breach of contract), the “right of action”
is the remedy or means afforded or the consequent
relief (e.g., filing a civil action for recovery of
damages on the ground of breach of contract).
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While a cause of action depends on substantive law, of action is now an

the right of action is a matter of procedure (a affirmative defense
remedial right) and depends on the pleadings filed under Sec. 12(4), Rule
by the parties. 8 of the New Rules.)
(Asia Brewery, Inc. v. Equitable PCI Bank, G.R. No.
Lastly, a cause of action is not affected by 190432, April 25, 2017)
affirmative defenses (fraud, prescription, estoppel
etc.). On the other hand, a right of action may be 4. TEST OF SUFFICIENCY OF A CAUSE OF
lost or waived (e.g. through prescription if a ACTION
complaint is not filed within the prescriptive period.)
The test of the sufficiency of the facts alleged in the
3. FAILURE TO STATE A CAUSE OF ACTION complaint as constituting a cause of action is
whether or not admitting the facts alleged, the court
The curing effect under Section 5 is applicable only could render a valid verdict in accordance with the
if a cause of action in fact exists at the time the prayer of the complaint. (See Misamis Occidental II
complaint is filed, but the complaint is defective for Cooperative v. David, G.R. No. 129928, 2005)
failure to allege the essential facts.
If the allegations in the complaint furnish sufficient
For example, if a complaint failed to allege the basis by which the complaint can be maintained, the
fulfillment of a condition precedent upon which the same should not be dismissed regardless of the
cause of action depends, evidence showing that defense that may be assessed by the defendants.
such condition had already been fulfilled when the (Ceroferr Realty Corp. v. Court of Appeals, G.R.
complaint was filed may be presented during the No. 139539, 2002)
trial, and the complaint may accordingly be
amended thereafter. In order to sustain a dismissal on the ground of lack
of cause of action, the insufficiency must appear on
It thus follows that a complaint whose cause of the face of the complaint. And the test of the
action has not yet accrued cannot be cured or sufficiency of the facts alleged in the complaint to
remedied by an amended or supplemental pleading constitute a cause of action is whether or not,
alleging the existence or accrual of a cause of action admitting the facts alleged, the court can render a
while the case is pending. Such an action is valid judgment thereon in accordance with the
prematurely brought and is, therefore, a groundless prayer of the complaint.
suit, which should be dismissed by the court upon
proper motion seasonably filed by the defendant. Thus, when the obligation to deliver the prestation is
not yet due, as where the obligor still had six days
The underlying reason for this rule is that a person to do so, a complaint filed for breach of the
should not be summoned before the public tribunals obligation should be dismissed. While the plaintiff
to answer for complaints which are immature. claimed anticipatory breach in this case, this
(Swagman v. Court of Appeals, G.R. No. 161135, principle cannot be applied here because the
2005) obligation was single and indivisible – to deliver two
units of frequency converter. Moreover, there was
Failure to state a Lack of cause of no showing that Danfoss refused to deliver, and on
cause of action action the contrary, Danfoss made an effort to make good
Insufficiency of the Insufficiency of the on its obligation. (Danfoss, Inc v Continental
allegations in the factual basis for the Cement Corp, G.R. No. 143788, 2005).
pleading action
Raised before a Raised after the One suit for a single cause of action
responsive pleading plaintiff has rested its A party may not institute more than 1 suit for a single
has been filed. case. cause of action (Rule 2, Sec. 3)
Remedy is to file a Remedy is to file a
Motion to Dismiss Demurrer to Evidence The true rule which determines whether a party has
under Rule 16. (Note: under Rule 33, Sec. 1. only a single and entire cause of action or has a
Failure to state a cause severable demand for which he may maintain

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separate suits, is whether the entire amount arises
from one and the same act or contract or the several
parts arise from distinct and different acts or
contracts. (BPI Family v. Vda. De Coscolluela, G.R.
No. 167724, 2006)
When the facts clearly show that the filing of the first
ejectment case was grounded on the violation of
stipulations in the lease contract, while the filing of
the second case was based on the expiration of the
lease contract, the dismissal of the civil action would
not prosper.
To ascertain whether two suits relate to a single or
common cause of action, several tests exist:
1. Whether the same evidence would support
and sustain both the first and second
causes of action (same evidence test)
2. Whether the defenses in one case may be
used to substantiate the complaint in the
other.
3. Whether the cause of action in the second
case existed at the time of the filing of the
first complaint. (Umale v. Canoga, G. R.
No. 167246, 2011)
Singleness of Cause of Action in Contracts
General Rule: A contract embraces only one cause
of action because it may be violated only once even
if it contains several stipulations. (Quiogue v.
Bautista, G.R. No. L-13159, 1962)
Exception: A contract to do several things at
several times is divisible in its nature. This kind of
obligation authorizes successive actions and a
judgment recovered for a single breach does not bar
a suit for a subsequent breach. (Blossoms & Co. v.
Manila Gas Corporation, G.R. No. L-32958, 1930)
Exception to exception
When a contract of lease provides for the payment
of the rent in separate installments, each installment
may be considered an independent cause of action,
but in an action upon such a lease for the recovery
of rent, the installments due at the time the action
was brought must be included in the complaint, and
failure to do so constitutes a bar to a subsequent
action for such overdue rent. (Larena v. Villanueva,
G.R. No. L-29155, 1928)
Anticipatory Breach
If the obligor manifests an unqualified and positive
refusal to perform a contract, though the
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performance of the same is not yet due, and the
renunciation goes to the whole contract, it may be
treated as a complete breach, which will entitle the
injured party to bring his action at once. In this case,
the breach is considered a total breach and there
can only be one action and the plaintiff must recover
all his damages therein (Blossoms & Co. v. Manila
Gas Corporation, G.R. No. L-32958, 1930)
5. SPLITTING A SINGLE CAUSE OF ACTION
AND ITS EFFECTS
Splitting a single cause of action is the act of
instituting two or more suits for the same cause of
action.
The pleader divides a single cause of action, claim
or demand into two or more parts, brings a suit for
one of such parts with the intent to reserve the rest
for another separate action. (Quadra v. Court of
Appeals, G.R. No. 147593, 2006)
It is to be noted that splitting a cause of action is
NOT allowed by the Rules of Court and such
prohibition applies not only to complaints but also to
counterclaims and cross-claims. (Mariscal v. CA,
G.R. No. 123926, 1999)
Remedy of defendant where a single cause of
action has been split
If two or more suits are instituted for a single cause
of action, the filing of one or a judgment upon the
merits in any of one is available as a ground for
dismissal of others.
The remedy then of the defendant is to raise the
affirmative defense of either:
1. Litis Pendentia; or
2. Res Judicata
If the first action is pending when the second action
is filed, the latter may be dismissed based on LITIS
PENDENTIA.
If a final judgment had been rendered in the first
action when the second action is filed, the latter may
be dismissed based on RES JUDICATA.
Note that it need not be the second action filed that
should be dismissed.
CCA holdings filed a complaint against Riviera Golf
Club Inc. when the latter defaulted in payment.
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When its demands were unheeded, CCA Holdings
filed another complaint against Riviera Golf Club
Inc. The Court did not allow this. A cause of action
may give rise to several reliefs, but only one action
can be filed. A single cause of action or entire claim
or demand cannot be split up or divided into two or
more different actions. In both cases, CCA Holdings
imputed the same wrongful act. (Riviera Golf Club
Inc. v. CCA Holdings, G.R. No. 173783, 2015).
6. JOINDER AND MISJOINDER OF CAUSES OF
ACTION
Joinder of Causes of Action is the assertion of as
many causes of action as a party may have against
another in one pleading alone. It is not compulsory,
but merely permissive.
may, on motion of a party or on the initiative of the
court, be severed and proceeded with separately.
(Rule 2, Sec. 6)
When after severance the case falls outside the
jurisdiction of the court, the case may be dismissed
motu propio or on motion.
Note that unlike splitting of cause of action, a
misjoinder is NOT a ground for the dismissal of an
action.
If no one objects to the misjoinder, it would be tried
and decided together with the other causes of
action. (see Ada v. Baylon, G.R. No. 182432,
2012)
————- end of topic ————-

A party may in one pleading assert, in the alternative C. PARTIES TO CIVIL ACTION (Rule 3)
or otherwise, as many causes of action as he may
have against an opposing party, subject to the Who May Be Parties: (NJE)
following conditions: Only the following may be parties to a civil action
1. The party joining the causes of action shall 1. Natural persons;
comply with the rules on joinder of parties 2. Juridical persons; and
2. The joinder shall not include special civil 3. Entities authorized by law.
actions or actions governed by special rules;
3. Where the causes of action are between the PLAINTIFF DEFENDANT
same parties but pertain to different venues
or jurisdictions, the joinder may be allowed in Generally refers to the Does not only refer to
the Regional Trial Court provided one of the claiming party or more the original defending
causes of action falls within the jurisdiction of appropriately, the party.
said court and the venue lies therein; and original claiming party,
4. Where the claims in all the causes action are and is the one who files
principally for recovery of money, the the complaint.
aggregate amount claimed shall be the test
of jurisdiction. (Rule 2, Sec. 5) The term may refer to If a counterclaim is filed
the claiming party, the against the original
It is the process of uniting two or more demands or counter-claimant, the plaintiff, the latter
rights of action in one action. cross-claimant or the becomes a defendant
third-party plaintiff. and the former, a
When there are two or more defendants, or one or plaintiff in the
more plaintiffs, the causes of action against the counterclaim.
defendants can only be joined if there is compliance
It may also apply to a It may also pertain to a
with the rules on joinder of parties. (Flores v.
defendant who files a defendant in a
Mallare-Philipps, G.R. No. L-66620, 1986)
counterclaim, a cross- counterclaim, the cross-
claim or a third party defendant, or the third-
However, joinder does NOT include special civil
complaint. (Rule 3, party defendant. (Rule
actions or those actions governed by special rules,
Sec. 1) 3, Sec. 1)
i.e., ejectment, REM foreclosure and partition.

Misjoinder of causes of action

Misjoinder of causes of action is not a ground for
dismissal of an action. A misjoined cause of action

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The JURIDICAL persons who may be parties to
a civil action:
1. The State and its political subdivisions;
2. Other corporations, institutions and entities for
public interest or purpose, created by law; and
3. Corporations, partnerships and associations for
private interest or purpose to which the law
grants a juridical personality, separate and
distinct from that of each shareholder, partner or
member (Civil Code, Art. 44)
Entities authorized by law to be parties:
1. A corporation by estoppel;
2. A contract of partnership having a capital of three
thousand pesos or more but which fails to
comply with the registration requirements;
3. Estate of a deceased person;
4. A legitimate labor organization;
5. The Roman Catholic Church; and
6. A dissolved corporation for suits that occur within
3 years after its dissolution and suits in
connection with the settlement and closure of its
affairs (Riano 2014 p. 264)
Remedies when a party impleaded is not
authorized to be a party:
1. If PLAINTIFF - a motion to dismiss may be filed
on the ground that the plaintiff has no legal
capacity to sue. (Rule 16, Sec. 1[d])
Note: Under the New Rules, the plaintiff’s lack of
legal capacity to sue is no longer a ground for a
motion to dismiss (See Rule 15, Sec. 12 of the New
Rules). The ground that a plaintiff has no legal
capacity is now an affirmative defense (See Rule 8,
Sec. 11(3) of the New Rules). Rule 16 is entirely
deleted.
2. If DEFENDANT - the complaint may be
dismissed on the ground of failure to state a
cause of action. (Rule 16, Sec. 1[g])
Note: Failure to state a cause of action is now an
affirmative defense. (See Rule 8, Sec. 12(4) of the
New Rules).
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1. REAL PARTIES IN INTEREST;
INDISPENSABLE PARTIES;
REPRESENTATIVES AS PARTIES;
NECESSARY PARTIES; INDIGENT
PARTIES; ALTERNATIVE DEFENDANTS
Real Party in Interest
One who stands to be benefited or injured by the
judgment in the suit, or the party entitled to the avails
of the suit. (Rule 3, Sec. 2)
“Interest” within the meaning of the rule, means
material interest, an interest in issue and to be
affected by the decree, as distinguished from mere
interest in the question involved, or a mere
incidental interest. (Republic v. Coalbrine Int’l
Philippines, Inc., G.R. No. 161838, 2010)
His interest must be real which is a present
substantial interest as distinguished from a mere
expectancy or a future, contingent subordinate or
consequential interest (Rayo v. Metrobank, G.R.
No. 165142, 2007).
[We find] no merit to petitioners’ contention that they
are not real parties-in-interest since they are not
parties nor signatories to the contract and hence
should not have been impleaded as defendants. It
is undeniable that petitioner Chan is an heir of
Ramon Chan and, together with petitioner Co, was
a successor-in-interest to the restaurant business of
the late Ramon Chan. Both continued to operate the
business after the death of Ramon. Thus, they are
real parties-in-interest in the case filed by private
respondent, notwithstanding that they are not
signatories to the Contract of Lease. (Sui Man Hui
Chan v. CA, G.R. No. 147999, 2004)
Every action must be prosecuted and defended in
the name of the real party-in-interest.
Venue is where the real party-in-interest resides
The real party-in-interest’s three co-plaintiffs are all
residents of Batac, Ilocos Norte. However, not one
of the three can be considered as principal party
plaintiffs. As trustees, they may prosecute the suit
but only on behalf of the beneficiary who is deemed
the real party-in-interest. The residences of the
three co-plaintiffs cannot be the basis to determine
the venue.
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The purposes of the requirement for the real party
in interest prosecuting or defending an action at law
are:
To prevent the prosecution of actions by persons
without any right, title or interest in the case;
To require that the actual party entitled to legal relief
be the one to prosecute the action;
To avoid a multiplicity of suits; and
To discourage litigation and keep it within certain
bounds, pursuant to sound public policy.
(Stronghold Insurance Company, Inc. v.
Cuenca, G.R. No. 173297, 2013)
General Rule: Only parties to a contract may sue.
Exceptions:
A beneficiary of a stipulation pour autrui may
demand fulfillment of the contract. (Civil Code,
Art. 1311). A beneficiary is a real party in
interest/indispensable party.
Those who are not principally or subsidiarily
obligated in a contract may show the detriment
that could result from it i.e., when contracts
entered into in fraud of creditors may be
rescinded when the creditors cannot collect the
claims due them. (Civil Code, Art. 1318)
Indispensable Party
A real party-in-interest without whom NO FINAL
DETERMINATION can be had of an action. They
are those with such an interest in the controversy
that a final adjudication cannot be made, in his
absence, without injuring or affecting that interest.
(Rule 3, Sec. 7)
Without the presence of this party the judgment of a
court cannot attain real finality. (Servicewide
Specialists, Inc. v. CA, G.R. No. 110048, 1999)
Absence of an indispensable party renders all
subsequent actions of the court null and void for
want of authority to act, not only as to the absent
parties but even as those present. (MWSS v. Court
of Appeals, G.R. No. 126000, 1998)
When an indispensable party is not before the court,
the action should be dismissed. However, outright
dismissal is not the immediate remedy for failure to
implead an indispensable party; parties may be
dropped or added at any stage upon motion of any
party or on court’s own initiative; only when the order
of the court to implead an indispensable party goes
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unheeded may the case be dismissed. (Riano,
2014, p. 279)
In an action for the cancellation of memorandum
annotated at the back of a certificate of title, the
persons considered as indispensable include those
whose liens appear as annotations pursuant to
Section 108 of Presidential Decree (PD) No. 1529.
The reason behind the compulsory joinder of
indispensable parties is the complete determination
of all possible issues, not only between the parties
themselves but also as regards other persons who
may be affected by the judgment. (Crisologo v.
JEWM Agro, G.R. No. 196894, 2014)
NOTE: While the general rule is that joinder of
parties is permissive, it becomes compulsory when
the one involved is an indispensable party.
Necessary Party
A necessary party is not an indispensable party. He
is ought to be joined as a party if COMPLETE
RELIEF is to be accorded as to those already
parties; he should be joined whenever possible.
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.
(Agro Conglomerates, Inc. v. CA, G.R. No. 117660,
2000)
Distinction between an Indispensable and a
Necessary Party
Indispensable Party Necessary Party
Must be joined under any Should be joined
and all conditions whenever possible
No final decree can be A final decree can be
had in case of absence had despite absence
(Riano, 2014, p. 281)
Duty of a Pleader When a Necessary Party is
NOT Joined:
1. Set forth the name of the said necessary party, if
known; and
2. State the reason why the necessary party is
omitted (Rule 3, Sec. 9)
NOTE: If the reason given for the non-joinder of the
necessary party is found by the court to be
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unmeritorious, it may order the pleader to join the
omitted party if jurisdiction over his person may be
obtained. Failure to comply with such order without
justifiable cause shall be deemed a waiver of the
claim against such party. (Rule 3, Sec. 9)
Where the obligation of the parties is solidary, either
of the parties is indispensable, and the other is not
even a necessary party because complete relief is
available from either. (Cerezo v. Tuazon, G.R. No.
141538, 2004)
Representatives as Parties
Even where the action is allowed to be prosecuted
or defended by a representative party 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 (Rule 3, Sec.
3)
NOTE: Impleading the beneficiary as a party is
mandatory.
The attorney in fact of the principal plaintiff filed the
complaint in his residence. An attorney in fact is not
a real party in interest. Hence, his residence is
immaterial. A real party in interest is the party who,
by the substantive law has the right sought to be
enforced. Nowhere in Rule 3, Sec. 3 is it stated or
implied that the representative is likewise deemed
as the real party in interest. The Rule simply states
that in actions which are allowed to be prosecuted
or defended by a representative, the beneficiary
shall be deemed the real party in interest and hence,
should be included in the title of the case. (Ang v.
Ang, G.R. No. 186993, 2012)
If a complaint is filed for and in behalf of the plaintiff
[by one] who is not authorized to do so, the
complaint is not deemed filed. An unauthorized
complaint does not produce any legal effect. Hence,
the court should dismiss the complaint on the
ground that it has no jurisdiction over the complaint
and the plaintiff (Palmiano-Salvador v. Angeles,
G.R. No. 171219, 2012)
Grandchildren-heirs will only be deemed to have a
material interest over the subject land - and the rest
of the decedent’s estate for that matter - if the right
of representation provided under Article 970, in
relation to Article 982, of the Civil Code is available
to them. In this situation, representatives will be
called to the succession by the law and not by the
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person represented; and the representative does
not succeed the person represented but the one
whom the person represented would have
succeeded. (Ang v. Pacunio, G.R. No. 208928,
2015)
Indigent Party
A party may be authorized to litigate as an indigent
if the court is satisfied that the party is one who has
no money or property sufficient and available for
food, shelter and basic necessities.
The application and the hearing to litigate as an
indigent litigant may be made ex parte.
If one is authorized to litigate as an indigent, such
authority shall include an exemption from the
payment of docket fees, and of transcripts of
stenographic notes, which the court may order to be
furnished by him/
However, the amount of the docket and other lawful
fees, which the indigent was exempt from paying,
shall be lien on the judgment rendered in the case
favorable to the indigent.
A lien on the judgment shall not arise if the court
provides otherwise. (Rule 3, Sec. 21)
When an application to litigate as an indigent litigant
is filed, the court shall determine if the applicant
complies with the income and property standards
prescribed in the present Section 19 of Rule 141—
that is, the applicant’s gross income and that of the
applicant’s immediate family do not exceed an
amount double the monthly minimum wage of an
employee; and the applicant does not own real
property with a fair market value of more than Three
Hundred Thousand Pesos (PhP 300,000.00).
If the trial court finds that the applicant meets the
income and property requirements, the authority to
litigate as indigent litigant is automatically granted
and the grant is a matter of right. However, if the trial
court finds that one or both requirements have not
been met, then it would set a hearing to enable the
applicant to prove that the applicant has “no money
or property sufficient and available for food, shelter
and basic necessities for himself and his family.”
(Spouses Algura v. City of Naga, G.R. No. 150135,
2006)
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Only a natural party litigant may be regarded as an
indigent litigant. (Re : Query of Mr. Roger C.
Prioreschi, A.M. No. 09-6-9-SC, 2009)
Alternative Defendant
Where the plaintiff cannot definitely identify who
among two or more persons should be impleaded
as a defendant, he may join 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. (Rule 3, Sec. 13)
Spouses as Parties
General Rule: Husband and wife shall sue or be
sued jointly.
Exceptions:
1. When the litigation pertains to the exclusive
property of a spouse or when there is
abandonment. (See Rule 3, Sec. 4)
2. A petition for declaration of absolute nullity of
a void marriage may be filed solely by the
husband or wife (A.M. No. 02-11-10-SC)
3. A petition for legal separation may be filed only
by the husband or wife (A.M. No. 02-11-11-SC)
Minors or Incompetents as Parties
A suit may be brought by OR against a minor or
incompetent but with the assistance of his father,
mother, guardian, or if he has none, a guardian ad
litem. (Rule 3, Sec. 5)
2. DISTINCTION BETWEEN REAL PARTY IN
INTEREST AND LOCUS STANDI
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. (Rule 3, Sec. 2)
Legal Standing or locus standi is the ability of a
party to demonstrate to the court sufficient
connection to and harm from the law or action
challenged to support that party’s participation in the
case. (White Light v. City of Manila, G.R. No.
122846, 2009)
3. COMPULSORY AND PERMISSIVE
JOINDER OF PARTIES
General Rule: Joinder of parties is not compulsory,
but merely permissive.
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Exception: When it refers to joinder of
indispensable parties. (Rule 3, Sec. 7)
Requisites for Joinder of Parties:
1. The right to relief should arise out of the
SAME transaction or series of transactions;
and
2. That there exists a common question of law
or fact.
NOTE: Same transaction means that it pertains to
transactions connected with the same subject
matter of the suit.
NOTE: The plaintiff is mandated to implead all the
indispensable parties, considering that the absence
of one such party renders all subsequent actions of
the court null and void for want of authority to act,
not only as to the absent parties, but even as to
those present. (Riano, 2014, p. 278)
4. MISJOINDER AND NON-JOINDER OF
PARTIES
A party is MISJOINED when he is made a party to
the action although he should not be impleaded.
A party is NOT JOINED when he is supposed to be
joined but is not impleaded in the action.
Neither of the two is a ground for the dismissal of an
action, as parties may be dropped or added by order
of the court or on motion 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 in interest shall
have the right to intervene to protect his individual
interest. (Rule 3, Sec. 11)
NOTE: However, the failure to obey the order of the
court to drop or add a party is a ground for the
dismissal of the complaint, because it is a
disobedience to the order of a court.
5. CLASS SUIT
A class suit is an action where one or more may sue
for the benefit of all if the requisites for said action
are complied with.
An action does not become a class suit merely
because it is designated as such in the pleadings; it
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depends upon the attendant facts. (Banda v. Ermita,
G.R. No. 166620, 2010)
Requisites of a Class Suit:
1. Subject matter of the controversy of common
or general interest to many persons;
2. Persons are so numerous that it is
impracticable to join all as parties;
3. The parties actually before the court are
sufficiently numerous and representative;
and
4. The representatives sue or defend for the
benefit of all. (Juana Complex I Homeowners
Association v. Fil-Estate Land, G.R. No.
152272, 2012)
The subject matter of the complaint is of common
and general interest not just to several, but to all
citizens of the Philippines. Consequently, since the
parties are so numerous, it becomes impracticable,
if not totally impossible, to bring all of them before
the court. We likewise declare that the plaintiffs
therein are numerous and representative enough to
ensure the full protection of all concerned interests.
Hence, all the requisites for the filing of a valid class
suit under Section 12, Rule 3 of the Revised Rules
of Court are present both in the said civil case and
in the instant petition, the latter being but an incident
to the former. (Oposa v. Factoran G.R. No. 101083,
1993).
Common Interest
As a requisite for a class suit to prosper, common
interest in the subject matter (e.g., money, land,
chattel) of the litigation is required. It does not
pertain to the delict or wrong committed by the
defendant.
Adequacy of Representation
In determining the question of fair and adequate
representation of members of a class, the court
must consider:
Whether the interest of the named party is
coextensive with the interest of the other
members of the class;
The proportion of those made a party, as it so bears,
to the total membership of the class; and
Any other factor bearing on the ability of the named
party to speak for the rest of the class. (Banda
v. Ermita, G.R. No. 166620, 2010)
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6. SUITS AGAINST ENTITIES WITHOUT
JURIDICAL PERSONALITY
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. (Rule 3, Sec. 15)
NOTE: These entities may be a defendant but not a
plaintiff as the provision states “may be sued.”
An unlicensed foreign corporation doing business in
the Philippines cannot sue before Philippine
courts. On the other hand, an unlicensed foreign
corporation not doing business in the Philippines
can sue before Philippine courts. (Van Zuiden v.
GTVL, G.R. No. 147905, 2007)
In suits where an agent represents a party, the
principal is the real party-in-interest, an agent
cannot file a suit in his own name on behalf of the
principal. The agent, however, may sue or be sued
solely in its own name and without joining the
principal when the following elements concur: (1)
Agent acted in his own name during the transaction,
(2) Agent acted for the benefit of an undisclosed
principal, and (3) Transaction did not involve the
property of the principal.
In this case, only the first element is present. A Corp,
therefore, does not have the capacity to sue
because being an agent of the passengers, it is not
a real party-in-interest in this case. (V-Gent v.
Morning Star, G.R. No. 186305, 2015)
7. EFFECT OF DEATH OF PARTY LITIGANT
The death of the client extinguishes the attorney-
client relationship and divests a counsel of his
authority to represent the client; neither does he
become the counsel of the heirs of the deceased
unless said heirs engage his services.
Whenever a party to a pending action dies, and the
claim is not thereby extinguished, it shall be the duty
of his counsel to:
1. Inform the court within thirty (30) days after such
death of the fact thereof, and
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2. Give the name and address of his legal
representative or representatives. (Rule 3, Sec.
16)
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. (Rule 3, Sec. 16)
The purpose behind this rule is the protection of the
right to due process of every party to the litigation
who may be affected by the intervening death. The
deceased litigant is herself or himself protected as
he/she continues to be properly represented in the
suit through the duly appointed legal representative
of his estate.
Duty of the Counsel upon Death of His Client
Whenever a party to a pending action dies, it is the
duty of the counsel of the deceased party to inform
the court of such fact within 30 days after such
death.
Counsel also has the obligation to give the name
and address of the legal representative of the
deceased.
Such duty is MANDATORY and failure to comply is
a ground for disciplinary action
Actions of the Court upon Notice of Death
Upon receipt of the notice of death, the court shall
determine whether or not the claim is extinguished
by such death.
Examples of claims NOT extinguished by death
are:
1. Recovery of real and personal property against
the estate;
2. Enforcement of liens on such properties; and
3. Recovery for an injury to person or property by
reason of tort or delict committed by the
deceased. (Riano, 2014, p. 289)
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Rules in Cases where the Action Survives Death
of the Party
Contractual Money Claim
Plaintiff dies
Plaintiff’s heirs or legal representatives will be
substituted for him and the case will proceed.
Q: Was there a failure to effect substitution when
Respondent X passed away and the counsel of
the respondent had yet to inform the court about
such fact?
A: No. It is a well-settled principle that issues of fact
and arguments not adequately brought to the
attention of the lower courts will not be considered
by the reviewing courts as they cannot be raised for
the first time on appeal. In this case even when the
spouses had the opportunity to raise such a
question in the Trial Court the Spouses failed to do
so. Moreover, It has been ruled that "mere failure to
substitute a deceased party is not sufficient ground
to nullify a trial court's decision. The party alleging
nullity must prove that there was an undeniable
violation of due process. In this case, there is
neither dispute nor allegation that parties were fully
able to participate and present their evidence during
trial. (Spouses Rabamonte v Spouses Lucero, G.R.
237812, October 2, 2019 )
Defendant dies
Before entry of final judgment
The case shall not be dismissed but shall be
allowed to continue until entry of final judgment.
(Rule 3, Sec. 20)
The judgment favorable to the plaintiff shall be
filed as a money claim against the estate.
After entry of final judgment but before
execution
File judgment as a claim against the estate. The
plaintiff cannot move to execute under Rule 39.
After levy or execution but before auction
sale
The property actually sold may be sold for the
satisfaction of the judgment obligation. (Rule 39,
Sec. 7[c])
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Non-Contractual Money Claim
Substitution of parties
If the deceased left an heir and the claim is not
extinguished by death, the heir may be allowed to
be substituted for the deceased without need for an
appointment of an administrator or executor.
Service of summons is NOT necessary to effect
such substitution as the court shall order such legal
representative to appear and be substituted for the
deceased within thirty (30) days from notice.
Requirement for Substitution
Substitution of the deceased by his representative
or heir is effected by the order of substitution and its
service, and not by the amendment of the pleading.
Non-compliance with the rule on substitution of a
deceased party renders the proceedings and
judgment of the trial court inform, because the trial
court acquired no jurisdiction over the persons of the
legal representatives or of the heirs on whom the
trial and judgment would be binding on. (Brioso v.
Rili-Mariano, G.R. No. 132765, 2003)
When Formal Substitution is Not Necessary
Formal substitution of heirs is not necessary when
the heirs themselves voluntarily appeared,
participated in the case and presented evidence in
defense of deceased defendant. (Vda. de Salazar v.
CA, G.R. No. 121510, 1995)
The rule on substitution by heirs is not a matter of
jurisdiction, but a requirement of due process. Non-
compliance with the Rules results in the denial of the
right to due process for the heirs who, though not
duly notified of the proceedings, would be
substantially affected by the decision rendered
therein. Thus, it is only when there is a denial of due
process, as when the deceased is not represented
by any legal representative or heir, that the court
nullifies the trial proceedings and the resulting
judgment therein. (Sarsaba v. De Te, G.R. No.
175910, 2009)
Where the deceased has no heirs, the court shall
require the appointment of an executor or
administrator; if the heir is a minor, a guardian ad
litem. (Rule 3, Sec. 16)
No preference for legal representative of the
deceased
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The heirs may be allowed to be substituted for the
deceased without requiring the appointment of an
administrator or executor. However, if within the
specified period a legal representative fails to
appear, the court may order the opposing counsel,
within a specified period, to process the
appointment of an administrator or executor who
shall immediately appear for the estate of the
deceased (San Juan v. Cruz, G.R. No. 167321,
2006)
It Is Possible That the Court May Order the
Opposing Party to Procure the Appointment of
an Executor or Administrator for the Estate of
the Deceased When:
1. The counsel for the deceased does not name a
legal representative; or
2. There is a representative named but he fails to
appear within the specified period. (Rule 3, Sec.
16)
All court charges in procuring such appointment, if
defrayed by the opposing party may be recovered
as costs. (Rule 3, Sec. 16)
Death or Separation of Party Who is a Public
Officer
Requisites:
satisfactory proof by any party that there is
substantial need for continuing or maintaining the
action;
the successor adopts or continues or threatens to
adopt or continue the acts of his or her
predecessor;
3. the substitution must be effected within 30 days
after the successor assumes office or within the
time granted by the court; and,
4. notice of the application to the other party.
(Rufus v. Jardine, G.R. No. 141834, 2007).
————- end of topic ————-
D. VENUE (Rule 4)
VENUE VERSUS JURISDICTION
VENUE is the place, or the geographical area where
an action is to be filed and tried. (Manila Railroad
Company v. Attorney General, G.R. No. L-7688,
1912)
JURISDICTION is the power and authority of the
tribunal to hear, try and decide a case. (Veneracion
v. Mancilla, G.R. No. 158238, 2006)
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Forcible entry and detainer actions shall be

VENUE JURISDICTION
commenced and tried in the municipal trial court of
The place where the the municipality or city wherein the real property
case is to be heard or involved, or a portion thereof, is situated. (Rule 4,
The authority to hear Sec. 1)
tried (e.g., Regional Trial
and determine a case
Court of Makati City or
Quezon City) 3. VENUE OF PERSONAL ACTIONS

A matter of procedural A matter of Venue is Transitory. Hence, the Action May Be

law substantive law Commenced and Tried:
1. Where the plaintiff or any of the principal plaintiffs
Establishes a relation
Establishes a relation reside;
between plaintiff and
between the court and 2. Where the defendant or any of the principal
defendant, or petitioner
the subject matter defendants resides; or
and respondent
3. In the case of a non-resident defendant, where
May be conferred by the he may be found.
act or agreement of the
parties (e.g. the parties All at the election of the PLAINTIFF.
can include the following
stipulation in a contract RESIDENCE means physical or actual habitation or
of lease: “In case of actual residence or place of abode, (Fule v. CA,
dispute arising from this Fixed by law and G.R. No. L-40502, 1976) whether permanent or
contract, a party shall file cannot be conferred temporary as long as he resides with continuity and
a suit with the Regional by agreement of the consistency therein. (Dangwa Transportation Co v.
Trial Court of Pasig City” parties Sarmiento, G.R. No. L-22795, 1977)
OR “In case of dispute
arising from this contract, When there is more than one plaintiff in a personal
a party shall file a suit action case, the residences of the principal parties
exclusively with the should be the basis for determining proper venue.
Regional Trial Court of
Pasig City” According to Justice Feria, “the word ‘principal’ has
been added in order to prevent the plaintiff from
Not a ground for a motu Lack of jurisdiction choosing the residence of a minor plaintiff or
proprio dismissal (except over the subject matter defendant as the venue.” Eliminate the qualifying
in cases subject to is a ground for a motu term “principal” and the purpose of the Rule would
Summary Procedure) proprio dismissal be defeated where a nominal or formal party is
impleaded in the action since the latter would not
May be waived only in have the degree of interest in the subject of the
civil cases. In criminal action which would warrant and entail the desirably
Cannot be waived
cases, venue is active participation expected of litigants in a case.
jurisdictional. (Marcos-Araneta v. Cam G.R. No. 154096, 2008)

Venue Analysis As regards the venue of derivative suits, Section 5,

The first step is to determine whether the action is Rule 1 of A.M. No. 01-2-04-SC states: SEC. 5.
personal or real. Venue. All actions covered by these Rules shall be
commenced and tried in the Regional Trial Court,
2. VENUE OF REAL ACTIONS which has jurisdiction over the principal office of the
corporation, partnership, or association concerned.
Venue is local; hence, the action may be Where the principal office of the corporation,
commenced and tried: partnership or association is registered in the
In the proper court which has jurisdiction over the Securities and Exchange Commission as Metro
area wherein the real property involved, or a portion Manila, the action must be filed in the city or
thereof, is situated.

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municipality where the head office is located. (Hi-
Yield Realty, Inc. v. CA, G.R. No. 168863, 2009)
Based on the allegations of the complaint, if the
respondent seeks the nullification of promissory
notes, continuing surety agreements, checks and
mortgage agreements for being executed against
their will and vitiated by irregularities, not the
recovery of the possession or title to the properties
burdened by the mortgages, then the action is
personal in nature and not real, therefore, the proper
venue would be governed by Rule 4 Section 2(b) of
the Rules of Court. (BPI v Hontanosas, G.R. No.
157163, 2014)
4. VENUE OF ACTIONS AGAINST NON-
RESIDENTS
If Defendant Does Not Reside But IS FOUND in
the Philippines
When it is a personal action, the action may be
commenced and tried in the court of the place
where the plaintiff resides or where the
defendant may be found (e.g. If the defendant is
U.S. resident, but is on vacation in Makati, summons
may be served on defendant in Makati).
If there are several defendants, but one of them is a
resident or a nonresident but can be found in the
Philippines, the action may be commenced where
the plaintiff resides or where the resident defendant
resides or where the nonresident defendant may be
found.
When it is a real action (e.g., recovery of real
property), the action may be commenced where the
property or any portion thereof is situated or
found.
If None of the Defendants Reside in the
Philippines and None are Found in the
Philippines
When the action affects the personal status of the
plaintiff, the action may be commenced and tried in
the court of the place where the plaintiff resides.
When the action affects the property of the
defendant located in the Philippines, the action may
be commenced where the property or any portion
thereof is situated or found.
The proper venue in an action for revival of
judgment depends on the determination of whether
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the present action for revival of judgment is a real
action or a personal action. The allegations in the
complaint for revival of judgment determine whether
it is a real action or a personal action. (Infante v.
Aran Builders, G.R. No. 156596, 2006)
5. WHEN THE RULES ON VENUE DO NOT
APPLY
The rules on venue are not applicable in any of the
following cases:
1. Where a specific rule or law provides
otherwise; or
2. Where the parties have validly agreed in
writing before the filing of the action on the
exclusive venue thereof. (Rule 4, Sec. 4)
First Exception: Where a specific rule or law
provides otherwise.
Venue of Derivative Suits
Regional Trial Court which has jurisdiction over
the principal office of the corporation,
partnership, or association concerned.
Where the principal office of the corporation,
partnership or association is registered in the
Securities and Exchange Commission as Metro
Manila, the action must be filed in the city or
municipality where the head office is located.
(Rule 1 of A.M. No. 01-2-04-SC, Section 5)
Venue of Action of Nullity of Marriage
Where plaintiff resides, where the defendant
resides or where their conjugal home is located.
Venue of Adoption
Where the prospective parents reside.
Venue of Probate
If the decedent died in the Philippines: Where the
deceased last resided at his time of death.
If the decedent died abroad: In any of the
province where he has property.
Writ of habeas corpus on residence of minor
General Rule: Regional Trial Court where the minor
is supposed to be found.
Exception: When place is unknown or minor cannot
be found, it can be filed in the Court of Appeals or
the Supreme Court.
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Second Exception: Where the parties have validly
agreed in writing before the filing of the action on the
exclusive venue thereof.
Example: “In case of dispute arising from this
contract, a party shall file a suit exclusively with
the Regional Trial Court of Pasig City to the
exclusion of all other courts”.
Venue of Libel
General rule: The criminal and civil action for
damages in cases of written defamations shall be
filed simultaneously or separately with the RTC of
the province or city where the libelous article is
printed and first published or where any of the
offended parties actually resides at the time of the
commission of the offense.
Exception:
1) Where one of the offended parties is a public
officer whose office is in the City of Manila at the
time of the commission of the offense, the action
shall be filed in the RTC of the City of Manila, or of
the city or province where the libelous article is
printed and first published.
2) In case such public officer does not hold office in
the City of Manila, the action shall be filed in the
RTC of the province or city where he held office at
the time of the commission of the offense or where
the libelous article is printed and first published.
3) In case one of the offended parties is a private
individual, the action shall be filed in the RTC of the
province or city where he actually resides at the time
of the commission of the offense or where the
libelous matter is printed and first published.
(Revised Penal Code, Art. 360)
Note: The civil action shall be filed in the same court
where the criminal action is filed and vice versa.
(Revised Penal Code, Art. 360)
Note: The court where the criminal action or civil
action for damages is first filed, shall acquire
jurisdiction to the exclusion of other courts. (Revised
Penal Code, Art. 360)
EFFECTS OF STIPULATIONS ON VENUE
The Stipulation on Venue Must Be:
1. In writing;
2. Made before the filing of the action; and
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3. Exclusive as to the venue.
The mere stipulation on the venue of an action is not
enough to preclude parties from bringing a case in
other venues. In the absence of qualifying or
restrictive words, the stipulation should be
deemed as merely an agreement on an additional
forum, not as limiting venue to the specified place.
(Sps. Lantin v. Lantion, G.R. No. 160053, 2006)
Examples of qualifying or restrictive
words: "exclusively" and "waiving for this
purpose any other venue," "shall only" preceding
the designation of venue, "to the exclusion of the
other courts," or words of similar import. (Auction in
Malinta, Inc. v. Luyaben, G.R. No. 173979, 2007)
Exclusive venue stipulation embodied in a contract
restricts or confines parties thereto ONLY when the
suit relates to breach of said contract. Since the
other causes of action in petitioner’s complaint do
not relate to the breach of the agreement it forged
embodying the exclusive venue stipulation, they
should not be subject to the exclusive venue. The
stipulation should be strictly confined to the specific
undertaking or agreement. (Uniwide v. Cruz, G.R.
No. 171456, 2007)
If the complaint was assailing the validity of the
written instrument itself, the parties should not be
bound by the exclusive venue stipulation contained
therein and should be filed in accordance with the
general rules on venue. It would be inherently
inconsistent for a complaint of this nature to
recognize the exclusive venue stipulation when it, in
fact, precisely assails the validity of the instrument
in which such stipulation is contained. (Briones v.
Court of Appeals, G.R. No. 204444, 2015)
A restrictive stipulation on the venue of actions
contained in a promissory note applies to the surety
agreement supporting it, because the nature of the
two contracts and the factual circumstances
surrounding their execution are intertwined or
interconnected. The surety agreement is merely an
accessory to the principal loan agreement
embodied in the promissory note. Hence, the
enforcement of the former depends upon the latter.
(PBCOM v. Lim, G.R. No. 158138, April 12, 2005)
The stipulation of venues as executed by the parties
does not apply to a Petition for Extrajudicial
Foreclosure because the provisions of Rule 4
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pertain to venue of actions, which an extrajudicial

PLEADING MOTION
foreclosure is, does not sanction the stipulation of
venues. (Ochoa v. Chinabank, G.R. No. 192877, Is a submission of Is an application for an
2011). claims or defenses for order not included in the
appropriate judgment judgment
Where venue stipulation is invalid – violates public
policy (Sweet Lines v. Teves, G.R. No. L-37750, May be initiatory Cannot be initiatory as
1978) motions are made in a
case already filed in
Waiver of Venue court
The ground of improperly laid venue must be raised
seasonably, else it is deemed waived. Where the Must be written May be oral when made
in open court or in the
defendant failed to [either file a motion to dismiss on
the ground of improper venue or] include the same course of a hearing or a
as an affirmative defense, he is deemed to have trial
waived his right to object to improper venue. Must be filed before May be filed after
judgment judgment

Venue for a case for revival of judgment

The proper venue depends on the determination of PLEADINGS ALLOWED BY THE RULES OF
whether the present action for revival of judgment is COURT:
a real action or a personal action. Applying the a. Complaint
afore-quoted rules on venue, if the action for revival b. Answer
of judgment affects title to or possession of real c. Counterclaim
property, or interest therein, then it is a real action d. Cross-claim
that must be filed with the court of the place where e. Third (fourth, etc. – party complaint)
the real property is located. If such action does not f. Complaint-in-intervention
fall under the category of real actions, it is then a g. Reply (only if the pleading replied to contains an
personal action that may be filed with the court of actionable document)
the place where the plaintiff or defendant resides.
(Infante v. Aran Builders, G.R. No. 156596, 2007) a) COMPLAINT

————- end of topic ————- The complaint is the pleading alleging the plaintiff’s
cause or causes of action. The names and
E. PLEADINGS residences of the plaintiff and defendant must be
stated in the complaint. (Rule 6, Sec. 3)
1. KINDS OF PLEADINGS AND
WHEN SHOULD THEY BE b) ANSWER
FILED (Rule 6)
An answer is a pleading in which a defending party
PLEADING sets forth his defenses. (Sec. 6, Rule 4) It may be
The written statements of the respective claims and an answer to a complaint, a counterclaim or a cross-
defenses of the parties submitted to the court for claim.
appropriate judgment. (Rule 6, Sec. 1)
Defenses
MOTION
An application for relief other than by a pleading. (1) NEGATIVE DEFENSES

Negative defenses refer to the specific denial of the

material fact or facts alleged in the pleading of the
claimant essential to his cause or causes of action.
(Rule 6, Sec. 5)

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Denials in the answer must be specific or based on
a lack of information sufficient to form a belief as to
the truth of the allegation in the complaint.
Specific Denial
A specific denial is made by specifying each
material allegation of fact, the truth of which the
defendant does not admit and, whenever
practicable, setting forth the substance of the
matters upon which he relies to support his denial.
(UA vs. Wallem Philippines Shipping, Inc G.R. No.
171337. July 11, 2012)
The purpose of requiring the defendant to make a
specific denial is to make him disclose the matters
alleged in the complaint which he succinctly intends
to disprove at the trial, together with the matter
which he relied upon to support the denial.
(Aquintey vs. Tibong, G.R. No. 166704, 2006, see
Rule 8, Sec. 10)
Failure to make a specific denial will be considered
an admission of that particular allegation in the
complaint. (Rule 8, Sec. 11)
Under Rule 8, Sec.10, there are three modes of
specific denial:
1. by specifying each material allegation of the
fact in the complaint, the truth of which the
defendant does not admit, and whenever
practicable, setting forth the substance of the
matters which he will rely upon to support his
denial;
2. by specifying so much of an averment in the
complaint as is true and material and denying
only the remainder
3. by stating that the defendant is without
knowledge or information sufficient to form a
belief as to the truth of a material averment in
the complaint, which has the effect of a denial.
(Republic v. Gimenez, G.R. No. 174673,
January 11, 2016, ponencia by J. Leonen)
Denial Amounting to Admissions: General
Denial
A general denial is one which puts in issue all the
material averments of the complaint or petition and
permits the defendant to prove any and all facts
which tend to negate those averments or someone
or all of them. (Loyola vs. House of Representatives
Electoral Tribunal, G.R. No. 109026, 1994)
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A general denial does not become specific by the
use of the word "specifically." When matters of
whether the defendant alleges having no knowledge
or information sufficient to form a belief are plainly
and necessarily within the defendant’s knowledge,
an alleged "ignorance or lack of information" will not
be considered as a specific denial. (Republic v.
Gimenez, G.R. No. 174673, January 11, 2016,
ponencia by J. Leonen)
Q: This case involves a dispute over a certain
condominium unit. Both X and Y had prior
marriages, and met and married after their
respective spouses died. Y purchased the
subject property before her marriage to X. The
two then executed an Ante-Nuptial Agreement
which stated that their properties would be
governed by complete separation of properties.
Y died, and her children from her previous
marriage, collectively Z, are claiming the subject
property as their own, while X claims that he
bought the property using his own funds and
thus has a claim over it. The RTC set a
preliminary hearing, however X failed to appear.
X is now alleging that Z’s defense of waiver is an
issue involving evidentiary matters requiring a
full-blown trial on the merits. Is X correct?
A: NO. X cannot now use his own act of not
appearing and presenting evidence in the
preliminary hearing as a basis to argue that he was
deprived the opportunity to produce evidence. He
had every opportunity to do so during the
preliminary hearing, and it was his own decision not
to attend it. Further, with respect to the existence,
genuineness, and due execution of the Ante-Nuptial
Agreement, no further evidence is needed to
establish the same. Under Rule 8, Section 7 of the
Rules of Court, whenever a defense is based upon
a written instrument or document, the substance of
such instrument shall be set forth in the pleading
and the original or copy thereof shall be attached to
the pleading, which shall be deemed part of the
pleading. According to the succeeding section, the
genuineness and due execution of the instrument
shall be deemed admitted unless the adverse party,
under oath specifically denies them, and sets forth
what he claims to be the facts. In the instant case, it
is not disputed that X failed to specifically deny
under oath the genuineness and due execution of
the Ante-Nuptial Agreement. In fact, the existence
of the Ante-Nuptial Agreement was never
questioned nor denied by X. (Delgado v. GQ Realty
Development Corp., G.R. No. 241774. September
25, 2019)
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Q: X filed a complaint for illegal dismissal
against A, alleging to be A’s employee and was
terminated due to old age. A asserted that X was
not its employee but an employee of its
operation supervisor, that X violated company
policy and that the disallowance to enter the
slaughterhouse was not an act of dismissal.
During the trial, A failed to specifically deny that
X was informed he could no longer report for
work on the specific date of termination. In the
affidavit of the employee who has the authority
to discipline A mentioned instances where X
was barred from entering but did not specifically
state that he was barred on the specific date of
termination. Did A admit that X was terminated?
A: Yes. By their silence, petitioners are deemed to
have admitted the same. Section 11 of Rule 8 of the
rules of Court, which supplements the NLRC Rules,
provides that an allegation not specifically denied is
deemed admitted (Masonic Contractor, Inc. v.
Madjos, G.R. No. 185094, Nov. 25, 2009). In this
case, A failed to specifically deny that X was
informed he could no longer report for work on the
specific date of termination. In the affidavit of the
employee who has the authority to discipline A
mentioned instances where X was barred from
entering but did not specifically state that he was
barred on the specific date of termination. Hence,
there was an admission of X’s termination.
(2) NEGATIVE PREGNANT
Negative Pregnant
It is a denial pregnant with the admission of the
substantial facts in the pleading responded to which
are not squarely denied. It was in effect an
admission of the averments it was directed at.
A negative pregnant is a form of negative
expression which carries with it an affirmation or at
least an implication of some kind favorable to the
adverse party. It is a denial pregnant with an
admission of the substantial facts alleged in the
pleading.
Where a fact is alleged with qualifying or modifying
language and the words of the allegation as so
qualified or modified are literally denied, it has been
held that the qualifying circumstances alone are
denied while the fact itself is admitted. (Serrano
Mahilum v. Spouses Ilano, G.R. No. 197923, June
22, 2015)
Example: A complaint, in par. 4, alleged that the
plaintiff was unable to take actual possession of the
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property because of the “unwarranted adverse claim
of rights of ownership and possession by the
defendant, alleging sale by a certain Fe of said
property to defendant, which if true, had no right
whatsoever to legally dispose the above-described
property not being the owner thereof.” In response,
the answer of the defendant stated: “The defendant
denies the material averments contained in par. 4,
the truth being, that the defendant never asserted
title of ownership to the property described in the
complaint to anybody, much less to the herein
plaintiff in virtue of any deed of conveyance
executed in favor of the defendant by one Fe, nor
claimed any possessory right over the said property,
either by himself or through another.
The Court held that there was a negative pregnant
in the defendant’s reply, which is to be construed as
an implied admission. Particularly, when the plaintiff
alleged that his inability to take actual possession of
the parcel of land due to "an unwarranted adverse
claim of rights of ownership and possession by the
defendant," followed by an allegation of how such
claim was exercised, the defendant’s denial is as to
"the material averments contained in par. 4 of the
Complaint," conjoined with his disclaimer of
dominical or possessory rights in the manner
alleged in the complaint. It thus appeared that he
denied the averments in par. 4, but he did not deny
the fact of ownership and right to possession of the
plaintiff. (Galofa v. Nee Bon Sing, G.R. No. L-22018,
1968)
It does not qualify as a specific denial but is
conceded to be actually an admission. (Riano, Civil
Procedure: A Restatement for the Bar, 2nd ed, 2009)
(3) AFFIRMATIVE DEFENSES
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. The affirmative defenses include fraud, statute
of limitations, release, payment, illegality, statute of
frauds, estoppel, former recovery, discharge in
bankruptcy, and any other matter by way of
confession and avoidance.
Before an allegation qualifies as an affirmative
defense, it must be of such nature as to bar the
plaintiff from claiming on his cause of action
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(Pesane Animas Mongao v. Pryce Properties Corp.,
G.R. No. 156474, 2005)
Under Rule 8, Sec. 12 of the New Rules,
affirmative defenses shall be limited to the
following:
Under Rule 8, Sec. 12:
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.
As to these affirmative defenses, the court shall
motu propio resolve them within 30 days from the
filing of the answer.
Under Rule 6, Sec. 5(b)(1)
1. Fraud;
2. Statute of limitations;
3. Release;
4. Payment;
5. Illegality;
6. Statute of frauds;
7. Estoppel;
8. Former recovery;
9. Discharge in bankruptcy; and
10. Any other matter by way of confession and
avoidance.
As to these affirmative defenses, the court may
conduct a summary hearing within 15 days from the
filing of the answer, which the court shall resolve
within 30 days from the termination of the summary
hearing.
Under Rule 6, Sec.5(b)(2)
1. That the court has no jurisdiction over the
subject matter;
2. That there is another action pending between
the same parties for the same cause;
3. That the action is barred by prior judgment.
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 (Rule 8, Sec. 12 of the New
Rules).
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c) COUNTERCLAIMS
A counterclaim is any claim, which a defending party
may have against an opposing party. (Rule 6, Sec.
6)
A counterclaim is in itself a distinct and independent
cause of action and when filed, there are two
simultaneous actions between the same parties.
(Padilla v. Globe Asiatique Realty Holdings
Corporation, G.R. No. 207376, August 6, 2014).
When a defendant files a counterclaim against the
plaintiff, he becomes the plaintiff in the counterclaim
and the original plaintiff becomes the defendant.
A counterclaim may be COMPULSORY or
PERMISSIVE.
(1) COMPULSORY COUNTERCLAIM
Elements of Compulsory Counterclaim
1. Arises out of or is necessarily connected with the
transaction or occurrence which is the subject
matter of the opposing party’s claim;
2. It does not require for its adjudication the
presence of third parties over whom the court
cannot acquire jurisdiction;
3. The court has jurisdiction over the amount and
nature of the case;
4. It must be cognizable by the regular courts of
justice; and
5. It is already in existence at the time that the
defending party files his answer
Test to Determine Whether a Counterclaim is
Compulsory or Permissive
1. Are the issues of fact or law raised by the claim
and the counterclaim largely the same?
2. Would res judicata bar a subsequent suit on
defendant’s claim absent the compulsory
counterclaim rule?
3. Will substantially the same evidence support or
refute plaintiff’s claim as well as the defendant’s
counterclaim? and
4. Is there any logical relation between the claim
and the counterclaim? Affirmative answers to the
above queries indicate the existence of a
compulsory counterclaim. (See Financial
Building v. FPA, G.R. No. 133119, 2000)
Despite the lack of jurisdiction of the court to
adjudicate on the counterclaim, the same may
nevertheless be pleaded in the same action, not to
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obtain affirmative relief because the court, for want
of jurisdiction cannot do so. The purpose would
merely be as a defense to weaken the plaintiff’s
claim. (Maceda v. Court of Appeals, G.R. No.
83545, 1989)
A party who desires to plead a compulsory
counterclaim should NOT file a motion to dismiss. If
he files a motion to dismiss and the complaint is
dismissed there will be no chance to invoke the
counterclaim. (Riano, Civil Procedure: A
Restatement for the bar, 2nd ed, 2009)
A dismissal of the complaint does not carry with it
the dismissal of the counterclaim.
Rule on Barring of Compulsory Counterclaims
General Rule: A compulsory counterclaim not
initially set up in the same action is barred. (Rule 6,
Sec. 6) If it is filed concurrently with the main action
but in a different proceeding, it would be abated on
the ground of litis pendentia; if filed subsequently, it
would meet the same fate on the ground of res
judicata.||| (Alba, Jr. v. Malapajo, G.R. No. 198752,
January 13, 2016).
Exception
A counterclaim not set up because of the pleader’s
oversight, inadvertence, excusable neglect or when
justice requires, may be set up, by leave of court by
amendment of the pleadings before judgment (Rule
11, Sec. 10).
If a compulsory counterclaim matures or was
acquired by a party after serving his answer, the
compulsory counterclaim is not deemed barred and
may be pleaded by filing a supplemental answer or
pleading before judgment. (Rule 11, Sec. 9)
Difference between Counterclaims filed in the
Municipal Trial Court / Metropolitan Trial Court
and in the Regional Trial Court:
A counterclaim filed in the Municipal Trial Court or
in the Metropolitan Trial Court must be within the
court’s jurisdiction both as to the nature and to the
amount of the claim.
A counterclaim filed in the Regional Trial Court may
be deemed compulsory regardless of the amount
but it must be within its jurisdiction as to nature –i.e.,
an RTC cannot try an unlawful detainer case as a
counterclaim, but it may take cognizance of a
counterclaim involving an amount below its
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jurisdictional threshold (i.e. small amounts). (Rule 6,
Sec. 7).
The payment of docket fees for compulsory
counterclaim is no longer required. A.M. No. 04-2-
04-SC which included the payment of docket fees of
permissive counterclaims and compulsory
counterclaims has been suspended since
September 21, 2004 by virtue of OCA Circular 96-
2009.
(2) PERMISSIVE COUNTERCLAIM
A counterclaim is permissive if any of the elements
of a compulsory counterclaim is absent (see above).
The most commonly treated feature of a permissive
counterclaim is its absence of a logical connection
with the subject matter of the complaint.
(International Container Terminal Services Inc. v.
CA, G.R. No. 90530, 1992)
A permissive counterclaim does not necessarily
arise out of or is not directly connected with the
subject matter of the first claim; it can be filed as a
separate case altogether. There is a need to pay for
docket fees since it is seen as a different action
altogether with defendants becoming ‘plaintiffs’ in
respect of such counterclaim. (Reillo v. San Jose,
G.R. No. 166393, 2009)
The counterclaim must be existing at the time of
the filing the answer, though not at the
commencement of the action for under Section 3
of the former Rule 10, the counterclaim or cross-
claim must be one which he may have “at the time”
against the opposing party. (BDO v. CA, G.R. No.
160354, 2005)
If the compulsory counterclaim is by reason of an
unfounded suit then it may prosper even if the main
complaint is dismissed. The cause of action of the
counterclaimant is not eliminated by the mere
dismissal of the main complaint. (Padilla v. Globe
Asiatique, G.R. No. 207376, 2014)
The rule that “the additional docket fee therefor shall
constitute a lien on the judgment” applies only to
damages arising 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. (GSIS v. Caballero, G.R. No.
158090, 2010)
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Certificate of Non-Forum Shopping for Juridical deemed automatically The answer must be
Entities joined by the made within ten (10)
It is true that the power of a corporation to sue and allegations of the days from service.
be sued is lodged in the board of directors that complaint, which need
exercises its corporate powers. Physical acts of the not be answered.
corporation, like the signing of documents, can be One which arises out It does not arise out of
performed only by natural persons duly authorized or is necessarily nor is it necessarily
for the purpose by corporate by-laws or by a specific connected with the connected with the
act of the board of directors. (Republic v. Coalbrine transaction or subject matter of the
Int’l., G.R. No. 161838, 2010) occurrence that is the opposing party’s claim.
subject matter of the
However, the following officials or employees of the opposing party’s
company can sign the verification and certification claim.
without the need of a board resolution: No requirement for the May require for its
The Chairperson of the Board of Directors; presence of third adjudication the
The President of the Corporation; parties whom the court presence of third
The General Manager or Acting General Manager; cannot acquire parties over whom the
Personnel Officer; and jurisdiction over for its court cannot acquire
An Employment Specialist in a labor case adjudication. jurisdiction.
Not required Requires docket fees.
This is not an exclusive list. The determination of Failure to answer is Must be answered by
the sufficiency of the authority is done on a case to not a ground to be the party against whom
case basis. (Pasos v. PNCC, G.R. No. 192394, declared in default. it is interposed.
2013). Otherwise, the party
may be declared in
COMPULSORY PERMISSIVE default.
COUNTERCLAIM COUNTERCLAIM If not raised in the Failure to set it up in the
Shall be contained in May be set up as an same action, it shall be same action does not
the answer. If not set independent action and barred. bar its filing.
up it shall be barred. will not be barred if not
contained in the answer (3) EFFECT ON THE COUNTERCLAIM
to the complaint. WHEN THE COMPLAINT IS
Not an initiatory An initiatory pleading. DISMISSED
pleading.
Does not require Should be The defending party has the right to prosecute the
certification of forum accompanied by a counterclaim in the same or separate action
shopping. certification against notwithstanding the dismissal of the complaint, and
forum shopping and without regard as to the permissive or compulsory
whenever required by nature of the counterclaim. (Rule 17, Secs. 2 and 3)
law, a certificate to file
action issued by Three situations involving the effect of a
Lupong dismissal of a complaint on the counterclaim
Tagapamayapa. already set up
A compulsory Must be answered by a. When the defendant does not file a motion to
counterclaim that the party against whom dismiss. Instead, he files an answer, which
merely reiterates it is interposed includes a counterclaim, and utilizes certain
special defenses are otherwise, he may be grounds for a motion to dismiss as affirmative
deemed controverted declared in default as to defenses. (Rule 16, Sec. 6)
even without a reply. the counterclaim.
Note: Rule 16 under the New Rules has been
Issues raised in a entirely deleted. Nevertheless, a dismissal of
counterclaim are the action where the counterclaim is raised as
an affirmative defense shall be without

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prejudice to the prosecution in the same or
separate action of a counterclaim pleaded in the
answer.
b. When the plaintiff himself files a motion to
dismiss his complaint after the defendant has
pleaded his answer with a counterclaim, and
the court grants the motion. Again, the
dismissal shall be without prejudice to the right
of the defendant to prosecute his counterclaim
in a separate action unless within 15 days from
notice of the motion he manifests his preference
to have his counterclaim resolved in the same
action. (Rule 17, Sec. 2)
c. When complaint is dismissed through the
plaintiff’s fault and at a time when a
counterclaim has already been set up. The
dismissal is without prejudice to the right of the
defendant to prosecute his counterclaim in the
same or separate action. (Rule 17, Sec. 3)
d) CROSS-CLAIMS
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. (Rule 6, Sec.
8)
A counterclaim may be asserted against an original
counter-claimant. A cross-claim may also be filed
against an original counter-claimant. (Rule 6, Sec.
9)
A cross-claim that a party has at the time the answer
is filed shall be contained in the answer. (Rule 11,
Sec.8).
Requirements:
1. A claim by one party against a co-party;
2. Must arise out of the transaction or occurrence
that is the subject matter either of the original
action or of a counterclaim; and
3. The cross-claimant is prejudiced by the claim
against him by the opposing party.
Effect of Failure to File Cross-Claim
General Rule: A cross claim which is not set up in
the action is barred. (Rule 9, Sec. 2)
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Exceptions:
1. When it is outside the jurisdiction of the court;
2. If the court cannot acquire jurisdiction over third
parties whose presence is necessary for the
adjudication of said cross-claim. In which case,
the cross-claim is considered PERMISSIVE;
3. Cross claim that may mature or maybe acquired
after service of the answer.
A cross-claim which either matured or was acquired
by a party after serving his or her pleading may, with
permission of the court, be presented as a cross-
claim by supplemental pleading before judgment
(Rule 11, Sec. 9).
A cross-claim cannot be set up for the first time on
appeal. (Loadmasters Customs Services v. Glodel
Brokerage Corp., G.R. No. 179446, 2011)
The dismissal of the complaint carries with it the
dismissal of a cross-claim which is purely defensive,
but not a cross-claim seeking an affirmative relief.
(Torres v. CA, G.R. No. L-25889, 1973)
Counter-counterclaims and counter-cross-claims
A counter-counter claim is filed when there is a claim
against the original counterclaimant.
A counter-cross-claim is filed against an original
cross claimant. (Rule 6, Sec. 9)
e) THIRD, (FOURTH, ETC.) PARTY COMPLAINT
A claim that a defending party may, with leave of
court, file against a person not a party to the action,
called the third (fourth, etc.)—party defendant, for
contribution, indemnity, subrogation or any other
relief, in respect of his opponent’s claim. (Rule 6,
Sec. 11)
A prerequisite to the exercise of such right is that
some substantive basis for a third-party claim be
found to exist, whether the basis be one of
indemnity, subrogation, contribution or other
substantive right. There must be a causal
connection between the claim of the plaintiff in his
complaint and a claim for contribution, indemnity or
other relief of the defendant against the third-party
defendant.
Tests to Determine Whether the Third-Party
Complaint is in Respect of Plaintiff’s Claim:
1. Whether it arises out of the same transaction on
which the plaintiff’s claim is based, or although
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arising out of another or different transaction, is CROSS COUNTER- 3RD PARTY

connected with the plaintiff’s claim; CLAIM CLAIM COMPLAINT
2. Whether the third-party defendant would be Against a co- Against an Against a
liable to the plaintiff or to the defendant for all or party opposing person not a
part of the plaintiff’s claim against the original party. party to the
defendant; and action.
3. Whether the third party defendant may assert
No need for No need for Leave of court
any defenses that the third-party plaintiff has or leave of court. leave of court. is required.
may have to plaintiff’s claim. (Asian Construction
& Dev’t Corp v. CA, G.R. No. 160242, 2005)
Must arise out May arise out Must be in
of the of or be respect of the
Summons on third, fourth etc.-party defendant must
transaction necessarily opponent’s
be served for the court to obtain jurisdiction over his
that is the connected (Plaintiff)
person, since he is not an original party.
subject matter with the claim.
of the original transaction or
Where the trial court has jurisdiction over the main
action or of a that is the
case, it also has jurisdiction over the third party
counterclaim subject matter
complaint; regardless of the amount involved as a
therein. of the
third party complaint is merely auxiliary to and is a
opposing
continuation of the main action.
party’s claim
in which case,
Bringing new parties it is called a
This is availed of when none of the parties desired compulsory
to be brought into the action is a part of the main counterclaim,
action. or it may not,
in which case
Requisites for a third-party action it is called a
1. The party to be impleaded must not yet be a permissive
party to the action; counterclaim.
2. The claim against the third-party defendant must
belong to the original defendant; f) COMPLAINT-IN-INTERVENTION
3. The claim of the original defendant against the
third-party defendant must be based upon the INTERVENTION
plaintiffs claim against the original defendant; A legal proceeding by which a person who is not a
and party to the action is permitted by the court to
4. The defendant is attempting to transfer to the become a party by intervening in a pending action
third-party defendant the liability asserted after meeting the conditions and requirements of the
against him by the original plaintiff. (Philtranco Rules of Court. (Riano)
Services v. Paras, G.R. No. 161909, 25 April
2012). If the purpose of the motion for intervention is to
assert a claim against either or all of the original
Under Rule 6, Sec. 11 of the New Rules, the third parties, the pleading shall be called a
(forth, etc.) party complaint shall be denied COMPLAINT-IN-INTERVENTION. Meanwhile, if
admission, and the court shall require the defendant the purpose is to unite with the defending party in
to institute a separate action, where: resisting a claim against the latter, the pleading
1. the third (fourth, etc.) party defendant cannot be is called an ANSWER-IN-INTERVENTION. (Rule
located within 30 calendar days from the grant of 19, Sec. 3)
such leave;
2. matters extraneous to the issue in the principal Intervention is an action that is neither compulsory
case are raised; or nor mandatory but only optional and permissive; the
3. the effect would be to introduce a new and court has the full discretion in permitting or allowing
separate controversy into the action. the same.
Requisites:

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1. Motion for intervention must be filed before
judgment (Rule 19, Sec. 2);
2. Movant must show that he has the ff. legal
interest in the (a) matter in litigation, (b) the
success of either parties, (c) against both
parties; or (d) when he is so situated as to be
adversely affected by a distribution or
disposition of property in the custody of the
court or an officer thereof; (Rule 19, Sec. 1)
3. Intervention must NOT unduly delay or
prejudice the adjudication of the rights of the
original parties and that the movant’s rights
may not be fully protected by a separate
proceeding. (Rule 19, Sec. 1);
4. A copy of the pleading-in-intervention shall be
attached to the motion and served on the
original parties. (Rule 19, Sec. 2).
Meaning of Legal Interest
The interest contemplated by law must be actual,
substantial, material, direct and immediate, and not
simply contingent or expectant. It must be of such
direct and immediate character that the intervenor
will either gain or lose by the direct legal operation
and effect of the judgment. Otherwise, if persons not
parties to the action were allowed to intervene,
proceedings would become unnecessarily
complicated, expensive and interminable. (Mactan-
Cebu International Airport Authority v. Heirs of
Miñoza, G.R. No. 186045, February 2, 2011)
Time to File Answer-In-Intervention
The answer-in-intervention shall be filed within 15
calendar days from notice of the prder admitting the
complaint-in-intervention, unless otherwise fixed by
the court. (Rule 19, Sec. 4)
g) REPLY
A pleading, the office or function of which is to deny,
or allege facts in denial or avoidance of new
matters alleged by way of defense in the answer
and thereby join or make issue as to such new
matters.
If 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. (Rule 6, Sec. 10)
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A party cannot, in his reply, amend his cause of
action nor introduce therein any new or additional
causes of action.
Filing of a Reply is NOT Allowed, EXCEPT:
1. When the defense in the answer is based upon
an actionable document (Rule 8, Sec. 7); or
2. To set up affirmative defenses on the
counterclaim.
Thus, where the defense in the Answer is based on
an actionable document, a Reply specifically
denying it under oath must be made; otherwise, the
genuineness and due execution of the document
will be deemed admitted. (Casent Realty v.
Philbanking, G.R. No. 150731, 2007)
2. PLEADINGS ALLOWED IN
SMALL CLAIMS CASES
AND CASES COVERED BY
THE RULE ON SUMMARY
PROCEDURE
The RULES OF PROCEDURE FOR SMALL
CLAIMS CASES shall apply in All Actions which
are:
1. Purely civil in nature where the claim or relief
prayed for by the plaintiff is solely for payment or
reimbursement of sum of money.
2. The civil aspect of criminal actions either filed
before the institution of the criminal action, or
reserved upon the filing of the criminal action in
court. (Section 4, Rule of Procedure for Small
Claims Cases)
Venue
A small claims case is filed with the MTC in the city:
1. Where the plaintiff resides;
2. Where the defendant resides; or
3. If the plaintiff is engaged in the business of
lending, banking and similar activities, in the city
where the defendant resides, if the plaintiff has a
branch in that city.
A small claims action is commenced by filing with
the court an accomplished and verified Statement
of Claim in duplicate, accompanied by a
Certification of Non-forum Shopping, and two (2)
duly certified photocopies of the actionable
document/s subject of the claim, as well as the
affidavits of witnesses and other evidence to
support the claim. (Section 5, Rule of Procedure for
Small Claims Cases)
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The defendant shall file his Response and serve the
same upon the plaintiff. He shall file a Counterclaim
with the Response IF the counterclaim is
1. Within the coverage of the Rule exclusive of
interests and costs;
2. Arises out of the same transaction or event that
is the subject matter of the plaintiff’s claim;
3. Does not require the joinder of third parties; and
4. Is not the subject of another pending action.
Prohibited Pleadings in Small Claims Cases
1. Motion to dismiss the complaint;
2. Motion for a bill of particulars;
3. Motion for new trial, or for reconsideration of a
judgment, or for reopening of trial;
4. Petition for relief from judgment;
5. Motion for extension of time to file pleadings,
affidavits or any other paper;
6. Memoranda;
7. Petition for certiorari, mandamus, or prohibition
against any interlocutory order issued by the
court;
8. Motion to declare the defendant in default;
9. Dilatory motions for postponement;
10. Reply;
11. Third-party complaints; and
12. Interventions
The RULE ON SUMMARY PROCEDURE shall
apply to the following:
1. 1. Forcible entry and unlawful detainer,
irrespective of the amount of damages or unpaid
rentals sought to be recovered. Where attorney’s
fees are awarded, the same shall not exceed
P100,000
2. All civil actions, except probate proceedings,
admiralty, and maritime actions, where the total
amount of the plaintiff’s claim does not exceed
P2,000,000, exclusive of interest, damages of
whatever kind, attorney’s fees, litigation
expenses, and costs
3. Complaints for damages where the claim does
not exceed P2,000,000, exclusive of interest and
costs
4. Cases for enforcement of barangay amicable
settlement agreements and arbitration awards
where the money claim exceeds P1,000,000,
provided that no execution has been enforced by
the barangay within 6 months from the date of
the settlement or date of receipt of the award or
from the date the obligation stipulated or
adjudged in the arbitration award becomes due
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and demandable, pursuant to Section 417,
Charter VII of RA No. 7160
5. Cases solely for the revival of judgment of any
MeTC, MTCC, MTC, MCTC, pursuance to Rule
39, Section 6 of ROC
6. The civil aspect of a violation of BP 22, if no
criminal action has been instituted therefor.
(A.M. No. 08-8-7-SC)
Allowed Pleadings in Summary Procedure
Cases
1. Complaint;
2. Compulsory Counterclaim;
3. Cross-Claims pleaded in the Answer;
4. Answers to these pleadings (Section 3, Rules on
Summary Procedure)
Prohibited Pleadings
1. Motion to dismiss the complaint or to quash the
complaint or information except on the ground of
lack of jurisdiction over the subject matter, or
failure to comply with the preceding section;
2. Motion for a bill of particulars;
3. Motion for new trial, or for reconsideration of
judgment, or for opening of trial;
4. Petition for relief from judgment;
5. Motion for extension of time to file pleadings,
affidavits or any other paper;
6. Memoranda;
7. Petition for certiorari, mandamus, or prohibition
against any interlocutory order issued by the
court;
8. Motion to declare the defendant in default;
9. Dilatory motions for postponement;
10. Reply;
11. Third party complaints;
12. Interventions
3. PARTS AND CONTENTS OF
A PLEADING (Rule 7)
a) CAPTION
The caption contains the following:
1. The name of the court;
2. The title of the action; and
3. The docket number, if assigned. (Rule 7, Sec. 1)
Body
The body sets forth:
1. Its designation;
2. The allegation of the party’s claims and
defenses;
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3. The reliefs prayed for; and
4. The date of the pleading. (Rule 7, Sec. 2)
Even without the prayer for a specific remedy,
proper relief may be granted by the court if the facts
alleged in the complaint and the evidence
introduced so warrant. The prayer in the complaint
for other reliefs equitable and just in the premises
justifies the grant of a relief not otherwise specifically
prayed for. (Prince Transport v. Garcia, G.R. No.
167291, 2011)
b) SIGNATURE AND ADDRESS
The complaint must be signed by the plaintiff OR
counsel representing him/her indicating his/her
address.
Insufficiency in form and substance, as a ground for
dismissal of the complaint, should not be based on
the title or caption, especially when the allegations
of the pleading support an action. (Sps. Munsalud v.
NHA, G.R. No. 167181, 2008)
An UNSIGNED PLEADING produces NO LEGAL
EFFECT. The court is authorized, however, to allow
the pleader to correct the deficiency if the pleader
shows, to the satisfaction of the court, that the failure
to sign the pleading was due to the mere
inadvertence and not to delay the proceedings.
(Rule 7, Sec. 3)
c) VERIFICATION and CERTIFICATION
AGAINST FORUM SHOPPING
VERIFICATION
Generally, a pleading need not be verified EXCEPT
only when verification is required by a law or by a
rule. (Rule 7, Sec. 4)
Effect of Lack of Verification
A pleading which is required to be verified but lacks
the proper verification shall be treated as an
unsigned pleading which produces no legal effect
and is dismissible.
However, it has been held that the requirement
regarding verification of a pleading is formal, not
jurisdictional—non-compliance with which does not
necessarily render the pleading fatally defective.
The court may order the correction of the pleading if
verification is lacking or act on the pleading although
it is not verified, if the attending circumstances are
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such that the strict compliance with the rules may be
dispensed with in order that the ends of justice may
thereby be served. (Republic v. Coalbrine
International Philippines, Inc., G.R. No. 161838,
2010)
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
(c) The factual allegations therein have
evidentiary support or, if specifically so
identified, will likewise have evidentiary support
after a reasonable opportunity for discovery.
(Rule 7, Sec. 4)
CERTIFICATION AGAINST FORUM SHOPPING
FORUM SHOPPING
It consists of filing multiple suits in different courts,
either simultaneously or successively, involving the
same parties, to ask the courts to rule on the same
related causes and/or to grant the same or
substantially the same relief.
The CERTIFICATION AGAINST FORUM
SHOPPING is executed by the PLAINTIFF or the
PRINCIPAL PARTY under oath and must be signed
by the party himself/herself and not merely by his
attorney.
A certification against forum shopping signed by
counsel is a defective certification that is equivalent
to non-compliance with the requirement and
constitutes a valid cause for the dismissal of the
petition. (Ty-De Zuzuarregui v. Villarosa, G.R. No.
183788, 2010)
The Certification Against Forum Shopping is a
Sworn Statement Certifying to the Following
Matters:
1. That the party has not commenced any action or
filed any claim involving the same issues in any
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court, tribunal, or quasi-judicial agency and, to 3.
the best of his/her knowledge, no such other
action or claim is pending therein;
2. That if there is such other pending action or
claim, a complete statement of the present
status thereof; and
3. That if he/she should thereafter learn that the
same or similar action or claim has been filed or
is pending, he/she shall report that fact within 5
days therefrom to the court wherein his/her
complaint or initiatory pleading was been filed.
(Rule 7, Sec. 5)
The certificate of non-forum shopping is a
mandatory requirement in filing a complaint and
other initiatory pleadings asserting a claim or
relief. (Rule 7, Sec. 5)
An initiatory pleading includes:
1. Permissive counterclaim;
2. Cross-claim;
3. Third (fourth, etc.)-Party complaint;
4. Complaint-in-intervention; and
5. Petition or any application in which a party
asserts his claim for relief. (A.M. No. 04-94)
Failure to comply with the requirements is not
curable by mere amendment of the pleading but
shall be cause for dismissal of the case, WITHOUT
prejudice, unless otherwise provided. Dismissal
shall be UPON MOTION and AFTER hearing.
To determine Forum Shopping, the test is to see
whether, in the two or more cases pending, there
is:
1. Identity of parties;
2. Identity of rights and causes; and
3. Identity of reliefs sought.
(Huibonhoa v. Concepcion, G.R. No. 153785,
2006)
Thus, forum shopping exists when the elements of
litis pendentia are present or where a final judgment
in one case will amount to res judicata in another.
Three Ways of Committing Forum Shopping
1. Filing multiple cases based on the same cause
of action and with the same prayer, the previous
not having been resolved (litis pendencia);
2. Filing multiple cases based on the same cause
of action and with the same prayer, the previous
having been resolved with finality (res judicata);
and
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Filing multiple cases based on the same causes
of action but with different prayers (splitting
causes of action where the ground for dismissal
is also either litis pendentia or res judicata).
If the forum shopping is not willful and deliberate,
the subsequent cases shall be dismissed without
prejudice on one of the two grounds mentioned
above. But if the forum shopping is willful and
deliberate, both (or all, if there are more than two)
actions shall be dismissed with prejudice.(Heirs of
Sotto v. Palicte, G.R. No. 159691, 2014)
Effect of Submission of False Certification or
Non-Compliance with the Undertakings Therein:
1. Indirect contempt; and
2. Without prejudice to the filing of administrative
and criminal actions.
Q: X is an assignee of a subdivision road lot. X
applied for an Alteration Plan to consolidate the
subdivision lot. Subsequently, HLURB approved
the Alteration Plan. The separate titles were
cancelled and new title, consolidating the lots,
was issued to X. Z filed a complaint praying for
the issuance of a permanent cease and desist
order preventing X from developing and fencing
the road lot. HLURB issued a cease and desist
order against X. Z alleges that X maliciously
blocked the road lots despite the cease and
desist order. Z files a petition for indirect
contempt with the Supreme Court. Can Z file a
petition for indirect contempt against X in the
Supreme Court for disobeying an order of a
quasi-judicial body?
A: No. It is the RTC that has jurisdiction to hear and
decide indirect contempt cases involving
disobedience of quasi-judicial entities. (Spouses
Rodriguez v. Housing and Land Use Regulatory
Board, G.R. No. 183324, June 19, 2019)
Effects of Willful and Deliberate Forum
Shopping:
1. Shall be ground for summary dismissal of the
case with;
2. Direct contempt; and
3. A cause for administrative sanctions.
In order to be held liable for willful an deliberate
forum shopping, there should be, on the party’s part,
either a failure to include the certification in one's
initiatory pleading, or a misrepresentation as to the
pendency of another case involving the same
issues, parties, and causes of actions with the
second complaint. But where plaintiff files his
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second complaint, after the court with jurisdiction
over the first complaint had granted a dismissal
order, and such dismissal order has attained finality,
the plaintiff cannot be made liable for forum
shopping. (Daswani v. BDO Universal, G.R. No.
190983, 2015)
(1) REQUIREMENT OF A CORPORATION
EXECUTING THE VERIFICATION/
CERTIFICATION OF NON-FORUM SHOPPING
The certification may be executed by an authorized
person as long as he/she is duly authorized by the
corporation and has personal knowledge of the facts
required to be disclosed in the certification against
forum shopping, the certification may be signed by
the authorized lawyer. (National Steel Corporation
v. CA, G.R. No. 134468, 2002)
If the petitioner is a corporation, a board resolution
authorizing a corporate officer to execute the
certification against forum shopping is necessary—
a certification not signed by a duly authorized
person renders the petition subject to dismissal.
(Gonzales v. Climax Mining Ltd., 452 SCRA 607,
2005)
Where a general manager of a corporation signs the
verification and certification against forum shopping
without attaching therewith a Corporate
Secretary’s certificate or board resolution that
he is authorized to sign for and on behalf of the
petitioner-corporation, such failure is NOT fatal to
the complaint of the corporation. This is especially
true where the requisite board resolution was
subsequently submitted to the court together with
the pertinent documents. The dismissal on a purely
technical ground is frowned upon especially if it will
result in unfairness. The rules of procedure ought
not to be applied in a very rigid, technical sense for
they have been adopted to help secure, not
override, substantial justice. (Mid-land Pasig Land
Development Co. v. Mario Tablante, G.R. No.
162924, 2010)
There is substantial compliance with the rules
regarding the need for an authorized person to sign
the certificate when a corporate officer, previously
empowered via board resolution to sign the
certification against forum shopping, executes a
special power of attorney in favor of a manager of
the corporation, and it is the latter who signs the
verification and certificate against forum shopping.
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In other words, the power granted by a corporation
to a corporate officer to sign the verification and
certificate may be further delegated, via special
power of attorney, to another. (Fuji Television
Network v. Espiritu, G.R. No. 204944-45, 2014)
.
Verification and Certification Against Forum
Shopping When Petitioner is a Government
Entity
Where the petitioner is a government entity created
by the Constitution, and headed by its Chairman,
there is no need for the Chairman himself to sign the
verification. Its representative, lawyer or any person
who personally knew the truth of the facts alleged in
the petition could sign the verification.
HOWEVER, with regard to the certification of non-
forum shopping, the established rule is that it must
be executed by the plaintiff or any of the principal
parties and not by counsel. Failure to show such
authority to execute the petition on behalf of the
plaintiff or principal party renders the petition
dismissible. (People v. Iroy, G.R. No. 187743, 2010)
d) EFFECT OF THE SIGNATURE OF COUNSEL
IN A PLEADING
(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
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 rules; 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.
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(c) If the court determines, on motion or motu
proprio and after notice and hearing, that this rule
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)
(Rule 7, sec. 2) – new
A Counsel Shall be Subject to Disciplinary
Action in the Following Cases:
1. When he/she deliberately files an unsigned
pleading;
2. When he/she signs a pleading in violation of the
Rules;
3. When he/she alleges in the pleading scandalous
or indecent matter;
4. When he/she fails to promptly report to the court
a change of his/her address. (Rule 7, Sec. 3)
Differentiating the Rules on Verification and
Certificate Against Forum Shopping (Fuji
Television Network v. Espiritu, G.R. No. 204944-45,
2014)
Q: The Republic, through the OSG, filed a
Complaint for Cancellation of Title and
Reversion against X. X had acquired the
property for which a TCT was issued. However,
the property subject of this case was found
inside the Fort Stotsenburg Military Reservation
(now known as Clark Air Force Base), which
military reservation was never released as
alienable and disposable land of the public 1.
domain. X argued that the Republic is not the
real party-in-interest in this case, as the Fort
Stotsenburg Military Reservation is under the
direct control and ownership of the Bases
Conversion Development Authority (BCDA)
pursuant to Proclamation No. 163, s. 1993. RA 2.
7227, the Bases Conversion and Development
Act of 2002, expressly provides that the BCDA is
to own, hold, and/or administer the military
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reservations and other properties transferred to
it. It is argued that BCDA is a GOCC, which has
a personality separate and distinct from the
government; hence, the government is not a real
party-in-interest as it does not stand to be
benefited or injured by the decision of the case.
Is the BCDA a GOCC, with a separate juridical
personality, and the real party-in-interest in this
case?
Furthermore, even assuming that the Republic
is the real party in interest, X argued that the
complaint is dismissible due to the defects in
Verification and Certification Against Forum
Shopping (VCAFS) because it is beyond the
official functions of the BCDA, much less its
President and CEO, to sign the VCAFS.
Assuming that the BCDA was competent to act
on behalf of the Republic, the signature of
BCDA’s President and CEO on the VCAFS is not
valid because of lack of evidence showing that
he was particularly authorized by the Board of
Directors of the BCDA to sign the same. The
Secretary’s Certificate showing the authority of
the President and CEO to sign the VCAF was
belatedly filed. Should the complaint be
dismissed due to the defects in the VCAF?
A: NO. The BCDA is a Government Instrumentality
with Corporate Powers (GICP)/Government
Corporate Entity (GCE), pursuant to the ruling in
BCDA v. CIR where, using the criteria established
in MIAA v. CA, the Court found that BCDA was
neither a stock nor a non-stock corporation.
Furthermore, the BCDA is a mere trustee of the
government, similar to the ruling in MIAA. The
transfer of the military reservations and other
properties, such as the subject land, from the CSEZ
to the BCDA was not meant to transfer the beneficial
ownership of these assets from the Republic to the
BCDA. Being the beneficial owner of these lands,
the Republic is the real party-in-interest in this case.
Hence, the BCDA, as trustee of the CAB lands, can
execute the VCAFS. In Altres v. Empleo, the Court
restated the jurisprudential pronouncement
respecting non-compliance with the requirement on,
or submission of defective, VCAFS, viz:
A distinction must be made between non-
compliance with the requirement on or
submission of defective verification, and non-
compliance with the requirement on or
submission of defective certification against
forum shopping.
As to verification, non-compliance therewith or
a defect therein does not necessarily render
the pleading fatally defective. The court may
order its submission or correction or act on the
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pleading if the attending circumstances are

such that strict compliance with the Rule may
be dispensed with in order that the ends of
CERTIFICATE
justice may be served thereby.
3. Verification is deemed substantially complied VERIFICATION AGAINST FORUM
with when one who has ample knowledge to SHOPPING
swear to the truth of the allegations in the
complaint or petition signs the verification, and Non-compliance or a Non-compliance or a
when matters alleged in the petition have defect therein does not defect therein, is
been made in good faith or are true and necessarily render the generally not curable by
correct. pleading fatally its subsequent
4. As to certification against forum shopping, defective. The court submission or correction
non-compliance therewith or a defect therein,
may order its thereof, unless there is a
unlike in verification, is generally not curable
submission, correction need to relax the Rule on
by its subsequent submission or correction
thereof, unless there is a need to relax the or act on the pleading the ground of
Rule on the ground of "substantial depending on the "substantial compliance"
compliance" or presence of "special attending or presence of "special
circumstances or compelling reasons." circumstances. circumstances or
5. The certification against forum shopping must compelling reasons.
be signed by all the plaintiffs or petitioners in
a case; otherwise, those who did not sign will Substantially complied Must be signed by all the
be dropped as parties to the case. Under with when one who has plaintiffs in a case; those
reasonable or justifiable circumstances, ample knowledge to who did not sign will be
however, as when all the plaintiffs or swear to the truth of the dropped as parties.
petitioners share a common interest and allegations in the
invoke a common cause of action or defense,
complaint signs the Under justifiable
the signature of only one of them in the
verification. circumstances,
certification against forum shopping
substantially complies with the Rule. however, as when all the
6. Finally, the certification against forum plaintiffs or petitioners
shopping must be executed by the party- share a common interest
pleader, not by his counsel. If, however, for and invoke a common
reasonable or justifiable reasons, the party- cause of action or
pleader is unable to sign, he must execute a defense, the signature of
Special Power of Attorney designating his only one of them
counsel of record to sign on his own behalf. substantially complies
with the Rule.
Here, the Secretary’s Certificate shows that
the President and CEO was authority to 4. ALLEGATIONS IN A
verify, certify, and execute a certificate PLEADING (Rule 8)
against non-forum shopping. Under ordinary
circumstances, this cannot cure the defect of
the VCAFS attached; however, given the Every pleading shall contain in a
special circumstances and jurisprudential methodical and logical form, a plain,
significance of the case, the Court relaxed the concise and direct statement of the ultimate facts
rules with respect to the requirements of including the evidence on which the party pleading
VCAFS in the interest of justice. (Republic v. relies for his claim or defense, as the case may be.
Heirs of Bernabe, G.R. No. 237663, October (Rule 8, Sec. 1)
6, 2020)

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a) MANNER OF MAKING ALLEGATIONS
The pleading must contain only ULTIMATE FACTS,
which refer to the essential facts of the claim. It must
omit the statement of mere evidentiary facts.
The ULTIMATE FACTS are the important and
substantial facts which form the basis of the primary
right of the plaintiff and which make up the wrongful
act or omission of the defendant. If the ultimate facts
are not alleged, the cause of action would be
insufficient (Riano, Civil Procedure: A Restatement
for the bar, 2nd ed, 2009)
What are NOT Ultimate Facts:
1. Evidentiary or immaterial facts;
2. Legal conclusions, conclusions or inferences of
facts not stated, or incorrect inferences or
conclusions from facts stated;
3. The details of probative matter or particulars of
evidence, statements of law, inferences and
arguments; or
4. An allegation that a contract is valid or void is a
mere conclusion of law.
EVIDENTIARY FACTS – refer to those which are
necessary to prove the ultimate fact or which furnish
evidence of the existence of some other facts
(1) CONDITION PRECEDENT
CONDITIONS PRECEDENT are matters which
must be complied with before a cause of action
arises. (Riano, Civil Procedure: A Restatement for
the bar, 2nd ed, 2009)
Conditions precedent and a general averment of its
occurrence must be stated in the pleading.
(2) FRAUD, MISTAKE, MALICE, INTENT,
KNOWLEDGE AND OTHER CONDITION OF THE
MIND, JUDGMENTS, OFFICIAL DOCUMENTS,
AND ACTS
In averments of fraud or mistake, the
circumstances constituting such fraud or mistake
must be stated with PARTICULARITY. Malice,
intent, knowledge or other conditions of the
mind of a person may be averred GENERALLY.
(Rule 8, Sec. 5)
In pleading a judgment, it is sufficient to aver the
judgment or decision without alleging matters
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showing the jurisdiction to render judgment or
decision. (Rule 8, Sec. 6)
In pleading a document or an act, it is sufficient to
aver that the document or act was issued or done in
compliance with law. (Rule 8, Sec. 9)
Facts that May be Averred Generally
1. Conditions precedent (BUT there must still be an
allegation that the specific condition precedent
has been complied with); (Sec. 3)
2. Capacity to sue or be sued; (Sec. 4)
3. Capacity to sue or be sued in a representative
capacity; (Sec. 4)
4. Legal existence of an organization; (Sec. 4)
5. A party desiring to raise an issue as to the legal
existence or capacity of any party to sue or be
sued in a representative capacity shall do so by
SPECIFIC DENIAL which shall include
supporting particulars within the pleader’s
knowledge;
6. Malice, intent, knowledge, or other condition of
the mind; (Sec. 5)
7. Judgments of domestic or foreign courts,
tribunals, boards, or officers (no need to show
jurisdiction); and (Sec. 6)
8. Official document or act. (Sec. 9)
Facts that must be averred particularly
Circumstances showing FRAUD or MISTAKE in all
averments of fraud or mistake. (Sec. 5)
b) PLEADING AN ACTIONABLE DOCUMENT
Actionable Document
A document is actionable when an action or defense
is grounded upon such written instrument or
document. (Asian Construction & Dev’t Corp. v.
Mendoza, G.R. No. 176949, 2012)
Pleading an Actionable Document: The Pleader
Must
1. Set forth in the pleading the substance of the
instrument or the document, and to attach the
original or the copy of the document to the pleading
as an exhibit and which shall form part of the
pleading; or
2. Set forth in the pleading said copy of the
instrument or document (Rule 8, Sec. 7)
How to Contest an Actionable Document
1. By specific denial under oath; and
2. By setting forth what is claimed to be the facts.
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Where the Actionable Document is Properly
Alleged, the Failure to Specifically Deny UNDER
OATH the Same Results in:
1. The admission of the genuineness and due
execution of said document, EXCEPT that an
oath is NOT required:
a. When the adverse party was not a party to the
instrument; or
b. When compliance with an order for an
inspection was refused.
2. The document need not be formally offered in
evidence. For it may be considered an admitted
fact. (Philamgen v. Sweet Lines, G.R. No. 87434,
1992)
Even documents submitted in an Answer must be
specifically denied under oath in a Reply, or else the
genuineness and due execution of the documents
attached to the Answer are deemed admitted. This
is the case even if it is true that a Reply is generally
optional.
Thus, where a plaintiff fails to file a Reply with
specific denials under oath of documents attached
in the Answer, his failure constitutes a judicial
admission which should be considered by the judge,
even in resolving a demurrer to evidence. (Casent
Realty v. Philbanking, G.R. No. 150731, 2007)
GENUINENESS means that the document is
1. Not spurious, counterfeit, or of different import on
its face from the one executed by the party; or
2. That the party whose signature it bears has
signed it;
3. That at the time it was signed, it was in words
and figures exactly as set out in the pleadings
(not altered).
DUE EXECUTION
This means that the document was:
1. Signed voluntarily and knowingly by the party
whose signature appears thereon;
2. If signed by somebody else, such representative
had the authority to do so;
3. It was duly delivered, and that the formalities
were complied.
The Following Defenses are NOT Waived
Despite Failure to Deny under Oath:
1. Payment;
2. Want or illegality of consideration;
3. Fraud;
4. Mistake;
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5. Compromise;
6. Statute of Limitations;
7. Estoppel;
8. Duress; and
9. Minority or imbecility.
The aforementioned defenses are NOT inconsistent
with the genuineness and due execution of the
document.
The Following Defenses are Waived:
1. Forgery in the signature;
2. Unauthorized signature, as in the case of an
agent signing for his principal;
3. The corporation was not authorized under its
charter to sign the instrument;
4. Want of delivery; or
5. At the time the document was signed, it was
not in words and figures exactly as set out in
the pleading.
Failure to specifically deny under oath the
genuineness and due execution of an actionable
document generally implies an admission of the
same by the other party.
However, such IMPLIED ADMISSION IS DEEMED
WAIVED if the party asserting the same has allowed
the adverse party to present evidence contrary to
the contents of such document without objection.
(Central Surety v. Hodges, G.R. No. L-28633, 1971)
c) SPECIFIC DENIALS
Types of Specific Denials:
1. Absolute denial – The defendant specifies
each material allegation of fact the truth of
which he does not admit and, whenever
practicable, sets forth the substance of the
matters upon which he relies to support his
denial. (Rule 8, Section 10)
2. Partial denial – The defendant specifies the
part of truth of which he admits and denies
only the remainder.
Denial by disavowal of knowledge – The
defendant alleges that he is without
knowledge or information to form a belief as
to the truth of a material averment made in the
complaint. This must be made sincerely and
in good faith.
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In a case where a copy of the mortgage deed is Exceptions:

attached to the complaint, it is error for the 1. Allegations as to the amount of unliquidated
defendants, in their answer, to deny the underlying damages;
debt by saying that they “are without knowledge or 2. Allegations immaterial as to the cause of
information sufficient to form a belief as to the truth action; and
of the material averments.” Since a copy of the deed 3. Conclusion of law.
was given to the defendants, it was within their (2) WHEN A SPECIFIC DENIAL REQUIRES AN
power to thoroughly attack the complaint on the OATH
basis of more specific denials, rather than a general
denial claiming lack of knowledge as to the truth. 1. Denial of an actionable document

The rule, which specifically authorizes an answer of
the defendant that he has no knowledge or
information sufficient to form a belief to the truth of
an averment and which would have an effect of a
denial, does not apply where the fact as to which
want of knowledge is asserted is to the knowledge
of the court as plainly and necessarily within the
defendant’s knowledge that his averment of
ignorance must be palpably untrue. (Warner Barnes
v. Reyes, G.R. No. L-9531, 1958)
Where an answer states that the defendants
“specifically deny the allegations in pars. 2 and 3 of
the complaint for want of knowledge or information
sufficient to form a belief as to the truth thereof, the
truth of the matter being those alleged in the special
and affirmative defenses of the defendants...," this
is considered a valid denial, as the explanation is
said to be provided for in the affirmative and special
defenses. (Gaza v. Lim, G.R. No. 126863, 2003)
When a Specific Denial Does NOT Require an
Oath
1. The adverse party does not appear to be a
party to the document;
2. Compliance with an order for an inspection of
the original document is refused. (Rule 8,
Sec. 8)
Striking Out of Pleading or Matter Contained
therein is initiated
1. Upon motion by a party before responding to
a pleading;
2. Upon motion by a party within 20 days after
service of the pleading upon him if no
responsive pleading is permitted; or
3. Upon court’s own initiative at any time.
Allegations of merely evidentiary or immaterial facts
may be expunged from the pleading or may be
stricken out upon motion.

The purpose of requiring the defendant to make a 5. EFFECT OF FAILURE TO

specific denial is to make him disclose the matters PLEAD (Rule 9)
alleged in the complaint which he succinctly intends
to disprove at the trial, together with the matter a) FAILURE TO PLEAD DEFENSES AND
which he relied upon to support the denial. The OBJECTIONS (Implied Admissions)
parties are compelled to lay their cards on the table.
Petitioner only asserted that respondent failed to General Rule: Defenses and objections not
show evidence of its supposed remaining liability. pleaded either in a motion to dismiss or in the
This is not an assertion of the truth and substance answer are deemed waived. (Rule 9, Sec. 1)
of the matter. It is merely a statement that as far as
petitioner is concerned, respondent does not have Exceptions:
evidence to prove its claim. (Frilou Construction, Grounds Not Deemed Waived (LLRP)
Inc. v Aegis Integrated Structure Corp., G.R. No. 1. Lack of jurisdiction over the subject matter;
191088, 2016) 2. Litis pendentia;
3. Res judicata or
(1) EFFECT OF FAILURE TO MAKE A SPECIFIC 4. Prescription (Statute of limitations)
DENIAL
General Rule: Lack of jurisdiction over the subject
General Rule: Allegations NOT specifically denied matter may be raised at any stage of the
are deemed admitted. proceedings, even on the first time on appeal.

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Exception: Estoppel by laches (Tijam v.
Sibonghanoy, G.R. No. L-21450, 1968)
b) FAILURE TO PLEAD A COMPULSORY
COUNTERCLAIM OR CROSS-CLAIM
A compulsory counterclaim, or cross-claim, not set
up at the time a defending party files his answer,
shall be BARRED.
An AMENDED ANSWER is proper if the
counterclaim or cross claim ALREADY EXISTED at
the time the original answer was filed, but due to
oversight, inadvertence, or excusable neglect, it
was not set up.
A SUPPLEMENTAL ANSWER is proper if the
counterclaim or cross-claim matures or is acquired
AFTER the answer is filed.
DEFAULT (Rule 9)
Procedural concept when the defending party fails
to file his ANSWER within the reglementary period.
It does not occur from the failure of the defendant to
attend either the pre-trial or the trial.
The defendant’s non-appearance in the hearing and
the failure to adduce evidence does NOT constitute
default when an answer has been filed within the
reglementary period. Instead, it amounts to a waiver
of the defendant’s right to object to the evidence
presented during such hearings and to cross-
examine the witness presented. (Monzon v. Sps
Relova v. Addio Properties, G.R. No. 17182, 2008)
a) WHEN A DECLARATION OF DEFAULT IS
PROPER
Requisites Before a Party May be declared in
Default:
1. Summons has been validly and previously
SERVED upon him;
2. Defendant FAILS TO ANSWER within the time
allowed therefore;
3. There must be PROOF of such failure to answer;
4. There must be a MOTION TO DECLARE the
defendant in default;
a. NOTICE to the defendant by serving upon
him a copy of such motion; and
b. HEARING of the motion to declare the
defendant in default. (Riano, Civil Procedure:
A Restatement for the bar, 2nd ed, 2009)
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Remedies of a Party Declared in Default
1. Before judgment: motion under oath to set
aside order of default when failure to answer is
based on fraud, accident, mistake, excusable
negligence and the defendant has a
meritorious defense
2. Before judgment becomes final and executor:
motion for new trial
3. When judgment is final and executor: petition for
relief
4. Appeal judgment rendered against him as
contrary to evidence or law
5. Petition for certiorari to declare nullity of judgment
by default. (Gomez v. Montalban, G.R. No.
174414, 2008)
The court has NO authority to motu proprio declare
the defendant in default. A MOTION to declare the
defending party MUST BE FILED by the claiming
party before a declaration of default is made by the
court. (Rule 9, Sec. 3)
Filing a motion to dismiss or a motion for a bill of
particulars will interrupt the running of the period to
file an answer. Thus, if these two motions are filed,
a defendant may NOT be declared in default
pending the resolution of these two motions.
General Rule: A default order and consequently, a
default judgment are triggered by the failure to file
the required answer by the defending party.
Exceptions:
Despite an answer being filed, a JUDGMENT BY
DEFAULT may still be rendered in the following
circumstances:
1. If a party refuses to obey an order requiring him
to comply with the various modes of discovery;
or
2. If a party or officer or managing agent of a party
willfully fails to appear before the officer who is
to take his deposition.
3. If a defendant fails to appear at the pre-trial, the
plaintiff is allowed to present his evidence ex
parte and the court shall render judgment on the
basis thereof.
4. The failure of a defendant to file the pre-trial brief
warrants the same effect as failure to appear at
pre-trial.
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ORDER OF JUDGMENT BY A declaration of default is NOT an admission of the

DEFAULT DEFAULT truth or the validity of the plaintiff’s claims. (Monarch
Issued by the court Rendered by a court Insurance v. CA, G.R. No. 92735, 2000)
upon plaintiff’s motion after a default order A declaration or order of default is issued as a
for failure of the has been issued or punishment for unnecessary delay in joining the
defendant to file his after it has received, ex issues. (Vlason Enterprises v. CA, G.R. Nos.
responsive pleading parte, plaintiff’s 121662-64, 1999)
within the evidence.
reglementary period. Complainants are not automatically entitled to the
relief prayed for, once the defendants are declared
Interlocutory Order – Final Order –
Not appealable Appealable. in default. Favorable relief can be granted only after
through ordinary the court has ascertained that the relief is warranted
appeal. by the evidence offered and the facts proven by the
presenting party. Quantum of proof of plaintiff
remains the same even with defendant’s default.
Failure to File an Answer in Cases covered by
the Rule on Summary Proceeding (Gajudo v. Traders Royal Bank, G.R. No. 151098,
2006)
The defendant who fails to file an answer
seasonably is NOT supposed to be declared in
default. Default should be treated as the exception rather
than the rule because the policy of the law is to have
Instead, the court, motu proprio OR upon motion of every litigant’s case tried on the merits as much as
possible.
the plaintiff, shall render judgment as may be
warranted by the facts alleged in the complaint and
limited to what is prayed for. c) RELIEF FROM AN ORDER OF DEFAULT

After Notice of Order and Before Judgment

b) EFFECT OF AN ORDER OF DEFAULT
The defendant must file a MOTION TO SET ASIDE
ORDER OF DEFAULT under oath and show that
The Court may, upon its own discretion:
1. The failure to answer was due to fraud,
1. Proceed to render judgment; OR
accident, mistake or excusable negligence
2. Require the plaintiff to present his evidence ex
(FAME) and that;
parte according to judicial discretion. The
2. The defendant has a meritorious defense –
reception of the evidence may be done by the
affidavit of merit.
court or delegated to the clerk of court.

After Judgment and Before Judgment Becomes

(a) Effect of order of default. — A party in default
shall be entitled to notices of subsequent
proceedings but shall not take part in the trial.
While the defendant can no longer take part in the
trial, he is nevertheless entitled to notices of
subsequent proceedings. He may participate in the
trial not as a party but as a witness. (Cavili v.
Florendo, G.R. No. 73039, 1987)
A Party in Default is entitled to Notice of
1. Motion to declare him in default;
2. Order declaring him in default;
3. Subsequent proceedings; and
4. Service of final orders and judgments.
Final and Executory
The defendant may file a MOTION FOR NEW
TRIAL/RECONSIDERATION under Rule 37 of the
Rules of Court. He may also appeal from the
judgment as being contrary to the evidence or the
law.
After Judgment Becomes Final and Executory
File a:
1) PETITION FOR RELIEF OF JUDGMENT under
Rule 38 of the Rules of Court or
2) ANNULMENT OF JUDGMENT under Rule 47.
Relief for Improvident Declaration of Default
File a Petition for Certiorari under Rule 65
(Aerospace University v. CHED, G.R. No.139371,
2001)

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d) EFFECT OF A PARTIAL DEFAULT
Partial Default
1. The default asserting a claim states a
common cause of action against several
defending parties;
2. Some of the defending parties answer and
the others fail to do so; and
3. The answer interposes a common defense.
Effect of Partial Default
When a pleading asserts a claim against several
defending parties and some file and serve their
answers but the others do not, the court shall try the
case against ALL the defending parties based on
the answers filed and render judgment upon the
evidence presented where the claim states a
common cause of action against them. (Rule 9, Sec.
3(c))
The rule on partial default does not apply where the
defenses of the answering defendants were
personal to them, such as forgery. (Luzon Surety Co
v. Magbanua, G.R. No. L-41804, 1976)
e) EXTENT OF RELIEF
A Judgment Rendered Against a Party Declared
in Default Shall NOT
1. Exceed the amount prayed for;
2. Be different in kind from that prayed for;
3. Award unliquidated damages.
f) ACTIONS WHERE DEFAULT IS NOT
ALLOWED
1. Annulment of marriage;
2. Declaration of nullity of marriage;
3. Legal Separation;
4. Special civil actions of certiorari, prohibition
and mandamus where comment instead of an
answer is required to be filed; and
5. Summary procedure.
6. AMENDED AND
SUPPLEMENTAL
PLEADINGS (Rule 10)
Amendments, in General
Proper when there is an event that was not alleged
in the pleadings due to inadvertence, oversight, etc.,
but happened before its filing.
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Pleadings MAY be Amended By:
1. Adding or striking out an allegation of a party;
2. Adding or striking out the name of a party;
3. Correcting a mistake in the name of a party; and
4. Correcting a mistake or inadequate allegation or
description in any other respect. (Rule 10, Sec.
1)
Compared to Rule 129, Sec. 4
Section 4 of Rule 129 contains the rule prohibiting a
party from contradicting his judicial admission
unless it is shown that such admission is made
through palpable mistake or no such admission is
made.
Matters involving the amendment of pleadings are
primarily governed by the pertinent provisions of
Rule10 and not by Section 4 of Rule 129 of the Rule
of Court. Hence, allegations (and admissions) in a
pleading—even if not shown to be made through
"palpable mistake"—can still be corrected or
amended provided that the amendment is
sanctioned under Rule 10 of the Rules of Court.
(Yujuico v. United Resources Asset Management,
G.R. No. 211113, June 29, 2015)
1. AMENDMENT AS A MATTER OF RIGHT
A party may amend his pleading ONCE as a matter
of right. Subsequent amendments must be WITH
LEAVE of court.
It may be exercised at ANY time BEFORE a
responsive pleading is SERVED. In the case of a
reply it may be amended at any time within ten (10)
calendar days after it is SERVED. (Rule 10, Sec. 2)
Pleader has a right to amend his complaint before a
responsive pleading is served even if it is to correct
a jurisdictional defect.
When Amendment is a Matter of Right
1. A COMPLAINT may be amended before an
answer is served (regardless of whether a
new cause of action or change in theory is
introduced – thus, MAY be substantial)
2. An ANSWER may be amended before a reply
is served upon the defendant
3. A REPLY may be amended any time within
ten (10) days after it is served;
A defect in the designation of the parties and other
clearly clerical or typographical errors may be
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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.
(Rule 10, Sec. 4)
Section 2 Rule 10 refers to an amendment made
before the trial court and NOT to amendments
before the Court of Appeals. The Court of Appeals
is vested with jurisdiction to admit or deny amended
petitions filed before it. (Navarro v. Vda De Taroma,
G.R. No. 160214, 2005)
If a motion to dismiss is filed, an amendment to the
complaint would still be a matter of right during the
pendency of the motion to dismiss. Such a motion
is NOT a responsive pleading. (Paeste v. Jaurigue,
G.R. No. L-5711, 1953).
Even if the motion to dismiss is granted by the court,
the plaintiff may still amend the complaint as a
matter of right before such dismissal becomes final.
Before the filing of any responsive pleading, a
party has the absolute right to amend his pleading,
regardless of whether a new cause of action or
change in theory is introduced. A motion to dismiss
is not the responsive pleading contemplated by the
Rule. (Bautista v. Maya-Maya Cottages, G.R. No.
148361, 2005)
The plaintiff may amend his complaint once as a
matter of right, i.e. without leave of court, before any
responsive pleading is filed or served. Responsive
pleadings are those which seek affirmative relief
and/or set up defenses, like an answer. A motion to
dismiss is not a responsive pleading for purposes of
Section 2 of Rule 10. (Marcos-Araneta v. CA, G.R.
No. 154096, 2008)
It is erroneous for a court to refuse an amendment
exercised as a matter of right and this error may be
corrected by mandamus.
When new service of summons is required
When defendants have not yet appeared in court
and no summons has been validly served, new
summons for the amended complaint must be
served on them.[85] It is not the change of cause of
action that gives rise to the need to serve another
summons for the amended complaint, but rather the
acquisition of jurisdiction over the persons of the
defendants. (Vlason Enterprises v. CA, G.R. No.
121662-64, 1999)
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2. AMENDMENTS BY LEAVE OF COURT
Leave of Court is required
1. If the amendment is substantial; and
2. A responsive pleading had already been
served.
Requisites
1. There must be a motion filed in court;
2. Notice to the adverse party; and
3. Opportunity to be heard afforded to the
adverse party.
Substantial amendments can be done with leave of
court. It can substantially alter the cause of action or
the defenses with leave of court. (PPA v. Gothong
and Aboitiz, G.R. No. 158401, 2008)
Amendment by Leave of Court may NOT be
Allowed When
1. When cause of action, defense or theory of
the case is changed;
2. Amendment is intended to confer jurisdiction
to the court;
3. Amendment to cure a premature or non-
existing cause of action; and
4. Amendment for purposes of delay.
After a responsive pleading has been served, a
complaint cannot be amended to confer jurisdiction
on the court in which it is filed, if the cause of action
originally set forth was not within the court's
jurisdiction. (Campos Rueda Corporation v.
Bautista, G.R. No. L-18453, 1962)
The defect of lack of cause of action at the
commencement of the suit cannot be cured by the
accrual of a cause of action during the pendency of
the case. There must be some cause of action at the
commencement of the suit. (Swagman Hotels &
Travel v. CA, G.R. No. 161135. April 8, 2005)
Test to Determine Whether a Different Cause of
Action is Introduced by Amendments
Whether the defendant shall be required to answer
for a liability or legal obligation wholly different from
that which was stated in the original complaint. An
amendment will not be considered as stating a new
cause of action if the facts alleged in the amended
complaint (or counterclaim) show substantially the
same wrong with respect to the same transaction,
or if what are alleged refer to the same matter but
are more fully and differently stated, or where
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averments which were implied are made in AMENDED PLEADING SUPPLEMENTAL

expressed terms, and the subject of the controversy PLEADING
or the liability sought to be enforced remains the Refers to facts existing Refers to facts arising
same. (Rubio v. Mariano, G.R. No. L-30404, 1973) at the time of the AFTER the filing of
commencement of the the original pleading.
3. FORMAL AMENDMENT action.
Takes the place of the Taken TOGETHER
A defect in the designation of the parties and other
original pleading. with the original
clearly CLERICAL or TYPOGRAPHICAL errors may
pleading.
be summarily corrected by the court at ANY stage
Can be made as a Always WITH leave of
of the action, at its initiative or on motion, provided
matter of right as when court.
so prejudice is caused thereby to the adverse party.
no responsive pleading
(Rule 10, Sec. 4)
has yet been filed.
When an amended A supplemental
4. AMENDMENTS TO CONFORM TO OR
pleading is filed, a new pleading does not
AUTHORIZE PRESENTATION OF EVIDENCE
copy of the entire require the filing of a
pleading must be filed. new copy of the entire
Section 5. No amendment necessary to conform to pleading.
or authorize presentation of evidence. — When
An answer earlier filed The filing of an
issues not raised by the pleadings are tried with the
express or implied consent of the parties, they shall may serve as the answer is NOT
be treated in all respects as if they had been raised answer to the amended mandatory.
in the pleadings. No amendment of such pleadings pleading.
deemed amended is necessary to cause them to
conform to the evidence. (5a) Filing of Amended Pleadings
When any pleading is amended, a new copy of the
5. SUPPLEMENTAL PLEADINGS entire pleading, incorporating the amendments,
which shall be indicated by the appropriate marks,
SUPPLEMENTAL PLEADINGS shall be filed.
Set forth transactions, occurrences or events which
have happened since the date of the pleading 6. EFFECT OF AMENDED PLEADING
sought to be supplemented.
An amended pleading supersedes the pleading that
The cause of action stated in the supplemental it amends.
pleading is thus the SAME as that stated in the
original. The supplemental pleading is only a However, admissions in superseded pleadings may
CONTINUATION of the primary pleading as it only be received in evidence against the pleader; and
serves to bolster or add something to it. claims or defenses alleged therein not incorporated
in the amended pleading shall be deemed waived.
The adverse party MAY plead thereto within ten (10)
days from notice of the order admitting the The original complaint is deemed superseded and
supplemental pleading. Thus, it is NOT mandatory abandoned by the amendatory complaint only if the
for an answer to be filed to a supplemental latter introduces a new or different cause of action.
complaint. (Verzosa v. CA, G.R. No. 119511, 1998)

Additional filing fees are due to a supplemental
complaint and it is not for the party or the trial court
to waive such payment. Failure to pay filing fees for
supplemental complaint is fatal only for the
supplemental complaint. The original complaint is
not affected. (Do-All Metals Industries Inc., v.
Security Bank, G.R. No. 176339, 2011)
Effect of Amendments in Relation to Statute of
Limitations
An amendment which merely supplements and
amplifies the facts originally alleged relates back to
the date of the commencement of the action and is
not barred by the statute of limitations, the period of
which expires after service of the original complaint
but before service of amendment. It is the actual

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filing in court that controls and not the date of the
formal admission of the amended pleading.
(Verzosa v. CA, G.R. No. 119511, 1998)
Admissions in Original Pleadings
Admissions made in the original pleadings are
considered as EXTRAJUDICIAL admissions.
However, admissions in superseded pleadings may
be received in evidence against the pleader as long
as they are formally offered in evidence. (Rule 10,
Sec. 8)
Effect of Amendment of Complaint on the
Requisite of Service of Summons
If new causes of action are alleged in the amended
complaint filed BEFORE the defendant has
appeared in court, another summons must be
served on the defendant with the amended
complaint.
However, if the defendants have ALREADY
APPEARED before the court by virtue of summons
in the original complaint (e.g., by filing an entry of
appearance or motion for extension of time to file a
responsive pleading), the amended complaint may
be served upon them without need of another
summons EVEN IF new causes of action are
alleged.
7. WHEN TO FILE
RESPONSIVE PLEADINGS
(Rule 11)
ANSWER TO COMPLAINT
The defendant shall file his answer to the complaint
within fifteen (30) days after service of summons,
unless a different period is fixed by the court.
Where the Defendant is a Foreign Private
Juridical Entity
Where the defendant is a foreign private juridica;
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 receipts of summons by such
entity.
Q: Was there a defective service of summons
when the court’s process server resorted to
substituted service without complying with the
requirement in connection thereto and thus the
RTC did not acquire jurisdiction over the person
of the petitioner?
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A: No. Under Rule 14 Section 20 of the Rules of
Court, “the defendant’s voluntary appearance in the
action shall be equivalent to service of summons”. It
is undisputed that the Petitioner Spouses fully and
actively participated in the proceedings before the
RTC and CA - they filed their answer and amended
answer, sought affirmative relief, and participated in
the pre-trial, and after three decades of litigation, the
petitioner spouses cannot alleged for the first time
that their right to be heard was transgressed. Hence,
Spouses are deemed to have voluntarily appeared
before the court.
ANSWER TO AMENDED COMPLAINT
1. Where the plaintiff files an amended complaint
as a matter of right, the defendant shall
answer the same within thirty (30) days after
being served with a copy thereof.
2. Where filing is NOT a matter of right, the
defendant shall answer the amended
complaint within fifteen (15) days from notice of
the Order admitting the same. 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.
COUNTERCLAIM OR CROSS-CLAIM
A counterclaim or cross-claim must be answered
within twenty (20) calendar days from service.
THIRD-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.
REPLY may be filed within fifteen (15) calendar
days from service of the pleading responded to.
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.
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Extension of Time to Plead
1. There must be a motion;
2. With service of such motion to the other party;
and
3. On such terms as may be just.
8. MOTIONS FOR BILL OF
PARTICULARS (Rule 12)
Motion for a bill of particulars
It is a motion which seeks to clarify matters in the
complaint which are vague, ambiguous, or not
averred with sufficient definiteness.
It applies to ANY PLEADING, which in the
perception of the movant, contains ambiguous
allegations.
The Motion Shall Point Out
1. Defects complained of;
2. The paragraphs wherein they are contained;
3. The details desired must be supplied by the
movant.
The motion must comply with the requirements for
motions under Rule 15. Otherwise, it shall be treated
as a pro forma motion which shall not stop the
running of the period for filing the requisite pleading.
Section 2, Rule 10 of the Revised Rules of Court—
which allows amendment of pleadings once as a
matter of right before a responsive pleading is
served—does not apply in situations where it is the
court itself that orders a party litigant to amend his
or her pleading. Where, the trial court orders the
amendment after a motion for a bill of particulars has
been filed by the adverse party and heard by the
court, the applicable provision is Section 1 of Rule
12 of the Rules of Court: the amended pleading
must be filed within the time fixed by the court, or
absent such a specification of time, within ten (10)
days from notice of the order. (Bantillo v. IAC, G.R.
No. 75311, 1988)
An allegation that the “defendant acted in unlawful
concert with the other defendant in illegally
amassing assets, property and funds in amounts
disproportionate to the latter’s income,” is a proper
subject of a motion for bill of particulars. Plaintiff is
bound to clarify the specific nature, manner and
extent of the alleged collaboration between the
defendants. Allegations couched in general terms
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are not statements of ultimate facts. (Republic v
Sandiganbayan, G.R. No. 148154, 2007)
a) PURPOSE and WHEN APPLIED FOR
Purpose
The purpose of the motion is to seek an order from
the court directing the pleader to submit a bill of
particulars which avers matters with sufficient
definiteness or particularity to enable the movant to
prepare his responsive pleading.
When applied for
A motion for a bill of particulars must be filed
BEFORE responding to a pleading. Thus, the period
to file the motion refers to the period for filing the
responsive pleading in Rule 11.
If the Bill of Particulars is Directed to a
Complaint
Motion should be filed fifteen (15) days after service
of summons
If Directed to a Counterclaim
Motion should be filed ten (10) days from service of
counterclaim.
In Case of a Reply to Which No Responsive
Pleading is Provided for
The motion must be filed within ten (10) days of
service of said reply.
b) ACTIONS OF THE COURT
Upon the filing of the motion, the clerk of court must
immediately bring it to the attention of the court.
The court may
(1) deny the motion outright,
(2) grant the motion outright, or
(3) allow the parties the opportunity to be heard.
c) COMPLIANCE WITH THE ORDER and EFFECT
OF NON-COMPLIANCE
Compliance
When the motion is granted (in whole or in part),
compliance must be effected WITHIN 10 DAYS
from NOTICE of the order, UNLESS the court fixes
a different period.
In complying with the order, the pleader may file the
bill of particulars either in a separate pleading or in
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the form of an amended pleading, a copy of which
must be served on the adverse party.
Effect of Noncompliance or Insufficient
Compliance
The court may:
1. Order striking out of the pleading;
2. Order striking out portions of pleading to which
the order was directed;
3. Make such other order as it deems just;
4. Dismiss the complaint with prejudice unless
otherwise ordered by the court if it is the
PLAINTIFF who fails to comply;
5. Strike off the answer and dismiss the
counterclaim plus a declaration of in default
upon motion of the plaintiff if it is the
DEFENDANT who fails to comply.
d) EFFECT ON THE PERIOD TO FILE A
RESPONSIVE PLEADING
Filing of bill of particulars interrupts or STAYS the
period to file a responsive pleading.
Movant may file his responsive pleading within the
period to which he is entitled (balance of
reglementary period) at the time the bill of
particulars is filed, which shall NOT be less than
FIVE (5) DAYS in any event AFTER:
1. Service of the bill of particulars upon him; or
2. Notice of the denial of his motion
When filing for a Bill of Particulars is NOT
appropriate
It would also be improper to call for the production
of the particulars constituting malice, intent,
knowledge or condition of the mind, which under the
Rules may be averred generally.
A motion for bill of particulars will not be granted if
the complaint, while not very definite, nonetheless
already states a sufficient cause of action. A
motion for bill of particulars may not call for matters
which should form part of the proof of the complaint
upon trial. Such information may be obtained by
other means. (Salita v. Magtolis, G.R. No. 106429,
1994)
Where private respondent has already alleged that
petitioner was unable to understand and accept the
demands made by his profession upon his time and
efforts, it is certain that she can respond to this. To
demand for more details would indeed be asking for
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information on evidentiary facts—facts necessary to
prove essential or ultimate facts and to obtain
evidentiary matters is not the function of a motion for
bill of particulars. (Salita v. Magtolis, G.R. No.
106429, 1994)
9. EFFICIENT USE OF PAPER
RULE; E-FILING
This rule shall apply to all courts and quasi-judicial
bodies under the administrative supervision of the
Supreme Court. (A.M. No. 11-9-4-SC, Sec. 2)
Format and Style. – a) All pleadings, motions and
similar papers intended for the court and quasi-
judicial body’s consideration and action (court-
bound papers) shall written in single space with one-
and-a –half space between paragraphs, using an
easily readable font style of the party’s choice, of 14-
size font, and on a 13 –inch by 8.5- inch white bond
paper; and
b) All decisions, resolutions and orders issued by
courts and quasi-judicial bodies under the
administrative supervision of the Supreme Court
shall comply with these requirements. Similarly
covered are the reports submitted to the courts and
transcripts of stenographic notes. (A.M. No. 11-9-4-
SC, Sec. 3)
Margins and Prints .— The parties shall maintain
the following margins on all court-bound papers: a
left hand margin of 1.5 inches from the edge; an
upper margin of 1.2 inches from the edge; a right
hand margin of 1.0 inch from the edge; and a lower
margin of 1.0 inch from the edge. Every page must
be consecutively numbered. (A.M. No. 11-9-4-SC,
Sec. 4)
Unless otherwise directed by the court, the number
of court- bound papers that a party is required or
desires to file shall be as follows:
a. In the Supreme Court, one original (properly
marked) and four copies, unless the case is referred
to the Court En Banc, in which event, the parties
shall file ten additional copies. For the En Banc, the
parties need to submit only two sets of annexes, one
attached to the original and an extra copy. For the
Division, the parties need to submit also two sets of
annexes, one attached to the original and an extra
copy. All members of the Court shall share the extra
copies of annexes in the interest of economy of
paper.
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Parties to cases before the Supreme Court are SERVICE

further required, on voluntary basis for the first six The act of providing a party with a COPY of the
months following the effectivity of this Rule and pleading or paper concerned.
compulsorily afterwards unless the period is
extended, to submit, simultaneously with their court- The Following Papers Are required to be FILED
bound papers, soft copies of the same and their
in Court and SERVED upon the parties affected:
annexes (the latter in PDF format) either by email to
the Court’s e-mail address or by compact disc (CD). 1. Judgments;
This requirement is in preparation for the eventual 2. Resolutions;
establishment of an e-filing paperless system in the 3. Orders;
judiciary. 4. Pleadings subsequent to the complaint;
5. Written motion;
b. In the Court of Appeals and the Sandiganbayan, 6. Notices;
one original (properly marked) and two copies with 7. Appearances;
their annexes; 8. Demands;
9. Offers of judgment; and
c. In the Court of Tax Appeals, one original (properly 10. Similar papers. (Rule 13, Sec. 4)
marked) and two copies with annexes. On appeal to
the En Banc, one Original (properly marked) and MODES OF SERVICE
eight copies with annexes; and 1. Served personally
2. By registered mail
d. In other courts, one original (properly marked) 3. Accredited courier
with the stated annexes attached to it. (A.M. No. 11- 4. Electronic mail
9-4-SC, Sec. 5) 5. Facsimile transmission
6. Other electronic means as may be
Annexes Served on Adverse Party. – A party authorized by the court
required by the rules to serve a copy of his court- 7. As provided for in international conventions
bound on the adverse party need not enclose copies
to which Philippines is a party
of those annexes that based on the record of the
court such party already has in his possession. In
the event a party requests a set of the annexes 1. PAYMENT OF DOCKET
actually filed with the court, the part who filed the FEES; EFFECT OF NON-
paper shall comply with the request within five days PAYMENT
from receipt. (A.M. No. 11-9-4-SC, Sec. 6)
The payment of the docket fee vests the court with
————- end of topic ————- jurisdiction over the subject matter.

F. FILING AND SERVICE OF The court requires that all complaints, petitions,
PLEADINGS, JUDGMENTS, FINAL answers, and similar pleadings must specify the
ORDERS, AND RESOLUTIONS amount of damages being prayed for both in the
body of the pleading and in the prayer. (Manchester
FILING Development Corp v. CA, G.R. No. 75919, 1987)
The filing of pleadings and other court submissions
shall be made by: Any defect in the original pleading resulting in the
1. Submitting personally the original thereof to the underpayment of the docket fee cannot be cured by
court amendment, such as by the reduction of the claim
2. Sending them by registered mail as, for all legal purposes, there is no original
3. Sending them by accredited courier; or complaint over which the court has acquired
4. Transmitting them by electronic mail or other jurisdiction.
electronic means as may be authorized by the
Court in places where the court is electronically Plainly, while the payment of the prescribed docket
equipped fee is a jurisdictional requirement, even its non-
payment at the time of filing does not automatically
cause the dismissal of the case, as long as the fee
is paid within the applicable prescriptive or

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reglementary period, more so when the party MODES OF SERVICE

involved demonstrates a willingness to abide by the
rules prescribing such payment. (Heirs of Bertuldo a) PERSONAL SERVICE
Hinog v. Hon. Achilles Melicor, G.R. No. 140954,
2005) The preferred mode of service. If another mode of
2. FILING AND SERVICE OF service is used (other than personal service), the
PLEADINGS (Rule 13) service must be accompanied by a written
explanation why the service of filing was not done
FILING OF SERVICE OF personally.
PLEADINGS PLEADINGS
Act of presenting the Act providing a party How Personal Service is made
pleading or other paper with a copy of the 1. Delivering personally a copy to the party who
to the clerk of court. pleading or paper is not represented by a counsel, or to his
concerned. counsel; or
Modes of Filing Judgment, pleadings 2. Leaving a copy in counsel’s office with his
Submitting personally and orders are served clerk or with a person having charge thereof;
or
the original thereof to counsel, EXCEPT:
3. If no person is found in his office, or if his
to the court 1. When he has no
office is unknown, or if he has no office – by
Sending them by counsel;
leaving the copy between 8 a.m. to 6 p.m. at
registered mail 2. When counsel of
the party’s or counsel’s residence, if known,
Sending them by record can’t be
with a person of sufficient age and discretion
accredited courier; located; or
then residing therein.
or 3. When party himself
Transmitting them by is directed by court to
Failure to comply with the explanation requirement
electronic mail or show cause (e.g.
may be cause for the paper to be considered as
other electronic contempt).
NOT having been filed.
means as may be
authorized by the *If represented by 2
Court in places b) SERVICE BY MAIL
counsels, notice may
where the court is be served upon both or
The preferred service by mail is by REGISTERED
electronically either of them.
MAIL. Service by ordinary mail may be done only if
equipped
no registry service is available in the locality of either
Modes of Service
the sender or the addressee.
Served personally
By registered mail
SUBSTITUTED SERVICE
Accredited courier
Electronic mail
Facsimile transmission If service of pleadings, motions, notices, resolutions,
orders and other papers cannot be made in either
Other electronic
means as may be personal service or registered mail, the office and
authorized by the place of residence of the party or his counsel being
court unknown, service may be made by delivering the
copy to the clerk of court, with proof of failure of
As provided for in
international both personal service and service by mail.
conventions to
which Philippines is SERVICE OF JUDGMENTS, FINAL ORDERS,
AND RESOLUTIONS
a party

How Made
1. By personal service;
When a pleading is sent through private courier, the
2. By registered mail;
date of actual receipt of the Court is considered as
3. By publication;
the date of filing. (Heirs of Miranda v. Miranda, GR
4. NO substituted service.
No. 179638)

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e) PRIORITIES IN MODES OF SERVICE the mail in the post unclaimed letter

AND FILING office together with the
2. In a sealed envelope certified or sworn
Whenever practicable, the service and filing of addressed to the court copy of the notice
pleadings and other papers shall be done 3. With postage fully given by the
personally. prepaid; and postmaster to the
4. With instructions to addressee.
f) WHEN SERVICE IS DEEMED the postmaster to return
COMPLETE the mail to the sender
after ten (10) days if not
1. Personal service - Upon actual delivery delivered.
2. Ordinary mail - Upon expiration of 10 days
after mailing ————- end of topic ————-
3. Registered mail - Upon actual receipt by the
addressee OR five (5) days from the date he G. SUMMONS
received first notice from postmaster
4. Substituted service - At the time of such 1. NATURE AND PURPOSE OF
delivery of the copy to the clerk of court SUMMONS IN RELATION TO
ACTIONS IN PERSONAM, IN
g) PROOF OF FILING AND SERVICE REM, AND QUASI IN REM

PROOF OF FILING PROOF OF Summons

SERVICE A writ by which the defendant is notified of the action
Personal Service brought against him/her. Service of such writ is the
means by which the court may acquire jurisdiction
The filing of a pleading 1.Written admission of
over his/her person. (Cano-Gutierrez v. Gutierrez,
or paper shall be proved the party served; or
G.R. No. 138584, 2000)
by its existence in the 2. Official return of the
record of the case. server; or
Although respondent had indeed filed numerous
3. Affidavit of the party
pleadings, these pleadings were precisely for the
If Not in the Record serving, containing full
purpose of contesting the jurisdiction of the
Written or stamped information of the
court over the person of respondent on the ground
acknowledgment of its date, place and
that there was no valid service of summons on him.
filing by the clerk of manner of service.
It would be absurd to hold that respondent, by
court on a copy of the
making such appearance, thereby submitted
same.
himself to the jurisdiction of the court.
Ordinary Mail
Affidavit of the person
Furthermore, as the office is not respondent’s
mailing of the facts
regular place of business, it cannot be said that
showing compliance
the person who received the service of summons
with Rule 13, Sec. 7
was authorized to receive service of process on
Registered Mail
behalf of the respondent. (UCPB v. Ongpin, G. R.
1. The registry receipt; 1. The registry receipt; 146593, 2001)
and and
2. By the affidavit of the 2. By the affidavit of
NON-SERVICE OR IRREGULAR SERVICE OF
person who did the the person who did SUMMONS may be a ground for dismissal for lack
mailing. the mailing. of jurisdiction over the person of the defending party.

The affidavit must: The registry return Service of such writ is the means by which the court
1. Contain a full card shall be filed
acquires jurisdiction over his person. Any judgment
statement of the date immediately upon its without such service in the absence of a valid waiver
and place of depositing receipt by the sender, is null and void. (Gomez v. Court of Appeals, G.R.
or in lieu thereof of the
No. 127692, 2004)

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The Clerk of Court Shall Issue the Summons to
the Defendant Upon
1. Filing of the complaint; and
2. Payment of the requisite legal fees.
Contents of Summons
1. Name of the court & names of the parties to the
action;
2. Direction that defendant answer within the time
fixed by these Rules; and
3. Notice that unless the defendant so answers,
plaintiff will take judgment by default and may be
granted the relief applied for.
NOTE: A copy of the complaint and order for
appointment of guardian ad litem if any shall be
attached to the original and each copy of the
summons.
Nature
The issuance of summons by the Clerk of Court is
MANDATORY upon the filing of the complaint and
payment of requisite legal fees. (Riano, Civil
Procedure: A Restatement for the Bar, 2nd Edition,
2009)
Summons May be Served ONLY by
1. Sheriff;
2. Sheriff’s deputy; or
3. Other proper court officers; or
4. For justifiable reasons, by any suitable person
authorized by the court issuing the summons
(Rule 14, Sec. 3)
Section 3. 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
service of summons by 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.
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If the plaintiff misrepresents that the defendant was
served summons, and it is later proved that no
summons was served, the case shall be dismissed
with prejudice, the proceedings shall be nullified,
and 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)
ALIAS SUMMONS
One issued by the clerk of court on demand of the
plaintiff when the original summons was returned
without being served on any or all of the defendants,
or when summons has been lost. When issued, it
supersedes the first summons.
RETURN
When the service has been completed, the server
shall, within five (5), serve a copy of the return, to
the plaintiff's counsel, and shall return the summons
to the clerk, who issued it, accompanied by proof of
service.
SUMMONS IN ACTIONS IN PERSONAM
Purpose
1. Notify defendant of action against him/her; and
2. Acquire jurisdiction over defendant’s person in a
civil case.
Jurisdiction over the defendant, without service of
summons, cannot be acquired even if the defendant
has knowledge of the case against him. (Habana v.
Vamenta, G.R. No. L-27091, 1970)
Even if jurisdiction was not originally acquired due
to defective service of summons, court acquires
jurisdiction over his person by his act of
subsequently filing a motion for reconsideration.
(Soriano v. Palacio, G.R. No. L-17469, 1964)
In case of death of defendant before the service of
summons, the 1976 en banc decision in the case of
Dumlao v. Quality Plastic Products Inc., G.R. No. L-
27956, 1976, held that:
“The lower court's judgment against deceased is
void for lack of jurisdiction over his person.
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Deceased was not, and could not have been, validly
served with summons. He had no more civil
personality. His juridical capacity, which is the
fitness to be the subject of legal relations, was lost
through death.”
SUMMONS IN ACTIONS IN REM AND QUASI IN
REM
The purpose of the summons is to satisfy the
constitutional requirement of due process. (Alba v.
CA, G.R. No. 164041, 2005)
It is done NOT to acquire jurisdiction over the
defendant; in actions in rem and quasi in rem, the
court CAN acquire jurisdiction by acquiring
jurisdiction over the RES (the thing).
In actions in rem or quasi in rem, jurisdiction over
the person of the defendant is not a prerequisite to
confer jurisdiction on the court provided that the
court acquires jurisdiction over the RES, although
summons must be served upon the defendant in
order to satisfy the due process requirements.
(Gomez v. CA, G.R. No. 127692, March 10, 2004)
Jurisdiction Over the Res is Acquired Either
1. By the seizure of the property under legal
process, whereby it is brought into actual
custody of the law; or
2. As a result of the institution of legal proceedings,
in which the power of the court is recognized and
made effective.
2. VOLUNTARY APPEARANCE
General Rule: Voluntary appearance is equivalent
to service of summons.
Exception:
Filing a motion to dismiss on the ground of lack of
jurisdiction is NOT considered as voluntary
appearance.
Inclusion in motion to dismiss of other grounds aside
from lack of jurisdiction over person of defendant
shall NOT be deemed as voluntary appearance.
It is settled that a party who makes a special
appearance in court for the purpose of challenging
the jurisdiction of said court, based on the invalidity
of the service of summons, cannot be considered to
have voluntarily submitted himself to the jurisdiction
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of the court. (Perkin Elmer Singapore Pte Ltd. v.
Dakila Trading Corporation, G.R. No. 172242, 2007)
3. PERSONAL SERVICE
When Required
Personal service within the forum is MANDATORY
in actions in personam to acquire jurisdiction over
person of defendant.
In an action strictly in personam, personal service
on the defendant is the preferred mode of service,
that is, by handing a copy of the summons to the
defendant in person. (Imelda Manotoc v. Court of
Appeals, G.R. No. 130974, 2006)
Sheriffs are asked to discharge their duties on the
service of summons with due care, utmost diligence,
and reasonable promptness and speed so as not to
prejudice the expeditious dispensation of justice.
Thus, they are enjoined to try their best efforts to
accomplish personal service on defendant. On the
other hand, since the defendant is expected to try to
avoid and evade service of summons, the sheriff
must be resourceful, persevering, canny, and
diligent in serving the process on the defendant.
(Constantino Pascual v. Lourdes Pascual, G.R. No.
171916, 2009)
Q: Bank A filed a complaint against Corp A and
Mr. X for unheeded demands for the payment of
credit accommodation. Both were served with
summonses and copies of the order of the RTC
granting a writ of preliminary attachment. On the
same day, the sheriff levied and garnished
properties of Corp A and Mr. X, who now alleges
that the RTC did not acquire jurisdiction over
them for invalid service of summons. Did the
RTC acquire jurisdiction?
A: No. Jurisdiction over a defendant in a civil case is
acquired either through: (1) service of summons or
through (2) voluntary appearance in court and
submission to its authority.
The service of summons here is defective.
According to the Rules of Court, the summons shall
be served by handling a copy thereof to the
defendant in person. Only in instances wherein, for
justifiable causes, the defendant cannot be served
within a reasonable time, may summons be effected
through substituted service, i.e., (a) by leaving
copies of the summons at the defendant's residence
with some person of suitable age and discretion
then residing therein, or (b) by leaving the copies at
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the defendant's office or regular place of business 1. By handing a copy 1. By delivering

with some competent person in charge thereof. As thereof to the personally a copy to
to parties that are domestic private juridical entities, defendant in the party or his
service may be made only upon the president, person; counsel, or by leaving it
managing partner, general manager, corporate in his office with his
2. if he/she refuses to
secretary, treasurer, or in-house counsel. In the clerk or with a person
absence of service of summons or when the service receive and sign for
having charge thereof;
of summons upon the person of the defendant is it, summons will be 2. If no person is found
defective, the court acquires no jurisdiction over his tendered by server in his office, or his
person, and the proceedings and any judgment to defendant. office is not known, or
rendered are null and void. he has no office, then
by leaving the copy,
There was no voluntary submission to the between the hours of
jurisdiction of the RTC on the part of Mr.X. Indeed, eight in the morning
despite the lack of valid service of summons, the and six in the evening,
court can still acquire jurisdiction over the person by at the party's or
virtue of voluntary appearance. According to the counsel's residence, if
Rules of Court, the defendant's voluntary known, with a person
appearance in the action shall be equivalent to of sufficient age and
service of summons. As a general rule, one who discretion then residing
seeks an affirmative relief is deemed to have therein.
submitted to the jurisdiction of the court. Thus, it has
been held that the filing of motions to admit answer,
for additional time to file answer, for reconsideration
of a default judgment, and to lift order of default with
motion for reconsideration is considered voluntary
submission to the trial court's jurisdiction. However,
the inclusion in a motion to dismiss on other grounds
aside from lack of jurisdiction over the person of the
defendant shall not be deemed a voluntary A summons may be served personally wherever the
appearance. Another exception is a special defendant is found within the Philippine. As stated
appearance when the defendant explicitly and
in Sansio Philippines Inc. v Sps, Mogol, G.R. No.
unequivocally poses objections to the jurisdiction of
the court over his person. (United Coconut Planters 177007, 2009, “Section 6, Rule 14 of the Rules of
Bank v. Spouses Sy, G.R. No. 204753, March 27, Court does not require that the service of summons
2019.) on the defendant in person must be effected only at
the latter’s residence as stated in the summons. On
SERVICE IN PERSON PERSONAL the contrary, said provision is crystal clear that,
(Rule 14, Sec. 6) SERVICE (Rule 13, whenever practicable, summons shall be served by
Sec. 6) handing a copy thereof to the defendant; or if he
Applies only to Applies to all pleadings refuses to receive and sign for it, by tendering it to
summons (except complaint), him. Nothing more is required.”
judgments, and other
orders Tender is part of service of summons and NOT a
separate mode of service. (Riano, Civil Procedure:
A Restatement for the Bar, 2 nd ed, 2009)

Tendering summons is itself a means of personal

service. Personal service of summons has nothing
to do with the location where summons is served. A
defendant's address is inconsequential. Rule 14,
Section 6 of the 1997 Rules of Civil Procedure is
clear in what it requires: personally handing the
summons to the defendant (albeit tender is sufficient
should the defendant refuse to receive and sign).
What is determinative of the validity of personal

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service is, therefore, the person of the defendant,
not the locus of service. (Sps Manuel v Ong, G.R.
No. 205249, 2014)
Against a NONRESIDENT, jurisdiction over the
defendant is acquired by service upon his person
while said defendant is within the Philippines. If
the non-resident defendant is not in the Philippines,
and the action is an action in personam, Philippine
courts cannot acquire jurisdiction over the
defendant, unless he voluntarily appears in court.
(Macasaet v. Co, G.R. No. 156759, 2013)
4. SUBSTITUTED SERVICE
Substituted service can only be made if personal
service CANNOT be made within a reasonable time
for justifiable causes.
Section 6. 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)
The failure to comply faithfully, strictly and fully with
all the foregoing requirements of substituted service
renders the service of summons ineffective. (San
Pedro v. Ong, G.R. No. 177598, 2008)
A plain and simple reading of the above provisions
indicates that personal service of summons should
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and always be the first option, and it is only when
the said summons cannot be served within a
reasonable time can the process server resort to
substituted service. (Constantino A. Pascual v.
Lourdes S. Pascual, G.R. No.171916, 2009)
“Reasonable Time” Requirement
Reasonable time is defined as “so much time as is
necessary under the circumstances for a
reasonably prudent and diligent man to do,
conveniently, what the contract or duty requires that
should be done, having a regard for the rights and
possibility of loss, if any to the other party.” (Imelda
Manotoc v. Court of Appeals, G.R. No. 130974,
2006)
What then is a reasonable time for the sheriff to
effect a personal service in order to demonstrate
impossibility of prompt service? To the plaintiff,
“reasonable time” means no more than seven (7)
days since an expeditious processing of a complaint
is what a plaintiff wants.
To the sheriff, “reasonable time” means 15 to 30
days because at the end of the month, it is a practice
for the branch clerk of court to require the sheriff to
submit a return of the summons assigned to the
sheriff for service. The Sheriff’s Return provides
data to the Clerk of Court, which the clerk uses in
the Monthly Report of Cases to be submitted to the
Office of the Court Administrator within the first ten
(10) days of the succeeding month. Thus, one
month from the issuance of summons can be
considered “reasonable time” with regard to
personal service on the defendant. (Constantino
Pascual v. Lourdes Pascual, G.R. No. 171916,
2009)
“Exerted Efforts”
Without specifying the details of the attendant
circumstances or of the efforts exerted to serve the
summons, a general statement that such efforts
were made will not suffice for purposes of complying
with the rules of substituted service of summons.
(Guiguinto Credit Cooperative, Inc. v. Torres, G.R.
No. 170926, 2006)
“Several Attempts”
For substituted service of summons to be available,
there must be several attempts by the sheriff to
personally serve the summons within a reasonable
period [of one month], which eventually resulted in
failure to prove impossibility of prompt service.
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“Several attempts” means at least three (3) tries,
preferably on at least two different dates. In
addition, the sheriff must cite why such efforts were
unsuccessful. It is only then that impossibility of
service can be confirmed or accepted. (Imelda
Manotoc v. Court of Appeals, G.R. No. 130974,
2006)
NOTE: The above concepts are all covered by the
rules now.
“Suitable Age and Discretion”
A person of suitable age and discretion is one who
has attained the age of full legal capacity (18
years old) and is considered to have enough
discernment to understand the importance of a
summons.
Discretion is defined as “the ability to make
decisions which represent a responsible choice and
for which an understanding of what is lawful, right or
wise may be presupposed”.
Thus, to be of sufficient discretion, such person
must know how to read and understand English to
comprehend the import of the summons, and fully
realize the need to deliver the summons and
complaint to the defendant at the earliest possible
time for the person to take appropriate action.
Thus, the person must have the “relation of
confidence” to the defendant, ensuring that the latter
would receive or at least be notified of the receipt of
the summons.
The sheriff must therefore determine
1. If the person found in the alleged dwelling or
residence of defendant is of legal age,
2. What the recipient’s relationship with the
defendant is, and
3. Whether said person comprehends the
significance of the receipt of the summons and
his duty to immediately deliver it to the
defendant or at least notify the defendant of
said receipt of summons.
These matters must be clearly and specifically
described in the Return of Summons. (Imelda
Manotoc v. Court of Appeals, G.R. No. 130974,
2006) AND (Constantino Pascual v. Lourdes
Pascual, G.R. No. 171916, 2009)
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Service on private domestic corporations
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 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
Foreign Private Juridical Entity
When the defendant is a foreign private juridical
entity which has transacted business in the
Philippines, service may be made on its resident
agent designated in accordance with law for that
purpose, or, if there be no such agent, on the
government official designated by law to that effect,
or on any of its officers or agents within the
Philippines.
If the foreign private juridical entity is not registered
in the Philippines or has no resident agent, service
may, with leave of court, be effected out of the
Philippines through any of the following means:
1. By personal service, coursed through the
appropriate court in the foreign country with the
assistance of the Department of Foreign
Affairs;
2. 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;
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3. By facsimile or any recognized electronic Service on Corporations

means that could generate proof of service; or
By such other means as the court may in its Domestic Private Corporations/ juridical entity -
discretion direct. (revised rules, A.M. No. 11-3- (Sec. 12)
6-SC)
1. president, managing partner, general
Public Corporations manager, corporate secretary, treasurer,
When the defendant is the Republic of the or in-house counsel wherever they may
Philippines, service may be effected on the be found, or
SOLICITOR GENERAL. 2. in their absence or unavailability, on
their secretaries.
In case of a province, city or municipality, or like
public corporations, service may be effected on its If such service cannot be made upon any of the
foregoing persons, it shall be made upon the
EXECUTIVE HEAD, or on such OTHER OFFICER
person who customarily receives the
OR OFFICERS as the law or the court may direct.
correspondence for the defendant at its
principal office. (i.e. receiving clerk,
Non-resident Defendant reception, etc.)
General Rule: non resident --- depends on whether
individual or corporation, and whether in rem or in If there be a refusal on the part of the persons
personam, and whether doing business or not in the above-mentioned to receive summons despite
PH) at least three (3) attempts on two (2) different
dates, service may be made electronically,
Service on Individuals: if allowed by the court, as provided under
Section 6.
General Rule: Personal Service within the forum
Foreign private juridical entities. ( Sec. 14)
Exception :
a. If in rem or quasi in rem:
2.1 Doing business in PH and registered in
b. the court may (if personal service is not
PH—
practicable or possible) resort to
Extraterritorial service (Sec. 17),
regardless of whether the defendant is a a. resident agent designated in accordance with
resident or non-resident. law for that purpose, or,
b. if there be no such agent, on the government
c. If the action is in personam: official designated by law, or
i. Defendant is non-resident of PH: c. on any of its officers, agents, directors or
ii. Personal service within the forum (PH) trustees within the Philippines.
– (no choice)
Doing Business in PH but NOT registered —
iii. Defendant is a resident of the PH a. By personal service coursed through the
temporarily absent therefrom; appropriate court in the foreign country with
Substituted (Sec. 6) or, with leave, the assistance of the department of foreign
exterritorial service (Sec. 18, affairs;
referring to Sec. 17). b. By publication once in a newspaper of
general circulation in the country where the
d. Defendant unknown or unknown defendant may be found and by serving a
whereabouts – Sec. 16 – publication – ANY copy of the summons and the court order by
ACTION. registered mail at the last known address of
the defendant;
c. By facsimile
d. electronic means with prescribed proof of
service
e. such other means as the court may direct.

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2.3. Not doing business in the PH, and no assets 3. There must be actual receipt of the summons by
in the PH – the corporation through the person on whom the
summons was actually served. The third
The PH Court cannot acquire jurisdiction requisite is the most important for it is through
over the defendant, which are beyond its such receipt that the purpose of the rule on
jurisdiction and to subject such corporations service of summons is attained. (Porac Trucking,
to the jurisdiction of the PH courts would Inc. v. Court of Appeals G.R. No. 81093, 1990)
violate principles of sovereignty. See Avon
v. CA G.R. No. 97642 August 29, 1997.
For there to be substantial compliance, actual
receipt of summons by the corporation through the
The only option is to sue in the courts of the person served must be shown. Where a corporation
country where such corporations are
only learns of the service of summons and the filing
resident.
of the complaint against it through some person or
means other than the person actually served, the
Effect of Ineffective Substituted Service
service of summons becomes meaningless.
The Court does NOT acquire jurisdiction over the
(Millenium Industrial Commercial Corporation v.
person of the accused and the judgment against him
Tan, G.R. No. 131724, 2000)
must perforce be nugatory and without legal effect.”
(Litonjua v. CA, G.R. No. L-46255, October 28,
CONSTRUCTIVE SERVICE (BY PUBLICATION)
1977)
Constructive notice by publication used to be
Furthermore, in the 1993 decision in Laus v. Court
available only in actions IN REM or QUASI IN REM.
of Appeals, G.R. No. 101256, 1993, the period to file
motion to dismiss for lack of jurisdiction over the
Now, constructive service is available in action IN
defendant’s person does not commence to run
PERSONAM (thus, in ANY ACTION) where the
since court has no jurisdiction to adjudicate the
defendant is designated as an unknown owner or
controversy as to him, unless he voluntarily submits
whenever his whereabouts are unknown and cannot
to the jurisdiction of the court.
be ascertained.

Effect of Substituted Service Validly Served but

SERVICE UPON A DEFENDANT WHERE HIS
Not Received by Defendant
IDENTITY IS UNKNOWN OR WHERE HIS
Where the substituted service has been validly
WHEREABOUTS ARE UNKNOWN
served, its validity is NOT affected by the
defendant’s failure to receive the summons from the
Constructive Service of Summons (through
person with whom the summons had been left.
publication) may be effected on RESIDENT
DEFENDANT
If diligent efforts were undertaken by the Sheriff to
1. Who is designated as an unknown owner (or
serve summons upon the defendant but he was
the like), or
PREVENTED from effecting such service by the
2. Whose whereabouts are unknown and cannot
DEFENDANT HIMSELF, summons shall be
be ascertained by diligent inquiry;
deemed PROPERLY served and that the court has
3. With leave of court.
acquired jurisdiction over the person of the
defendant. (Robinson v. Miralles, G.R. No. 163584,
Service of summons shall be effected by publication
2006)
in a newspaper of general circulation and in such
places and for such time as the court may order.
Substantial Compliance
Requisites for the application of the doctrine of
b) SERVICE UPON RESIDENTS
substantial compliance:
TEMPORARILY OUTSIDE THE PHILIPPINES
1. There must be actual receipt of the summons by
the person served, i.e., transferring possession
The defendant is a resident of the Philippines, and
of the copy of the summons from the Sheriff to
remains to be one, except that he is temporarily
the person served;
outside of the country. The provision does not
2. The person served must sign a receipt or the
provide for the length of time needed, as long as the
sheriffs return; and

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defendant is certain to return, although it may not be
known when.
In ANY suit against a resident of the Philippines,
temporarily absent from the country, the defendant
may be served by SUBSTITUTED service because
he still leaves a definite place of residence where
he/she is bound to return.
In addition, EXTRA-TERRITORIAL service [by
personal service effected out of the Philippines OR
by publication in a newspaper of general circulation
in such places and for such time as the court may
order] MAY be resorted to WITH LEAVE OF
COURT.
Summons by publication against a NON-
RESIDENT in an action IN PERSONAM is NOT a
proper mode of service.
5. EXTRA-TERRITORIAL
SERVICE, WHEN ALLOWED
Specific actions justifying application of
Extraterritorial Service
EXTRA-TERRITORIAL SERVICE
Involves a NON-RESIDENT defendant who
CANNOT be found in the Philippines and the action
against him is IN REM or QUASI IN REM.
Exception
When service may be effected OUT of the
Philippines (as provided in extra-territorial service)
for ANY ACTION involving residents who are
TEMPORARILY out of the Philippines. (Rule 14,
Sec. 18)
Instances When Extra-territorial Service May be
availed of
1. Actions that affect the personal status of the
plaintiff;
2. Actions which relate to, or the subject matter of
which is property within the Philippines, in which
defendant claims a lien or interest, actual or
contingent;
3. Actions in which the relief demanded consists,
wholly or in part in excluding the defendant from
an interest in the property located in the Philippines;
and
4. When defendant’s property has been attached in
the Philippines.
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Applicability of Extra-territorial Service
Extra-territorial service of summons or summons by
publication applies only when the action is in rem or
quasi in rem. The first is an action against the thing
itself instead of against the defendant’s person; in
the latter, an individual is named as defendant, and
the purpose is to subject that individual’s interest in
a piece of property to the obligation or loan
burdening it. (Jose v. Boyon, G.R. No. 147369,
2003)
Modes of Extra-Territorial Service
As per the same rule, the following are the
allowed Modes of Extra-Territorial Service
1. Personal service under Section 6 of Rule 14.
2. Publication in a newspaper of general
circulation in such places and for such time as
the court may order AND service by registered
mail to the last known address of the defendant.
Publication and service must BOTH concur
3. In any other manner the court may deem
sufficient
NOTE: ALL require prior leave of court.
Jurisdiction over the person of the defendant, if
acquired at all in such an action, is obtained by the
voluntary submission of the defendant or by the
personal service of process upon him within the
territory where the process is valid. If, however,
the defendant is a nonresident and, remaining
beyond the range of the personal process of the
court, refuses to come in voluntarily, the court never
acquires jurisdiction over the person at all. (Banco
Espanol-Filipino v. Palanca, G.R. No. L-11390,
1918)
The said extraterritorial service of summons is not
for the purpose of vesting the court with jurisdiction,
but for complying with the requirements of fair play
or due process, so that the defendant will be
informed of the pendency of the action against him
and the possibility that property in the Philippines
belonging to him or in which he has an interest may
be subjected to a judgment in favor of the plaintiff,
and he can thereby take steps to protect his interest
if he is so minded. (Perkin Elmer Singapore Pte Ltd.
v. Dakila Trading Corporation, G.R. No. 172242,
2007)
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“In Any Other Manner the Court May Deem
Sufficient”
The list of modes of service provided in the code is
inclusive of the other modes that the court may
deem sufficient.
In this light, note the difference between the
following cases of Valmonte and Gemperle, where
the common fact involves a spouse receiving in
behalf of the other. Gerperle (see earlier
discussion) is the EXCEPTION to the general rule
of personal service.
In Cariaga Jr. v. Malaya, G.R. No. L-48375, 1986,
summons was effected through extra-territorial
service via registered mail and the court upheld its
validity since it falls under the third mode, i.e., “in
any manner the court may deem sufficient.”
6. SERVICE UPON
PRISONERS AND MINORS
Prisoners
Defendant referred to by provision is in prison or
otherwise confined in an institution.
Service shall be effected upon him by
1. The officer having the management of such jail;
or
2. Institution who is deemed deputized as a special
sheriff for said purpose.
Minors and Incompetents
Defendant is either a minor, insane, or incompetent
Service shall be made upon him
1. Personally; and
2. On his legal guardian if he/she has one, OR if
none, upon his/her guardian ad litem whose
appointment shall be applied for by the plaintiff.
In the case of a MINOR, service may also be made
on his father or mother.
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7. PROOF OF SERVICE
The following are the requisites and contents of
a valid proof of service
1. Made in writing by the server;
2. Shall set forth the manner, place, and date of
service
3. Shall specify any papers which have been
served with the process and the name of the
person who received the same; and
4. Shall be sworn to when made by a person other
than a sheriff or his deputy. (Rule 14, Sec. 21)
The certificate of service of the process server of the
court a quo is prima facie evidence of the facts as
set out therein. This is fortified by the presumption
of the regularity of performance of official duty. To
overcome the presumption of regularity of official
functions in favor of such sheriff’s return, the
evidence against it must be clear and convincing.
Sans the requisite quantum of proof to the contrary,
the presumption stands deserving of faith and
credit. (Guanzon v. Arradaza, G.R. No. 155392,
2006)
In the 2002 decision in the case of Samartino v.
Raon et. al., (G.R. No. 131482, 2002) the Court said
that:
“We have long held that the impossibility of personal
service justifying availment of substituted service
should be explained in the proof of service; why
efforts exerted towards personal service failed. The
pertinent facts and circumstances attendant to the
service of summons must be stated in the proof of
service or Officer’s Return; otherwise, the
substituted service cannot be upheld.”
Proof of Service by Publication may be proved
by:
1. Affidavit of the –
a. Printer, his foreman or principal clerk OR
b. Editor, business or advertising manager, to
which affidavit a copy of the publication shall be
attached AND
2. Affidavit showing the deposit of a copy of the
summons and order for publication in the post
office, postage prepaid, directed to the
defendant by registered mail to his last known
address.
————- end of topic ————-
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H. MOTIONS Motions made in the course of a hearing or trial.

Rules that apply to pleadings shall also apply to
1. MOTIONS IN GENERAL written motions as to caption, designation, signature
(Rule 15) and other matters of form.

a) DEFINITION OF A MOTION Contents of a Motion

1. Statement of relief sought to be obtained.
MOTION 2. Grounds upon which the motion is based.
An application for relief other than by a pleading. It 3. Supporting affidavits and other papers when
has facts based on relief and facts based on claims. mandated by the Rules or when necessary to
It is NOT a pleading since it does not have claims or prove facts stated in motion.
defenses.
Requisites of a Motion:
b) MOTION VERSUS PLEADINGS It must be in writing except those made in open
court or in the course of trial or hearing
MOTION - is an application for relief OTHER THAN
a pleading. A motion made in open court or in the course of
hearing or trial should immediately be resolved in
PLEADINGS - are those allowed under Rule 6, Sec. open court, after the adverse party is given the
2. opportunity to argue his or her opposition thereto.

PLEADING MOTION When a motion is based on facts not appearing on

Is a submission of Is an application for an record, the court may hear the matter on affidavits
claims or defenses for order not included in or depositions presented by the respective parties,
appropriate judgment the judgment but the court may direct that the matter be wholly or
May be initiatory Cannot be initiatory as partly on oral testimony or depositions. (Rule 15,
motions are made in a Sec. 2)
case already filed in
court 2. NON-LITIGIOUS MOTIONS
Must be written May be oral when (Rule 15, Sec. 4)
made in open court or
in the course of a 1. Motion for the issuance of alias summons
hearing or a trial 2. Motion for the extension to file answer
3. Motion for postponement
Must be filed before May be filed after
4. Motion for the issuance of writ of execution
judgment judgment
5. Motion for the issuance of an alias writ of
execution
Note that under service of pleadings, papers, and
6. Motion for the issuance of a writ of possession
other court submissions, leaving copies thereof at
the office of the party, counsel, or authorized 7. Motion for the issuance of an order directing
representative or leaving it in his or her residence to the sheriff to execute the final certificate of
a person of sufficient age or discretion is considered sale; and
personal service. Meanwhile, under service of 8. Other similar motions. (Rule 15, Sec. 4)
summons, the same manner of service is
considered as substituted service. (see Sec. 6, These motions shall not be set for hearing and shall
Rule 13 and Sec. 6, Rule 14). be resolved by the court within five (5) calendar days
from receipts thereof.

c) CONTENTS AND FORM OF MOTIONS 3. LITIGIOUS MOTIONS (Rule

15, Sec. 5)
General Rule: All motions must be in writing
1. Motion for bill of particulars
Exceptions 2. Motion to dismiss
Motions made in open court; 3. Motion for new trial

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4. Motion for reconsideration
5. Motion for execution pending appeal
6. Motion to amend after responsive pleading has
been filed
7. Motion to cancel statutory lien
8. Motion for an order to break in or for a writ of
demolition
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 defaults; and
14. Other similar motions. (Rule 15, Sec. 5)
All motions shall be served by personal service,
accredited private courier, or registered mail, or by
electronic means.
The opposing party shall file his or her oppositions
to a litigious motion within five (5) calendar days
from receipt thereof. No other submission shall be
considered by the court in the resolution of the
motion.
4. PROHIBITED MOTIONS
(Rule 15, Sec. 12)
1. Motion to Dismiss, except on the following
grounds:
a. That the court has no jurisdiction over
the subject matter of the claim
b. That there is another action pending
between the same parties for the same
cause; and
c. That the cause of action is barred by a
prior judgment or by the statute of
limitations
2. Motion to hear affirmative defenses
3. Motion for reconsideration of the court’s
action on affirmative defenses
4. Motion to suspend the proceedings without a
TRO or injunction issued by a higher court
5. Motion for extension of time to file pleadings,
affidavits or any other papers, except a
motion for extension to file an answer as
provided by Section 11, Rule 11; and
6. Motion for postponement intended for delay,
except if 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 granted. (Rule 15, Sec. 12),
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including the receipt for the payment of the
postponement fee,
NOTE: Court may in its discretion call a hearing on
litigious motions (Rule 15, Sec. 6)
Pro forma motion
A motion for reconsideration based on the following
grounds: (a) the damages awarded are excessive;
(b) the evidence is insufficient to justify the decision;
or (c) the decision is contrary to law, is deemed pro
forma if the same does not specify the findings or
conclusions in the judgment which are not
supported by the evidence or contrary to law,
making express reference to the pertinent evidence
or legal provisions. (PNB v. Paneda, G.R. No.
149236, Feb. 14, 2007)
Q: Corp A instituted an action for quieting of title
and recovery of ownership and possession of a
parcel of land, and damages against Heirs X.
Judgment by the RTC was issued in Corp A’s
favor. Heirs X filed a Motion for Reconsideration,
contending that Corp A had no legal personality
to sue. This was denied by the RTC, hence, Heirs
X filed a Notice of Appeal. Corp A filed a Motion
to Dismiss the Notice of Appeal, averring that
the Motion of Reconsideration filed by Heirs X
did not toll the running of the reglementary
period to appeal for the reason that the Motion
was pro forma and raised no new issue. The RTC
denied the Notice of Appeal for being filed out of
time. Did the RTC err in denying the Notice of
Appeal?
A: Yes. It was held that in the cases where a motion
for reconsideration was held to be pro forma, the
motion was so held because (1) it was a second
motion for reconsideration, or (2) it did not comply
with the rule that the motion must specify the
findings and conclusions alleged to be contrary to
law or not supported by the evidence, or (3) it failed
to substantiate the alleged errors, or (4) it merely
alleged that the decision in question was contrary to
law, or (5) the adverse party was not given notice
thereof. In the case at hand, the Heirs X’s Motion for
Reconsideration is not a pro forma motion. It is not
alleged to be a second motion for reconsideration. It
is not contended that the said Motion failed to
specify the findings and conclusions contained in
the RTC's Decision that Heirs X opined were
contrary to law or not supported by the evidence. It
is likewise not alleged that the said Motion merely
alleged that the Decision in question was contrary to
law without making any explanation. A motion for
reconsideration is not pro forma just because it
reiterated the arguments earlier passed upon and
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rejected by the appellate court. A movant may raise
the same arguments precisely to convince the court
that its ruling was erroneous. A thorough
examination of the Motion for Reconsideration
reveals that Heirs X had stressed the issue on Corp
A's legal capacity to sue them which was not
discussed in the earlier decision. This alone readily
showed that Heirs X’s Motion for Reconsideration
was not pro forma. (Valencia (Bukidnon) Farmer’s
Cooperative Marketing Association, Inc. v. Heirs of
Cabotaje, G.R. No. 219984, April 3, 2019)
————- end of topic ————-
I. DISMISSAL OF ACTIONS
1. DISMISSAL UPON NOTICE
BY PLAINTIFF; TWO-
DISMISSAL RULE
Characteristics
1. A matter of right;
2. Made by mere notice;
3. Made by plaintiff only;
4. Made before service of answer OR motion for a
summary judgment;
5. Confirmation of dismissal by order of court is
required;
6. Dismissal is without prejudice to the re-filing of
the same action by the plaintiff.
Exceptions
a) When otherwise stated in the notice.
b) Where the plaintiff has previously dismissed the
same case in a court of competent jurisdiction.
(Two-Dismissal Rule)
TWO-DISMISSAL RULE – The rule states that two
dismissals of the same claim before a competent
court will bar a subsequent (3rd) action on the same
claim or on a claim included therein. (Handbook on
Civil Procedure, Gayo)
Requirements of Two-Dismissal Rule:
1. Twice dismissed actions;
2. Based on or including the same claim; and
3. In a court of competent jurisdiction.
If the plaintiff files a notice of dismissal providing
therein a reason that prevents the refilling of the
complaint, the dismissal must be deemed one with
prejudice even if the notice does not state that the
dismissal is with prejudice. (Riano, Civil Procedure:
A Restatement for the Bar, 2 nd ed., 2009)
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The Supreme Court made the following clarification:
Under Section 1, Rule 17 of the OLD RULES, the
dismissal contemplated therein could be
accomplished by the plaintiff through mere notice of
dismissal, and not through a motion subject to
approval by the Court. Dismissal is ipso facto
upon notice and without prejudice unless otherwise
stated in the notice. (OB Jovenir Construction v.
Macamir Realty and Development Corporation G.R.
No. 135803, 2006)
On the other hand, the 1997 Rules of Civil
Procedure now requires that upon the filing of such
notice, the court MUST issue an order confirming
the dismissal. The new requirement intends to
qualify the right of a party to dismiss the action
before the adverse party files his answer or asks for
summary judgment.
If respondents resorted to a MOTION to effect what
could have been effected by mere NOTICE, then
such error is only indicative of a certain degree of
ignorance of procedural rules on the part of
respondents’ counsel and cannot be deemed a fatal
consequence.
2. DISMISSAL UPON MOTION
BY PLAINTIFF; EFFECT ON
EXISTING COUNTERCLAIM
Characteristics
1. Dismissal by a motion to dismiss filed by the
plaintiff
2. Made after service of answer or motion for
summary judgment
3. Requires approval of court (matter of judicial
discretion)
4. Dismissal is without prejudice to refiling unless
otherwise stated in the order
A Dismissal Upon Motion by Plaintiff is NOT for the
purpose of voluntarily abandoning his claim when
the intention was to expedite the enforcement of his
rights and there was clearly no inaction nor lack of
interest on his part. Prescription, therefore, does not
run. (Antonio, Jr. vs. Morales G.R. 165552, 2007)
Under Rule 17, Section 3, a defendant may move to
dismiss the case if the plaintiff defaults; it does not
contemplate a situation where the dismissal was
due to lack of jurisdiction.
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Thus, when respondents filed the second case, they
were merely refiling the same claim that had been
previously dismissed on the basis of lack of
jurisdiction. When they moved to dismiss the
second case, the motion to dismiss can be
considered as the first dismissal at the plaintiffs
instance. Accordingly, the dismissal at this instance
is a matter of right that is not subject to the trial
court's discretion.
For this reason, the trial court issued its order
dismissing case 2, without prejudice. When
respondents filed the third case on substantially the
same claim, there was already one prior dismissal
at the instance of the plaintiffs and one prior
dismissal at the instance of the defendants.
While it is true that there were two previous
dismissals on the same claim, it does not
necessarily follow that the re-filing of the claim was
barred by Rule 17, Section 1. In granting the
dismissal of the second case, the trial court
specifically orders the dismissal to be without
prejudice. It is only when the trial court's order either
is silent on the matter, or states otherwise, that the
dismissal will be considered an adjudication on the
merits. (Ching v. Cheng, G.R. No. 175507, 2014)
Notice of Dismissal prevails over a Motion to
Dismiss
Section 1 of Rule 17 does not encompass a Motion
to Dismiss. The provision specifically provides that
a plaintiff may file a notice of dismissal before
service of the answer or a motion for summary
judgment. Thus, upon the filing of the Notice of
Dismissal by the plaintiff, the Motion to Dismiss filed
by respondents became moot and academic and
the trial court should have dismissed the case
without prejudice based on the Notice of Dismissal
filed by the petitioner. (Dael vs. Spouses Beltran
G.R. No. 156470, 2008)
Effect on Counterclaim
The dismissal of the complaint does not necessarily
carry with it the dismissal of the counterclaim,
compulsory or otherwise. The dismissal of the
complaint is without prejudice to the right of the
defendants to prosecute the counterclaim. (Pinga v.
Santiago, G.R. No. 170354, 2006)
Counterclaim NOT dismissed if pleaded by a
defendant prior to the service upon him of the
plaintiff’s motion for dismissal. Dismissal of the
action upon motion by the plaintiff is WITHOUT
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prejudice to the right of the defendant to prosecute
his counterclaim in a separate action.
Counterclaim can be resolved in the same action if
defendant manifests such preference within 15
days from notice of the motion.
These alternative remedies of the defendant are
available to him regardless of whether his
counterclaim is compulsory OR permissive.
If the dismissal of the complaint somehow
eliminates the cause of the counterclaim, then the
counterclaim also cannot survive. Conversely, if the
counterclaim itself states sufficient cause of action
then it should stand independently and survive the
dismissal of the complaint. (Perkin Elmer Singapore
Pte. Ltd. vs. Dakila Trading Corporation G.R.
172242, 2007)
3. DISMISSAL DUE TO FAULT
OF PLAINTIFF
Applies When, If for No Justifiable Cause,
Plaintiff FAILS to:
a. Appear on the date of presentation of his
evidence in chief; or
b. Prosecute his action for an unreasonable
length of time; or
c. Comply with the Rules of Court; or
d. Comply with any order of the Court; or
e. Appear at pre-trial
The Dismissal Can be Made By
1. Upon motion of the defendant; or
2. Court’s own motion
The dismissal of the complaint will be deemed as a
FINAL judgment on the merits and is therefore
WITH PREJUDICE to a refilling of the same action
by the plaintiff UNLESS otherwise stated in the
order of the court.
Unless the court states that the dismissal is without
prejudice, the dismissal should be understood as
adjudication on the merits and is with prejudice to
refiling. (PNB vs. de Guzman G.R. 182507, 2010)
Dismissal for failure to prosecute is an adjudication
on the merits. Therefore, such dismissal should be
challenged by APPEAL within the reglementary
period. (3A Apparel Corporation vs. Metropolitan
Bank and Trust Co. G.R. 186175, 2010)
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Dismissals of actions for failure of the plaintiff to
prosecute is authorized under Section 3, Rule 17 of
the Rules of Court. Dismissals of actions (under
Section 3) which do not expressly state whether
they are with or without prejudice are held to be with
prejudice.
As a prejudicial dismissal, dismissal order is also
deemed to be a judgment on the merits so that the
petitioner’s complaint can no longer be refiled on the
principle of res judicata. Procedurally, when a
complaint is dismissed for failure to prosecute and
the dismissal is unqualified, the dismissal has the
effect of adjudication on the merits.
The fundamental test for non prosequitur is whether,
under the circumstances, the plaintiff is chargeable
with want of due diligence in failing to proceed with
reasonable promptitude. There must be
unwillingness on the part of the plaintiff to prosecute.
(Shimizu Philippines Contractors v. Magsalin, G.R.
No. 170026, 2012)
Effect on Counterclaim
Dismissal of the action is WITHOUT prejudice to the
right of the defendant to prosecute his counterclaim
in the same OR in a separate action.
4. DISMISSAL OF
COUNTERCLAIM, CROSS-
CLAIM OR THIRD-PARTY
COMPLAINT
The provisions under Rule 17 apply to the dismissal
of any counterclaim, cross-claim or third-party
complaint.
A dismissal or discontinuance of an action operates
to annul orders, rulings or judgments previously
made in the case, as well as all proceedings had in
connection therewith and renders all pleadings
ineffective.
————- end of topic ————-
J. PRE-TRIAL (Rule 18)
1. CONCEPT OF PRE-TRIAL
Concept under A.M. No. 03-1-9-SC
An undeniably important and vital component of
case management in trial courts, the purpose of
which is to abbreviate court proceedings, ensure
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prompt disposition of cases and decongest court
dockets.
Pre-trial shall endeavor to persuade the parties to
arrive at a settlement of the dispute, with due regard
to the rights of the parties.
The court shall endeavor to make the parties agree
to an equitable compromise or settlement at any
stage of the proceedings before rendition of
judgment.
Concept Derived From Jurisprudence
Pre-trial is primarily intended to make certain that all
issues necessary to the disposition of a case are
properly raised. To eliminate the element of
surprise during actual trial, parties are expected to
disclose at the pre-trial conference all issues of law
and fact that they intend to raise at the trial.
However, in cases in which the issue may involve
privileged or impeaching matters, or if the issues are
impliedly included therein or may be inferable
therefrom by necessary implication as integral parts
of the pre-trial order, then the general rule does not
apply. A pre-trial order is not meant to be a detailed
catalogue of each and every issue that is to be or
may be taken up during the trial. (LCK Industries v.
Planters Development Bank, G.R. No. 170606,
2007)
2. NATURE AND PURPOSE
The pre-trial is mandatory BOTH in civil and in
criminal cases.
When Pre-Trial is Conducted
Under the current rules, the pre-trial shall include the
schedules of referral to mediation, and for JDR, if
necessary.
REFERAL OF SOME CASES FOR COURT
ANNEXED MEDIATION (CAM) AND JUDICIAL
DISPUTE RESOLUTION (JDR)
CAM is a mediation presided over by an accredited
mediator.
JDR is a mediation presided over by the judge.
Cases Subject to Mediation / JDR
a. All civil cases
b. Settlement of estates
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c. Cases covered by the Summary Procedure, Setting for Pre-Trial

except: The pre-trial brief serves as a guide during the pre-
d. Traffic violations trial conference so as to simplify, abbreviate, and
e. Violation of municipal or city ordinances expedite the trial if not to dispense with it. It is a
f. Cases cognizable by the Lupong devise essential to the speedy disposition of
Tagapamayapa disputes, and parties cannot brush it aside as a
g. Civil aspect of BP22 (bouncing checks) cases mere technicality. In addition, pre-trial rules are not
h. Civil aspect of quasi-offenses to be belittled or dismissed, because their non-
i. Civil aspect of estafa and libel observance may result in prejudice to a party’s
j. Civil aspect of theft substantive rights. Like all rules, they should be
followed except only for the most persuasive of
Salient Features of the JDR reasons when they may be relaxed to relieve a
The judges conducting the JDR and the pre-trial litigant of an injustice not commensurate with the
proper are different. degree of his thought[less]ness in not complying
with the procedure. (Eufemia Balatico vda. De
Notes taken during the JDR shall not form part of Agatep vs Roberta L. Rodriguez and Natalia
the records of the case. Aguinaldo Vda. De Lim, G.R. No. 170540, 2009)

Timeline for mediation
First level courts: 30 days
Second level courts: 60 days
The JDR judge may talk to the parties, jointly or
separately, w/o their lawyers.
The JDR judge could facilitate the creation of
options that would provide solutions to the dispute.
If there is NO settlement or PARTIAL settlement
reached:
JDR judge shall turn over the case to the trial judge,
determined by re-raffle in multiple sala courts or to
the originating court in single sala courts, as the
case may be, to conduct pre-trial proper (XII, A.M.
No. 11-1-6-SC-PHILJA)
Note that judicial affidavit shall be submitted 5 days
prior the pre-trial.
If Settlement is reached in JDR
(1) Drafting of compromise agreement w/ the
assistance of their lawyers
(2) Prior to the signing, the JDR judge may opt to
explain the contents of the agreement.
(3) Signing of the compromise agreements and the
filing of a joint motion to approve the
compromise.
(4) Judge renders a judgment based on
compromise.
(5) Copy of the judgment is sent to the Phil.
Mediation Center for statistical purposes.
The Purpose of the Pre-trial is to Allow the Court
to Consider:
1. The possibility of an amicable settlement or of a
submission to alternative modes of dispute
resolution;
2. The simplification of the issues;
3. The necessity or desirability of amendments to
the pleadings;
4. The possibility of obtaining stipulations or
admissions of facts and of documents to avoid
unnecessary proof;
5. The advisability of a preliminary reference of
issues to a commissioner;
6. The propriety of rendering judgment on the
pleadings, or summary judgment, or dismissing
the action should a valid ground exist;
7. The advisability or necessity of suspending the
proceedings; and
8. Such other matters as may aid in the prompt
disposition of the action.
3. NOTICE OF PRE-TRIAL
Section. 3. 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.

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4. APPEARANCE OF PARTIES; EFFECT OF
FAILURE TO APPEAR
Parties and their counsel BOTH have the duty to
appear at pre-trial.
Non-appearance May Be Excused Only If:
1. A valid cause is shown; or
2. A representative appears fully authorized in
writing to enter into an amicable settlement, to
submit to alternative modes of dispute resolution
and to enter into stipulations or admissions of
facts and of documents.
The authorization in writing must be in the form of a
SPECIAL POWER OF ATTORNEY.
The parties and their counsels are required to attend
the pre-trial the purpose of which is to exhaust all
possibilities of reaching a compromise. Having
failed to justify their absence, they have no valid
ground to request for a new trial. Further, an
improvident termination of legal services is not a
valid excuse to be absent at the pretrial. (Jonathan
Landoil International Co v Sps. Mangudadatu, G.R.
No. 155010, 2004)
Stipulations freely and voluntarily made are valid
and binding and will not be set aside unless for good
cause. The Rules of Court mandate parties in a
criminal case to stipulate facts. Once they have
validly and voluntarily signed the stipulations, the
accused and their counsel may not set these aside
on the mere pretext that they may be placed at a
disadvantage during the trial. (Sixto Bayas vs
Sandiganbayan, G.R. No. 143689-91, 2002)
Effect of Failure to Appear of Parties
1. If PLAINTIFF failed to appear, the case is
dismissed with prejudice unless otherwise
ordered by the court.
The dismissal is to be considered as a final
judgment, thus, the remedy of the plaintiff is to
APPEAL.
2. If DEFENDANT failed to appear, the plaintiff
will be allowed to present evidence ex-parte,
and the court shall render judgment on the
basis of the evidence presented.
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The order allowing the plaintiff to present his/her
evidence ex-parte is interlocutory, hence, NOT
APPEALABLE.
5. PRE-TRIAL BRIEF; EFFECT OF FAILURE TO
FILE
A pre-trial brief is required to be filed at least three
(3) days before the date of the pre-trial conference
and it MUST be served on the adverse party.
The Pre-Trial Brief Shall Contain the Following:
1. A concise statement of the case and the reliefs
prayed for
2. A summary of admitted facts and proposed
stipulation of facts
3. The main factual and legal issues to be tried or
resolved
4. The propriety of referral of factual issues to
commissioners;
5. The documents or other object evidence to be
marked, stating the purpose thereof
6. The names of the witnesses, and
the summary of their respective
testimonies; and
7. 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.
Parties are bound by the representations and
statements in their respective pre-trial briefs as such
are in the nature of judicial admissions.
Effect of Failure to File a Pre-Trial Brief
The same as failure to appear at the pre-trial:
1. If PLAINTIFF failed to appear, the case is
dismissed with prejudice unless otherwise
ordered by the court.
2. If DEFENDANT failed to appear, the plaintiff will
be allowed to present evidence ex-parte, and
the court shall render judgment on the basis
thereof.
Having no counsel in a civil case is not a reasonable
excuse to not file a pre-trial brief. It does not also
deprive one of due process. Failure to file a pre-trial
brief will have the same effect as not appearing
during pre-trial. (Saguid v. CA, G.R. 150611, 2003)
Pre-Trial Order
The order of the court is issued upon the termination
of the pre-trial.
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The Order Shall Contain: 8. A statement that one-day examination of

1. An enumeration of the admitted facts
2. The minutes of the pre-trial conference
3. The legal and factual issue/s to be tried
4. The applicable law, rules, and jurisprudence
5. The evidence marked
6. The specific trial dates for continuous trial,
which shall be within the period provided by the
rules
7. The case flowchart to be determined by the
court, which shall contain the different stages
of the proceedings up to the promulgation of
the decision and the use of time frames for
each stage setting in the trial dates
witness rule and most important witness rule
under A.M. No. 03-1-09-SC shall be strictly
followed; and
9. A statement that the court shall render
judgment on the pleadings or summary
judgment, as the case may be.
It shall define and limit the issues to be tried and
shall control the subsequent course of the action
EXCEPT if it is modified before trial to prevent
manifest injustice.

6. DISTINCTION BETWEEN PRE-TRIAL IN A CIVIL CASE AND PRE-TRIAL IN A CRIMINAL CASE

IN CIVIL CASES IN CRIMINAL CASES
Commencement Pre-trial is set when the PLAINTIFF Pre-trial is ordered by the court after
moves EX- PARTE to set the case for arraignment and within thirty (30) days from
pre-trial conference after the last the date the court acquired jurisdiction over
pleading has been filed. the person of the accused (either through
voluntary surrender or arrest).

NO MOTION to set the case for pre-trial is

required.
As to matters Minutes of each pre-trial conference Agreements or admissions made or entered
discussed shall contain matters taken up therein, during the pre-trial conference shall be
more particularly admissions of facts reduced in writing and signed by BOTH the
and exhibits and shall be signed by the accused and counsel; otherwise, they cannot
parties and/or their counsel. be used against the accused.
As to Pre-Trial Shall set forth in detail the matters taken Shall set forth the actions taken during the
Order up during the conference, the action pre-trial conference, the facts stipulated, the
taken thereon, the amendments admissions made, evidence marked, the
allowed to the pleadings, and the number of witnesses to be presented, and
agreements or admissions made by the the schedule of trial.
parties as to any of the matters
considered.
As to non- Non-appearance of parties or counsel If the counsel for the accused or the
appearance of does not authorize the courts to impose prosecutor does not appear at the pre-trial
parties “penalties”. conference, and does not offer an acceptable
excuse, the court may impose proper
sanctions and penalties.

K. INTERVENTION (Rule 19)
INTERVENTION
A legal proceeding by which a person who is NOT a
party to the action is permitted by the court to become
a party by intervening in a pending action after
meeting the conditions and requirement set by the
Rules of Court.
Its main purpose is to settle in one action and by a
single judgment all conflicting claims of, or the whole
controversy among, the persons involved. (Office of
the Ombudsman vs. Maximo Sison, G.R. 185954,
2010)

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Who May Intervene
1. Has a legal interest in the matter in litigation;
2. Has legal interest in the success of either of the
parties;
3. Has an interest against both parties; or
4. A party that 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.
Legal Interest
One that is actual, material, direct and of an
immediate character, not merely contingent or
expectant.
Intervention is NOT an absolute right (nor is it
compulsory or mandatory), as it is within the court’s
discretion to grant it. Intervention is an ancillary and
supplemental proceeding to an existing litigation.
Thus, the final dismissal of the principal action results
in the denial of the motion to intervene.
A law firm whose services were unjustly terminated
was allowed to intervene in the case despite the
compromise agreement between the parties.
(Czarina Malvar v. Kraft Foods, G.R. 183952, 2013)
A complaint-in-intervention can’t be treated as an
independent action as it is merely ancillary to and a
supplement upon the principal action. The
complaint-in-intervention essentially latches on the
complaint for its legal efficacy so much so that the
dismissal of the complaint leads to its concomitant
dismissal. (Sta. Rita Co v. Angeline Gueco, G.R.
193087, 2013)
The trial court must not only determine if the requisite
legal interest is present, but also take into
consideration the delay and the consequent
prejudice to the original parties that the intervention
will cause. Both requirements must concur, as the
first requirement on legal interest is not more
important than the second requirement that no delay
and prejudice should result. To help ensure that
delay does not result from the granting of a motion to
intervene, the Rules also explicitly say that
intervention may be allowed only before rendition of
judgment by the trial court. (Lorenza C. Ongco vs
Valeriana Ungco Dalisay, G.R. No. 190810, 2012)
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1. REQUISITES FOR INTERVENTION
Requisites
1. There must be a motion for intervention filed
BEFORE rendition of judgment.
2. Movant must show in his/her motion that he/she
has legal interest in the matter in litigation, in
the success of either of the parties in the action,
or against both parties.
3. The movant must show that he/she is situated
as to be adversely affected by a distribution or
other disposition of property in the custody of
the court.
4. Intervention must not unduly delay or
prejudice the adjudication of the rights of the
original parties.
5. Intervenor’s rights may not be fully protected in
a separate proceeding.
Interest Required
General Rule: Intervention is only collateral or
ancillary to the main action. Final dismissal of the
principal action results in the dismissal of said
ancillary action.
Exception: Where a complaint in intervention was
filed before plaintiff's action had been expressly
dismissed, the intervenor's complaint was not subject
to dismissal on the ground that no action was
pending, since dismissal of plaintiff’s action did not
affect the rights of the intervenor or affect the
dismissal of intervenor's complaint. An intervenor's
petition showing it to be entitled to affirmative relief
will be preserved and heard regardless of the
disposition of the principal action. (Metro Bank v.
RTC Manila, G.R. No. 89909, 1990)
2. TIME TO INTERVENE
General Rule: May only be filed BEFORE judgment
is rendered by the trial court.
Exceptions:
1. With respect to indispensable parties,
intervention may be allowed even on appeal.
2. When the intervenor is the Republic.
3. Where intervention is necessary to protect some
interest which cannot otherwise be protected,
and for the purpose of preserving the
intervenor’s right to appeal.
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3. REMEDY OF DENIAL OF MOTION TO

INTERVENE
Denial of a motion to intervene DOES NOT constitute
res judicata. Remedy of the intervenor is to file a
SEPARATE ACTION.
Assignment of cases to different branches of a court
shall be exclusively done by raffle. The assignment
shall be done in open session of which adequate
notice shall be given so as to afford interested parties
to be present. (Rule 20, Sec. 2)

The intervenor can also APPEAL or file for ————- end of topic ————-
MANDAMUS if there is grave abuse of discretion.
M. SUBPOENA (Rule 21)
If there is improper grant of intervention, remedy of
the party is CERTIORARI. 1. SUBPOENA DUCES TECUM

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.
(Rule 19, Sec.3)
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. (Rule 19, Sec. 4)
4. INTERVENTION VS. INTERPLEADER
INTERVENTION INTERPLEADER
Ancillary action Original action
Presupposes that the
plaintiff has no interest
in the subject matter of
Proper in any of the the action or has an
four situations interest therein, which
mentioned in this Rule in whole or in part, is
not disputed by the
other parties to the
action.
The defendants are The defendants are
already original parties being sued precisely to
to the pending suit. implead them.
————- end of topic ————-
L. CALENDAR OF CASES (Rule 20)
The clerk of court, under direct supervision of the
judge, shall keep a calendar of cases for pre-trial, for
trial, those whose trials were adjourned or
postponed, and those with motions to set for hearing.
Preference shall be given to habeas corpus cases,
election cases, special civil actions, and those
required by law. (Rule 20, Sec. 1)
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 or her to bring
with him or her any books, documents, or other
things under his or her control, in which case it is
called a subpoena duces tecum. (Rule 21, Sec. 1)
2. SUBPOENA AD TESTIFICANDUM
A process directed to a person, requiring him to
attend and to testify at a hearing or trial of an action,
or at any investigation conducted by a competent
authority, or for the taking of his deposition.
3. SERVICE OF SUBPOENA
A subpoena:
1. Shall state the name of the court and the title of
the action or investigation;
2. It shall be directed to the person whose
attendance is required; and
3. In a subpoena duces tecum, it shall contain a
reasonable description of the books, documents
or things demanded which must appear to the
court prima facie relevant.
By Whom Issued
A subpoena may be issued by:
1. The Court before whom the witness is required
to attend
2. The Court of the place where the deposition is to
be taken
3. The Officer or Body authorized by law to issue a
subpoena in connection with investigations
conducted by said officer of body
4. Any Justice of the Supreme Court or of the Court
of Appeals in any case or investigation pending
within the Philippines (Rule 21, Sec. 2)

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A Subpoena is Served:
1. In the same manner as personal or substituted
service of summons
2. The original must be exhibited, and a copy
delivered to the person on whom it is served
3. The fees for one day attendance and kilometrage
allowed by the Rules shall be tendered to such
person
4. Service must be made as to allow the witness a
reasonable time for preparation and travel to the
place of attendance
5. The reasonable cost of producing the documents
and other materials subject of the subpoena shall
be tendered or charged accordingly. (Rule 21,
Sec. 6)
A Subpoena May be Served By:
1. Sheriff;
2. Deputy sheriff;
3. Other proper court officer; or
4. For any justifiable reason, by any suitable person
authorized by the court issuing the subpoena
4. COMPELLING ATTENDANCE OF WITNESSES;
CONTEMPT
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. (Rule 21, Sec. 8)
Contempt
1. If the subpoena was issued by a court
– failure by any person without adequate cause to
obey a subpoena served on him shall be deemed
contempt of the court from which the subpoena is
issued;
If subpoena is NOT issued by a court
– the disobedience shall be punished in accordance
with applicable law.
Exceptions
1. Witness resides more than 100 km away from the
place where he is to testify.
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2. Witness is a detention prisoner and there was no
permission obtained from the court in which the
case is pending.
Only a judicial officer and quasi-judicial officer
specifically authorized by law can exercise the power
of contempt in relation to subpoena. (Nazareno v.
Barnes, G.R. No. L-59072, 1984)
The failure of a server to pursue substituted service
after a frustrated attempt to personally serve the
complainant a copy of the subpoena constitutes
simple neglect of duty. (Macaspec v. Flores, A.M. No.
P-05-2072, 2008)
No advance of reasonable cost of production of such
books and documents was made.
5. QUASHING A SUBPOENA
Grounds to Quash a Subpoena Ad Testificandum
1. The witness is not bound by such subpoena
2. When the witness fees and kilometrage allowed
by the Rules were not tendered when the
subpoena was served
Grounds to Quash a Subpoena Duces Tecum
UPON MOTION Promptly Made
1. It is unreasonable and oppressive
2. Relevancy of the books, documents or things
does not appear
3. If the person in whose behalf the subpoena is
issued fails to advance the reasonable cost of
the production thereof.
NOTE: These grounds are not exclusive.
FORMS AND CONTENTS
A subpoena shall:
1. State the name of the court;
2. State the title of the action or investigation;
3. Be directed to the person whose attendance is
required; and
4. 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.
(Rule 21, Sec. 3)
Subpoena for depositions
Proof of service of a notice to take a deposition, as
provided in sections 15 and 25 of rule 23, shall
constitute sufficient authorization for the issuance of
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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 court.
Personal appearance in court
A person present in court before a judicial officer may
be required to testify as if he/she were in attendance
upon a subpoena issued by such court or officer.
————- end of topic ————-
N. COMPUTATION OF TIME (Rule 22)
Section 1, Rule 22 provides that when the last day on
which a pleading is due falls on a Saturday, Sunday,
or legal holiday, time shall not run until the next
working day. This rule speaks only of "the last day of
the period," so that when a party seeks an extension
and the same is granted, the due date ceases to be
the last day and hence, the provision no longer
applies. Any extension of time to file the required
pleading should therefore be counted from the
expiration of the period regardless of the fact that
said due date is a Saturday, Sunday, or legal holiday.
(Reinier Pacific International Shipping, Inc. v.
Guevarra, G.R. No. 157020, 2013)
————- end of topic ————-
O. MODES OF DISCOVERY
1. DEPOSITIONS (Rules 23 and
24)
Depositions pending action; depositions before
action or pending appeal
The testimony of any person, whether a party or not,
may be taken, at the instance of any party, by
deposition upon oral examination or written
interrogatories. The attendance of witnesses may be
compelled by the use of a subpoena as provided in
Rule 21. Depositions shall be taken only in
accordance with these Rules. The deposition of a
person confined in prison may be taken only by leave
of court on such terms as the court prescribes.
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Purpose of Rules of Discovery
The rules on discovery are intended to enable a party
to obtain knowledge of material facts within the
knowledge of the adverse party or of third parties
through depositions; to obtain knowledge of material
facts or admissions from the adverse party through
written interrogatories; to obtain admissions from the
adverse party regarding the genuineness of relevant
documents or relevant matters of fact through
requests for admission; to inspect relevant
documents or objects and lands or other property in
the possession or control of the adverse party; and to
determine the physical or mental condition of a party
when such is in controversy. Thus, mutual discovery
enables a party and thus facilitates an amicable
settlement or expedites the trial of the case. All the
parties are required to lay their cards on the table so
that justice can be rendered on the merits of the case.
(Koh v. Intermediate Appellate Court, G.R. No.
71388, 1986)
Discovery still applies even if motion for bill of
particulars was denied
That the matters on which discovery is desired are
the same matters subject of a prior motion for bill of
particulars and denied for lack of merit is beside the
point. A bill of particulars may elicit
only ultimate facts, not so-called evidentiary facts.
The latter are without doubt proper subject of
discovery. (Republic v. Sandiganbayan, G.R. No.
90478, 1991)
Modes of Discovery under the Rules of Court
1. Depositions
2. Interrogatories to Parties
3. Admission by Adverse Party
4. Production or Inspection of Documents or
Things
5. Physical and Mental Examination of Persons
a) Meaning and purpose of deposition
DEPOSITION
Taking of the testimony of any person, whether
he/she be a party or not, but at the instance of a party
to the action. This testimony is taken out of court,
and it may either be an oral examination or a written
interrogatory.
It is a testimony of a witness, taken in writing, under
oath or affirmation, before some judicial officer in
answer to questions or interrogatories. (People v.
Webb, G.R. No. 132577, 1999)
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It is a way for either party to compel the other to Before Whom Taken (DEPOSITIONS PENDING
disgorge whatever facts he has in his possession. ACTION)
(Republic v. Sandiganbayan, G.R. No. 90478, 1991) 1. IF WITHIN the Philippines – deposition may be
Depositions in Civil vs. Criminal Proceedings taken before
The procedure under Rule 23 to 28 of the Rules of a) Judge;
Court allows the taking of depositions in civil b) Notary public; or
cases, either upon oral examination or written c) Before any person authorized to administer
interrogatories, before any judge, notary public oaths if the parties so stipulate in writing.
or person authorized to administer oaths at any 2. IF OUTSIDE the Philippines – deposition may be
time or place within the Philippines; or before any
taken before
Philippine consular official, commissioned officer
or person authorized to administer oaths in a a) A secretary of an embassy or legation,
foreign state or country, with no additional consul general, consul, vice-consul or consular
requirement except reasonable notice in writing agent of the Republic of the Philippines;
to the other party. b) Such person or officer as may be appointed
by commission or letters rogatory;
For purposes of taking the deposition in criminal c) A person authorized to administer oaths by
cases, more particularly of a prosecution written stipulation of the parties.
witness who would foreseeably be unavailable
for trial, the testimonial examination should be Difference Between Letters Rogatory and
made before the court, or at least before the
Commission
judge, where the case is pending as required by
the clear mandate of Section 15, Rule 119 of LETTERS COMMISSION
the Revised Rules of Criminal Procedure (Go v. ROGATORY
People, G.R. No. 185527, 2012) Request to a An instrument issued by
FOREIGN COURT to a court of justice or
DEPOSITION DE BENNE ESSE give its aid, backed by other competent
Deposition for use in a pending trial action. (Rule 23) its power, to secure tribunal DIRECTED TO
desired information. A MAGISTRATE by his
DEPOSITION IN PERPETUAM REI MEMORIAM official designation OR
Deposition for use in future proceedings as in the TO AN INDIVIDUAL
case where it is sought before the existence of an BY NAME, authorizing
action or for cases on appeal. (Rule 24) him to take the
depositions of the
NATURE OF DEPOSITIONS witness.
Methods of procedure Taken in accordance
Who May Petition (DEPOSITION BEFORE are under the control with the rules laid
ACTION) of the foreign tribunal. down by the court
1. Any person who wants to perpetuate his/her own issuing the
testimony; or commission.
2. Any person who wants to perpetuate the
testimony of another person. (Dulay v. Dulay, G.R. No. 158857, 2005)

A non-resident foreign corporation may request for
depositions, whether oral or written. (San Luis v.
Rojas, G.R. No. 159127, 2008)
In criminal cases, filing a Motion for Leave to Take
Deposition is a voluntary appearance and he
subjects himself to the jurisdiction of the court. (Disini
v. Sandiganbayan, G.R. No. 175730, 2010)
When DEPOSITIONS PENDING ACTION Are
Taken
1. After jurisdiction has been obtained over the
defendant or property subject of the action and
BEFORE answer has been filed – WITH leave of
court;
2. After jurisdiction has been obtained and AFTER
an answer has been served – WITHOUT leave of
court;
3. DEPOSITION OF PRISONER – only with leave of
court and upon such terms as the court may
prescribe.

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There is no rule that limits deposition-taking only to
the period of pre-trial or before it, neither against the
taking after pre-trial. (Jonathan Landoil International
Co., Inc. v. Mangudadatu G.R. No. 155010, 2004)
b) Uses; Scope of Examination
A party shall NOT be deemed to make a person
his/her own witness for any purpose by taking his/her
deposition (Rule 23, Sec. 7) EXCEPT when the
deposition is introduced in evidence, then he/she will
be deemed to have made the deponent his/her
witness (Rule 23, Sec. 8).
The exception will NOT apply if the deposition used
is that of an opposing party or the deposition is used
to impeach or contradict the deponent – Deponent
still NOT a witness of the party taking the deposition.
A deposition is not to be used when the deponent is
at hand. (Sales v. Sabino, G.R. No. 133154, 2005)
Any Part or All of the Deposition, So Far as
Admissible under the Rules of Evidence, May be
Used
1. Against any party who was present or represented
at the taking of the deposition; or
2. Against one who had due notice of the deposition.
The Deposition May be Used for the Following
Purposes
1. For the purpose of contradicting or impeaching
the testimony of the deponent as witness by any
party;
2. If the deponent is a party or anyone who was at
the time of the deposition was an officer, director,
or managing agent of a public or private
corporation, partnership or association which is a
party, his/her deposition can be used by an
adverse party for any purpose.
3. If the deponent is a witness, whether or not a
party to the case, his/her deposition may be used
by any party for any purpose if the court finds
that:
a) The witness is dead; or
b) The witness resides at a distance more than
one hundred (100) kilometers from the place
of trial or hearing, or is out of the Philippines
(UNLESS it appears that his/her absence
was procured by the party offering the
deposition); or
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c) The witness is unable to attend or testify
because of age, sickness, infirmity or
imprisonment; or
d) The party offering the deposition has been
unable to procure the attendance of the
witness by subpoena; or
e) Upon application and notice, that such
exceptional circumstances exist as to make
it desirable, in the interest of justice to allow
the deposition to be used.
If only part of a deposition is offered in evidence by a
party, the adverse party may require him or her to
introduce all of it which is relevant to the part
introduced, and any party may introduce any other
parts. (Rule 23, Sec. 4(d))
Scope of Examination
May be any matter not privileged and which is
relevant to the subject of the pending action,
including:
1. Claim or defense of any other party;
2. Existence, description, nature, custody,
condition and location of any books, documents,
or other tangible things; and
3. Identity and location of persons having
knowledge of relevant facts.
In civil cases, a person may not use the right against
self-incrimination as an objection to make a
deposition. Only when an incriminating question is
asked can a person invoke the right. (Rosete v. Lim
G.R. No. 136051, June 8, 2006)
c) WHEN MAY OBJECTIONS TO ADMISSIBILITY
BE MADE
Objections may be made at the trial or hearing to
receive in evidence any deposition or part thereof.
Any reason that would require the exclusion of the
evidence if the witness were then present and
testifying may be used as a reason for objection.
All objections made at the time of the examination to
the qualifications of the officer taking the deposition,
manner of taking it, to evidence presented, conduct
of any party and any other objection to the
proceedings shall be NOTED by the officer taking the
deposition. He/she has NO authority to rule on such
objections. (Riano, Civil Procedure: A Restatement
for the Bar, 2nd ed. 2009)
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d) WHEN THE TAKING OF DEPOSITION MAY BE
TERMINATED OR ITS SCOPE LIMITED
The Taking of Deposition may be terminated or
Its Scope Limited at ANY TIME DURING the
Taking of the Deposition
1. Upon motion or petition of any party or of the
deponent; and
2. Upon showing that the examination is being
conducted in bad faith or in such manner as
unreasonably to annoy, embarrass or oppress
the deponent or party.
fifteen (15) days from service of such interrogatories
UNLESS the court on motion and for good cause
extends or shortens the time.
OBJECTIONS to the interrogatory may be presented
to the court within ten (10) days after service thereof.
NO party may serve MORE THAN ONE set of
interrogatories to be answered by the same party
WITHOUT LEAVE OF COURT. (Riano, 2014, p. 520)
Interrogatories to Bill of Particulars
Parties

2. INTERROGATORIES TO Directed to an Adverse Directed to a Pleading

ADVERSE PARTIES (Rule 25) Party

Seeks the disclosure of Designed to seek for a

WRITTEN INTERROGATORIES
all material and more definite
Its purpose is to elicit material and relevant facts from
relevant facts from a statement or for
any adverse party.
party particulars of any
matter not averred with
Unless thereafter allowed by the court for good cause
sufficient definiteness
shown and to prevent a failure of justice, a party not
in a pleading
served with written interrogatories may not be
compelled by the adverse party to give testimony in
open court, or to give a deposition pending appeal.
(Sps. Afulugencia v. Metrobank, G.R. No. 185145, Written
February 5, 2014) Interrogatories to
Interrogatories in a
Parties
Deposition
Since the calling party is deemed bound by the
adverse party’s testimony, compelling the adverse Directed to an Adverse Not served upon the
party to take the witness stand may result in the Party adverse party directly;
calling party damaging its own case. … Another delivered to the officer
reason for the rule is that by requiring prior written designated in the notice
interrogatories, the court may limit the inquiry to what
is relevant, and thus prevent the calling party from
straying or harassing the adverse party when it takes The service of written interrogatories is a mode of
the latter to the stand. (Sps. Afulugencia v. deposition separate and distinct from interrogatories
Metrobank, G.R. No. 185145, February 5, 2014) to parties. (Riano, 2014, p.520)

A Party Shall FILE AND SERVE Written a) CONSEQUENCES OF REFUSAL TO ANSWER

Interrogatories
1. After jurisdiction has been obtained over the
defendant or property subject of the action and
BEFORE answer has been filed – WITH leave of
court; or
2. After jurisdiction has been obtained and AFTER an
answer has been served – WITHOUT leave of court
The interrogatories shall be ANSWERED FULLY in
writing and shall be signed and sworn to by the
person making them. Such answer shall be filed and
served to the party submitting the interrogatory within
WRITTEN INTERROGATORIES
The Court, ON MOTION and NOTICE May
1. Strike out all or any part of any pleading of that
party; or
2. Dismiss the action or proceeding or any part
thereof made if it was the PLAINTIFF who
refused to answer;
3. Enter judgment by default against the
defendant, if it was the DEFENDANT who
refused to answer;

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4. Order that party who refused to answer to pay
reasonable expense incurred by the other party
and attorney’s fees (Rule 29, Sec. 5)
If a party refuses to answer the WHOLE written
interrogatory, Section 5, Rule 29 shall apply.
However, where a party refuses only to answer a
PARTICULAR question, Section 3 [c], Rule 19 shall
apply (the main difference being that in Section 3[c],
there is no provision on payment of reasonable
expenses/ penalty).
b) EFFECT OF FAILURE TO SERVE WRITTEN
INTERROGATORIES
General Rule: A party not served with written
interrogatories may NOT be compelled by the
adverse party to give testimony in open court, or to
give a deposition pending appeal.
Exception: When allowed by the court for good
cause and to prevent a failure of justice.
3. REQUEST FOR ADMISSION
(Rule 26)
A Written Request for Admission Filed and
Served Upon Any Other Party May Include
1. Request for the admission of the genuineness of
any material and relevant document described in
and exhibited with the request;
2. Request for the admission of the truth of any
material and relevant matter of fact set forth in the
request.
Objections to any request for admission shall be
submitted to the court WITHIN the period for and
PRIOR to the filing of the sworn statement - fifteen
(15) days after service of request.
Such objections will defer compliance until such have
been resolved by the court.
a) IMPLIED ADMISSION BY ADVERSE PARTY
There is an IMPLIED ADMISSION if the party to
whom the request is made does NOT file and serve
a sworn statement EITHER a) denying specifically
the matters of which an admission is requested OR
b) setting forth the reasons why he cannot either
admit or deny those matters within fifteen (15) days
after service thereof or with such further time as the
court may allow on motion.
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The request for admission of documentary evidence
was held to be defective for the petitioner failed to
comply with the requirements under Section 1 of Rule
26 which provides that a party may serve upon any
other party a written request for the admission by the
latter of the genuineness of any material and relevant
document described in and exhibited with the
request; and that copies of the documents should be
delivered with the request unless copies have
already been furnished. (Duque v. Court of Appeals,
G.R. No. 125383, 2002)
b) CONSEQUENCES OF FAILURE TO ANSWER
REQUEST FOR ADMISSION
The matters of which admission is requested shall be
deemed admitted provided BOTH adverse party and
counsel are served copy.
There is a distinction in Section 8 Rule 40 where the
first paragraph a trial is needed when there is an
affirmance and the ground of dismissal is lack of
jurisdiction over the subject matter. Whereas in the
second paragraph, a trial is not necessary. (Rule 40,
Sec. 8)
c) EFFECT OF ADMISSION
Any admission made pursuant to such request is for
the purpose of the pending action only. The
admission may NOT be used against the party who
gave it in any other proceeding.
d) EFFECT OF FAILURE TO FILE AND SERVE
REQUEST FOR ADMISSION
The party who fails to request for admission of
material and relevant facts which are or ought to be
within the personal knowledge of such party shall
NOT be permitted to present evidence on such facts
UNLESS allowed by the court for good cause shown
and to prevent a failure of justice. (Riano, p. 522,
2014)
Withdrawal of Admission
1. Admissions made in this mode of discovery,
whether express or implied, are NOT final and
irrevocable.
2. The court may allow the party making the
admission to withdraw or amend the admission
upon such terms as may be just.
3. To effect the withdrawal, the admitting party
should file a motion to be relieved of the effects
of his admission. (Riano, p. 523)
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That the Comment was not under oath is not a
substantive, but merely a formal, defect which can be
excused in the interest of justice conformably to the
well-entrenched doctrine that all pleadings should be
liberally construed as to do substantial justice. The
filing of such Comment substantially complied with
Rule 26. Consequently, the DBP cannot be deemed
to have impliedly admitted the matters set forth in the
Request for Admission for the mere reason that its
Comment was not under oath. (DBP v CA, G.R. No.
153034, 2005)
A party should not be compelled to admit matters of
fact already admitted by his pleading and concerning
which there is no issue, nor should he be required to
make a second denial of those already denied in his
answer to the complaint. [xxx] A request for
admission is not intended to merely reproduce or
reiterate the allegations of the requesting party's
pleading but should set forth relevant evidentiary
matters of fact, or documents described in and
exhibited with the request, whose purpose is to
establish said party's cause of action or defense.
[xxx] Unless it serves that purpose, it is, as correctly
observed by the Court of Appeals, "pointless,
useless," and "a mere redundancy.” (Po v. CA, G.R.
No. L-34341, 1988)
4. PRODUCTION AND
INSPECTION OF
DOCUMENTS OR THINGS
(Rule 27)
UPON MOTION, a party may seek the production of
documents, papers, books, accounts, letters,
photographs, objects or tangible things OR to order
any party to permit entry upon designated land or
other property in his possession or control.
Purpose
To allow a party to seek an order from the court in
which the action is pending to:
1. Order any party to produce and permit the
inspection and copying or photographing...
of any designated document... NOT
privileged, which constitute or contain
evidence material to any matter.
2. Order any party to permit entry upon
designated land or other property in his
possession or control.
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This mode of discovery is not only for the benefit of a
party, but also for the court and for it to discover all
relevant and material facts in connection with the
case before it. (Riano, p. 524, 2014)
The scope of discovery under this mode is to be
liberally construed so as to provide the litigants with
information essential to the fair and amicable
settlement or expeditious trial of the case. While the
grant of a motion for the production of a document is
admittedly discretionary on the part of the trial court
judge, nevertheless, it cannot be arbitrarily or
unreasonably denied because to do so would bar
access to relevant evidence that may be used by a
party-litigant. The test to be applied by the trial judge
in determining the relevancy of the documents is one
of reasonableness and practicability. (Eagleridge
Development Corporation v Cameron Granville 3
Asset Management Inc., G.R. No. 204700, 2013)
This remedial measure is intended to assist in the
administration of justice by facilitating and expediting
the preparation of cases for trial and guarding against
undesirable surprise and delay; and it is designed to
simplify procedure and obtain admissions of facts
and evidence, thereby shortening costly and time-
consuming trials. It is based on ancient principles of
equity.
More specifically, the purpose of the statute is to
enable a party-litigant to discover material
information which, by reason of an opponent's
control, would otherwise be unavailable for judicial
scrutiny, and to provide a convenient and summary
method of obtaining material and competent
documentary evidence in the custody or under the
control of an adversary.
It is a further extension of the concept of pretrial. Rule
27 of the Revised Rules of Court permits "fishing" for
evidence, the only limitation being that the
documents, papers, etc., sought to be produced are
not privileged, that they are in the possession of the
party ordered to produce them and that they are
material to any matter involved in the action.
However, fishing for evidence that is allowed under
the rules is not without limitations. In Security Bank
Corporation v. Court of Appeals, the Court
enumerated the requisites in order that a party may
compel the other party to produce or allow the
inspection of documents or things, viz.:
1. The party must file a motion for the production
or inspection of documents or things, showing
good cause therefor;
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2. Notice of the motion must be served to all other
parties of the case;
3. The motion must designate the documents,
papers, books, accounts, letters, photographs,
objects or tangible things which the party wishes
to be produced and inspected;
4. Such documents, etc., are not privileged;
5. Such documents, etc., constitute or contain
evidence material to any matter involved in the
action, and
6. Such documents, etc., are in the possession,
custody or control of the other party.
However, Solidbank’s motion was fatally defective
and must be struck down because of its failure to
specify with particularity the documents it required
Gateway to produce. Solidbank’s motion for
production and inspection of documents called for a
blanket inspection. Solidbank’s request for inspection
of "all documents pertaining to, arising from, in
connection with or involving the Back-end Services
Agreement” was simply too broad and too
generalized in scope.
A motion for production and inspection of documents
should not demand a roving inspection of a
promiscuous mass of documents. The inspection
should be limited to those documents designated
with sufficient particularity in the motion, such that the
adverse party can easily identify the documents he is
required to produce. (Solidbank Corporation v
Gateway Electronics Corporation, G.R. No. 164805,
2008)
Filing of a Motion; Order of the Court
1. The motion must be filed by the party seeking
the production or inspection of documents and
things, and the motion must show good cause
supporting the same.
2. 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.
This is essentially a mode of discovery limited to the
parties to the action. This is to be differentiated from
a subpoena duces tecum which is a means to compel
the production of evidence, which may be directed to
a person who may or may not be a party to the action.
(Riano, 2014, p.525)
Documents to be Produced
1. It should NOT be privileged;
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2. It should constitute or contain evidence material
to any matter involved in the action; and
3. It must be within the party’s possession, custody
or control.
Privileged Documents (Rule 130, Sec. 24)
1. Communication between Husband and Wife
2. Communication between Attorney and Client
3. Communication between Physician and Patient
4. Communication between Priest and Penitent
5. Communication of Public Officers involving
public interest
Others privileged documents not mentioned by
Rule 130
1. Editors may not be compelled to disclose the
source of published news
2. Voters may not be compelled to disclose for
whom they voted
3. Trade secrets
4. Information contained in tax census returns
5. Bank Deposits (Riano, page 525-526, 2014)
5. PHYSICAL AND MENTAL
EXAMINATION OF PERSONS
(Rule 28)
When the mental or physical condition of a party is in
controversy, the court, UPON MOTION FOR GOOD
CAUSE SHOWN, may order the party to submit to a
physical or mental examination by a physician.
The party examined MAY request the party causing
the examination to be made to deliver to him a copy
of a detailed report of the examining physician.
Waiver of Privilege
By requesting and obtaining a report of the
examination OR by taking the deposition of the
examiner, the party examined WAIVES any privilege
he may have in that action or any other involving the
same controversy regarding the testimony of every
other person who has examined or may thereafter
examine him.
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6. REFUSAL TO COMPLY WITH
THE MODES OF DISCOVERY
(Rule 29)
For Party or Deponent who Appears But
REFUSES TO ANSWER Any Question Upon Oral
Examination Or Interrogatory:
1. The proponent may apply for a court order to
compel an answer:
a) If the motion is GRANTED– the court shall
require the refusing party to answer. If 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 the amount of the
reasonable expenses incurred in obtaining
the order, including attorney's fees.
b) If the motion 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
2. If despite the court order, the party or deponent
still refuses to answer, the refusal may be
considered contempt of that court or the court
may make such order as are just under Rule 29,
Sec. 3.
If the Adverse Party Makes a Wrongful Denial of
the Genuineness of Documents or Truth of Any
Matter of Fact
The other party who proves the genuineness may
apply to the court for an order requiring the other
party to pay him reasonable expenses incurred in
making such proof, including attorney’s fees.
If a Party Refuses an Order to Produce Any
Document or Other Thing Under Rule 27 OR If a
Person Refuses to Submit to a Physical or Mental
Examination Under Rule 28 OR If a Person
Refuses to Answer Particular Questions Under
Rule 25:
The court may make such orders in regard to the
refusal as are just, and among others, also issue the
following:
1. An order that the matters regarding which the
questions were asked shall be TAKEN TO BE
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ESTABLISHED for the purposes of the action in
accordance with the claim of the party obtaining
the order;
2. An order
a) Prohibiting the disobedient party to support
or oppose claims or defenses, or
b) Prohibiting such disobedient party from
introducing in evidence designated
documents or things or items of testimony;
3. An order
a) Striking out pleadings or parts thereof, or
b) Staying further proceedings until the order is
obeyed, or
c) Dismissing the action or proceeding or any
part thereof, or
d) Rendering a judgment by default against the
disobedient party;
4. In addition to any of the above orders, an order
directing the arrest of any party or agent of a
party for disobeying any of such orders.
For Failure to Appear to Serve Answer to Written
Interrogatories the Court, on Motion, May:
1. Strike out all or any part of any pleading by that
party;
2. Dismiss the action or proceeding or any part
thereof; or enter a judgment by default against
that party;
3. At the court’s discretion, order the party to pay
reasonable expenses incurred by the other,
including attorney’s fees.
Contempt of court
If a party or other witness refuses to be sworn or
refuses to answer any question after being directed
to do so by the court of the place in which the
deposition is being taken, the refusal may be
considered contempt of that court.
Other consequences
If party refuses to obey:
An order made under section 1 of this Rule requiring
him to answer designated questions; or
An order under Rule 27 to produce any document or
other thing for inspection, copying, or
photographing or to permit it to be done, or to
permit entry upon land or other property or an
order made under Rule 28 requiring him to
submit to a physical or mental examination.
The court may make such orders in regard to the
refusal as are just, and among others the following:
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1. 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;
2. 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;
3. 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
4. In lieu of any of the foregoing orders or in
addition thereto, an order directing the arrest of
any party or agent of a party for disobeying
any of such orders except an order to submit to
a physical or mental examination.
Expenses on refusal to admit
If a party after being served with a request under Rule
26 to admit the genuineness of any document or the
truth of any matter of fact serves a sworn denial
thereof and if the party requesting the admissions
thereafter proves the genuineness of such document
or the truth of any such matter of fact, he may apply
to the court for an order requiring the other party to
pay him/her the reasonable expenses incurred in
making such proof, including attorney's fees.
Unless the court finds that there were good reasons
for the denial or that admissions sought were of no
substantial importance, such order shall be issued.
For FAILURE TO APPEAR TO SERVE ANSWER to
Written Interrogatories the Court, on Motion,
May:
1. Strike out all or any part of any pleading by that
party;
2. Dismiss the action or proceeding or any part
thereof; or enter a judgment by default against
that party; or
3. At the court’s discretion, order the party to pay
reasonable expenses incurred by the other,
including attorney’s fees.
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Expenses against the Republic of the Philippines
Expenses and attorney's fees are not to be imposed
upon the Republic of the Philippines under this Rule.
In Zepeda v. Chinabank, G.R. No. 172175, 2006, the
Supreme Court ruled that the consequences
enumerated in Section 3(c) of Rule 29 would only
apply where the party upon whom the written
interrogatories is served, refuses to answer a
particular question in the set of written
interrogatories and despite an order compelling him
to answer the particular question, still refuses to obey
the order.
If such party refuses to answer the whole set of
written interrogatories and not just a particular
question, the opposing party should have filed a
motion based on Section 5 and not Section 3(c) of
Rule 29.
————- end of topic ————-
P. TRIAL (Rule 30)
TRIAL
Trial is the judicial process of investigating and
determining the legal controversies, starting with the
production of evidence by the plaintiff and ending
with his closing arguments. (Velarde v. SJS, G.R. No.
159357, 2004)
HEARING
Hearing is a broader term. It is not only confined to
the trial and presentation of evidence but it also
includes pre-trial, determination of granting or
denying a motion and several stages of litigation.
Necessity of Trial
General Rule: Judgment should not be rendered
without trial on the material facts in the pleadings of
the parties which are in good faith controverted.
Exceptions: When Trial is Unnecessary
1. Judgment on the Pleadings
2. Summary Judgment
3. Judgment on Compromise
4. Dismissal of Complaint WITH Prejudice
5. Summary Procedure Cases
6. Judgment on Facts Stipulated/Agreed Upon
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Schedule of Trial
Section 1. 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:
1. 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;
2. 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;
3. 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
4. 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)
1. ADJOURNMENTS AND POSTPONEMENTS
A court may adjourn a trial from day to day and to
postpone it to any stated time.
General Rule: A court does not have power to
adjourn trial for a longer period than one (1) month
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for each adjournment and not for more than three (3)
months total for all adjournments.
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.
Exception: When authorized in writing by the Court
Administrator, Supreme Court.
2. REQUISITES OF MOTION TO POSTPONE
TRIAL ON THE GROUND OF ILLNESS OF A
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. (Rule
30, Sec. 3)
Motion to postpone due for absence of evidence
no longer allowed. (provision was deleted in
revised rules)
Section 6. Oral offer of exhibits. — The offer of
evidence, the comment or objection thereto, and the
court ruling shall be made orally in accordance with
Sections 34 to 40 of Rule 132. (n)
3. AGREED STATEMENT OF FACTS
[STIPULATION OF FACTS]
Parties to ANY action may agree upon the facts
involved in the litigation.
Such agreement must be in WRITING and upon facts
involved in the litigation. The case will then be
submitted for judgment on the facts agreed upon
WITHOUT need for introduction of evidence.
If the parties agree only on some of the facts, trial
shall be held as to the disputed facts.
In CIVIL cases, such agreement MAY be made
orally, in open court. However, in CRIMINAL CASES,
such agreement must always be in writing.
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4. ORDER OF TRIAL; REVERSAL OF ORDER
Order of Trial
The trial shall be LIMITED to the issues stated in
the PRE-TRIAL ORDER and shall proceed as
follows:
1. Plaintiff shall adduce evidence is support of
his complaint;
2. Defendant shall then adduce evidence in
support of his defense, counterclaim, cross-
claim or third-party complaint;
3. Third (3rd) party defendant shall adduce
evidence in support of his defense,
counterclaim, cross-claim, fourth-party
complaint;
4. Fourth (4th) party and so on shall adduce
evidence of the material facts pleaded by him;
5. The parties against whom any counterclaim
or cross-claim has been pleaded, shall adduce
evidence in support of their defense, in the order
prescribed by the court;
6. Parties may then adduce rebutting evidence
only, unless the court permits them to adduce
evidence upon their original case;
7. 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.
Reversal or Modification of Order
If the defendant relies upon an affirmative defense in
his answer, then the order of the trial may be properly
reversed. This is because the plaintiffs need not
present evidence as judicial admissions do not
require proof.
Defendant in this case will present evidence ahead
of plaintiff.
6. DELEGATION OF RECEPTION OF EVIDENCE
General Rule: The JUDGE of the court where the
case is pending shall personally receive the
evidence to be adduced by the parties.
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Exception: The court may delegate the reception of
evidence to its CLERK OF COURT (who is a member
of the bar) in:
1. Default or Ex Parte hearings;
2. Any case where the parties so agree in writing.
The CLERK OF COURT has the duty to submit his
report, objections, and transcripts of the proceedings
within ten (10) days from the termination of hearing.
The CLERK OF COURT shall have NO power to rule
on objections to any question or to the admission of
exhibits. Such power shall remain with the JUDGE
who shall resolve such objection within ten (10) days
from the termination of hearing.
Judicial Affidavit Rule
Section 2. Submission of Judicial Affidavits and
Exhibits in lieu of direct testimonies. - (a) The parties
shall file with the court and serve on the adverse
party, personally or by licensed courier service, not
later than five days before pre-trial or preliminary
conference or the scheduled hearing with respect
to motions and incidents, the following:
(1) The judicial affidavits of their
witnesses, which shall take the place of
such witnesses' direct testimonies; and
(2) The parties' documentary or object
evidence, if any, which shall be attached to
the judicial affidavits and marked as Exhibits
A, B, C, and so on in the case of the
complainant or the plaintiff, and as Exhibits
1, 2, 3, and so on in the case of the
respondent or the defendant
————- end of topic ————-
Q. CONSOLIDATION OR SEVERANCE
(Rule 31)
Consolidation is Proper When:
1. There are actions involving a common question
of law or fact; and
2. The actions are pending before the same court.
Court May Order Actions to be Consolidated By:
1. A joint hearing or trial of any and all matters or
issue in the action; or
2. Consolidation of all actions; or
3. Such order concerning proceedings therein as
may tend to avoid unnecessary costs or delay.
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Civil cases MAY now be consolidated with criminal
cases. (Rule 111, Section 2[a])
Consolidation is a matter of discretion with the court.
Consolidation becomes a matter of right only when
the cases sought to be consolidated involve similar
questions of fact and law, provided certain
requirements are met. An essential requisite of
consolidation is that the court must have jurisdiction
over all the cases consolidated before it. In this case,
since the Sandiganbayan does not have jurisdiction
over the collection case, the same cannot be
consolidated with the criminal cases even if these
cases involve similar questions of fact and law.
(Republic v. Court of Appeals, G.R. No. 116463,
2013)
Under the Rules of Court, the consolidation of cases
for trial is permissive and a matter of judicial
discretion. This is because trials held in the first
instance require the attendance of the parties, their
respective counsel and their witnesses, a task that
surely entails an expense that can multiply if there
are several proceedings upon the same issues
involving the same parties. At the trial stage, the
avoidance of unnecessary expenses and undue
vexation to the parties is the primary objective of
consolidation of cases.
But the permissiveness of consolidation does not
carry over to the appellate stage where the primary
objective is less the avoidance of unnecessary
expenses and undue vexation than it is the ideal
realization of the dual function of all appellate
adjudications.
In the appellate stage, the rigid policy is to make the
consolidation of all cases and proceedings resting on
the same set of facts or involving identical claims or
interests or parties mandatory. Such consolidation
should be made regardless of whether or not the
parties or any of them requests it. (In re: Fabiana,
A.M. No. CA-12-51-J, 2013)
Proceedings for the issuance of a writ of possession
being ex parte and non-litigious in nature, cannot be
consolidated with proceedings seeking to nullify the
extra-judicial foreclosure or the certificate of sale.
(Espinoza v. UOB, G.R. No. 175380, 2010)
Severance, When Proper
The court, in furtherance of convenience or to avoid
prejudice, may order a separate trial of any claim,
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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.
————- end of topic ————-
R. DEMURRER TO EVIDENCE (Rule 33)
1. GROUNDS
DEMURRER TO EVIDENCE
After the plaintiff has completed the presentation of
his evidence, the defendant may move for dismissal
on the ground that upon the facts and the law, the
plaintiff has shown NO RIGHT TO RELIEF.
Note: The evidence contemplated by the rule on
demurrer is that which pertains to the merits of the
case, excluding technical aspects such as capacity
to sue. (Celino v. Heirs of Alejo and Teresa Santiago,
G.R. No. 161817, 2004)
Demurrer to evidence authorizes a judgment on
the merits of the case without the defendant
having to submit evidence on his part as he
would ordinarily have to do, if it is shown by
plaintiff’s evidence that the latter is not entitled to
the relief sought.
A demurrer to evidence is likewise sustainable when,
admitting every proven fact favorable to the plaintiff
and indulging in his favor all conclusions fairly and
reasonably inferable therefrom, the plaintiff has failed
to make out one or more of the material elements of
his case, or when there is no evidence to support an
allegation necessary to his claim. It should be
sustained where the plaintiff’s evidence is prima facie
insufficient for a recovery. [Heirs of Santioque v.
Heirs of Calma, G.R. No. 160832, 2006)
Q: X Corporation filed a petition for issuance of
the owner’s duplicate copy of a Transfer
Certificate of Title (TCT) in lieu of the lost one. It
allegedly exerted all possible efforts to locate the
owner's duplicate copy of TCT but to no avail.
The RTC issued an Order dismissing the petition
for insufficiency of evidence. Instead of filing an
appeal from the Order, X Corporation filed a
second petition in which the allegations were the
same as that contained in the first petition. The
RTC dismissed the second petition on the ground
of res judicata. X Corporation then filed a petition
for certiorari with the CA. The CA dismissed the
petition based on the ground that the wrong
remedy was availed of, and it must be by appeal.
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Was the petition for certiorari the correct
remedy?
A: No. a dismissal on the ground of res judicata is
expressly declared to be appealable under Rule 16,
Section 1 in relation to Section 5, which states that,
“subject to the right of appeal, an order granting a
motion to dismiss based on the cause of action is
barred by a prior judgment or by the statute of
limitations shall bar the refiling of the same action or
claim.” Evidently therefore, appeal — and not a
special civil action for certiorari — was the correct
remedy to challenge the dismissal of the second
petition on the ground of res judicata. As appeal was
available, X Corporation’s Rule 65 petition would not
prosper even if the ground therefor was grave abuse
of discretion. (Philippine Bank of Communications v.
Register of Deeds for the Province of Benguet, G.R.
No. 222958, March 11, 2020.)
What should be resolved in a motion to dismiss
based on a demurrer to evidence is whether the
plaintiff is entitled to the relief based on the facts and
the law. The “facts” referred to here include judicial
admissions, matters of judicial notice, stipulations
made during the pre-trial and trial, admissions, and
presumptions, the only exclusion being the
defendant’s evidence. (GMA Network v. Central
CATV, G.R. No. 176694, 2014)
Q: Petitioners X and Y were accused of human
trafficking. During trial, the prosecution
presented several testimonies, including one
from one of the victims. After the prosecution had
rested its case, the defense filed a Demurrer to
Evidence, which the RTC granted. The RTC
explained that the testimonies were supposedly
inconsistent and that there were supposedly
irregularities in the way the entrapment
operation, where Petitioners X and Y were
caught, was conducted. The People, through the
Office of the Solicitor General, filed a petition for
certiorari before the CA. The CA reversed the
acquittal of Petitioners X and Y. Was the CA
wrong to reverse the acquittal of Petitioners X
and Y?
A: Yes. Although the CA was correct in ruling that the
RTC erred in granting the Demurrer, the Court held
that the Demurrer could not be reversed without
offending the petitioners’ constitutional right against
double jeopardy. Jurisprudence has provided that for
the right against double jeopardy to attach, the
following requisites must be present: 1) a valid
indictment, 2) a court of competent jurisdiction, 3) the
arraignment of the accused, 4) a valid plea entered
by him, and 5) the acquittal or conviction of the
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accused, or the dismissal or termination of the case
against him without his express consent. This is also
enshrined the finality-of-acquittal doctrine, which
provides that a judgment of acquittal, whether
ordered by the trial or the appellate court, is final,
unappealable, and immediately executory upon its
promulgation. This means that not every error in the
trial or evaluation of the evidence by the court in
question that led to the acquittal of the accused would
be reviewable by certiorari. The only exception to this
doctrine would be if the prosecution was denied due
process. In this case, the exception is not present,
thus the finality-of-acquittal rule applies, regardless of
whether the Court, or any appellate court, believes
that the accused should have been convicted. (Raya
v. People, G.R. No. 237798, May 5, 2021).
Q: X bought a lot with a one-storey residential
house erected thereon from Y. Y owns an
adjoining lot to X’s lot. Y started construction on
a two-storey residential house. X files a
complaint for easement of light and view, praying
for a writ of preliminary injunction. Y filed a
motion to dismiss by way of demurrer of
evidence. RTC denied the demurrer of evidence.
Y filed for certiorari with the CA. CA denied the
petition for certiorari for failing to prove that RTC
committed a grave abuse of discretion. X
contends that CA’s decision denying the
demurrer of evidence constitutes as the law of
the case in the complaint for easements. Does a
decision denying a demurrer of evidence
constitute as the law of the case in a complaint
for easements?
A: No. The doctrine of the law of the case only applies
when there has been a prior decision on the merits.
Law of the case is a rule of general application that
the decision of an appellate court in a case is the law
to the case on the points presented throughout all the
subsequent proceedings in the case in both the trial
and appellate courts and no question necessarily
involved and decided on that appeal will be
considered on a second appeal or writ of error in the
same case, provided the facts and issues are
substantially the same as those on which the first
question rested and, according to some authorities,
provided the decision is on the merits. (Spouses
Garcia v. Santos, G.R. No. 228334, June 17, 2019)
2. EFFECT OF DENIAL
Defendant CAN present his evidence as a matter of
right EVEN IF he did NOT obtain leave of court or
reserve his right to do so.
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appellate court should render judgment on the basis

of the evidence submitted by the plaintiff.
EFFECT OF EFFECT OF DENIAL IN
DENIAL IN CRIMINAL CASE (Radiowealth Finance Corporation v. Del Rosario,
335 SCRA 228, 2000)
CIVIL CASE

The defendant If demurrer was with express 5. DEMURRER TO EVIDENCE IN CIVIL CASES
will present leave of court, accused may VERSUS DEMURRER TO EVIDENCE IN A
his evidence present evidence. CRIMINAL CASE
CIVIL CASE CRIMINAL CASE
If demurrer was without NO need for leave of Leave of court is
express leave of court, court for defendant to NECESSARY so that
accused can NO longer file demurrer to the accused could
evidence present his evidence if
present evidence and the
his demurrer is denied
case is submitted for decision
If court finds plaintiff’s If court finds
based on prosecution’s evidence insufficient, prosecution’s evidence
evidence. demurrer will be insufficient, demurrer
granted and complaint will be granted and
will be dismissed. This judgment will be
dismissal is rendered acquitting the
An order denying a demurrer to the evidence is appealable. accused. The
INTERLOCUTORY and is therefore NOT judgment is not
appealable. It can be the subject of a Petition for appealable.
Certiorari in case of grave abuse of discretion or an If plaintiff appeals and Judgment is NOT
oppressive exercise of judicial authority. (Katigbak v. the judgment is appealable by reason
Sandiganbayan, G.R. No. 140183, 2003) reversed, the appellate of the double jeopardy
court will decide the rule.
3. EFFECT OF GRANT case on the basis of
plaintiff’s evidence and
the defendant loses his
Court will render judgment on demurrer to evidence
right to present
by DISMISSING the case. This order is evidence.
APPEALABLE. If court denies If court denies
demurrer, defendant demurrer, either of the
EFFECT OF GRANT EFFECT OF GRANT will present his following will happen:
IN CIVIL CASE IN CRIMINAL CASE evidence
1. If demurrer was
The complaint will be The accused will be WITH express
dismissed acquitted. Judgment of leave of court,
acquittal is NOT accused may
appealable present evidence;

2. If demurrer was
4. WAIVER OF RIGHT TO PRESENT EVIDENCE WITHOUT leave of
court, accused can
If on appeal, the order granting the motion for no longer present
evidence and the
demurrer is REVERSED, the defendant LOSES his
case is submitted
right to present evidence.
for decision based
on prosecution’s
Judgment shall be rendered on the basis of the evidence.
evidence submitted by the PLAINTIFF. The court cannot, on its The court may make a
own make a demurrer. demurrer on its own.
NOTE: The appellate court reversing the order (Rule 119, Sec. 23)
granting the demurrer MUST NOT REMAND the
case to the trial court for further proceedings. The

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Q: The Commission on Information and
Communications Technology was going to
implement a National Broadband Network
Project. In line with this, Corp A, a Chinese
corporation doing business in China, filed a
proposal for such project. A month later, Corp B
submitted another proposal for the project. NEDA
studied both proposals, and decided to approve
Corp A’s proposal. X was then charged with a
violation of Section 3(h) of RA 3019, or the Anti-
Graft and Corrupt Practices Act. X was accused
of brokering the deal between Corp A and the
Philippine Government for a fee, as seen in his
meeting with several Corp A and government
officers. The Sandiganbayan found that the
prosecution was only able to prove that X
brokered a collaboration between Corp A and
Corp B, but not between Corp A and the
government. With that, X was acquitted. The
Sandiganbayan also denied the petitioner’s
Motion for Reconsideration, hence the petitioner
filed a Petition for Certiorari under Rule 65 with
the Supreme Court. Was petitioner denied due
process, which would allow the court to re-try the
case without affecting X’s right against double
jeopardy?
A: No. For double jeopardy to exist, the following
requirements must be present: 1) a valid information
sufficient in form and substance to sustain a
conviction of the crime charged; 2) a court of
competent jurisdiction; 3) the accused has been
arraigned and had pleaded; and 4) the accused was
convicted or acquitted or the case was dismissed
without his express consent. The case at bar meets
all the requirements. Thus, the existence of double
jeopardy in this case calls for the application of the
finality-of-acquittal rule, which makes a judgment of
acquittal unappealable and immediately executory
upon its promulgation. The only exception to this rule
is if there was grave abuse of discretion that led to a
violation of the prosecution’s right to due process.
This exception is not present in this case. The
Sandiganbayan committed no grave abuse of
discretion, which stripped it of jurisdiction to decide
the criminal case against X. The petitioner was also
not deprived of his day in court.
Similarities of Both Demurrer in a Civil case and
a Criminal Case
Both are based on insufficiency of evidence
presented by the plaintiff or the prosecution to
warrant the grant of affirmative relief in favor of the
plaintiff nor conviction of accused;
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In both, the motion is filed after the plaintiff or the
prosecution has presented evidence and closed his
or its case.
Section 2. Action on demurrer to evidence. — A
demurrer to evidence shall be subject to the
provisions of Rule 15.
The order denying the demurrer to evidence shall not
be subject of an appeal or petition for certiorari,
prohibition or mandamus before judgment.
————- end of topic ————-
S. JUDGMENTS AND FINAL ORDERS
JUDGMENT
A judicial act which settles the issues, fixes the rights
and liabilities of the parties, and determines the
proceeding, and is regarded as the sentence of the
law pronounced by the court on the action or question
before it.
Requisites:
1. In writing in the official language;
2. Personally and directly prepared by the judge;
3. State clearly and distinctly the facts and the law
on which it is based;
4. Contains a dispositive portion;
5. Signed by the judge; and
6. Filed with the clerk of court.
1. JUDGMENT WITHOUT TRIAL
JUDGMENT WITHOUT TRIAL
A decision rendered without a full-blown trial.
Examples include judgment by confession and
judgment upon a compromise.
Q: In 1986, PCGG sequestered the properties of
Corp A. Among these properties were 9 parcels
of land. In 1988, the Province of X, through Mayor
A, sold the properties via a tax delinquency in an
auction whereby the Province of X was the sole
bidder. PCC filed a complaint for the annulment
of the tax sale. Pending the civil case, PCGG,
Corp A and the Province of X later on entered in
a Compromise Agreement wherein a corporation
would be created with Province of X holding 49%
of the shares and 51% by Corp A through PCGG.
Province of X’ former mayor, B, filed a complaint
before the Ombudsman against A on the ground
of undue injury allegedly suffered by the
Province of X as a result of the disadvantageous
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terms of the Compromise Agreement it entered
into with the PCGG and Corp A. The Ombudsman
then filed two Informations against B for violation
of Sections 3(e) and (g) of RA 3019. Is there a
probable cause for the issuance of warrants of
arrest and Informations against B?
A: NO. There is no probable cause to hold
respondents guilty of unlawful acts. B were charged
before the Sandiganbayan with violations of Sections
3(e) and (g) of RA 3019. The law provides for the
corrupt practices of a public officer declared to be
unlawful:
(e) Causing any undue injury to any
party, including the Government, or
giving any private party any
unwarranted benefits, advantage or
preference in the discharge of his
official, administrative or judicial
functions through manifest
partiality, evident bad faith or gross
inexcusable negligence. This
provision shall apply to officers and
employees of offices or government
corporations charged with the grant
of licenses or permits or other
concessions. xxx xxx xxx
(g) Entering, on behalf of the
Government, into any contract or
transaction manifestly and grossly
disadvantageous to the same,
whether or not the public officer
profited or will profit thereby.
Here, at the time B entered into the Compromise
Agreement, the Province of X did not enjoy any
vested right over the subject properties. This is
because Y’s petition to annul the tax delinquency
sale, from which the Province of X’ alleged right over
the properties could arise, had yet to be decided with
finality. In fact, it is even possible that the Province of
X would later be adjudged to have no entitlement
over the subject properties in the pending case for
annulment of the tax delinquency sale. Hence, it
could not have injured a right or interest that did not
exist.
CONTENTS OF A JUDGMENT
Parts of a Judgment
1. Opinion of the court (findings of fact and
conclusions of law) – Ratio Decidendi;
2. Disposition of the case (dispositive portion) -
Fallo;
3. Signature of the judge.
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When there is a conflict between the dispositive
portion and the body of the decision, the FALLO
controls.
A decision that does not clearly and distinctly state
the facts and the law on which it is based leaves the
parties in the dark and is especially prejudicial to the
losing party who is unable to point the assigned error
in seeking a review by a higher tribunal. (Shimizu
Philippines Contractors, Inc. v. Magsalin, G.R. No.
170026, 2012)
A Judgment of CONVICTION Must Contain:
1. The legal qualifications of the offense constituted
by the acts committed by the accused and the
aggravating and mitigating circumstances which
attended its commission.
2. Participation of the accused either as principal,
accomplice or accessory.
3. Penalty imposed on the accused.
4. Civil liability or damages, if any, unless a
separate civil action has been reserved or
waived.
A Judgment of ACQUITTAL Must Contain:
1. Whether the evidence absolutely failed to prove
the guilt of the accused or merely failed to prove
it beyond reasonable doubt;
2. If the act or omission from which civil liability may
arise did not exist
MEMORANDUM DECISION
Rendered by an appellate court and references the
finding of facts and conclusions of law contained in
the decision under review. this is done in order to
avoid repetition and cumbersome reproduction of the
decision of the lower court in the decision of the
higher court. In order to be valid, however, it must
provide direct access to the facts and law being
adopted, which must be contained in a statement
attached to the decision and made an indispensable
part of the decision. (Francisco v. Permskul, G.R. No.
81006, 1989).
Memorandum Decisions are supported by BP 129
and Rule 51 of the Rules of Court.
Even though memorandum decisions are permitted
by the court under certain circumstances, it cannot
merely refer to the conclusions of law of the lower
court, the appellate court must likewise make full
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findings of fact and conclusions of law on its own
(Ong Chia Kwan v. CA, G.R. No. 113006, 2000).
The constitutional requirement of a valid judgment
will not be violated when for as long as a
memorandum decision states the nature of the case,
summarize the facts with references to the record
and contains a statement of the applicable of the
applicable laws and jurisprudence and the tribunal's
assessment and conclusions on the case. It would be
more prudent for a memorandum decision to do so
since it would enable the court to make an
appropriate finding as to whether or not the
dispositive conclusion of the judgment sought to be
enforced is consistent with the findings of facts and
conclusions of law made by the tribunal that rendered
the decision. Otherwise, the judgment sought to be
enforced is consistent with the findings of facts and
conclusions of law made by the tribunal that rendered
the decision. otherwise, the merits. (Oil and Natural
Gas Commission v. CA, G.R. No. 114323, 1998)
2. JUDGMENT ON THE
PLEADINGS (Rule 34)
A judgment rendered by the court upon motion of the
claimant OR plaintiff on the ground that an ANSWER
fails to tender an issue, OR otherwise admits the
material allegations of the adverse party’s pleading.
“Fails to tender an issue” and “otherwise admits
the material allegations of the adverse party’s
pleading?”
Judgment on the pleadings is proper when an answer
fails to tender an issue, or otherwise admits the
material allegations of the adverse party’s pleading.
An answer fails to tender an issue if it does not
comply with the requirements of a specific denial as
set out in Sections 8 (actionable document denial
under oath) and 10 (specific denial). Failure to deny
such would result in the admission of the material
allegations of the adverse party’s pleadings. (Asian
Construction v. Sanneadle, G.R. No. 181676, June
11, 2014)
Sham denials, consisting of an avowed lack of
knowledge of facts which could not but be clearly
known by them, in effect tender no issue, or
otherwise admit the allegations of the complaint
material to a valid decision. (Manufacturer’s Bank v.
Diversified, G.R. No. 33695, 1989)
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Grounds:
1. Answer fails to tender an issue because of:
a) General denial of the material allegations of
the complaint;
b) Insufficient denial of the material allegations
of the complaint; or
2. Answer admits the material allegations of the
adverse party’s pleading.
By moving for judgment on the pleading, plaintiff
WAIVES his claim for unliquidated damages. Claim
for such damages must be alleged and proved.
Note: The concept of a judgment on the pleadings
will not apply when no answer is filed. (Riano, Civil
Procedure: The Bar Lecture Series, Vol. 1, Bantam
Ed, 2014)
Judgment on the pleading may be motu proprio or
upon motion
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
Doctrines: Judgment on the Pleadings
Judgment on the pleadings is proper when an answer
fails to tender an issue, or otherwise admits the
material allegations of the adverse party’s pleadings.
The defense of the defendant was that plaintiff was
in bad faith. The courts ruled that the answer in fact
tendered an issue hence judgment on the pleadings
would be inapplicable. Summary judgment also
cannot apply because the requirement for such is
that there must not be a genuine issue. The plaintiff,
in this case, prayed for an accounting which required
a full blown trial (requires presentation of evidence on
partial payment) hence, there was a genuine issue in
the case at bar. (Sps. Ong v. Roban Lending, G.R.
No. 172592, 2008)
This case was peculiar because the defendant was
the one who moved for judgment on pleadings
without offering proof as to the truth of her allegations
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and without giving the plaintiff opportunity to
introduce evidence, the defendant is deemed to have
admitted the material and relevant matters of the
complaint. (Usually, it is the plaintiff who files a
judgment on pleadings). (Sunbanun v. Go, G.R. No.
163280, 2010)
A Motion for Judgment on the Pleadings is one that
is considered ex parte because upon particular facts
thus presented, the plaintiff is entitled to judgment, or
motu proprio under Section 2 [g] of Rule 18 of the
Rules of Court. (Dino v. Valencia, G.R. No. L-43886,
1989)
Judgment on the pleadings is appropriate when an
answer fails to tender an issue, or otherwise admits
the material allegations of the adverse party’s
pleading.
An answer fails to tender an issue if it does not
comply with the requirements of a specific denial as
set out in Sections 8 and 10, Rule 8 of the Rules,
resulting in the admission of the material allegations
of the adverse party’s pleadings.
BERNABE: As such, it is a form of judgment that is
exclusively based on the submitted pleadings without
the introduction of evidence as the factual issues
remain uncontroverted. (GSIS v. Prudential, G.R. No.
165585, 2013)
No Judgment on the Pleadings in Actions for
1. Declaration of Nullity of Marriage;
2. Annulment of marriage; and
3. Legal Separation
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 (see
Articles 48 and 60 of the Family Code). The purpose
is to prevent collusion between the parties.
MOTION TO DISMISS MOTION FOR
JUDGMENT ON
PLEADINGS
Filed by defendant to a Filed by the claimant
complaint,
counterclaim, cross-
claim, or third-party
complaint.
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3. SUMMARY JUDGMENT (Rule
35)
Nature of summary judgment
A summary judgment, also called accelerated
judgment, is proper where, upon a motion filed
after the issues had been joined and on the basis
of the pleadings and papers filed, the court finds
that there is no genuine issue as to any material
fact except as to the amount of damages.
What triggers a summary judgment is the absence of
a genuine factual issue. It is not proper where
there are factual issues to be resolved by the
presentation of evidence. Even if there is a
complicated question of law if there is no issue
as to the facts, a summary judgment is not
barred. (Velasco v. CA, G.R. No. 121517, 2000)
One granted by the court, UPON MOTION, for the
prompt disposition of civil actions wherein it clearly
appears that there exists NO GENUINE ISSUE or
controversy as to any material fact, EXCEPT as to
the amount of damages.
It is granted AFTER the issues have been joined and
on the basis of pleadings, depositions, admissions
and affidavits, there exists NO genuine factual issue.
It is available to BOTH plaintiff and defendant.
A genuine issue is an issue of fact which requires the
presentation of evidence as distinguished from a
sham, fictitious, contrived or false claim. When the
facts as pleaded appear uncontested or undisputed,
then there is no real or genuine issue or question as
to the facts, and summary judgment is called for.
The party who moves for summary judgment has the
burden of demonstrating clearly the absence of any
genuine issue of fact, or that the issue posed in the
complaint is patently unsubstantial so as not to
constitute a genuine issue for trial. (Philippine Bank
of Communications v. Go, G.R. No. 175514, 2011)
The crucial question in a motion for summary
judgment is whether the issues raised in the
pleadings are genuine or fictitious, as shown by
affidavits, depositions or admissions accompanying
the motion. (Evangelista vs. Mercator Finance Corp.,
G.R. No. 148864, 2003)
The trial court cannot motu proprio decide that
summary judgment on an action is in order. The
defending party or claimant, as the case may be,
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must invoke the rule on summary judgment by filling
a motion. The adverse party must be notified of the
motion for summary judgment and furnished with
supporting, affidavits, depositions or admissions
before hearing is conducted. (Pineda v. Heirs of
Eliseo Guevara, G.R. No. 143188, February 14,
2007)
The party who moves for summary judgment has the
burden of demonstrating clearly the absence of any
genuine issue of fact, or that the issue posed in the
complaint is patently unsubstantial so as not to
constitute a genuine issue for trial. When the facts as
pleaded by the parties are disputed or contested,
proceedings for summary judgment cannot take the
place of trial. (Tan v. De la Vega, G.R. No. 168809,
2006)
Under Section 3, Rule 35 of the Rules of Court, a
summary judgment MAY NOT be rendered on the
amount of damages, although such judgment may be
rendered on the issue relating to the existence of the
right to damages. In this case, the Court
distinguished between the determination of the
amount of damages and the issue of the right to
damages itself in case of a summary judgment.
(Ybiernas v. Tanco-Gabaldon, G.R. No. 178925,
2011)
An action for annulment of marriage cannot be
decided by summary judgment proceeding (Roque v.
Encarnacion, G.R. No. L-6505, 1954)
Summary judgments are made specifically
applicable to a special civil action for Declaratory
Relief (Rule 63).
Service of Motion for Summary Judgment;
Proceedings
The motion shall be served at least ten (10) days
before the time specified for the hearing.
The adverse party may serve opposing affidavits,
depositions, or admissions at least three (3) days
before the hearing. (Rule 35, Sec. 3)
After the hearing, the judgment sought shall be
rendered forthwith if the pleadings, supporting
affidavits, depositions, and admissions on file, show
that, EXCEPT as to the amount of damages, there is
no genuine issue as to any material fact and that the
moving party is entitled to a judgment as a matter of
law. (Rule 35, Sec. 3)
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a) FOR THE CLAIMANT
A party seeking to recover upon a claim,
counterclaim, or cross-claim or to obtain a
declaratory relief may, at any time AFTER the
pleading in answer thereto has been served, move
with supporting affidavits, depositions or admissions
for summary judgment in his favor upon all or any part
thereof. (Section 2, Rule 35)
b) FOR THE DEFENDANT
A party against whom a claim, counterclaim, or cross-
claim is asserted or a declaratory relief is sought
may, at ANY TIME, move with supporting affidavits,
depositions or admissions for summary judgment in
his favor upon all or any part thereof. (Section 3, Rule
35).
c) WHEN THE CASE NOT FULLY ADJUDICATED
ON MOTION
This authorizes rendition of PARTIAL summary
judgment but such is interlocutory in nature and is
NOT a final and appealable judgment.
The court shall make an order specifying the facts
that appear without substantial controversy. The
facts so specified shall be deemed established.
The trial shall be conducted on the controverted
facts only and judgment shall be rendered on the
facts that appear without substantial controversy.
The test is whether or not the pleadings, affidavits
and exhibits in support of the motion are sufficient to
overcome the opposing papers and to justify the
finding that, as a matter of law, there is no defense to
the action or claim clearly meritorious. (Estrada v.
Consolacion, G.R. No. L-40948, 1976)
A partial summary judgment is an interlocutory order,
because it does not completely and finally dispose of
a litigation. (GSIS v. PH Village Hotel, G.R. No.
150922, 2004)
Remedy for Court’s action on motion for
summary judgmentAny action of the court on a
motion for summary judgment shall not be subject of
an appeal or petition for certiorari, prohibition or
mandamus. Proper remedy is to appeal the decision
itself.
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d) AFFIDAVITS AND ATTACHMENTS
Requisites of affidavits:
1. Based on personal knowledge;
2. Set forth facts as would be admissible in evidence;
3. Show affirmatively that the affiant is competent to
testify to the matters stated therein.
Bases of Summary Judgment
1. Affidavits made on personal knowledge, set forth
such facts as would be admissible as evidence
and show affirmatively that the affiant is
competent to testify on matters stated therein
(Rule 35, Sec. 5)
2. Depositions of the adverse party or a third party
under Rule 23;
3. Admissions of the adverse party under Rule 26;
or
4. Answers to interrogatories under Rule 25; all
intended to show that:
a) There is no genuine issue as to any material
fact, EXCEPT damages which must always
be proved; and
b) The movant is entitled to a judgment as a
matter of law.
Even if the answer does tender an issue, and
therefore a judgment on the pleadings is not proper,
a summary judgment may still be rendered if the
issues tendered are not genuine, are sham, fictitious,
contrived, set up in bad faith, and patently
unsubstantial. (Vergara v. Suelto, G.R. No. L-74766,
1987)
Affidavits in Bad Faith
It should it appear that the affidavits are:
1. Presented in bad faith; or
2. Solely for the purpose of delay.
The court shall order the offending party or counsel
to pay to the other party the amount of reasonable
expenses, which the filing of the affidavits caused
him to incur, including attorney’s fees. It may, after
hearing, further adjudge the offending party or
counsel guilty of contempt. (Section 6, Rule 35)
Q: A, B, and C inherited a lot from their parents
as co-owners. A TCT was issued in the name of
C. A and B had filed a complaint against C for
annulment of deed (Civil Case 1). C manifested
that he had entered into a compromise
agreement with his other siblings. And since no
answer was received from C, the court concluded
that a compromise agreement was forged among
them, dismissing the case: The western portion
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to B; the middle portion to A and the eastern
portion to C. However, said portions were never
actually partitioned, leaving the title still
registered in C’s name. A died leaving the lot to
her son D by virtue of a Deed of Donation. D’s
wife E owed F, an heir of C, evidenced by a
Kasunduan. E’s heir, G, filed a motion for
judgment on the pleadings. RTC found that
judgment on the pleadings was proper and res
judicata attached in the present case in view of
the proceedings in Civil Case. 1) Did res judicata
attach? 2) Can the grant of the motion for
judgment on the pleadings be upheld?
A: 1) No. The judgment or final order rendered by a
Philippine court or judge, having jurisdiction to render
the judgment or order, has the effect of res judicata
or bar by prior judgment and conclusiveness of
judgment. The requisites of res judicata are the
following: (1) the former judgment must be final; (2)
the court that rendered it had jurisdiction over the
subject matter and the parties; (3) it is a judgment on
the merits; and (4) there is — between the first and
the second actions — an identity of parties, subject
matter and cause of action. Here, first there was no
judgment on the merits in the prior case because
there was no compromise agreement that was
judicially approved, thus no judgment was entered in
the prior case; Second, there is no identity of causes
of action because the prior case concerned the
ownership of the subject lot, whereas the present
case also involves possession and consignation.
Hence, res judicata may not be applied.
2) Yes. Rule 34 of the 2019 Proposed Amendments
to the 1997 Rules of Civil Procedure provides that
Judgment on the pleadings is proper when an answer
fails to tender an issue, or admits the material
allegations of the adverse party's pleading. An
answer fails to tender an issue if it does not comply
with the requirements of a specific denial as set out
in Rule 8 of the 1997 Rules of Civil Procedure,
resulting in the admission of the material allegations
of the adverse party's pleadings. Here, F do not need
to specifically deny under oath the genuineness and
authenticity of the documents that they averted,
otherwise F would be deemed to have admitted the
same. Section 8 of Rule 8 states that "the
requirement of an oath does not apply when the
adverse party does not appear to be a party to the
instrument” as in this case wherein the amicable
settlement and deed of partition were only between
the F’s father, aunt and uncle and the kasunduan
between one of the plaintiffs and one of the
defendants. (Abad v. Heirs of Gallardo, G.R. No.
229070, November 10, 2020)
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Q: Bank A filed a Complaint for Specific commit any error in holding that the respondent PVB
Performance before the RTC against Corp B. was entitled to judgment as a matter of law. (Trade
Bank A alleged that it entered into an Agreement and Investment Development Corporation v.
with Corp B agreeing to guarantee the payment Philippine Veterans Bank, G.R. No. 233850, July 1,
of the obligation but later refusing to pay. In its 2019)
Answer, Corp B invoked a Stay Order that was
issued by the Rehabilitation Court. Bank A then JUDGMENT ON THE SUMMARY
filed a Motion for Summary Judgment. The RTC PLEADINGS JUDGMENT
issued an Order granting Bank A’s Motion, Solely based on the Based on the
stating that there was no genuine issue as to any
pleadings pleadings, depositions,
material fact posed by Corp B with respect to the
Guarantee Agreement, except in response to admissions, and
damages and therefore Bank A was entitled to affidavits
judgment in its favor as a matter of law. Corp B
deemed the assailed Order as a final order General Rule: Available to BOTH
susceptible of appeal in which pure questions of Available only to a plaintiff and defendant
law are involved and therefore, filed the instant claiming party like a
Petition before the Supreme Court under Rule 45. plaintiff or a
1) Did Corp B pursue the right mode of appeal
counterclaimant
and did the trial court err in granting the Motion
for Summary Judgment? 2) Did the RTC err in in
granting the Motion for Summary Judgment? Exception: Defendant
presents a
A: 1) Yes. Corp B pursued the right mode of appeal counterclaim
under Rule 45. An order or resolution granting a
There is an absence of There is an issue only
Motion for Summary Judgment which fully
determines the rights and obligations of the parties a factual issue in the as to the amount of
relative to the case and leaves no other issue case because the damages but not as to
unresolved, except the amount of damages, is a final answer tenders no any material fact
judgment. In leaving out the final determination of the issue at all. or there is
amount of damages, a summary judgment is not an admission of
removed from the category of final judgments. It is material allegations
clear that the assailed Order discussed the facts, law
and arguments extensively, making an extensive Notice required before Notice required before
assessments on the merit of the Complaint as well as hearing: 3 days hearing: 10 days.
making a definite adjudication. Thus, as a final order,
Corp B was right to appeal under Rule 45. The adverse party in
turn may serve
2) No. The trial court did not err in granting the Motion
for Summary Judgment. According to Section 1, Rule opposing affidavits,
35 of the Rules of Court, a party seeking to recover depositions or
upon a claim may, at any time after the pleading in admissions at least
answer thereto has been served, move with three days before the
supporting affidavits, depositions or admissions for a hearing.
summary judgment in his/her favor. According to On the merits May be interlocutory or
Section 3 of the same Rule, the judgment sought on the merits
shall be rendered forthwith if the pleadings,
supporting affidavits, depositions, and admissions on
file, show that, except as to the amount of damages,
there is no genuine issue as to any material fact and
that the moving party is entitled to a judgment as a
matter of law. There was no genuine issue raised as
to a material fact. Corp B readily admitted it was
bound by the Guarantee Agreement and could not
raise any defense but the Stay Order, which did not
prevent the court from acquiring jurisdiction.
Therefore, as there was no genuine issue as to a
material fact in the instant case, the RTC did not

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There is already an If filed by the JUDGMENT UPON A COMPROMISE

answer filed PLAINTIFF, it must be Judgment rendered by the court on the basis of a
filed at any time after compromise agreement entered into between the
an answer is served; parties to the action. It has the force of law and is
conclusive between parties. It is NOT appealable.
If filed by
DEFENDANT, it may Judgment upon a compromise is immediately
be filed at any time executory upon the signing of the compromise
even before there is an agreement in the absence of a motion to set aside on
answer the ground of fraud, mistake, etc. Hence, it has the
effect of res judicata. (World Machine Enterprises v.
IAC, G.R. No. 72019, 1990)
4. RENDITION OF JUDGMENTS
AND FINAL ORDERS (Rule JUDGMENT ON THE MERITS
36) Judgment rendered after consideration of the
evidence submitted by the parties during the trial of
Rendition of a judgment the case.
The filing of the signed decision with the clerk of
court. (Riano, 2014, p. 583) JUDGMENT NUNC PRO TUNC
A judgment intended to enter into the records acts
NOTE: It is not the writing or signing of the judgment which had already been done, but which do not
which constitutes rendition of the judgment. (Castro appear in the records.
v. Malazo, A.M. No. 1237-CAR, 1980)
JUDGMENT SIN PERJUICIO
A case is deemed SUBMITTED FOR RESOLUTION A dismissal of a case without prejudice to it being
upon the filing of the last pleading, brief or refilled. It is one which contains only the dispositive
memorandum required by the Rules of Court or by portion of the decision and reserves the making of
the court. findings of fact and conclusions of law in a
subsequent judgment.
Even if the judgment has already been put in writing
and signed, it is STILL subject to amendment if it has PROMULGATION
not yet been filed with the Clerk of Court. The process by which a decision is published,
officially announced, made known to the public or
A judgment is considered RENDERED upon the delivered to the clerk of court for filing, coupled with
FILING of the signed decision with the Clerk of Court. notice to the parties or their counsel.
This includes an amended decision because an
amended decision is a distinct and separate MEMORANDUM DECISION
judgment and must follow the established procedural The judgment or final resolution of the appellate court
rule. may adopt by reference the findings of facts and
conclusions of law contained in the decision of the
For a Judgment to be Valid trial court.
1. In writing, personally and directly prepared by the
Judge ENTRY OF JUDGMENT AND FINAL ORDER
2. State clearly and distinctly the facts and law on
which it is based If no appeal or motion for new trial or reconsideration
3. Signed by judge and filed with clerk of court is filed within the reglementary period, the judgment
(Rule 36, Sec. 1) or final order shall be entered by the Clerk in the Book
of Entries of Judgment. Date of the finality of the
JUDGEMENT BY CONFESSION judgment or final order shall be deemed to be the
Rendered by the court after a party expressly agrees DATE OF ITS ENTRY. (Rule 36, Sec. 2)
to the other party’s claim or acknowledges the validity
of the claim against him. Judgment is deemed FINAL when it disposes of a
case in a manner that leaves NOTHING more to be

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done by the court in respect thereto. (Rule 36, Sec.
1)
General Rule: After judgment has become final and
executory, the court cannot amend the same.
Exceptions:
Amendment May Be Possible in the Following
Instances:
1. To make corrections of clerical errors but not
substantial amendments;
2. To clarify an ambiguity which is borne out by and
justifiable in the context of the decision; and
3. In judgments for support, which can always be
amended from time to time.
Entry of judgment or final order is important for the
reckoning of reglementary periods such as the 5-year
period for execution by motion or the 6-month period
for a petition for relief (Regalado, Remedial Law
Compendium, 9th Ed.)
The judgment or final order has the effect of RES
JUDICATA between the two parties.
RES JUDICATA has Two Aspects
1. Bar by Prior Judgment – the judgment or final
order is a bar to the prosecution of a subsequent
action based on the same claim or cause of
action.
2. Conclusiveness of Judgment – the judgment
or final order precludes the re-litigation of
particular issues or facts on a different demand
or cause of action.
Judgment For or Against One or More of Several
Parties Judgment MAY be given for or against one or
more of several plaintiffs, and for or against one or
more of several defendants.
When justice so demands, the court may require the
parties on each side to file adversary pleadings as
between themselves and determine their ultimate
rights and obligations. (Rule 36, Sec. 3)
SEVERAL JUDGMENTS
Judgment rendered by a court, when proper, against
one or more defendants and NOT against all of them
leaving the action to proceed against the others.
(Rule 36, Sec. 4)
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Several judgments is proper where:
1. The liability of each party is clearly separable and
distinct from his co-parties such that the claims
against each of them could have been the
subject of separate suits, and
2. The judgment for or against one of them will not
necessarily affect the other. (Fernandez v. Sta.
Maria, G.R. No. 160730, 2004)
It is NOT proper in actions against solidary debtors.
(Fernandez v. Sta. Maria, G.R. No. 160730, 2004)
SEPARATE JUDGMENT
Judgment rendered to dispose of one of the several
claims for relief presented in an action. (Rule 36, Sec.
5)
Separate Judgments are Made on One or Several
Claims
1. At any stage;
2. Upon a determination of the issues material to a
particular claim and all counterclaims arising out
of the transaction, or occurrence which is the
subject matter of the claim;
3. Such judgment terminates the claim, leaving the
action to proceed as to the remaining claims.
REMEDIES AGAINST JUDGMENTS OR FINAL
ORDERS (Riano 2015 p. 630)
Before Finality
1. Motion for Reconsideration
2. Motion for New trial
3. Appeal
After Finality
1. Relief from Judgment or Final Order
2. Annulment of Judgment
3. Petition for Certiorari
4. Collateral Attack of a Judgment
Judgment against Entity without Juridical
Personality
When judgment is rendered against two or more
persons sued as an entity without juridical
personality, the judgment shall set out their individual
or proper names, if known. (Rule 36, Sec. 6)
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T. MOTION FOR NEW TRIAL OR the defendant and it is

RECONSIDERATION sworn to by said
1. Rule 37 defendant, neither a
formal verification nor a
Requirements separate affidavit of
MOTION FOR NEW MOTION FOR merit is necessary.
TRIAL RECONSIDERATION (Capuz vs. CA, G.R.
Must be in writing; Must be in writing; No. 112795, 1994)
Affidavit of the Must point out
existence of specifically the Affidavit of Merit (for MNT)
fraud, accident, conclusion of One which recites the nature and character of FAME
mistake, or judgment or on which the motion for new trial is based. It must
excusable conclusions of the state the movant’s good and substantial cause of
negligence judgment or final action or defense and the evidence he/she intends to
(FAME) or newly order; present if the motion is granted which evidence
discovered Grounds: should be as such as to warrant reasonable belief
evidence (NDE); Excessive that the result of the case would probably be
If ground is FAME: damages otherwise.
Affidavit of merit Insufficient
setting forth the evidence Effect of Motion for New Trial or Reconsideration
particular facts (factual) and Notice Thereof
claimed to Contrary to law A motion suspends or tolls the running of the
constitute a (legal) (Rule reglementary period to appeal EXCEPT when it is
meritorious cause 37, Sec. 1) pro-forma.
of action; Specific assignment of
If ground is NDE: trial court findings PRO-FORMA MOTION (Rule 37, Section 2)
Affidavit of new that are challenged A motion that does NOT comply with Rule 15
witnesses; and with express (mandatory requirement of notice and hearing) and
Duly reference to Rule 37 (requirement that the motion must point out
authenticated testimonial or specifically the findings or conclusions of the
documents to documentary judgment as are contrary to law, fails to make
be introduced. evidence or to express reference to the testimonial or documentary
Written notice to provisions of law; evidence or to the provisions of law alleged to be
adverse party Written notice to contrary to such findings or conclusions, and is
(Rule 37, Sec. 2) adverse party (Rule 37, merely intended to delay the proceedings or if there
Sec. 2) is no affidavit of merit).
Exception:
The allegations A pro forma motion is a worthless piece of paper
contained in an affidavit which the clerk of court has no right to receive and
of merit required to be which the court has no authority to act upon.
attached to a motion to
lift an order of default or A motion for reconsideration is NOT pro forma just
for a new trial need not because it reiterated the arguments earlier passed
be embodied in a upon and rejected by the appellate court. This is
separate document but because a movant may raise the same arguments,
may be incorporated in precisely to convince the court that its ruling was
the petition itself. When erroneous. (Security Bank v. Cuenca, GR No.
a motion to lift an order 151914, 2002)
of default contains the
reasons for the failure Moreover, the rule (that a motion is pro forma if it only
to answer as well as the repeats the arguments in the previous pleadings) will
facts constituting the NOT apply if said arguments were not squarely
prospective defense of passed upon and answered in the decision sought to

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be reconsidered. (Ong Yong v. Tiu, GR No. 144476,
2003) Where the circumstances of a case do not
show an intent on the part of the pleader to merely
delay the proceedings, and his motion reveals a bona
fide effort to present additional matters or to reiterate
his arguments in a different light, the courts should
be slow to declare the same outright as pro forma.
The doctrine relating to pro forma motions has a
direct bearing upon the movant’s valuable right to
appeal. It would be in the interest of justice to accord
the appellate court the opportunity to review the
decision of the trial court on the merits than to abort
the appeal by declaring the motion pro forma, such
that the period to appeal was not interrupted and had
consequently lapsed (Philippine National Bank v.
Paneda, 515 SCRA 639, 649.
A motion for reconsideration is deemed pro forma if
the same does not specify the findings or conclusions
in the judgment, which are not supported by the ( Example: use of forged instruments or perjured
evidence or contrary to law, making express
reference to the pertinent evidence or legal
provisions. It is settled that although a motion for
reconsideration may merely reiterate issues already
passed upon by the court that by itself does not make
it pro forma and is immaterial because what is
essential is compliance with the requisites of the
Rules.
a) GROUNDS
GROUNDS FOR MOTION FOR NEW TRIAL
1. Extrinsic Fraud, Accident, Mistake, or Excusable
Negligence (FAME), which ordinary prudence
could not have guarded against and by reason of
which such aggrieved party has probably been
impaired in his rights
Newly discovered evidence (NDE), which could not,
with reasonable diligence, have been discovered
and produced at the trial, and which, if presented,
would probably alter the result
GROUNDS FOR MOTION FOR
RECONSIDERATION
1. The damages awarded are excessive;
2. The evidence is insufficient to justify the
decision or final order (factual question); or
3. The decision or final order is contrary to law
(legal question)
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COMMENTARY: GROUNDS FOR NEW TRIAL
Extrinsic Fraud
Extrinsic or collateral fraud, as distinguished from
intrinsic fraud, connotes any fraudulent scheme
executed by a prevailing litigant outside the trial of a
case against the defeated party, or his agents,
attorneys or witnesses, whereby said defeated party
is prevented from presenting fully and fairly his side
of the case. (Libudan vs. Gil, G.R. No. L-21163,
1972)
(Example: preventing a witness from testifying).
Note: Compare with intrinsic fraud – Intrinsic fraud
takes the form of acts of a party in a litigation during
the trial which did not affect the presentation of the
case, but did prevent a fair and just determination of
the case. (Libudan vs. Gil, G.R. No. L-21163, 1972)
testimony).
For the next three grounds: The ACCIDENT,
MISTAKE, and EXCUSABLE NEGLIGENCE must
be something which ordinary prudence could not
have guarded against and by reason of which the
party applying has probably been impaired in this
rights. (De Leon, Appellate Remedies, 2013, p.21)
Accident
An event that takes place without one’s reasonable
foresight or expectation. (McEntee v. Manotok, G.R.
No. L-14968, 1961)
Mistake
The general rule is that only mistakes of “fact” (as
opposed to mistake of “law”) may be a ground for new
trial.
Thus, the petitioner’s claim of having committed an
“honest mistake” in not filing an answer to
respondent’s petition for prohibition and declaratory
relief because of its belief that the RTC did not
acquire jurisdiction over it was held to be a “mistake
of law” which cannot be a ground for new trial. (De
Leon, Appellate Remedies, 2013, p.21, citing Viking
Industrial Corporation v. CA GR No. 143794, 2004)
However, the Supreme Court has on occasion
recognized a mistake in “law”, made in good faith,
and where such mistake misled a party, as a ground
for new trial. Regalado gives as examples of mistake
of “law” a mistake as to the scope and extent of the
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coverage of an ordinance (citing City of Iloilo vs.
Pinzon, L-7552, May 31, 1955) and a mistake of a
defendant who failed to file an answer to the
complaint (and consequently declared in default)
because the defendant relied on a compromise
agreement with the plaintiff. The defendant failed to
properly appreciate the effect of the compromise
agreement on the pending case. (Salazar vs. Salazar
G.R. No. L-2995, 1907)
Excusable Negligence
Depends upon the circumstances of the case.
Note: The test of excusable negligence is whether a
party has acted with ordinary prudence while
transacting important business. (Philippine
Phosphate Fertilizer Corporation v. Commissioner of
Internal Revenue G.R. No. 141973, 2005)
General Rule: Negligence of counsel is binding upon
the client.
Exception: Such negligence of counsel may be a
ground for new trial if it was so great that the party
was prejudiced and prevented from fairly presenting
his/her case, viz:
1. Where the gross negligence of counsel deprives
the client of due process of law;
2. When the application of the rule will result in the
outright deprivation of clienthe party was
prejudiced; and
3. Where the interest of justice so requires.
(Redena vs. CA, G.R. No. 146611, 2007)
4. Where gross negligence of counsel will deprive
or has deprived the party of his substantial
rights.
For a claim of counsel’s negligence to prosper,
nothing short of clear abandonment of the client’s
cause must be shown. (Multi-trans Agency v. Oriental
Assurance G.R. No. 180817, 2009)
Newly Discovered Evidence
Requisites to be Considered as Newly
Discovered Evidence:
1. The evidence was discovered after trial;
2. Such evidence could not hav been discovered
and produced at trial despite the exercise of
reasonable diligence; and
3. It is material, not merely cumulative,
corroborative or impeaching; and
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4. It is of such weight that, if admitted, will probably
change the judgment. (Tumang v. CA, G.R.
Nos. 82346-47, 1989)
Otherwise, it is barred and called Forgotten
Evidence.
Newly discovered evidence need not be newly
created evidence. It may and does commonly refer to
evidence already in existence prior or during trial.
(Tumang v. CA, G.R. Nos. 82346-47, 1989)
The question of whether evidence is newly
discovered has two aspects: a temporal one (where
was the evidence discovered), and a predictive one
(when should or could it have been discovered).
(Dinglasan v. CA, G.R. No. 145420, 2006)
If the documents belatedly submitted are public
records, they cannot be considered as “newly
discovered” since these could be secured during trial.
(Heirs of Emilio Santioque v. Heirs of Emilio Calma,
GR No. 160832, 2006)
COMMENTARY: GROUNDS FOR MOTION FOR
RECONSIDERATION
1. Damages awarded are excessive;
2. Evidence is insufficient to justify the decision or
final order; and
3. Decision or final order is contrary to law.
A motion for reconsideration must point out
specifically the findings or conclusions of the
judgment or final order which are not supported by
evidence or which are contrary to law, making
specific reference to the testimonial or documentary
evidence presented or to the provisions of law
alleged to be violated. (Cansino v. CA, G.R. No.
125799, 2003)
A winning litigant may also move for reconsideration
of a part or parts of a decision or final order.
(Balanoba v. Madriaga, GR No. 160109, 2005)
As a rule, a motion for reconsideration seasonably
filed in the Court of Appeals will NOT necessarily
preclude a motion for new trial as long as it was also
filed on time. Further, a denial of a motion for
reconsideration entitles the party who filed said
motion another 15 days to appeal by certiorari – the
same period within which a motion for new trial may
be filed. (Tiongco v. Deguma, GR No. 133619, 1990)
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Note: MOTIONS FOR EXTENSION OF TIME to file c) DENIAL OF THE MOTION; EFFECT
a motion for reconsideration may be filed only in
connection with cases pending before the Supreme MOTION FOR MOTION FOR
Court, which may in its sound discretion either grant
NEW TRIAL RECONSIDERATION
or deny the extension requested. (Habaluyas
Enterprises v Japson, GR No. 70895, 1986) If denied, not If denied, not
appealable; will have appealable; remedy is to
The Habaluyas ruling applies even if the motion is to wait for the appeal from the
filed before the expiration of the reglementary period. judgment and appeal judgment or final order.
(Fernandez v. CA, GR No. 131094, 2005) therefrom. Remedy is (Rule 37, Sec. 9)
to appeal from the
No motion for extension may be filed before any judgment or final This means that if the
lower courts, as stated in Sec. 2(2), Rule 40 and Sec. order. (Rule 37, Sec. motion is denied, the
2, Rule 41. 9) movant has a “fresh
period” of 15 days from
b) WHEN TO FILE If the motion is denied, receipt or notice of the
the movant has a order denying or
MOTION FOR MOTION FOR “fresh period” of 15 dismissing the motion for
NEW TRIAL RECONSIDERATION days from receipt or reconsideration from
notice of the order which to file a notice of
WHEN TO FILE denying or dismissing appeal. (Neypes v.
the motion for new trial Court of Appeals, G.R.
Within the period for Within the period for taking from which to file a No. 141524, 2005).
taking an appeal. an appeal. This is within notice of appeal.
This is within 15 days 15 days (or 30 days if a
(or 30 days if a record on appeal is
record on appeal is required) after receipt of d) GRANT OF THE MOTION; EFFECT
required) after notice to the appellant of
receipt of notice to the judgment or final order MOTION FOR MOTION FOR
the appellant of the appealed from. NEW TRIAL RECONSIDERATION
judgment or final
order appealed from. GRANT OF MOTION
WHERE TO FILE (Rule 37, Sec. 6)

If a new trial is If the court finds that

With the trial court With the trial court which
granted, the trial court excessive damages have
which rendered the rendered the questioned
will set aside the been awarded or that the
questioned judgment judgment or final order
judgment or final judgment or final order is
sought to be reconsidered
order. The case contrary to the evidence
stands for trial de or law, it may amend such
novo and will be tried judgment or final order
anew. accordingly.

PARTIAL GRANT OF MOTION

(Rule 37, Sec. 7)

Partial new trial is Partial reconsideration is

allowed where less allowed. If the court finds
than all of the issues that a motion affects the
are ordered retried. issues of the case as to
The court may either only a part, or less than all
enter a judgment or of the matters in
final order as to the controversy, or only one,

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rest or stay the or less than all, of the Final judgment or order distinguished from
interlocutory order
enforcement of such parties to it, the order may
judgment or final grant a reconsideration as
order until after new to such issues if Final judgment or order
trial. severable without A final judgment or order is one that finally disposes
interfering with the final of a case, leaving nothing more to be done by the
Court in respect thereto, e.g., an adjudication on the
judgment or order upon
the rest. 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
2. Remedy when motion is right; or a judgment or order that dismisses an action
denied, fresh 15-day period on the ground, for instance, of res judicata or
prescription. Once rendered, the task of the Court is
A party shall have a FRESH PERIOD of 15 days to ended, as far as deciding the controversy or
file a notice of appeal to the RTC from receipt of the determining the rights and liabilities of the litigants is
order denying a motion for new trial or motion for concerned.
reconsideration.
Nothing more remains to be done by the Court except
This rule shall apply to Rules 40, 41, 42, 43 and 45 to await the parties' next move and ultimately, of
(Neypes vs. CA, G.R. No. 141524, 2005) and in course, to cause the execution of the judgment once
criminal cases under Section 6 of Rule 122 of the it becomes "final" or, to use the established and more
Revised Rules of Criminal Procedure. (Yu vs. Tatad, distinctive term, "final and executory." (Philippine
G.R. No. 170979, 2011) Business Bank vs. Chua, G.R. No. 178899, 2010)

NOTE: The period is 30 days if record on appeal is Interlocutory order

required.
The fresh period does NOT refer to the period within
which to appeal from the order denying the motion for
reconsideration BUT to the period within which to
appeal from the judgment itself because an order
denying a motion for reconsideration is not
appealable.
————- end of topic ————-
U. EXECUTION, SATISFACTION AND
EFFECT OF JUDGMENTS (Rule 39)
1. DIFFERENCE BETWEEN FINAL JUDGMENT
FOR PURPOSES OF APPEAL; FOR PURPOSES
OF EXECUTION
FOR PURPOSES OF APPEAL
General Rule: Final judgments dispose of,
adjudicate, or determine the rights of the parties and
leave nothing to be adjudicated upon. Only final
judgments can be the subject of an appeal.
An interlocutory order does not finally dispose of the
case and does not end the Court's task of
adjudicating the parties' contentions and determining
their rights and liabilities as regards each other, but
obviously indicates that other things remain to be
done by the Court, is "interlocutory", e.g., an order
denying a motion to dismiss under Rule 16 of the
Rules. Unlike a final judgment or order, which is
appealable, an interlocutory order may not be
questioned on appeal except only as part of an
appeal that may eventually be taken from the final
judgment rendered in the case. (Philippine Business
Bank vs. Chua, G.R. No. 178899, 2010)
FOR PURPOSES OF EXECUTION:
Execution of a final and executory judgment is a
matter of right. A judgment is final and executory
when the law/rules do not provide for an appeal or
the period to appeal has lapsed without an appeal
being taken.
Final judgments distinguished from final and
executory judgments

Judgments are “FINAL” in a sense that they finally

dispose of, adjudicate, or determine the rights of the
parties. But such judgments are not yet final and
executory pending the period of appeal. During that

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period, execution of the judgment cannot be yet
demanded by the winning party as a matter of right.
Judgments become “FINAL AND EXECUTORY” by
operation of law. Finality of judgment becomes a fact
upon the lapse of the reglementary period to appeal
if no appeal is perfected. In such a situation, the
prevailing party is entitled to a writ of execution, and
issuance thereof is a ministerial duty of the court.
(Abrigo vs. Flores, G.R. No. 160786, 2013); (Feria
and Noche, Civil Procedure Annotated, 2013 ed., vol.
2, p.127)
Doctrine of Immutability of judgments
A judgment that has acquired finality becomes
immutable and unalterable, and may no longer be
modified in any respect even if the modification is
meant to correct erroneous conclusions of fact or law
and whether it will be made by the court that rendered
it or by the highest court of the land.
The doctrine of immutability and inalterability of a
final judgment has a two-fold purpose:
1. To avoid delay in the administration of justice and
thus, procedurally, to make orderly the discharge
of judicial business; and
2. To put an end to judicial controversies, at the risk
of occasional errors, which is precisely why
courts exist.
Exceptions:
1. Correction of clerical errors;
2. Nunc pro tunc entries that cause no prejudice to
any party;
3. Void judgments; and
4. Whenever circumstances transpire after the finality
of the decision rendering its execution unjust and
inequitable. (Apo Fruits and Hijo Plantation vs.
CA, G.R. No. 164195, 2009)
Note: A supervening event, to be sufficient to stay or
stop the execution, must alter or modify the situation
of the parties under the decision as to render the
execution inequitable, impossible, or unfair. The
supervening event cannot rest on unproved or
uncertain facts. (Abrigo vs. Flores, G.R. No. 160786,
2013)
Doctrine of immutability of a final judgment may be
relaxed only to serve the ends of substantial justice
in order to consider certain circumstances like:
1. Matters of life, liberty, honor or property;
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2. Existence of special or compelling
circumstances;
3. Merits of the case;
4. Cause not being entirely attributable to the fault
or negligence of the party favored by the
suspension of the doctrine;
5. Lack of any showing that the review sought is
merely frivolous and dilatory;
6. Other party will not be unjustly prejudiced by the
suspension. (Abrigo vs. Flores, G.R. No.
160786, 2013)
2. WHEN EXECUTION SHALL ISSUE
NO appeal may be taken from an order of execution.
A party desiring to assail an order of execution may
instead file an appropriate special civil action under
Rule 65 of the Rules of Court.
Requisites of a Writ of Execution
The writ must conform strictly to the decision or
judgment; it cannot vary the terms of the judgment it
seeks to enforce.
a) EXECUTION AS A MATTER OF RIGHT
When execution is a matter of right
On motion:
1. Upon judgment or order that disposes of the
action or proceeding;
2. Upon expiration of the period to appeal
therefrom and no appeal has been duly
perfected;
3. When appeal has been duly perfected and
resolved with finality. (Rule 39, Sec. 1)
Judgments and final orders which may be
executed as a matter of right even BEFORE
expiration of time to appeal:
(Note: Without need of advance notice or service of
a motion for execution on defeated party)
1. Judgment of lower court against defendant in
forcible entry and unlawful detainer (where the
defendant fails to post a supersedeas bond or
deposit the rentals with the court, or where the
appeal is from a decision of the regional trial
court against the defendant).
2. Judgment in action for injunction, receivership,
accounting and support, unless otherwise
ordered by the court.
3. Award, judgment, final order, or resolution of
quasi-judicial bodies appealable to the Court of
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Appeals. (Feria and Noche, Civil Procedure
Annotated, 2013 ed., vol. 2, p. 127)
Section 1 of Rule 39 of the Revised Rules of Court
does not prescribe that a copy of the motion for the
execution of a final and executory judgment be
served on the defeated party, like litigated motions
such as a motion to dismiss (section 3, Rule 16), or
motion for new trial (section 2, Rule 37), or a motion
for execution of judgment pending appeal (section 2,
Rule 39), in all of which instances a written notice
thereof is required to be served by the movant on the
adverse party in order to afford the latter an
opportunity to resist the application.
Once the judgment has become final and executory,
the prevailing party (judgment obligee) may, by
motion, ask for the issuance of a writ execution of
the judgment in the court of origin. (Far Eastern
Surety vs. Vda. de Hernandez, G.R. No. L-30359,
1975)
The prevailing party can have it executed as a matter
of right, and the judgment debtor need not be given
advance notice of the application for execution nor be
afforded prior hearings thereon. (De Mesa vs. CA,
G.R. No. 109387)
Elementary is the rule that every motion must contain
the mandatory requirements of notice and hearing
and that there must be proof of service thereof. The
rule, however, is NOT ABSOLUTE. There are
motions that can be acted upon by the court ex parte
if these would not cause prejudice to the other party.
They are not strictly covered by the rigid requirement
of the rules on notice and hearing of motions. A
motion for execution is such kind of motion. (Anama
vs. CA, G.R. No. 187021, 2012)
The issuance of the writ of execution is the
ministerial duty of the court. Thus, it is compellable
by MANDAMUS.
Exceptions (When the Court May Refuse
Execution):
1. Where the judgment turns out to be incomplete
or conditional;
2. Judgment is novated by the parties (e.g.
compromise);
3. Change in the situation of the parties which
would render execution of judgment unjust;
4. Execution is enjoined (e.g., there is a
preliminary injunction);
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5. Judgment has become dormant;
6. Execution is unjust or impossible.
A compromise agreement, once approved by final
order of the court, has the force of res judicata
between the parties and should not be disturbed
except for vices of consent or forgery. Hence, a
decision on a compromise agreement is final and
executory and it has the force of law and is conclusive
between the parties. It transcends its identity as a
mere contract binding only upon the parties thereto
as it becomes a judgment that is subject to execution
in accordance with the Rules of Court. (Sonley v.
Anchor Savings Bank/Equicom Savings Bank, G.R.
205623, 2016)
Grounds for Quashing a Writ of Execution
1. When the writ of execution varies the judgment;
2. When there has been a change in the situation
of the parties making the execution inequitable
or unjust;
3. When execution is sought to be enforced
against property exempt from execution;
4. When it appears that the controversy has never
been submitted to the judgment of the court;
5. When the terms of the judgment are not clear
enough and there remains room for
interpretation thereof;
6. When it appears that the writ of execution has
been improvidently issued;
7. When it appears that the writ of execution is
defective in substance, or is issued against the
wrong party or that the judgment debt has been
paid or otherwise satisfied, or the writ was
issued without authority.
You can also file a petition for certiorari under Rule
65 with prayer for TRO to restrain execution. (Albano,
Remedial Law Reviewer)
When execution of final and executory judgments
may be ENJOINED:
1. Upon filing of a petition for relief from judgment,
the court in which the petition is field may grant
preliminary injunction for the preservation of the
rights of the parties pending the proceedings;
2. In an attack against a judgment which is void for
lack of jurisdiction or was obtained through
fraud, the court in which the action for certiorari,
injunction, or annulment is filed may grant
preliminary injunction; and
3. On equitable grounds. (Feria and Noche, Civil
Procedure Annotated, 2013 ed., vol. 2, p. 130)
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General Rule: The dispositive portion of the decision
is that part that becomes the subject of execution.
Exceptions:
Where there is ambiguity, the body of the opinion
may be referred to for purposes of construing the
judgment. (Mutual Security Insurance Corporation v.
Court of Appeals, G.R. No. L-47018, 1987)
Where extensive and explicit discussion and
settlement of the issue is found in the body of the
decision. (Wilson Ong Ching Kian Chung, et al v.
Chinese National Cereals Oil and Foodstuffs Import
and Export Corp, et al. G.R. No. 131502, June 8,
2000)
b) DISCRETIONARY EXECUTION
A. Execution of a judgment or a final order
pending appeal
Requisites:
a. Motion for execution filed by the
prevailing party;
b. Notice of the motion to adverse party;
and
c. Good reasons stated in a special order
after due hearing. (Rule 39, Sec. 2)
On motion, WITH NOTICE to the adverse party, the
prevailing party may apply for a writ of execution of
judgment or final order pending appeal.
This must be done while trial court has jurisdiction
over the case and is in possession of either the
original record or record on appeal. The court
may, in its discretion, order execution even before the
expiration of the period for appeal.
After the trial court has lost jurisdiction, the motion
for execution pending appeal may be filed with the
appellate court.
Note: Awards for MORAL and EXEMPLARY
damages CANNOT be the subject of execution
pending appeal. (International School, Inc. (Manila)
v. CA, G.R. No. 131109, 1999) Unlike the actual
damages for which the petitioners may clearly be
held liable if they breach a specific contract and the
amounts of which are fixed and certain, liabilities with
respect to moral and exemplary damages as well as
the exact amounts remain uncertain and indefinite
pending resolution by the Intermediate Appellate
Court (now CA) and eventually the Supreme
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Court. (Radio Communications v. Lantin, G.R. No. L-
59311, 1985)
Note: Execution pending appeal is NOT applicable in
land registration proceedings.
What is a Good Reason
Good reasons consist of compelling circumstances
justifying immediate execution lest judgment
becomes illusory, or the prevailing party, after the
lapse of time, be unable to enjoy it, considering the
tactics of the adverse party who may have apparently
no cause but to delay. (Archinet International, Inc. v.
Beco Philippines, Inc. G.R. No. 183753, 2009)
Examples of GOOD REASONS:
That the appeal was being taken for the purpose of
delay. (Presbitero v. Roxas 73 Phil. 300, 1941)
Where the education of the person to be supported
would be unduly delayed. (Javier v. Lucero, et al.
G.R. No. L-6706, 1953)
The insolvency of the judgment debtor. (Archinet
International, Inc. v. Becco Philippines, Inc. G.R. No.
183753, 2009)
However, when there are several defendants and the
co-defendant is not insolvent, insolvency of a
defendant is not a good reason for execution.
(Philippine National Bank v. Puno G.R. No.
76018, 1989)
B. Execution of several, separate or partial
judgments.
Several separate or partial judgments MAY be
executed under the SAME terms and conditions
as execution of judgment or final order pending
appeal.
Note: An award for actual/compensatory
damages may be ordered executed pending
appeal, but not an award for moral or exemplary
damages.
Stay of Discretionary Execution
Stayed upon approval by the proper court of a
sufficient supersedeas bond filed by the party
against whom it is directed, conditioned upon the
performance of the judgment or order allowed to be
executed in case it shall be finally sustained in whole
or in part.
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The supersedeas bond is filed by the petitioner and
approved by the court BEFORE the judgment
becomes final and executory. It guarantees the
satisfaction of the judgment in case of affirmation on
appeal. (Rule 38, Section 3)
Note: Section 3 (Stay of Discretionary Execution)
finds application in ordinary civil actions where the
interest of the prevailing party is capable of pecuniary
estimation, and consequently, of protection, through
the filing of a supersedeas bond. Thus, the
penultimate sentence of Section 3 states: “[T]he bond
thus given may be proceeded against on motion with
notice to the surety.” Consequently, it finds no
application in election protest cases where
judgments invariably include orders which are not
capable of pecuniary estimation such as the right to
hold office and perform its functions. (Navarosa vs.
Comelec, G.R. No. 157957, 2003)
Judgments NOT Stayed By Appeal
General Rule: Judgment is stayed by appeal. If so
stayed, it is not yet executory.
Exceptions: Instances when judgments are
immediately executory:
1. Injunction;
2. Receivership;
3. Accounting;
4. Support;
5. Other judgments declared to be immediately
executory as ordered by the trial court. (Rule
39, Sec. 4)
These exceptions shall be enforceable after their
rendition and shall NOT be stayed by an appeal
taken therefrom UNLESS otherwise ordered by the
trial court.
On appeal therefrom, 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
may be considered proper for the security or
protection of the rights of the adverse party.
Effect of Reversal of Executed Judgment
The trial court may, on motion, issue such orders of
restitution or reparation of damages as equity and
justice may warrant under the circumstances. (Rule
39, Section 5)
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3. HOW JUDGMENT IS EXECUTED
a) EXECUTION BY MOTION OR BY
INDEPENDENT ACTION
A Final and Executory Judgment or Order may be
executed:
On motion, within five (5) years from entry; or
By filing an independent action for revival of
judgment after five (5) years but before ten
(10) years from entry.
The Revived Judgment may be enforced:
By motion, within five (5) years from date of its
entry; or
By action, after the lapse of five (5) years, before
it is barred by the statute of limitations. (Rule
38, Section 6)
Suspension of the Five (5) Year Period for
Execution by Motion
While the general rule is that a judgment can no
longer be affected by mere motion after five (5) years
from the date of entry, delays in the execution of the
judgment that are ATTRIBUTABLE TO THE
DEBTOR has the effect of SUSPENDING the
running of the prescriptive period for the enforcement
of the judgment.
Execution by Independent Action – REVIVAL OF
JUDGMENT
A revived judgment is deemed a new judgment,
separate and distinct from the original judgment.
Hence, the five (5) year period to enforce the
judgment by motion and the ten (10) year period to
enforce the judgment by action will run from the date
of finality of the revived judgment and not of the
original judgment.
The action for revival of judgment need not
necessarily be filed with the same court that decided
the case; it shall be filed in the RTC as one incapable
of pecuniary estimation.
Revival of Judgment Revival of Judgment
(Section 6) (Section 34)
An independent action Not an independent
assigned a new docket action; merely by
number with payment of motion filed in court
filing fees, assigned to a
new court
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Assumes that there is Assumes that a The Writ must:

1. Be issued in the name of the Republic of the
no execution within the judgment is executed
first five years within the first five years Philippines from the court, which granted the
motion;
The party who files the The party who files the 2. State the name of the court, the case number
action is the judgment motion is not the and title, the dispositive part of the subject
creditor himself, or his original judgment judgment or order; and
assignee, or successor- creditor but the highest 3. Require the sheriff or other proper officer to
in-interest bidder in the public enforce the writ according to its terms.
auction sale
The motion for execution and the writ of execution
Filed due to lapse of the Filed because movant must state specifically the amount of interest, costs,
five-year period is deprived of the damages, rents, or profits due as of the date of
property purchased issuance of the writ, aside from the principal
obligation.
Execution in case of death or party
In case of death of the judgment obligee, execution Special sheriffs for the service of a writ of execution
will issue upon the application of the executor or are not authorized by law.
administrator or successor-in-interest.
An appeal is the remedy for an order denying the
In case of death of judgment obligor: issuance of a writ of execution.
BEFORE levy:
1. Execution will issue if the action is for the Issuance of the corresponding writ of execution upon
recovery of real or personal property or any a final and executor judgment is a ministerial duty of
lien thereon. the court to execute which is compellable by
2. Execution will not issue if the action is for the mandamus (Ebero v. Cañizares, G.R. No. L-1397,
recovery of a sum of money. The judgment 1947)
obligee must file a claim against the estate of
the judgment obligor under Rule 86. c) EXECUTION OF JUDGMENTS FOR MONEY

AFTER levy: Execution will continue even in money
judgment. The property may be sold for the
satisfaction of the judgment obligation, and the
officer making the sale shall account to the
corresponding executor or administrator for any
surplus in his hands. (Rule 39, Section 7)
b) ISSUANCE AND CONTENTS OF A WRIT OF
EXECUTION
WRIT OF EXECUTION
A judicial writ issued to an officer authorizing him/her
to execute the judgment of the court.
Requisites:
1. Must strictly conform to the decision or
judgment which gives it life;
2. Cannot vary the terms of judgment it seeks to
enforce.
A Judgment for Money is enforced by:
1. Immediate payment on demand;
2. Satisfaction by levy;
3. Garnishment of debts and credits. (Rule 39,
Sec. 9)
Immediate payment on demand
Judgment obligor shall pay in cash, certified bank
check payable to the judgment obligee, or any other
form of payment acceptable to the latter of the full
amount stated in the writ of execution.
Satisfaction by levy
LEVY is an act by which an officer sets apart or
appropriates a part of the whole property of the
judgment debtor for purposes of the execution sale.
Levy is a pre-requisite to the auction sale. In order
that an execution sale may be valid, there must be a
previous valid levy. A sale not preceded by a valid
levy is void and the purchaser acquires no title.
(Valenzuela v. De Aguila, G.R. No. L-18083-83,
1963)

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The officer shall levy upon properties of the judgment
obligor not otherwise exempt from execution.
The judgment obligor exercises discretion to choose
which property to levy and if not exercised; the officer
shall levy first on personal property, then on real
property.
The sheriff shall sell only property sufficient to satisfy
the judgment and other lawful fees.
The levy on execution creates 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.
Mistaken Levy
Upon due application of the third person and after
summary hearing, the court may command that the
property be released from the mistaken levy and
restored to the rightful owner or possessor. What said
court can do in these instances, however, is limited
to a determination of whether the sheriff has acted
rightly or wrongly in the performance of his duties in
the execution of judgment, more specifically, if he has
indeed taken hold of property not belonging to the
judgment debtor. The court does not and cannot pass
upon the question of title to the property, with any
character of finality (Magdalena T. Villasi v. Filomena
Garcia, substituted by his heirs, namely, Ermelinda
H. Garcia, et al., G.R. No. 190106, 2014)
Garnishment of debts and credits
GARNISHMENT is an act of appropriation by the
court when the property of a debtor is in the hands of
a third person. It is a species of attachment for
reaching any property or credits pertaining or payable
to a judgment debtor.
Note: Garnishment is proper only when the judgment
to be enforced is one for payment of a SUM OF
MONEY. It cannot be employed to implement a
special judgment such as that rendered in a special
civil action for mandamus. (National Home Mortgage
vs. Alpajaro, G.R. No. 166508, 2009)
The sheriff may levy on debts due to the debtor, or
other credits, including bank deposits, financial
interests, royalties, commissions and other personal
property, not capable of manual delivery in the
possession or control of 3rd parties. Notice must be
served to the 3rd party.
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Note: The unused balance of an overdraft account is
not a credit subject to garnishment. (Feria and
Noche, Civil Procedure Annotated, 2013 ed., vol. 2,
p.181)
The garnishee or the 3rd person who is in possession
of the property of the judgment debtor is deemed a
forced intervenor.
d) EXECUTION OF JUDGMENTS FOR SPECIFIC
ACTS
Conveyance, delivery of deeds, or other specific
acts; vesting title.
If a party fails to comply within the time specified, the
court may direct the act to be done at the cost of the
disobedient party.
Sale of real or personal property
The officer must sell such property, describing it, and
apply the proceeds in conformity with the judgment.
Delivery or restitution of real property
The officer shall demand the losing party to
peaceably vacate the property within 3 working days,
and restore possession to judgment obligee;
otherwise, the officer shall oust such disobedient
party.
Removal of improvements on property subject of
execution
Officer shall not destroy, demolish, or remove
improvements except upon special order of the court.
Delivery of personal property
The officer shall take possession of the same and
forthwith deliver it to the party entitled to satisfy any
judgment for money as therein provided. (Rule 39,
Section 10)
If the party refuses to vacate the property, the Sheriff
must oust the party. But if demolition is involved,
there must be a special order.
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 to break
open the premises where there is no occupant
therein. (Arcadio v. Ylagan, A.C. No. 2734, July 30,
1986)
When the party refuses to comply, the court can
appoint some other person at the expense of the
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disobedient party and the act done shall have the
same effect as if the disobedient party performed it.
e) EXECUTION OF SPECIAL JUDGMENTS
SPECIAL JUDGMENT
One which can only be complied with by the
judgment obligor because of his/her personal
qualifications or circumstances.
For example, a judgment granting a petition for
mandamus is a special judgment, since a writ of
mandamus is a command directed to an inferior
court, tribunal, or board, or to some corporation or
person, requiring the performance of a particular
duty, and which duty results from the official station
of the party to whom the writ is directed, or from
operation of law. (National Housing Mortgage
Finance Corporation v. Abayari, G.R. No. 166508,
2009)
Requisites:
1. The judgment requires performance of any act
other than payment of money, or the sale or
delivery of real or personal property.
2. A certified copy of the judgment shall be:
a. Attached to the writ of execution; and
b. Served by the office upon:
3. Party against whom the judgment is rendered;
4. Any other person required by the judgment or
by law to obey the writ. (Rule 39, Sec. 11)
Failure to comply with special judgment under Rule
39, Section 11 is punishable by contempt by
imprisonment. This is an exception to the rule that
contempt is not a remedy to enforce a judgment.
f) EFFECT OF LEVY ON THIRD PERSONS
A levy creates 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.
4. PROPERTIES EXEMPT FROM EXECUTION
Except as otherwise expressly provided by law, the
following property, and no other, shall be EXEMPT
from execution:
1. Family home, or homestead, land necessarily
used in connection therewith.
2. Ordinary tools and implements used in trade,
employment, or livelihood.
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3. Three (3) horses, cows, carabaos, or other
beast of burden necessarily used in his/her
ordinary occupation.
4. Necessary clothing and articles for ordinary
personal use, except jewelry.
5. Household furniture and utensils necessary for
housekeeping that is ≤ P100K.
6. Provisions for individual or family use sufficient
for 4 months.
7. Professional libraries and equipment.
8. One fishing boat and accessories ≤ P100K used
in livelihood.
9. Salaries, wages, or earnings as are necessary
for support of family within 4 months preceding
levy.
10. Lettered gravestones.
11. Monies, benefits, privileges, or annuities
accruing out of any life insurance; and
12. Properties specially exempt from execution.
Other EXEMPTIONS:
1. Property mortgaged to DBP. (Section 26, C.A.
458)
2. Property taken over by Alien Property
Administration. (Section 9[f], US Trading With
The Enemy Act)
3. Savings of national prisoners deposited with the
Postal Savings Bank. (Act 2489)
4. Backpay of pre-war civilian employees. (R.A.
304)
5. Philippine Government backpay to guerillas.
(R.A. 897)
6. Produce, work animals, and farm implements of
agricultural lessees, subject to limitations.
(Section 21, R.A. 6389)
7. Benefits from private retirement systems of
companies and establishments, with limitations.
(R.A. 4917)
8. Labor wages, except for debts incurred for food,
shelter, clothing, and medical attendance. (Civil
Code, Art. 1708)
9. Benefit payments from the SSS. (Section 16
R.A. 1161 as amended by P.D.s 24, 65, and
177)
10. Copyrights and other rights in intellectual
property under the former copyright law. (P.D.
49 cf. Section 239.3, R.A. 8293)
11. Bonds issued under R.A. 1000. (NASSCO v.
CIR G.R. No. L-17874, 31 August 1963;
Regalado, F. Remedial Law Compendium Vol.
1, 9th ed., pp. 481-482)
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But no article or species of property mentioned in this
section shall be exempt from execution issued upon
a judgment recovered for its price or upon a judgment
of foreclosure of a mortgage hereon.
Based on Section 8(g) of R.A. 9262 (Anti-Violence
Against Women and Their Children Act), the court
has the power to direct the employer to withhold the
appropriate amount from the Respondent’s salary
and to automatically remit the same to the woman,
despite what other laws provide. The Supreme Court
ruled that Section 8(g) of R.A. 9262, which is a later
law, should be understood to be an exception to the
general rule prohibiting garnishment of the benefits.
In addition, the Supreme Court declared that the
law’s use of the term “employer” applies to all
employers, whether private or government. (Republic
of the Philippines vs. Daisy R. Yahon, G.R. No.
201043, June 16,2014)
Return of Writ of Execution
The writ of execution shall be returnable to the court
immediately after the judgment has been satisfied
in part or in full.
If the judgment cannot be satisfied in full within thirty
(30) days after receipt of the writ, the officer shall
report to the court and state the reason therefor.
(Rule 39, Sec. 4)
Lifetime of the Writ of Execution
The writ shall continue in effect during the period
within which the judgment may be enforced by
motion. (Rule 39, Sec. 4) Thus, the writ is
enforceable within the five (5) year period from entry
of judgment.
NOTICE OF SALE of Property on Execution
If PERISHABLE property: By posting written notice
of the time and place of the sale in three (3) public
places, preferably in conspicuous areas of the
municipal or city hall, post office and public market
where the sale is to take place, for such time as may
be reasonable, considering the character and
condition of the property.
OTHER PERSONAL property: By posting similar
notice in three (3) public places above-mentioned for
not less than five (5) days.
If REAL property: By posting for 20 days in three (3)
public places particularly describing the property and
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stating where the property is to be sold, and if the
assessed value of the property exceeds P50,000, by
publishing a copy of the notice once a week for two
(2) consecutive weeks in one (1) newspaper selected
by raffle (whether in English, Filipino, or any major
regional language published, edited and circulated
or, in the absence thereof, having general circulation
in the province or city).
In all cases, written notice of the sale shall be given
to the judgment obligor, at least three (3) days before
the sale, except as provided in paragraph (a) where
notice shall be given at any time before the sale. It
shall specify the place, date and exact time of sale
(between 9AM and 2PM). (Rule 39, Sec. 15)
PLACE OF SALE
May be agreed upon by the parties; or
In the absence of such agreement, the sale will be
held in:
1. Sale or Real or Personal Property NOT
Capable of Manual Delivery:
a. Office of the Clerk of Court of MTC or
RTC which issued the writ or was
designated by the appellate court
2. Sale of Personal Property Capable of Manual
Delivery:
a. Place where property is located. (Rule
39, Sec. 15)
5. PROCEEDINGS WHERE PROPERTY IS
CLAIMED BY THIRD PERSONS
Who May File Third Party-Claims
Any other person other than the judgment obligor or
his agent. (Third-part claimant)
Time to File a Third-Party Claim
The third (3rd) party claim (terceria) may be filed at
any time, so as long as the sheriff has the possession
of the property levied upon, or before the property is
sold under execution.
Purpose of Third-Party Claim:
1. To recover the property levied on by the sheriff,
although the claimant may vindicate his claim by
any proper action even if he has not filed a third-
party claim.
2. To hold the sheriff liable for damages for the
taking or keeping of such property, which action
for damages, however, must be brought within
120 days from the date of the filing of the bond.
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(Feria and Noche, Civil Procedure Annotated,
2013 ed., vol. 2, p. 211)
Procedure in Making a Third-Party Claim
Third (3rd) Party Claimant should:
1. Make an affidavit of his/her title thereto, or
right of possession thereof, stating the grounds
of such right or title; and
2. Serve such affidavit upon the sheriff and a copy
thereof upon the judgment obligee.
Effect: The Officer shall not be bound to keep the
property, UNLESS the Judgment Obligee, on
demand the officer files an INDEMNITY BOND
approved by the court to indemnify the third party
claimant in a sum not less than the value of the
property levied on.
In case of disagreement as to the value of the
property, the Court issuing the writ shall determine
the same.
The Officer shall not be liable for damages to any
third-party claimant if such bond is filed by the
judgment obligee for the taking or keeping of the
property.
Nothing herein contained shall prevent such claimant
or any third person from vindicating his claim to the
property in a SEPARATE action. (Rule 39, Section
16)
However, the judgment obligee can claim damages
against a third-party claimant who filed a frivolous or
plainly spurious claim, and such judgment obligee
can institute proceedings therefor in the SAME or
SEPARATE action.
When the writ of attachment is issued in favor of the
Republic of the Philippines, or any officer duly
representing it, the filing of such bond shall NOT be
required, and in case the sheriff is sued for damages
as a result of the attachment, he shall be represented
by the Solicitor General, and if held liable therefor,
the actual damages adjudged by the court shall be
paid by the National Treasurer out of the funds to be
appropriated for the purpose. (Rule 39, Sec. 14)
The third-party claimant may execute an affidavit of
his title or right to the possession of the property
levied, and serve the same to the officer making the
levy and a copy thereof to the judgment creditor. This
remedy is known as terceria. The officer shall not be
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bound to keep the property, unless the judgment
creditor 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. (PSALM v.
Maunlad Homes, GR No. 215933, 8 February 2017).
a) IN RELATION TO THIRD-PARTY CLAIM IN
ATTACHMENT AND REPLEVIN
Proceedings where property is claimed by a third
person are the same as to a judgment obligee (final
and executory judgments), an attaching party
(attachment), and an applicant praying for
recovery of possession of personal property
(replevin), EXCEPT that the amount of the
INDEMNITY BOND they file differs.
ATTACHMENT (Rule 57)
To keep the property in the possession of the sheriff,
the ATTACHING PARTY or his AGENT, on demand
of the sheriff, shall file a BOND approved by the court
to indemnify the third-party claimant in a sum not
less than the value of the property levied upon.
(Rule 57, Sec. 14)
Remedy: Nothing shall prevent a claimant or any
third person from vindicating his claim to the property,
or prevent the attaching party from claiming damages
against a third-party claimant who filed a frivolous or
plainly spurious claim, in the SAME or a SEPARATE
action. (Rule 57, Sec. 14)
Under Rule 39, Sec. 16, the third party claimant does
not have a remedy in the same action because
intervention is only allowed before judgment. His
remedy is a separate action. However, in Villasi v.
Garcia, (G.R. No. 190106, 2014), the third party
claimant can file a motion for SUMMARY HEARING.
Replevin
To keep the property in the possession of the sheriff
or to have the latter deliver the property to the
applicant, the APPLICANT or his AGENT, on
demand of said sheriff, shall file a bond approved by
the court to indemnify the third-party claimant in a
sum not less than double the value of the
property as stated in the applicant’s affidavit. (Rule
60, Sec. 7)
Remedy: Nothing shall prevent claimant or any 3rd
person from vindicating his claim to the property, or
prevent the applicant from claiming damages against
a 3rd-party claimant who filed a frivolous or plainly
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spurious claim, in the SAME or a SEPARATE action. General Banking Law of

(Rule 60, Sec. 7)
2000)

EXECUTION SALE If the mortgagee is a

non-banking institution,
Penalty for selling without notice, or removing or there is no right to
defacing notice
redeem.
The following are liable for actual and punitive
damages: Title acquired after the Title acquired upon
1. An officer selling without the notice required expiration of the period entry of the
under Section 15; and of redemption when the confirmation and
2. A person willfully removing or defacing the final deed of registration of the
notice posted, if done before the sale, or conveyance is foreclosure sale
before satisfaction of judgment if satisfied executed
before the sale.
Refusal of Purchaser to Pay
Actual and punitive damages may be recovered by
The officer may again sell the property to the highest
motion in the same action. (Rule 39, Sec. 17)
bidder and shall not be responsible for any loss
occasioned thereby. But the court may order the
No Sale if Judgment and Costs Paid refusing purchaser to pay to the court the amount of
At any time before the sale of property on execution, such loss with costs. The court may punish him/her
the judgment obligor may prevent the sale by paying for contempt if he/she disobeys the order. The officer
the amount required by the execution and the costs may then reject any subsequent bid of such
that have been incurred therein. (Rule 39, Sec. 18) purchaser who refuses to pay. (Rule 39, Sec. 20)

How property sold on execution; who may direct
manner and order of sale
Sales of property under execution must be made:
1. At public auction.
2. To the highest bidder.
3. To start at the exact time fixed in the notice.
If Judgment Obligee is Purchaser
When the purchaser is the judgment obligee, and no
third party claim has been filed, he/she need not pay
the amount of the bid if it does not exceed the amount
of his/her judgment. If it does, he/she shall pay only
the excess. (Rule 39, Sec. 21)

After sufficient property has been sold to satisfy the Adjournment of Sale
execution, no more shall be sold and any excess With written consent of the judgment obligor and
shall be promptly delivered to the judgment obligor or obligee or their duly authorized representatives: The
his/her authorized representative, unless otherwise officer may adjourn the sale to any date and time
directed by the judgment or order of the court. (Rule agreed upon by them.
39, Sec. 19)
Without such written consent: The officer may
Ordinary Sale on Sale in Judicial adjourn the sale from day to day if it becomes
Execution Foreclosure of necessary to do so for lack of time. (Rule 39, Sec. 22)
Mortgage
Conveyance to Purchaser of Personal Property
No need for Must be confirmed by Capable of Manual Delivery
confirmation of the the court When the purchaser pays the purchase price, the
court officer making the sale must deliver the property to
the purchaser and, if desired, execute and deliver to
Right of redemption No right of redemption
him/her a certificate of sale. (Rule 39, Sec. 23)
exists when property is except by the
real mortgagor where the
Conveyance to Purchaser of Personal Property
mortgagee is a bank or
NOT Capable of Manual Delivery
a banking institution.
When the purchaser pays the purchase price, the
(See Section 47 of
officer must execute and deliver a certificate of sale.

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The certificate conveys to the purchaser all the rights
which the judgment obligor had in the property as of
the date of the levy on execution or preliminary
attachment. (Rule 39, Sec. 24)
Note: The execution and delivery of a certificate of
sale is mandatory for personal property not capable
of manual delivery (unlike in conveyance of personal
property capable of manual delivery). This
constitutes symbolic delivery.
Conveyance of Real Property; Certificate thereof
Given to Purchaser and Filed with the Registry of
Deeds
The officer must give to the purchaser a certificate of
sale.
Contents of CERTIFICATE OF SALE:
1. A particular description of the real property sold.
2. The price paid for each distinct lot or parcel.
3. The whole price paid by him/her.
4. A statement that the right of redemption expires
1 year from the date of the registration of the
certificate of sale. (Rule 39, Sec. 25)
Note: The certificate of sale in this case is merely
provisional. No court confirmation is required.
Certificate of Sale Where Property is Claimed by
Third Person
The certificate of sale must make express mention of
the existence of such third-party claim. (Rule 39, Sec.
26)
6. RULES ON REDEMPTION
Right of redemption
1. Personal Property - no right because the sale is
absolute.
2. Real Property - right is given.
Who may redeem REAL property
1. The JUDGMENT OBLIGOR; or his
SUCCESSOR IN INTEREST in the whole or
any part of the property;
2. A creditor having a lien by virtue of an
attachment, judgment or mortgage on the
property sold, or on some part thereof,
subsequent to the lien under which the property
was sold. Such redeeming creditor is termed a
REDEMPTIONER. (Rule 39, Sec. 27)
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Period to redeem
Judgment Debtor:
1. Within one (1) year from the date of registration
of the certificate of sale.
Redemptioner:
1. Within one (1) year from the date of registration
of the certificate of sale if he/she is the first
redemptioner; and
2. Within 60 days from the last redemption, if
he/she is a subsequent redemptioner. (Rule 39,
Sec. 28)
Note: The periods for redemption are not extendible
or interrupted. The parties may, however, agree on
a longer period. In such case, it would be a
conventional redemption. (Lazo v. Republic Surety &
Insurance Co., G.R. No. 27365, 1970)
The judgment debtor has always one year from the
registration of the certificate of sale within which to
redeem, regardless of whether there have been any
prior redemptions and the date of such redemptions;
and the moment said judgment debtor redeems,
there shall be no further redemption.
The redemptioner, on the other hand, must redeem
within the one-year period, if he is the first
redemptioner, and within 60 days from the last
redemption, if he is a subsequent redemptioner,
provided that the judgment debtor has not exercised
his right of redemption. (Regalado, Remedial Law
Compendium, Vol. I, Sixth Revised Edition, p. 457)
Redemption price
By the judgment obligor or first redemptioner:
1. Purchase price.
2. 1%interest per month thereon, up to the time of
redemption.
3. Any amount of assessments or taxes which the
purchaser may have paid thereon after
purchase and interest on such last named
amount at the same rate. and
4. If the purchaser be also a creditor having a prior
lien to that of the redemptioner, other than the
judgment under which such purchase was
made, the amount of such other lien, with
interest.
By subsequent redemptioners:
1. Amount paid on the last redemption.
2. 2% interest per month thereon.
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3. Any amount of assessments or taxes which the
last redemptioner may have paid thereon after
redemption by him/her with interest on such last
named amount; and
4. Amount of any liens held by said last
redemptioner prior to his/her own, with interest.
5. The offer to redeem must be accompanied by a
bona fide tender of redemption price. But a
formal offer to redeem with a tender is not
necessary when the right to redeem is
exercised through the filing of a complaint to
redeem in the courts, within the period to
redeem.
Certificate of Redemption
The person to whom redemption is made must
execute and deliver a certificate of redemption
acknowledged before a notary public or other officer
authorized to take acknowledgments of conveyances
of real property. (Rule 39, Sec. 29)
Proof of redemption required by redemptioner
A redemptioner must produce to the officer, or person
from whom he/she seeks to redeem, and serve with
his/her notice to the officer:
1. A copy of the judgment or final order certified
by the clerk of the court wherein the judgment
or final order is entered; or,
2. If he/she redeems upon a mortgage or other
lien, a memorandum of the record thereof,
certified by the registrar of deeds, or an original
or certified copy of any assignment
necessary to establish his/her claim; and
3. An affidavit executed by him/her or his/her
agent, showing the amount then actually due on
the lien. (Rule 39, Sec. 30)
Manner of Using Premises Pending Redemption;
Waste Restrained
Until the expiration of the time allowed for
redemption, the court may, as in other proper cases,
restrain the commission of waste on the property by
injunction, on the application of the purchaser or the
judgment obligee, with or without notice. (Rule 39,
Sec. 31)
What is NOT Considered Waste that can be
Restrained
It is NOT waste for a person in possession of the
property at the time of the sale, or entitled to
possession afterwards, during the period allowed for
redemption:
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a. To continue to use it in the same manner in
which it was previously used; or
b. To use it in the ordinary course of husbandry; or
c. To make the necessary repairs to buildings
thereon while he/she occupies the property.
(Rule 39, Sec. 31)
Rents, earnings and income of property pending
redemption
All rents, earnings and income derived from the
property pending redemption shall belong to the
judgment obligor until the expiration of his/her period
of redemption. (Rule 39, Sec. 31)
Deed and possession to be given at expiration of
redemption period; by whom executed or given
If NO redemption is made within one (1) year
from the date of the registration of the
certificate of sale - the purchaser is entitled
to a conveyance and possession of the
property.
If redeemed whenever sixty (60) days have
elapsed and no other redemption has been
made, and notice thereof given, and the time
for redemption has expired – the last
redemptioner is entitled to the conveyance
and possession.
In all cases the judgment obligor shall have the entire
period of one (1) year from the date of the
registration of the sale to redeem the property.
The deed shall be executed by:
a. The officer making the sale; or
b. His/her successor in office.
Recovery of price if sale not effective; revival of
judgment
The purchaser may recover the purchase price if:
1. The purchaser or his/her successor-in-
interest, fails to recover the possession
thereof; or
2. Is evicted therefrom:
a. In consequence of irregularities in the
proceedings concerning the sale; or
b. Because the judgment has been
reversed or set aside; or
c. Because the property sold was exempt
from execution; or
d. Because a third person has vindicated
his/her claim to the property.
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The purchaser may:
1. File a motion in the same action or in a
separate action to recover from the judgment
obligee the price paid, with interest, or so
much thereof as has not been delivered to the
judgment obligor, or
2. File a motion to have the original judgment
revived in his/her name for the whole price
with interest, or so much thereof as has been
delivered to the judgment obligor. (Rule 39,
Sec. 34)
Note: The judgment so revived shall have the same
force and effect as an original judgment would have
as of the date of the revival and no more.
Right to contribution or reimbursement
Contribution and reimbursement may be obtained in
a separate action, unless cross claims have been
filed and adjudicated in the same action, in which
case, execution may issue to compel contribution or
reimbursement. (Feria and Noche, Civil Procedure
Annotated, 2013 ed., vol 2)
7. EXAMINATION OF JUDGMENT OBLIGOR
WHEN JUDGMENT IS SATISFIED
Upon return of writ of execution, and judgment is still
unsatisfied, the creditor may ask the court to require
the debtor to appear and his/her property or income
be examined. (Rule 39, Sec. 6)
Limitation
No judgment obligor shall be required to appear
before a court or commissioner outside the province
or city in which such obligor resides or is found.
8. EXAMINATION OF DEBTORS OF THE
JUDGMENT OBLIGOR
The court may order to be examined any person or
corporation who has property of the debtor, or is
indebted to the debtor in order to bind the credits due
to debtor. (Rule 39, Sec. 37)
Enforcement of Attendance and Conduct
Examination
A party or other person may be compelled, by
order or subpoena, to attend before the court
commissioner to testify as provided in Sections
and 37. (Rule 39, Sec. 38)
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9. EFFECT OF JUDGMENT AND FINAL ORDERS
Effects of Judgments IN REM
In case of a judgment or final order:
a. Against a specific thing; or
b. In respect to the probate of a will; or
c. The administration of the estate of a deceased
person; or
d. In respect to the personal, political, or legal
condition or status of a particular person or his
relationship to another (Example:
naturalization, adoption, and annulment of
marriage)
The judgment or final order is CONCLUSIVE upon
the title to the thing, the will or administration or the
condition, status or relationship of the person.
Exception: The probate of a will or granting of
letters of administration shall only be PRIMA
FACIE evidence of the death of the testator or
intestate. (Rule 39, Sec. 47)
Effects of Judgments IN PERSONAM
In OTHER CASES, the judgment or final order is,
with respect to the matter directly adjudged or as to
any other matter that could have been missed in
relation thereto, CONCLUSIVE between the parties
and their successors in interest, by title subsequent
to the commencement of the action or special
proceeding, litigating for the same thing and under
the same title and in the same capacity. (RES
JUDICATA or BAR BY PRIOR JUDMENT)
Q: Spouses X filed 2 Civil Cases regarding a
parcel of land. The first case was a complaint for
specific performance. The RTC’s decision, which
was upheld by the CA, granted the Spouses X’s
prayer to declare the sale over the subject
property made by Corporation A to another null
and void, as well as ordering Corporation A to
execute a deed of conveyance in favor of
petitioners Sps. Pozon.
Subsequently, Y filed a Petition for Queiting of
Title regarding the same parcel of land. The RTC
of and CA ruled in favor of Y’s ownership. Hence,
Spouses X argued that there were two previously
decided cases resolved in favor of them, and it
an
touched upon the same subject matter as Y’s
or
Petition for Queiting of Title. That the specific
36 case, specifically, is conclusive upon the court a
quo with respect to their ownership over the
subject property. Is the resolution of the specific
perfrmance case in favor of Spouses X
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conclusive upon the court with regards to their
ownership?
A: NO. The right of ownership over the subject
property was not at all an issue in the Specific
Performance Case. In fact, in the said Decision, it
was made clear that petitioners Sps. X did not pray
that they be declared the owners of the subject
property. Instead, their prayer was limited only to the
nullification of the sale
Further, it must be emphasized that the Specific
Performance Case did not dwell whatsoever on the
issues surrounding respondent Y's claim of
ownership over the subject property. In fact, it must
be stressed that Y was not even impleaded in the
Specific Performance Case.
Lastly, the Specific Performance Case invoked by
petitioners Sps. X in the instant case, is an action in
personam. And being a judgment in personam, the
judgment is binding ONLY upon the parties properly
impleaded therein. (Spouses Pozon v. Lopez, G.R.
No. 210607 (Resolution), [March 25, 2019])
In ANY OTHER LITIGATION BETWEEN THE
SAME PARTIES OR THEIR SUCCESSORS IN
INTEREST, that only is deemed to have been
adjudged in a former judgment or final order which
appears upon its face to have been so adjudged, or
which was actually and necessarily included therein
or necessary thereto. (ESTOPPEL BY JUDGMENT
OR CONCLUSIVENESS OF JUDGMENT)
Judgment is deemed CONCLUSIVE when the issues
actually and directly resolved in a former suit cannot
again be raised in any future case between the same
parties involving a different cause of action.
Res Judicata or Bar By Prior Judgment
A judgment or decree of a court of competent
jurisdiction concludes the litigation between the
parties and their successors or privies and bars a
new action or suit involving the same cause of action.
Res Judicata v Conclusiveness of Judgment
Res judicata (meaning, a “matter adjudged”) is a
fundamental principle of law which precludes parties
from re-litigating issues actually litigated and
determined by a prior and final judgment. There is a
bar by prior judgment where there is identity of
parties, subject matter, and causes of action between
the first case where the judgment was rendered and
the second case that is sought to be barred. There is
conclusiveness of judgment, on the other hand,
where there is identity of parties in the first and
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second cases, but no identity of causes of action. (De
Leon v Dela Llana, G.R. No. 212277, 2015)
Estoppel by Judgment or Conclusiveness of
Judgment
Any right, fact or matter in issue which has been
directly adjudicated upon or is necessarily
involved in the determination of the action by a
competent court is conclusively settled by the
judgment or final order and CANNOT be litigated
again by the parties and their privies.
Generally, decisions in administrative cases are not
binding on criminal proceedings. Thus, an absolution
from a criminal charge is not a bar to an
administrative prosecution or vice versa. However,
this case does not involve and administrative charge
stemming from the same set of facts involved in the
criminal proceeding. The DARAB case involves a
determination of whether there exists a tenancy
relationship between X and Y, while the criminal case
involves determination of whether X committed theft.
However, the tenancy relationship is a factor in
determining all the elements of theft. Hence, findings
of fact of administrative agencies in the exercise of
quasi-judicial powers are entitled to respect if
supported by substantial evidence. (People v Ligtas
G.R. 200751, August 17, 2015)
10. ENFORCEMENT AND EFFECT OF FOREIGN
JUDGMENTS OR FINAL ORDERS
In case of a judgment or final order UPON A
SPECIFIC THING:
The judgment or final order is conclusive upon
the title to the thing.
In case of a judgment or final order AGAINST A
PERSON:
The judgment or final order is presumptive
evidence of a right as between the parties and
their successors in interest by a subsequent title.
In EITHER case, the judgment or final order may be
REPELLED by evidence of a:
1. Want of jurisdiction;
2. Want of notice to the party;
3. Collusion;
4. Fraud; or
5. Clear mistake of law or fact.
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ENFORCEMENT
In order to enforce a foreign judgment in the
Philippines, it is necessary to file an action based
on said judgment. A foreign judgment is presumed
valid and binding in the country from which it comes,
until the contrary is show. (Feria and Noche, Civil
Procedure Annotated, 2013 ed., vol. 2, p. 287)

RECOGNITION
A defendant in a Philippine court may invoke a
foreign judgment as res judicata in his defense. It is
not necessary to institute a separate action or
proceeding for recognition of the foreign judgment,
as long as the parties opposed to the judgment on
the grounds of want of jurisdiction, want of notice to
the party, collusion, fraud, or clear mistake of law or
fact, have the opportunity to challenge the foreign
judgment. (Feria and Noche, Civil Procedure
Annotated, 2013 ed., vol. 2, p. 288)

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