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Table of Contents C. Preliminary Injunction (Rule 58) ........ 153

D. Receivership (Rule 59) ............................ 158
REMEDIAL LAW .................................. 1 E. Replevin (Rule 60) ..................................... 161

I. GENERAL PRINCIPLES IN REMEDIAL V. SPECIAL CIVIL ACTIONS .................. 166

LAW ..................................................................... 1 A. Jurisdiction and Venue ..................... 166
A. Distinguish: Substantive Law and
Remedial Law .......................................................... 1 B. Interpleader .......................................... 166
B. Rule-Making Power of the Supreme Court C. Declaratory Reliefs and Similar
....................................................................................... 1
Remedies ..................................................... 168
C. Principle of Judicial Hierarchy .................... 1
D. Doctrine of Non-Interference/ Judicial D. Certiorari, Prohibition, and
Stability ...................................................................... 2 Mandamus ................................................... 171
II. JURISDICTION ............................................ 4 1. Definitions and Distinctions .................. 171
A. Classification of Jurisdiction ........................ 4 2. Requisites ...................................................... 173
B. Adherence of Jurisdiction ............................. 4 3. When and Where to File Petition ......... 175
C. Jurisdiction of Various Philippine Courts 4. Reliefs Petitioner is Entitled to ............. 176
and Tribunals .......................................................... 4 5. Effects of Filing of an Unmeritorious
D. Aspects of Jurisdiction ................................ 12 Petition ................................................................ 176
E. Distinguish: Jurisdiction vs. Exercise of 6. Filing of MR before filing of petition . 176
Jurisdiction ............................................................ 15 E. Quo Warranto ....................................... 177
F. Distinguish: Jurisdiction vs. Venue ........ 15
G. Jurisdiction over cases covered by F. Expropriation ........................................ 180
Barangay Conciliation and cases covered by 1. Two Stages in Every Action for
the Rules on Expedited Procedures in the Expropriation .................................................... 180
First Level Courts ............................................... 15 2. Propriety of Expropriation ..................... 181
3. Ascertainment of Just Compensation .. 182
III. CIVIL PROCEDURE ............................... 19 4. Appointment of Commissioners .......... 182
A. General Provisions (Rule 1) ...................... 19 5. Effect of Recording Judgment ................ 184
B. Kinds of Actions ............................................. 20 6. Guidelines for Expropriation Proceedings
C. Cause of Action (Rule 2) ............................. 21 of the National Government ....................... 184
D. Parties to Civil Actions (Rule 3) .............. 24
E. Venue (Rule 4) ................................................ 31 G. Foreclosure of Real Estate Mortgage
F. Pleadings ........................................................... 33 .......................................................................... 186
G. Filing and Service .......................................... 50
H. Summons (Rule 14) ..................................... 57 H. Partition .................................................. 192
I. Motions (Rule 15) ........................................... 63 I. Forcible Entry and Unlawful Detainer
J. Dismissal of Actions (Rule 17) .................. 68
.......................................................................... 195
K. Pre-Trial (Rule 18) ....................................... 70 1. Definitions and Distinction ..................... 195
L. Intervention (Rule 19) ................................ 76
2. Filing of an action ....................................... 196
M. Subpoena (Rule 21) ..................................... 77
3. Pleadings Allowed ...................................... 196
N. Computation of Time (Rule 22) .............. 79
4. Action on the Complaint .......................... 197
O. Modes of Discovery ...................................... 79
5. When Demand is Necessary ................... 198
P. Trial (Rule 30) ................................................ 90
6. Preliminary Injunction and Preliminary
Q. Consolidation and Severance (Rule 31)
Mandatory Injunction .................................... 198
.................................................................................... 92 7. Resolving Defense of Ownership ......... 199
R. Demurrer to Evidence (Rule 33) ............ 93
8. How to Stay the Immediate Execution
S. Judgments and Final Orders ..................... 94
of Judgment ........................................................ 200
T. Post-Judgment Remedies ........................... 99
9. Prohibited Pleadings and Motions ...... 200
U. Execution, Satisfaction, and Effect of
Judgments (Rule 39) ...................................... 128 J. Contempt .................................................. 200
IV. Provisional Remedies ...................... 146 VI. SPECIAL PROCEEDINGS AND
A. Nature, Purpose, and Jurisdiction over SPECIAL WRITS ........................................ 206
provisional remedies ..................................... 146 A. Settlement of Estate of Deceased Persons
B. Preliminary Attachment (Rule 57) ..... 147 ................................................................................. 206
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B. Guardianship ................................................ 227 E. Documentary Evidence ............................ 345

D. Writ of Habeas Corpus (Rule 102) ..... 230 F. Testimonial Evidence ............................... 349
E. Change of Name (Rule 103) ................... 236 G. Burden of Proof and Presumptions .... 377
F. Clerical Error Law (R.A. No. 9048 as H. Presentation of Evidence ........................ 382
amended by RA 10172) ................................ 242 I. Judicial Affidavit Rule (A.M. No. 12-8-8-
G. Writ of Amparo (A.M. No. 07-9-12-SC) SC) .......................................................................... 387
................................................................................. 244 G. Weight and Sufficiency of Evidence (Rule
H. Writ of Habeas Data (A.M. No. 08-1-16- 133) ....................................................................... 390
SC) .......................................................................... 251 H. Rules on Electronic Evidence (A.M. No.
I. Rules of Procedure on Environmental 01-7-01-SC) ........................................................ 392
Cases (A.M. No. 09-6-8-SC) .......................... 255
LEGAL AND JUDICIAL ETHICS WITH
VII. CRIMINAL PROCEDURE ................ 262 PRACTICAL EXERCISES ................ 395
A. General Concepts ........................................ 262
B. Prosecution of Offenses (Rule 110) .... 262 I. LEGAL ETHICS ....................................... 396
B. Prosecution of Civil Action (Rule 111) A. Practice Of Law ........................................... 396
................................................................................. 276 B. Duties And Responsibilities Of A Lawyer
D. Preliminary Investigation (Rule 112) 280 Under The Code Of Professional
E. Arrest (Rule 113) ........................................ 285 Responsibility ................................................... 404
F. Bail (Rule 114) ............................................. 289 C. Suspension, Disbarment And Discipline
G. Arraignment and Plea (Rule 116) ....... 293 Of Lawyers .......................................................... 427
H. Motion to Quash (Rule 117) .................. 295 D. Notarial Practice ......................................... 428
H. Pre-Trial (Rule 118) ................................. 300
J. Trial (Rule 119) ............................................ 301 II. JUDICIAL ETHICS ................................ 433
K. Arraignment and Pre-Trial .................... 305 A. Sources ............................................................ 433
L. Trial and Memoranda ............................... 306 B. Qualities ......................................................... 433
M. Promulgation .............................................. 307 C. Disqualification Of Judicial Officers .... 437
N. Judgment (Rule 120) ................................ 307 D. Discipline and Administrative
O. New Trial or Reconsideration (Rule 121) Jurisdiction Over Members of the Judiciary
................................................................................. 310 ................................................................................. 440
P. Appeal (Rule 122) ...................................... 312 III. PRACTICAL EXERCISES .................. 442
Q. Search and Seizure (Rule 126) ............. 314 A. Demand Letter ............................................. 442
R. Provisional Remedies in Criminal Cases B. Contract of Sale ........................................... 444
(Rule 127) ........................................................... 326
C. Contract of Lease ........................................ 449
S. The Rule on Cybercrime Warrants D. Special Power of Attorney ...................... 450
(Section 2 of A.M. No. 17-11-03-SC only) E. Verification and Certificate of Non-Forum
................................................................................. 328 Shopping ............................................................. 453
VIII. EVIDENCE .......................................... 331 F. Judicial Affidavit .......................................... 454
A. General Concepts ........................................ 331 G. Notarial Certificates .................................. 455
B. Admissibility of Evidence ....................... 333 H. Motions ........................................................... 458
C. Judicial Notice and Judicial Admissions I. Quitclaims in Labor Cases ........................ 462
................................................................................. 336 J. Information in Criminal Cases ............... 463
D. Object (Real) Evidence ............................ 341

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GENERAL PRINCIPLES
REMEDIAL LAW

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The rules of procedure promulgated by the SC
must:
I. GENERAL a. Provide a simplified and inexpensive
procedure for speedy disposition of cases,
PRINCIPLES IN b. Be uniform for all courts of the same
grade; and
REMEDIAL LAW c. Not diminish, increase or modify
substantive rights.
A. Distinguish: Substantive Law [Sec. 5(5), Art. VIII, Constitution]

and Remedial Law

C. Principle of Judicial Hierarchy
Substantive Remedial Also known as “The Doctrine of Hierarchy of
Courts”
Creates, defines, Lays down methods
and regulates rights by which the rights General Rule: A case must be filed with the
and duties and obligations lowest court possible having the appropriate
concerning life, arising from jurisdiction.
liberty, or property substantive law are
the violation of which protected, enforced, For example, although the SC, CA, and the
gives rise to a cause and given effect. RTC have concurrent jurisdiction over
of action. certiorari, prohibition, and mandamus, a direct
[Bustos v. Lucero, G.R. No. L-2068 (1948)] invocation of the SC is improper. A petition
must be first made to the lowest court - the RTC
[1 Riano 42, 2016 Bantam Ed].
B. Rule-Making Power of the
Supreme Court Exception: The Supreme Court may disregard
hierarchy of courts if warranted by the
Sec. 5(5), Art. VIII of the Constitution provides following, which are allegations of “serious and
that: important reasons”:
a. The SC shall have the power to 1. When there are genuine issues of
promulgate rules concerning: constitutionality that must be addressed in
1. The protection and enforcement of the most immediate time;
constitutional rights, 2. When the issues involved are of
2. Pleading, practice, and procedure in transcendental importance;
all courts, 3. Cases of first impression;
3. Admission to the practice of law, 4. The constitutional issues raised are better
4. The Integrated Bar, and decided by the Court;
5. Legal assistance to the 5. The petition filed reviews the act of a
underprivileged. constitutional organ;
b. Rules of procedure of special courts and 6. When petitioners rightly claim that they had
quasi-judicial bodies shall remain effective no other plain, speedy, and adequate
unless disapproved by the Supreme Court. remedy in the ordinary course of law that
could free them from the injurious effects of
The SC has the sole prerogative to amend, respondents’ acts in violation of their right
repeal, or even establish new rules for a to freedom of expression; and,
more simplified and inexpensive process, and 7. The petition includes questions that are
the speedy disposition of cases [Neypes v. CA, “dictated by public welfare and the
G.R. No. 141524 (2005)]. advancement of public policy, or
demanded by the broader interest of
1. Limitations on the Rule-Making justice, or the orders complained of were
Power of the Supreme Court found to be patent nullities, or the appeal
was considered as clearly an inappropriate

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remedy [Diocese of Bacolod v. COMELEC,
G.R. No. 205728 [2016] cited in Gios-
Samar v. DOTC, G.R. No. 217158 (2019)].
Rationale
1. It is a constitutional imperative given the
structure of the judicial system and the
requirements of due process;
2. It prevents inordinate demands upon the
SC’s time and attention which are better
devoted to those matters within its
exclusive jurisdiction;
3. It prevents further overcrowding of the SC’s
docket; and,
4. It prevents the inevitable and resultant
delay, intended or otherwise, in the
adjudication of cases which often have to
be remanded or referred to the lower court
as the proper forum, or as the court better
equipped to resolve factual questions
[Gios-Samar v. DOTC, G.R. No. 217158
(2019)].
A disregard of the doctrine of hierarchy of
courts warrants, as a rule, the outright
dismissal of a petition [Gios-Samar v. DOTC,
G.R. No. 217158 (2019)].
D. Doctrine of Non-Interference/
Judicial Stability
The Doctrine of Non-Interference/ Doctrine
of Judicial Stability holds that courts of co-
equal and coordinate jurisdiction cannot
interfere with each other’s orders [Lapu-Lapu
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Devt Corp v. Group Management Corp, G.R.
No. 141407 (2002)].
A court that acquires jurisdiction over the case
and renders judgment therein has jurisdiction
over its judgment, to the exclusion of all
other coordinate courts, for its execution and
over all its antecedents, and to control, in
furtherance of justice, the conduct of
ministerial officers acting in connection with
such judgment [Mañalac v. Hon. Gellada, A.M.
No. RTJ-18-2535 (2018)].
It also bars a court from reviewing or interfering
with the judgment of a co-equal court over
which it has no appellate jurisdiction or power
of review [Villamor v. Salas, GR No. 101041
(1991)].
Note: Such doctrine applies also to
administrative bodies. When the law provides
for an appeal to the CA or SC from the decision
of an administrative body, it means that such
body is co-equal with the RTC and is then
beyond the control of the latter [Philippine
Sinter Corp v. Cagayan Electric Power and
Light Co. Inc., G.R. No. 127371 (2002)].
When not applicable
The doctrine of judicial stability does not apply
where a third-party claimant is involved – this
is in consonance with the well-established
principle that no man shall be affected by any
proceeding to which he is a stranger [Sps.
Crisologo v. Omelio, A.M. No. RTJ-12-2321
(2012), citing Sec. 16, Rule 39, and quoting
Naguit v. CA, G.R. No. 137675 (2000)].
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General Special
jurisdiction and take particular purpose
II. JURISDICTION cognizance of all or clothed with
cases of a particular special powers for
nature. the performance of
Jurisdiction is the power of the court to hear, specified duties
try, and decide a case [Cuenca v. PCGG, beyond which they
G.R. Nos. 159104-05 (2007)]. have no authority of
any kind.
It includes the authority of the court to [1 Riano 47, 2016 Bantam Ed.]
execute its decisions since such is an
essential aspect of jurisdiction and is the most 3. Exclusive v. Concurrent
important part of litigation [Echegaray v. Sec.
of Justice, G.R. No. 132601 (1999)]. Concurrent/
Exclusive
Coordinate
Note: Jurisdiction is not the authority of the Exclusive Concurrent jurisdiction
judge to hear a case, but that of the court. jurisdiction is also called
Jurisdiction over a case attaches to the court, precludes the idea coordinate jurisdiction.
and not the judge hearing it. It is not the of co-existence It is the power of
decision rendered, but rather the authority of and refers to different courts to take
the court to decide the case. jurisdiction cognizance of the
possessed to the same subject matter.
When Determined: Law at the time of exclusion of
commencement of the action [Sps. Estacion v. others [Cubero v. Where such
Sec’y of DAR, G.R. No. 163361(2014)]. Laguna West Multi- jurisdiction exists, the
Purpose court first taking
How Determined: By the allegations of the Cooperatives, Inc., cognizance of the
complaint or other initiatory pleading [Heirs of G.R. No. 166833 case assumes
Balucanag v. DOLE Phils., G.R. No. 225424 (2006)]. jurisdiction to the
(2020)]. exclusion of the other
courts.
A. Classification of Jurisdiction
[1 Riano 49, 2016 Bantam Ed.]
1. Original v. Appellate
B. Adherence of Jurisdiction
Original Appellate
A court is one with A court is one with General rule: Also known as the doctrine of
original jurisdiction appellate jurisdiction continuity of jurisdiction, the doctrine of
when actions or when it has the adherence of jurisdiction means that once
proceedings may be power to review on jurisdiction is vested, the same is retained up
originally filed with appeal the decisions to the end of the litigation [De la Rosa v.
it. or orders of a lower Roldan, G.R. No. 133882 (2006)].
court.
[1 Riano 47, 2016 Bantam Ed.] Exception: When the change in jurisdiction is
curative in character [Vda. De Ballesteros v.
2. General v. Special Rural Bank of Canaman, G.R. No. 176260
(2010)].
General Special
Courts of general Courts of special C. Jurisdiction of Various
jurisdiction are those jurisdiction are those Philippine Courts and Tribunals
with competence to which have
decide on their own jurisdiction only for a
1. Supreme Court
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ii. Civil Service Commission [R.A.
General Rule: The SC is not a trier of facts. 7902]
Exception: The SC can look into the facts of a iii. Central Board of Assessment
case: Appeals [P.D. 464; B.P. 129; R.A.
1. When the conclusion is a finding grounded 7902]
entirely on speculation, surmises and iv. NLRC and [St. Martin Funeral
conjectures; Homes v. NLRC, G.R. No. 130866
2. When the inference made is manifestly (1998); R.A. 7902]
mistaken, absurd or impossible; v. Other Quasi-Judicial Agencies
3. Where there is a grave abuse of discretion; [B.P. 129; R.A. 7902; Heirs of
4. When the judgment is based on a Hinog v. Melicor, G.R. No. 140954
misapprehension of facts; (2005) [1 Riano 106-107, 2014
5. When the findings of fact are conflicting; Bantam Ed.].
6. When the Court of Appeals, in making its
findings, went beyond the issues of the Note: Although there is concurrent
case and the same is contrary to the jurisdiction as the Constitution grants
admissions of both appellant and appellee; this to the SC, SC A.M. No. 07-7-12
7. When the findings are contrary to those of issued on 4 December 2007 provides
the trial court; that if the petition involves an
8. When the findings of fact are conclusions act/omission of a Quasi-Judicial
without citation of specific evidence on Agency, the petition shall only be
which they are based; cognizable by the CA and must be
9. When the facts set forth in the petition as filed there.
well as in the petitioners' main and reply
briefs are not disputed by the respondents; b. Quo Warranto petitions,
and c. Writ of Habeas Corpus,
10. When the findings of fact of the Court of d. Writ of Amparo,
Appeals are premised on the supposed e. Writ of Habeas Data, and [1 Riano 93-
absence of evidence and contradicted by 94, 2016 Bantam Ed.]
the evidence on record [Aklan v. Enero, f. Writ of KaIikasan [Sec. 3, Rule 7, Part
G.R. No. 178309, January 27, 2009]. 3, Rules of Procedure for
Environmental Cases].
EXCLUSIVE ORIGINAL JURISDICTION
Petitions for certiorari, prohibition, and 2. With RTC
mandamus against appellate courts, namely: a. Cases affecting ambassadors, public
a. Court of Appeals, [Sec. 17, R.A. 296] ministers, and consuls [Sec. 21(2),
b. Commission on Elections, [Sec 7, Art. IX, B.P. 129]
Constitution] b. Petitions for certiorari, prohibition, and
c. Commission on Audit, [Sec. 7, Art. IX, mandamus against lower courts [1
Constitution] Riano 93, 2016 Bantam Ed.]
d. Sandiganbayan, and [P.D. 1606 as c. Quo Warranto petitions,
amended] [1 Riano 106, 2014 Bantam Ed.] d. Writ of Habeas Corpus,
e. Court of Tax Appeals (not en banc) [1 e. Writ of Amparo, and
Riano 92, 2016 Bantam Ed.] (if en banc, f. Writ of Habeas Data.
SC in appellate jurisdiction).
3. With Sandiganbayan
CONCURRENT ORIGINAL JURISDICTION a. Writ of Amparo, and
1. With CA b. Writ of Habeas Data.
a. Petitions for certiorari, prohibition, and
mandamus against first-level courts Note: the SC also has an equity jurisdiction,
and bodies, namely: where it relaxes the application of procedural
i. RTCs [Sec. 21(1), B.P. 129] rules in favor of justice and equity. When the
strict and rigid application of procedural rules

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would result in technicalities that tend to
frustrate rather than promote substantial
justice, they must always be eschewed [Sps.
Soller v. Singson, G.R. No. 215547 (2020)].
2. Court of Appeals
EXCLUSIVE ORIGINAL JURISDICTION
Actions for annulment of judgments of the RTC
[see: Sec. 9(2), B.P. 129; Sec. 1, Rule 47].
CONCURRENT ORIGINAL JURISDICTION
1. With SC
a. Petitions for certiorari, prohibition, and
mandamus against first-level courts
and bodies, namely:
i. RTCs [Sec. 21(1), B.P. 129]
ii. Civil Service Commission [R.A.
7902]
iii. Central Board of Assessment
Appeals [P.D. 464; B.P. 129; R.A.
7902]
iv. NLRC and [St. Martin Funeral
Homes v. NLRC, G.R. No. 130866
(1998); R.A. 7902]
v. Other Quasi-Judicial Agencies
[B.P. 129; R.A. 7902; Heirs of
Hinog v. Melicor, G.R. No. 140954
(2005) [1 Riano 106-107, 2014
Bantam Ed.].
b. Quo Warranto petitions,
c. Writ of Habeas Corpus,
d. Writ of Amparo,
e. Writ of Habeas Data, and [1 Riano 93-
94, 2016 Bantam Ed.]
f. Writ of KaIikasan [Sec. 3, Rule 7, Part
3, Rules of Procedure for
Environmental Cases].
2. With RTC
a. Petitions for certiorari, prohibition and
mandamus against lower courts and
bodies
b. Quo warranto petitions, and
c. Writ of Habeas Corpus [1 Riano 96,
2016 Bantam Ed.]
d. Writ of Amparo, and [Sec. 3, Rule on
the Writ of Amparo]
e. Writ of Habeas Data [Sec. 3, Rule on
the Writ of Habeas Data]
3. With Sandiganbayan
a. Writ of Amparo, and
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b. Writ of Habeas Data
3. Court of Tax Appeals
EXCLUSIVE ORIGINAL JURISDICTION
1. Over tax collection cases involving final
and executory assessments for taxes,
fees, charges, and penalties; Provided,
however, that collection cases where the
principal amount of taxes and fees.
exclusive of charges and penalties
claimed, is less than P1,000,000 shall be
tried by the proper Municipal Trial Court
Metropolitan Trial Court, and Regional Trial
Court.
4. Sandiganbayan
EXCLUSIVE ORIGINAL JURISDICTION
a. Violations of R.A. 3019 or the Anti-Graft
and Corrupt Practices Act.
b. Violations of R.A. 1379 or An Act Declaring
Forfeiture in Favor of the State Any
Property Found to Have Been Unlawfully
Acquired by Any Public Officer or
Employee and Providing for the
Proceedings Therefor.
c. Bribery (Chapter II, Sec. 2, Title VII, Book
II, RPC), where one or more of the principal
accused are occupying the following
positions in government, whether in a
permanent, acting or interim capacity, at
the time of the commission of the offense.
1. Officials of the executive branch
occupying the positions of regional
director and higher, otherwise
classified as Grade 27 and higher, of
the Compensation and Position
Classification Act of 1989 (R.A. 6758),
specifically including:
● Provincial governors, vice-
governors, members of the
sangguniang panlalawigan, and
provincial treasurers, assessors,
engineers, and other provincial
department heads
● City mayors, vice-mayors,
members of the sangguniang
panlungsod, city treasurers,
assessors, engineers, and other
city department heads
● Officials of the diplomatic service
occupying the position of consul
and higher
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● Philippine army and air force
colonels, naval captains, and all
officers of higher rank;
● Officers of the Philippine National
Police while occupying the position
of provincial director and those
holding the rank of senior
superintendent and higher
● City and provincial prosecutors and
their assistants, and officials and
prosecutors in the Office of the
Ombudsman and special
prosecutor;
● Presidents, directors or trustees, or
managers of government-owned or
controlled corporations, state
universities or educational
institutions or foundations
2. Members of Congress and officials
thereof classified as Grade 27 and up
under R.A. 6758
3. Members of the Judiciary without
prejudice to the provisions of the
Constitution
4. Chairmen and Members of the
Constitutional Commissions without
prejudice to the provisions of the
Constitution
5. All other national and local officials
classified as Grade 27 and higher
under R.A. 6758
REMEDIAL LAW
none of the accused are occupying
positions corresponding to Salary Grade
27 or higher, or military and PNP officers
mentioned above [Sec. 4, P.D. 1606, as
amended by R.A. 10660].
d. Other offenses or felonies whether
simple or complexed with other crimes
committed by the public officials and
employees mentioned in subsection a. of
section 4 (as amended) in relation to their
office
e. Civil and criminal cases filed pursuant to
and in connection with E.O. Nos. 1, 2,
14-A
f. Petitions for mandamus, prohibition,
certiorari, habeas corpus, injunctions, and
other ancillary writs and processes in aid
of its appellate jurisdiction, and petitions of
similar nature, including quo warranto,
arising or that may arise in cases filed or
which may be filed under Executive
Order Nos. 1, 2, 14 and 14-A, issued in
1986
[Sec. 4, P.D. 1606, as amended by R.A. 10660]
CONCURRENT ORIGINAL JURISDICTION
With SC, CA, and RTC for petitions for writs of
amparo [Sec. 3, Rule on the Writ of Amparo]
and habeas data [Sec. 3, Rule on the Writ of
Habeas Data].

Note: Exclusive original jurisdiction shall be

vested in the proper RTC or MTC where

5. Regional Trial Courts

Summary of Original Jurisdiction of various PH courts (RTC, MTC, MeTC, MCTC), including
Rules on Expedited Procedures in First Level Courts (A.M. No. 08-8-7-SC)
Note: RA 11576 was signed into law on July 30, 2021 and took effect on August 21, 2021

Pre-RA 11576 RA 11576 &

A.M. No. 08-8-7-SC

Regional Trial Court

1. Exclusive Original Jurisdiction

All civil actions in which the subject of the litigation is incapable of pecuniary estimation [Sec.
19(1), B.P. 129, as amended by R.A. 7691].

Civil actions involving title to, or possession of Civil actions involving title to, or possession
real property, or any interest therein, where of real property, or any interest therein, where

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Pre-RA 11576 RA 11576 &

A.M. No. 08-8-7-SC

assessed value exceeds P20,000 outside Metro assessed value exceeds P400,000 [Sec.
Manila, or exceeds P50,000 in Metro Manila 19(2), B.P. 129, as amended by R.A. 11576].
[Sec. 19(2), B.P. 129, as amended by R.A.
7691].

Exception: Forcible entry and unlawful detainer (FEUD) cases, as FEUD cases are within the
exclusive original jurisdiction of the MTC [Sec. 33(2), B.P. 129, as amended by R.A. 7691].

Any action if the amount involved exceeds
P300,000 outside Metro Manila or exceeds
P400,000 in Metro Manila in the following cases
[B.P. 129, as amended by RA 7691]:
1. Actions in admiralty and maritime
jurisdiction, where the amount refers to
demand or claim [Sec. 19(3)]
2. Matters of probate (testate or intestate),
where the amount refers to gross value
of estate [Sec. 19(4)]
3. In all other cases where the amount
refers to the demand, exclusive of
interest, damages of whatever kind,
attorney’s fees, litigation expenses, and
costs [Sec. 19(8)].
If the amount involved exceeds P2,000,000 in
the following cases:
1. Damages (apply totality rule)
2. Collection of sum of money, exclusive
of damages claimed and interests
3. Admiralty and maritime cases
4. Matters of Probate
5. Other actions involving property [B.P.
129, as amended by R.A. 11576]

All cases, the jurisdiction over which is not specifically provided for by law to be within the
jurisdiction of any other court [general jurisdiction of the RTC] [Concorde Condominium, Inc. v.
Baculio, G.R. No. 203678 (2016)].

All actions involving the contract of marriage and family relations [Sec. 19(5), B.P. 129, as
amended by R.A. 7691], and all civil actions and special proceedings falling within exclusive
original jurisdiction of Juvenile and Domestic Relations Court [Sec. 19(7), B.P. 129, as amended
by R.A. 7691].

Note: This jurisdiction is deemed modified by Sec. 5, R.A. 8369, the law establishing the Family
Courts. However, in areas where there are no Family Courts, the cases within their jurisdiction
shall be adjudicated by the RTC [Sec. 17, R.A. 8369; 1 Riano 147, 2014 Bantam Ed.].

All civil actions and special proceedings falling within exclusive original jurisdiction of the Court
of Agrarian Reform [Sec. 19(7), B.P. 129, as amended by R.A. 7691].

Intra-corporate controversies
1. Cases involving devises or schemes employed by or any acts, of board of directors,
business associates, its officers or partnership, amounting to fraud and misrepresentation
which may be detrimental to interest of public and/or of stockholders, partners, members
of associations or organizations registered with SEC.
2. Controversies arising out of intra-corporate or partnership relations, between and among
stockholders, members or associates; between any or all of them and corporation,
partnership or association of which they are stockholders, members or associates,
respectively; and between such corporation, partnership or association and the state
insofar as it concerns their individual franchise or right to exist as such entity.

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Pre-RA 11576 RA 11576 &

A.M. No. 08-8-7-SC

3. Controversies in election or appointments of directors, trustees, officers or managers of

such corporations, partnerships or associations.
4. Petitions of corporations, partnerships or associations to be declared in state of
suspension of payments in cases where corporation, partnership of association possesses
sufficient property to cover all its debts but foresees impossibility of meeting them when
they respectively fall due or in cases where corporation, partnership or association has no
sufficient assets to cover its liabilities, but is under management of a Rehabilitation
Receiver or Management Committee.
[Sec. 52, Securities and Regulations Code]

Petitions for declaratory relief [Sec. 1, Rule 63]

b. Cases originally falling within the exclusive original jurisdiction of the Sandiganbayan where
the information:
1. Does not allege any damage to the government or any bribery; or
2. Alleges damage to the government or bribery arising from the same or closely related
transactions or acts in an amount not exceeding P1 million [Sec. 4, P.D. 1606, as
amended by R.A. 10660].

2. Concurrent Original jurisdiction

With SC a. Cases affecting ambassadors, public ministers, and consuls [Sec.

21(2), B.P. 129]
b. Petitions for certiorari, prohibition, and mandamus against lower
courts [1 Riano 93, 2016 Bantam Ed.]
c. Quo Warranto petitions,
d. Writ of Habeas Corpus,
e. Writ of Amparo, and
f. Writ of Habeas Data

With SC and CA a. Petitions for certiorari, prohibition and mandamus against lower
courts and bodies
b. Quo warranto petitions, and
c. Writ of Habeas Corpus [1 Riano 96, 2016 Bantam Ed.]
d. Writ of Amparo, and [Sec. 3, Rule on the Writ of Amparo]
e. Writ of Habeas Data [Sec. 3, Rule on the Writ of Habeas Data]
f. Writ of continuing mandamus on environmental cases

With SC, CA, a. Writ of Amparo, and

Sandiganbayan b. Writ of Habeas Data

With the Claims not exceeding P100,000

Insurance
Commissioner

Municipal Trial Court, Metropolitan Trial Court, Municipal Circuit Trial Court

1. Exclusive original jurisdiction

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Pre-RA 11576
Where the value of personal property, estate, or
amount of demand does not exceed P300,000
outside Metro Manila or does not exceed
P400,000 in Metro Manila, exclusive of interest,
damages of whatever kind, attorney’s fees,
litigation expenses, and costs, in the following
cases:
1. Civil actions,
2. Probate proceedings, (testate or
intestate)
3. Provisional remedies in proper cases.
[Sec. 33(1), B.P. 129, as amended by R.A.
7691]
Forcible entry and unlawful detainer cases.
Where attorney’s fees are awarded, the same
shall not exceed P20,000.
All civil actions involving title to, or possession
of, real property, or any interest therein where
assessed value of property or interest therein
does not exceed P20,000 outside Metro Manila,
or does not exceed P50,000 in Metro Manila
[Sec. 33(3), B.P. 129, as amended by R.A.
7691].
Totality Rule
If several claims or causes of action are
embodied in the same complaint, the
jurisdictional amount shall be the amount of all
the demands shall be the basis in
computation of the amount involved if
1. Claims are in the same complaint
2. Claims are against the same defendant
3. No misjoinder of parties [1 Riano 104,
2016 Bantam Ed., Fausto v. MAF Dev’t
Cooperative, G.R. No. 213939 (2016)]
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RA 11576 &
A.M. No. 08-8-7-SC
If the amount involved does not exceed
P2,000,000 in the following cases:
1. Actions involving personal property
2. Probate Proceeding based on gross
value of the estate
3. Admiralty and maritime cases
4. Demand for collection of money,
exclusive of damages claimed and
interests.
5. damages
[Sec. 33(1), B.P. 129, as amended by R.A.
11576]
Forcible entry and unlawful detainer cases.
Where attorney’s fees are awarded, the same
shall not exceed P100,000.
All civil actions involving title to, or possession
of, real property, or any interest therein where
assessed value of property or interest therein
does not exceed P400,000 exclusive on
interest, damages of whatever kind, attorney’s
fees, litigation expenses and costs: Provided,
that in cases of land not declared for taxation
purposes, the value of such property shall be
determined by the assessed value of the
adjacent lots [Sec. 33(3), B.P. 129, as amended
by R.A. 11576].
Those governed by the Rules on Expedited
Procedures in the First Level Courts.
Inclusion and exclusion of voters [Sec. 49,
Omnibus Election Code].
Test if incapable of pecuniary estimation:
If it is primarily for the recovery of a sum of
money, the claim is considered capable of
pecuniary estimation. On the other hand,
where the basic issue is something other than
the right to recover a sum of money, and the
money claim is purely incidental to, or a
consequence of, the principal relief sought,
such actions are cases where the subject of the
litigation is incapable of pecuniary estimation
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[Roldan v. Sps. Barrios, G.R. No. 214803
(2018)].
However, if the principal nature of an action to
cancel a contract to sell, where the
defendant has already taken possession of
the property, involves a determination on
whether a suspensive condition has been
fulfilled – then the subject matter involved
is one that is incapable of pecuniary
estimation: In Olivarez Realty v. Castillo [G.R.
No. 196251 (2014)], the action instituted in the
trial court was one for the cancellation of a
contract to sell, and prior to the institution of the
action the defendant had already proceeded to
occupy the property involved. In this instance,
the SC held that the action involved a subject
matter that was incapable of pecuniary
estimation. The difference in the ruling of the
SC here and in Home Guaranty lies in that fact
that in Olivarez Realty, what the plaintiff had
principally sought was a determination that a
suspensive condition for the perfection of the
contract had not been fulfilled: “the trial court
principally determined whether Olivarez Realty
Corporation failed to pay installments of the
property’s purchase price as the parties agreed
upon in the deed of conditional sale. The
principal nature of Castillo’s action, therefore,
is incapable of pecuniary estimation.”
See also: Heirs of Bautista v. Lindo [G.R. No.
208232 (2014)], where an action to redeem a
land subject of a free patent was characterized
by the SC as one whose subject matter was
incapable of pecuniary estimation since the
reacquisition of the land was merely incidental
to and an offshoot of the exercise of the right to
redeem the land, pursuant to Sec. 119 of CA
141.
An expropriation suit is incapable of
pecuniary estimation [Barangay San Roque
v. Heirs of Francisco Pastor, G.R. No. 138896
(2000)].
6. Family Courts
a. Criminal cases where one or more accused
is below 18 but not less than 9 years old or
where one or more victims was a minor at
time of commission of offense,
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b. Petitions for guardianship, custody of
children and habeas corpus in relation to
children,
c. Petitions for adoption of children and
revocation thereof,
d. Complaints for annulment of marriage,
declaration of nullity of marriage and those
relating to status and property relations of
husband and wife or those living together
under different status and agreements, and
petitions for dissolution of conjugal
partnership of gains,
e. Petitions for support and/or
acknowledgment,
f. Summary judicial proceedings brought
under the provisions of Family Code,
g. Petitions for declaration of status of
children as abandoned, dependent or
neglected children, voluntary or involuntary
commitment of children, suspension,
termination or restoration of parental
authority, and other cases cognizable
under P.D. 603, E.O. 56, s. 1986, and other
related laws,
h. Petitions for constitution of family home,
i. Cases against minors cognizable under
Dangerous Drugs Act, as amended, (now
R.A. 9165)
j. Violations of R.A. 7610, or the “Special
Protection of Children Against Child Abuse,
Exploitation and Discrimination Act”, and
k. Cases of domestic violence against
Women and Children [Sec. 5, R.A. 8369].
7. Metropolitan Trial Courts,
Municipal Trial Courts, Municipal
Trial Courts in cities, and Municipal
Circuit Trial Courts
Refer to above table on summary of original
jurisdiction of various PH courts
Note: Forcible entry and unlawful detainer
(FEUD)
When defendant raises questions of ownership
in his pleadings and the question of possession
cannot be resolved without deciding issue of
ownership, the latter issue shall be resolved
only to determine the former issue [Sec. 33(2),
B.P. 129, as amended by R.A. 7691].
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D. Aspects of Jurisdiction Distinguish: Doctrine of Primary
Administrative Jurisdiction and Doctrine of
Exhaustion of Administrative Remedies
1. Jurisdiction over the Subject Matter
General Rule: The doctrine of primary
Meaning of Jurisdiction over the Subject
jurisdiction holds that if a case is such that its
Matter
determination requires the expertise,
Jurisdiction over the subject matter is the
specialized training and knowledge of the
power of a particular court to hear the type of
proper administrative bodies, relief must first
case that is then before it [1 Riano 71, 2014
be obtained in an administrative proceeding
Bantam Ed., citing Black’s Law Dictionary 767,
before a remedy is supplied by the courts even
5th Ed.].
if the matter may well be within their proper
jurisdiction [Province of Aklan v. Jody King
How Jurisdiction is Conferred and
Construction and Dev’t Corp., G.R. No. 197592
Determined
(2013)].
Jurisdiction over the subject matter of a case is
conferred by law and determined by the
Exceptions:
allegations in the complaint which comprise
a. Where there is estoppel on the part of the
a concise statement of the ultimate facts
party invoking the doctrine,
constituting the plaintiff's cause of action
b. Where the challenged administrative act is
[Medical Plaza Makati Condominium v. Cullen,
patently illegal, amounting to lack of
G.R. No. 181416 (2013)].
jurisdiction,
c. Where there is unreasonable delay or
The allegations in the body of the complaint
official inaction that will irretrievably
define the cause of action. The caption or title
prejudice the complainant,
of the cause of action is not controlling [Dela
d. Where the amount involved is relatively
Cruz v. CA, G.R. No. 139442 (2006)].
small,
e. Where the question involved is purely legal
Consequences of rule that jurisdiction is
and will ultimately have to be decided by
conferred by law; it cannot be:
the courts,
a. Conferred by voluntary act or agreement of
f. Where judicial intervention is urgent,
the parties,
g. When its application may cause great and
b. Acquired, waived, enlarged, or diminished
irreparable damage,
by any act or omission of the parties, or
h. Where the controverted acts violate due
c. Conferred by the acquiescence of the
process,
courts, [De la Rosa v. Roldan, G.R. No.
i. When the issue of non-exhaustion of
133882 (2006)]
administrative remedies has been
d. Conferred by administrative policy of any
rendered moot,
court, or [Arranza v. B.F. Homes, Inc., G.R.
j. When there is no other plain, speedy,
No. 131683 (2000)]
adequate remedy,
e. Conferred by a court’s unilateral
k. When strong public interest is involved,
assumption of jurisdiction [Tolentino v.
and
Social Security Commission, G.R. No. L-
l. In quo warranto proceedings.
28870 (1985)].
[Province of Aklan v. Jody King Construction
[1 Riano 75-76, 2014 Bantam Ed.]
and Dev’t Corp., G.R. No. 197592 (2013)]
Jurisdiction is not affected by the pleas set up
The doctrine of primary jurisdiction is corollary
by the defendant or respondent in an answer,
to the doctrine of exhaustion of
motion to dismiss, or motion to quash.
administrative remedies in which courts
Otherwise, jurisdiction would become
cannot determine a controversy involving a
dependent almost entirely upon the whims of
question which is within the jurisdiction of the
the defendant or respondent [Maligalig v.
administrative tribunal prior to the resolution of
Sandiganbayan, G.R. No. 236293 (2019)].
that question by the administrative tribunal

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[International Service v. Greenpeace
Southeast Asia, G.R. No. 209271 (2015)].
Note: for example, the final order of an
administrative agency may not be questioned
before the courts without first exhausting
administrative remedies such as filing an MR.
Objections to Jurisdiction over the Subject
Matter
When it appears from the pleadings or
evidence on record that the court has no
jurisdiction over the subject matter, the court
shall dismiss the claim [Sec. 1, Rule 9].
Under the Amended Rules, a motion to
dismiss is now a prohibited motion, but one of
the exceptions provided is the ground of lack
of jurisdiction over the subject matter of the
claim [Sec. 12, Rule 15]. Moreover, under the
Amended Rules, lack of jurisdiction over the
subject matter is also an affirmative defense
which can be raised in a defendant’s answer
[Sec. 12(d), Rule 8 in relation to Sec. 5(b), Rule
6].
Effect of Estoppel on Objection to
Jurisdiction
General rule:
Lack of jurisdiction over the subject matter may
be raised at any stage of the proceedings,
even for the first time on appeal [Asiatrust
Development Bank v. First Aikka Development,
Inc., G.R. No. 179558 (2011)].
Exception: Tijam v. Sibonghanoy [G.R. No. L-
21450 (1968)] espoused the doctrine of
estoppel by laches, which held that a party
may be barred from questioning a court’s
jurisdiction after invoking the court’s authority
in order to secure affirmative relief against its
opponent, when laches would prevent the
issue of lack of jurisdiction from being raised for
the first time on appeal by a litigant whose
purpose is to annul everything done in a trial in
which it has actively participated [Francel
Realty Corp. v. Sycip, G.R. No. 154684
(2005)].
Note: Tijam v. Sibonghanoy must be
construed as an exception to the general
rule and applied only in the most exceptional
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cases where the factual milieu is similar to that
in the said case [Figueroa v. People, G.R. No.
147406 (2008)].
In Tijam v. Sibonghanoy, the case had been
pending for almost 15 years, and the
defendant-appellant never raised the question
of jurisdiction until after receiving the Court’s
adverse decision.
Even if Sec. 12(b), Rule 8 of the Amended
Rules provides that the failure to raise an
affirmative defense at the earliest opportunity
constitutes a waiver thereof, the failure to
raise lack of jurisdiction over the subject
matter as an affirmative defense in the
answer does not waive such defense. The
retention of Sec. 1, Rule 9 maintains the status
of lack of jurisdiction over the subject matter as
a non-waivable defense. As such, the proper
action if one failed to raise the court’s lack of
jurisdiction over the subject matter in the
answer would be to file a motion to dismiss,
which can be filed at any point during the
proceedings, subject to the doctrine in Tijam.
2. Jurisdiction over the Parties
Jurisdiction over the parties refers to the
power of the court to make decisions that are
binding on persons [De Pedro v. Romansan
Development Corp, G.R. No. 194751 (2014)].
It is an element of due process that is essential
in all actions, civil or criminal, except in actions
in rem or quasi in rem [Guy v. Gacott, G.R. No.
206147 (2016)].
Kinds:
a. Over the plaintiff
b. Over the defendant
c. Over non-parties – It is a principle of
equity that jurisdiction over a person not
formally or originally a party to a litigation
may nevertheless be acquired, under
proper conditions, through the voluntary
appearance of that person before the court
[Rodriguez v. Alikpala, G.R. No. L-38314
(1974)].
How jurisdiction over the plaintiff is
acquired
Courts acquire jurisdiction over a party plaintiff
upon the filing of the complaint [De Pedro v.
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Romansan Development Corp, G.R. No.
194751 (2014)].
By the mere filing of the complaint, the plaintiff,
in a civil action, voluntarily submits himself to
the jurisdiction of the court [Guy v. Gacott, G.R.
No. 206147 (2016)].
How jurisdiction over the defendant is
acquired
Jurisdiction over the person of the defendant is
acquired:
1. By his voluntary appearance in court and
his submission to its authority, or
2. By service of summons.
[Sec. 23, Rule 14; Macasaet v. Co, G.R. No.
156759 (2013)].
Voluntary Appearance of the defendant gives
the court jurisdiction over his person despite
lack of service of summons or a defective
service of summons. Since their voluntary
appearance in the action shall be equivalent to
service of summons.
However, if voluntary appearance is for the
purpose of questioning the court’s jurisdiction
over their person without seeking affirmative
relief, such will not be considered a
submission to the court’s jurisdiction.
For further discussion on voluntary
appearance, see section on Summons.
3. Jurisdiction over the Issues
Jurisdiction over the issues is the power of
the court to try and decide the issues raised in
the pleadings of the parties [Reyes vs Diaz,
G.R. No. 48754 (1941)].
Generally, jurisdiction over the issues is
conferred and determined by
a. The pleadings of the parties, which
present the issues to be tried and
determine whether or not the issues are of
fact or law [Reyes v. Diaz, G.R. No. L-
48754 (1941)]
b. Stipulation of the parties as when, in the
pre-trial, the parties enter into stipulations
of facts or enter into agreement simplifying
the issues of the case [Sec. 2(c), Rule 18]
c. Waiver or failure to object to evidence on
a matter not raised in the pleadings. Here
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the parties try with their express or implied
consent on issues not raised by the
pleadings [Sec. 5, Rule 10].
[1 Riano 83-84, 2016 Bantam Ed.]
The rule is that a party is entitled only to such
relief consistent with and limited to that sought
by the pleadings or incidental thereto. A trial
court would be acting beyond its
jurisdiction if it grants relief to a party
beyond the scope of the pleadings
[Gonzaga v. CA, G.R. No. 142037 (2004)].
4. Jurisdiction over the Res or
Property in Litigation
Jurisdiction over the res refers to the court’s
jurisdiction over the thing or the property which
is the subject of the action [1 Riano 104, 2014
Bantam Ed.].
“Res,” in civil law is a “thing” or “object.” It is
everything that may form an object of rights,
as opposed to a “persona,” which is the
subject of rights. It includes object, subject
matter or status [1 Riano 86, 2016 Bantam Ed.,
citing Black’s Law Dictionary 1172, 5th Ed.].
How Acquired:
a. By seizure of the thing under legal process
whereby, it is brought into actual custody of
the law (custodia legis); or
b. From the institution of legal proceedings
wherein, under special provisions of law,
the power of the court over the property is
recognized and made effective (potential
jurisdiction over the res) [Biaco v.
Philippine Countryside Rural Bank, G.R.
No. 161417 (2007); El Banco Español-
Filipino v. Palanca, G.R. No. 11390
(1918)].
In order that the court may exercise power over
the res, it is not necessary that the court
should take actual custody of the property,
potential custody thereof being sufficient
[Marcos, Jr. v. Republic, G.R. No. 189434
(2014); Perkins v. Dizon, G.R. No. 46631
(1939)].
Example: A land registration case is a
proceeding in rem. In such a case, actual
possession of the land by the court is not
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necessary. It is enough that there is Venue Jurisdiction
constructive seizure of the land through [Rudolf Lietz over the subject
publication and service of notice [1 Riano 89, Holdings, Inc. v. matter
2016 Bantam Ed.]. Registry of Deeds of [Rudolf Lietz
Parañaque City, Holdings, Inc. v.
Jurisprudence holds that if the action is in rem G.R. No. G.R. No. Registry of Deeds of
or quasi in rem, jurisdiction over the person 133240 (2000)] Parañaque City, G.R.
of the defendant is not required. What is No. G.R. No. 133240
required is jurisdiction over the res, although (2000)]
summons must also be served upon the The objection to an Jurisdiction over the
defendant to satisfy the requirements of due improper venue subject matter may be
process [Gomez vs CA, G.R. No. 127692 must be raised in the raised at any stage of
(2004)]. answer as an the proceedings since
affirmative defense it is conferred by law,
E. Distinguish: Jurisdiction vs. [Sec 12, Rule 8]. although a party may
It is no longer a valid be barred from raising
Exercise of Jurisdiction ground for a motion it on the ground of
to dismiss. estoppel [La’o v.
Jurisdiction is the authority to decide a case.
Republic, G.R. No.
It is the power of the court.
160719 (2006)]
[Nocum v. Tan, G.R. No. 145022 (2005)]
Exercise of Jurisdiction is the exercise of
[1 Riano 196, 2014 Bantam Ed.]
such power or authority. Where there is
jurisdiction over the person and the subject
matter, the decision on all other questions G. Jurisdiction over cases
arising in the case is an exercise of that covered by Barangay
jurisdiction [Republic v. G Holdings, Inc, G.R.
Conciliation and cases covered
No. 141241 (2005)].
by the Rules on Expedited
F. Distinguish: Jurisdiction vs. Procedures in the First Level
Venue Courts

Venue Jurisdiction BARANGAY CONCILIATION

Place where the Authority to hear and
case is to be heard determine a case The Lupon of each barangay shall have the
or tried authority to bring together the parties residing
Procedural Substantive in the same municipality or city for amicable
Establishes a Establishes a relation settlement of all disputes.
relation between between the court and
plaintiff and the subject matter Except:
defendant, or 1. Where one party is the government or any
petitioner and subdivision or instrumentality thereof
respondent 2. Where one party is a public officer or
May be changed by Fixed by law and employee, and the dispute relates to the
the written cannot be conferred performance of his official functions
agreement of the by the act or 3. Offenses punishable by imprisonment
parties or waived agreement of the exceeding one (1) year or a fine exceeding
expressly or parties P5,000
impliedly 4. Offenses where there is no private
The court may not The court may offended party
dismiss an action dismiss an action 5. Where the dispute involves real properties
motu proprio for motu proprio in case located in different cities or municipalities
improper venue of lack of jurisdiction unless the parties thereto agree to submit

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their differences to amicable settlement by
an appropriate lupon
6. Disputes involving parties who actually
reside in barangays of different cities or
municipalities, except where such
barangay units adjoin each other and the
parties thereto agree to submit their
differences to amicable settlement by an
appropriate lupon
7. Such other classes of disputes which the
President may determine in the interest of
justice or upon the recommendation of the
Secretary of Justice
[Sec. 408, Local Government Code]
8. Any complaint by or against corporations,
partnerships, or juridical entities, since only
individuals shall be parties to barangay
conciliation proceedings either as
complainants or respondents, [Sec. 1, Rule
VI, Katarungang Pambarangay Rules; also
see SC Administrative Circular No. 14-93]
9. Disputes where urgent legal action is
necessary to prevent injustice from being
committed or further continued,
specifically:
a. A criminal case where the accused is
under police custody or detention,
b. A petition for habeas corpus by a
person illegally detained or deprived of
his liberty or one acting in his behalf,
c. Actions coupled with provisional
remedies, such as preliminary
injunction, attachment, replevin and
support pendente lite, or
d. Where the action may be barred by the
Statute of Limitations,
10. Labor disputes or controversies arising
from employer-employee relationship,
11. Where the dispute arises from the CARL,
or
12. Actions to annul judgment upon a
compromise which may be directly filed in
court.
[SC Administrative Circular No. 14-93]
Note: Barangay conciliation is a condition
precedent for filing a case. However, failure
to comply with a condition precedent is no
longer a ground for a motion to dismiss under
the Amended Rules. It is now included in the
enumerated Affirmative Defenses that may be
set out in the answer under Sec. 12(a), Rule 8.
Being a waivable defense, the failure to raise
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non-compliance with condition precedent in the
answer constitutes a bar from raising such
defense later in the proceedings.
SUMMARY PROCEDURE CASES
a. Forcible entry and unlawful detainer
cases, regardless 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;
b. All civil actions, except probate
proceedings, admiralty and maritime
actions, and Small Claims cases 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;
c. Complaints for damages where the claim
does not exceed P2,000,000, exclusive
of interest and costs;
d. 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, the date of receipt of the
award, or date the obligation stipulated or
adjudged in the arbitration award
becomes due and demandable, pursuant
to Sec. 417, Ch. VII of the Local Gov’t
Code;
e. Cases solely for revival of judgment of any
MeTC, MeTCC, MTCC, or MTC pursuant
to Rule 39 of the Rules of Court;
f. The civil aspect of a violation of BP 22, if
no criminal action has been instituted
therefor. Should a criminal action be later
instituted for the same violation, the civil
aspect shall be consolidated with the
criminal action and shall be tried and
decided jointly under the Rule on
Summary Procedures.
[Sec. 1(1), A.M. No. 08-8-7-SC]
SMALL CLAIMS CASES
Small Claim
An action purely civil in nature where the claim
or relief raised by the plaintiff is solely for the
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payment or reimbursement of a sum of money
and those coupled with provisional remedies.
Claim does not exceed P1,000,000 exclusive
of interest and costs.

The claim may be:

1. For money owed under any of the
following:
a. Contract of lease;
b. Contract of loan and other credit
accommodations;
c. Contract of services; or
d. Contract of sale of personal property,
excluding the recovery of personal
property, unless it is made the subject
of a compromise agreement between
the parties;

2. The enforcement of barangay amicable

settlement agreements and arbitration
awards, where the money claim does not
exceed P1,000,000, provided that no
execution has been enforced by the
barangay within 6 months from the date of
the settlement, date of receipt of the award,
or the date the obligation stipulated or
adjudged in the arbitration award became
due and demandable, pursuant to Sec.
417, Ch. VII of the Local Gov’t Code.
[Sec. 1(2). A.M. No. 08-8-7-SC]

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However, compliance with the procedural
rules is still the general rule, and
III. CIVIL abandonment thereof should only be done in
the most exceptional circumstances [Pilapil v.
PROCEDURE Heirs of Briones, 514 SCRA 197 (2007)].

Meaning of Ordinary Civil Actions

A. General Provisions (Rule 1)
An ordinary civil action is one which is
governed by the rules for ordinary civil actions
1. Applicability [Sec. 3(a), par. 2, Rule 1].
Rules for Ordinary Civil Actions refer to Rule 2
The Rules of Court shall apply in all the courts, (Cause of Action) until Rule 61 (Provisional
except as otherwise provided by the Supreme Remedies).
Court [Sec. 2, Rule 1]. ● General Rules on Ordinary Civil Action -
Rule 2 to Rule 5
Actions or Proceedings Governed by the ● Procedure in Trial Courts - Rule 6 to Rule
Rules of Court 39
1. Civil actions ● Appeals - Rule 40 to Rule 43
2. Criminal actions ● Procedure in the Court of Appeals - Rule
3. Special Proceedings 44 to Rule 55
[Sec. 3, Rule 1] ● Procedure in the SC - Rule 56
● Provisional Remedies - Rule 57 to Rule
Actions or Proceedings Not Governed by 61
the Rules of Court
1. Election cases Meaning of Special Civil Actions
2. Land registration cases A special civil action is one which is subject
3. Cadastral cases to the specific rules prescribed for a special civil
4. Naturalization cases action but also governed by the rules for
5. Insolvency proceedings ordinary civil actions [Sec. 3(a), par. 2, Rule 1].
However, the Rules may still apply to the cases Rules 62 to 71 provide for special civil actions.
above by analogy or in suppletory character However, despite having rules which govern
and whenever practicable and convenient the special civil actions, the rules for ordinary
[Sec. 4, Rule 1]. civil action still apply.

2. Commencement of Civil Action 4. Civil Actions v. Special Proceedings

The filing of the original complaint in court Special
signifies the commencement of the civil action Civil Action
Proceeding
[Sec. 5, Rule 1].
A civil action is one A special
by which a party sues proceeding is a
3. Construction another for the remedy by which a
enforcement or party seeks to
The Rules shall be liberally construed to protection of a right, establish a status, a
promote a just, speedy, and inexpensive or the prevention or right, or a particular
disposition of every action and proceeding redress of a wrong fact [Sec. 3(c), Rule
[Sec. 6, Rule 1]. [Sec. 3(a), par. 1, 1].
Rule 1].
A strict and rigid application of the rules of
procedure, especially on technical matters, The rules of ordinary civil actions have
which tend to frustrate rather than promote suppletory application in special proceedings
substantial justice, must be avoided [Tiorosio- [1 Riano 192, 2016 Bantam Ed.] (also see Sec.
Espinosa v. Hofileña-Europa, G.R. No. 185746 2, Rule 72).
(2016)].
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5. Personal Actions v. Real Actions 6. Distinguish: Local and Transitory
Real Action Personal Action Actions
It is an action It refers to all other Local Action Transitory Action
affecting title to or actions which are A transitory action is
possession of real not real actions A local action is one
one which may be
property, or interest [Sec. 2, Rule 4]. which has to be
filed in the residence
therein [See Sec. 1, filed in the place
of the plaintiff or
Rule 4]. where the property
defendant, at the
is located [Sec.1,
option of the plaintiff
Why distinction is important Rule 4].
[Sec. 2, Rule 4].
To determine the proper venue of the action One that could be One that could be
[Sec.1, Rule 4 in relation to Sec. 2, Rule 4]. instituted in one prosecuted in any
specific place one of several places
For purposes of determining venue, the [Manila Railroad v. [Manila Railroad v.
question of whether the venue has been Attorney-General, Attorney-General,
properly laid depends to a great extent on the G.R. No. L-6287 G.R. No. L-6287
kind of action (real or personal) presented by (1911)]. (1911)].
the complaint [PICOP v. Samson, G.R. No. L-
30175 (1975)].
B. Kinds of Actions
Not every action involving real property is a
Actions in rem, in personam, and quasi in
real action because the realty may only be
rem
incidental to the subject matter of the suit. In
the cases of Heirs of Bautista v. Lindo [G.R.
Why distinction is important
No. 208232 (2014)] involving a complaint to
• To determine the binding effect of a
redeem a parcel of land subject of a free patent
decision the court may render over a
and Olivarez Realty vs Castillo [G.R. No.
party, whether impleaded or not
196251 (2014) involving an action for
[Paderanga v. Buissan, G.R. No.
rescission of a contract involving real property],
49475 (1993)]
the SC held that the conveyance of real
• To determine whether or not
property was only incidental to the
jurisdiction over the person of the
determination of matters incapable of
defendant is required, and the type
pecuniary estimation. The cases were deemed
of summons to be employed [1 Riano
personal actions because the principal action
206, 2016 Bantam Ed.]
or remedy sought does not involve title to or
possession of real property.

Actions in rem, in personam, and quasi in rem

Action in rem Action in personam Action quasi in rem
Action against the thing One which seeks to Names a person as
or res itself, instead of enforce personal rights defendant, but its object is
against the person and obligations brought to subject that person's
[Hernandez v. Rural against the person interest in a property to a
Definition
Bank of Lucena, Inc. [Paderanga v. Buissan, corresponding lien or
G.R. No. L-29791, GR. No. 49475 (1993)]. obligation [Lucas v. Lucas,
(1978)]. G.R. No. 190710 (2011)].

Not a prerequisite to Necessary for the court to Not a prerequisite to

confer jurisdiction on validly try and decide the confer jurisdiction on the
Jurisdiction
the court, provided that case which can be made court, provided that the
over the
the latter has through service of latter has jurisdiction over
person
jurisdiction over the res summons [Lucas v. Lucas, the res [Lucas v. Lucas,
G.R. No. 190710 (2011)]. G.R. No. 190710 (2011)].

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Action in rem Action in personam Action quasi in rem
[Lucas v. Lucas, G.R.
No. 190710 (2011)].
Jurisdiction over the res Jurisdiction is acquired Jurisdiction over the res is
is acquired either: through service of acquired either:
1. By the seizure of summons as provided in 1. By the seizure of the
the property under the Rule 14 or voluntary property under legal
legal process, appearance. process, whereby it is
whereby it is brought into actual
brought into actual custody of the law, or
custody of the law, 2. As a result of the
How or institution of legal
jurisdiction 2. As a result of the proceedings, in which
is acquired institution of legal the power of the court
proceedings, in is recognized and
which the power of made effective [Lucas
the court is v. Lucas, G.R. No.
recognized and 190710 (2011)].
made effective
[Lucas v. Lucas,
G.R. No. 190710
(2011)].
The decision is binding Any judgment therein is Judgments therein are
as against the whole binding only upon the binding only upon the
Binding
world [Paderanga v. parties properly parties who joined in the
effect of
Buissan, G.R. No. impleaded [Paderanga v. action [Macasaet v. Co,
decisions
49475 (1993)]. Buissan, GR. No. 49475 G.R. No. 156759 (2013)].
(1993)].
Petition for adoption, Action for a sum of money;Attachment, foreclosure of
annulment of marriage, action for damages [1 mortgage, action for
or correction of entries Riano 221, 2014 Bantam partition and action for
Examples
in the birth certificate Ed.]. accounting [1 Riano 227,
[Lucas v. Lucas, G.R. 2014 Bantam Ed.].
No. 190710 (2011)].
Note: Service of summons for an action in rem or quasi in rem is undertaken not to acquire jurisdiction
over the defendant’s person, but to satisfy due process requirements [Frias v. Alcayde, G.R. No.
194262 (2018)]

C. Cause of Action (Rule 2) Elements of a cause of action

a. Plaintiff’s legal right;
b. Defendant’s correlative obligation to
1. Meaning of Cause of Action
respect plaintiff’s right; and
c. Defendant’s act/omission in violation of
A cause of action is an act or omission by
plaintiff’s right
which a party violates a right of another [Sec.
[Ma-ao Sugar Central v. Barrios, G.R. No. L-
2, Rule 2].
1539 (1947); Colmenar v. Colmenar, G.R. No.
252467 (2021)]
Without a cause of action, one cannot seek
judicial relief for a violation of one’s rights
When cause of action must exist
because every ordinary civil action must be
A cause of action must exist at the time of the
based on a cause of action [Sec. 1, Rule 2].
filing of the complaint – else, the case shall
be dismissible for being a groundless suit
[Swagman Hotels and Travel v. CA, G.R. No.

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161135 (2005), reiterating Surigao Mine The complaint must contain a concise
Exploration v. Harris, G.R. No. L-45543 statement of the ultimate or essential facts
(1939)]. constituting the plaintiff’s cause of action. The
focus is on sufficiency, not veracity, of the
A complaint whose cause of action has not yet material allegations [Anchor Savings Bank v.
accrued cannot be cured by an amended or Furigay, G.R. No. 191178 (2013)].
supplemental pleading alleging the existence
or accrual of a cause of action during the Failure to State Lack of Cause of
pendency of the action. At that point in time, it Cause of Action Action
was premature [Turner v. Lorenzo Shipping, Refers to the Refers to a situation
G.R. 157479 (2010)]. insufficiency of the where the evidence
allegations in the failed to prove the
2. Right of Action v. Cause of Action pleading. cause of action.
Right of Action Cause of Action The proper remedy The proper remedy
The remedial right or The delict or when there is a failure when the complaint
right to relief granted wrongful act or to state a cause of is not based on a
by law to a party to omission committed action is to allege the cause of action is to
institute an action by the defendant in same as an file a Demurrer of
against a person who violation of the affirmative defense in Evidence [Rule 33].
has committed a primary rights of the the Answer [Sec.
delict or wrong plaintiff [Racoma v. 12(4), Rule 8].
against him. Fortich, G.R. No. L- [Macaslang v. Zamora, G.R. No. 156375
29380 (1971)]. (2011)]
Right to sue as a The delict or wrong.
consequence of the 4. Test of Sufficiency of Cause of
delict. Action
A right of action is The cause of action
determined by of the plaintiff is The test of sufficiency of a cause of action
substantive law. determined by the rests on whether, hypothetically admitting
averments in the the facts alleged in the complaint to be true,
pleading regarding the court can render a valid judgment upon
the acts committed the same, in accordance with the prayer in the
by the defendant. complaint [Heirs of Maramag v. Maramag, G.R.
[1 Regalado 21, 2010 Ed.] No. 181132 (2009)].

There can be no right of action without a However, there is no hypothetical admission

cause of action being first established of the veracity of the allegations if:
[Español v. The Chairman and Members of the a. The falsity of the allegations is subject to
Board of Administrators, Philippine Veterans judicial notice;
Administration, G.R. No. L-44616 (1985)]. b. The allegations are legally impossible;
c. The allegations refer to facts which are
3. Failure of the Complaint to State a inadmissible in evidence;
Cause of Action v. Lack of Cause of d. By the record or document in the pleading,
Action the allegations appear unfounded; or
e. There is evidence which has been
Failure to state a cause of action is no longer a presented to the court by stipulation of the
ground for a motion to dismiss under the parties or in the course of hearings related
Amended Rules. It is, however, one of the to the case
enumerated Affirmative Defenses that must be [Heirs of Maramag v. Maramag, G.R. No.
set out in the Answer or else it is deemed 181132 (2009)]
waived [Sec 12, Rule 8].
Note: Whether the allegations in the
complaint, assuming them to be true, state
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a cause of action is a question of law. The
SC need not re-evaluate the credibility of any
witnesses or veracity of any evidence. The
Court only needs to examine the complaint
itself [Colmenar v. Colmenar, G.R. No. 252467
(2021)].
How to determine existence of cause of
action
General rule:
Determination shall be based only on facts
alleged in the complaint and from no other,
and the court cannot consider other matters
aliunde [Manaloto v. Veloso III, G.R. No.
171635 (2010)].
Exception:
Instances when the SC considered matters
aside from the facts alleged in the complaint,
such as:
a. Documents attached to the complaint
[Agrarian Reform Beneficiaries Association
v. Nicolas, G.R. No. 168394 (2008)] – this
case refers to actionable documents which
by express provision of the ROC are
deemed part of the pleading.
b. Appended annexes, other pleadings, and
admissions on record [Zepeda v. China
Banking Corp., G.R. No. 172175 (2006)] –
the jurisprudence establishing this
supposed exception ultimately points to
dismissals based on a lack of a cause of
action, opposed to a failure of the
complaint to state a cause of action.
5. Splitting a Single Cause of Action
and its Effects
The act of instituting two or more suits on
the basis of the same cause of action [Sec.
4, Rule 2], or splitting a single cause of action,
is prohibited by the Rules. Such is referred to
as “splitting a single cause of action”. A
party may not institute more than one suit for a
single cause of action [Sec. 3, Rule 2].
Such violates the policy against multiplicity of
suits, whose primary objective is to avoid
unduly burdening the dockets of the court
[Dynamic Builders & Construction Co Inc v.
Presbitero, Jr. G.R. No. 174202 (2015)].
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Tests to determine a “single” cause of
action
The tests to ascertain whether two suits relate
to a single or common cause of action are:
a. Whether the same evidence would support
and sustain both causes of action (Same
Evidence Test);
b. Whether the defenses in one case may be
used to substantiate the complaint in the
other; and
c. Whether the cause of action in the second
case existed at the time of filing of the first
complaint.
[Umale v. Canoga Park Development
Corp., G.R. No. 167246 (2011)]
Plaintiff's remedy if other reliefs not
included in the complaint: Amendment
If a plaintiff has omitted to include in the
complaint one or several other reliefs to which
he may be entitled, the proper remedy of the
plaintiff is not to institute another or several
other actions – instead he should move to
amend the complaint to include the omitted
relief or reliefs [Bayang v. CA, G.R. No. L-
53564 (1987)].
Dismissal as effect of splitting of cause of
action
The filing of one or a judgment upon the merits
in any one is available as a ground for the
dismissal of the others [Sec. 4, Rule 2].
The defendant facing a complaint which is
infirm due to the plaintiff splitting causes of
action may either allege the infirmity as an
Affirmative Defense in his Answer [Sec. 5(b),
Rule 6], or file a Motion to Dismiss on the
following grounds:
a. Litis Pendentia: There is another action
pending between the same parties for the
same cause [Sec. 12 (a)(2), Rule 15], or
b. Res Judicata: The cause of action is barred
by a prior judgment [Sec. 12 (a)(3), Rule
15].
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6. Joinder and Misjoinder of Causes of
Action
Joinder of causes of action
It is the assertion of as many causes of action
as a party may have against another in one
pleading alone [Sec. 5, Rule 2]. It is the process
of uniting two or more demands or rights of
action in one action [1 Riano 187, 2016 Bantam
Ed.].
Rule merely permissive
The rule however is purely permissive as there
is no positive provision of law or any rule of
jurisprudence which compels a party to join all
his causes of action and bring them at one and
the same time [Nabus v. CA, G.R. No. 91670
(1991)].
Requisites
a. The plaintiff asserts numerous causes of
action in one pleading
b. The causes of action are against the
opposing party
c. The party joining the causes of action
complies with the rules on joinder of parties
under Sec 6, Rule 3, and
d. The joinder shall not include special civil
actions or actions governed by special
rules.
Where causes of action are between the same
parties but pertain to different venues or
jurisdictions, the joinder may be allowed in
the RTC provided one of the causes of action
are within that court’s jurisdiction and venue
lies therein [Sec. 5, Rule 2].
Totality Rule applies in Joinder of Actions
Where the claims in all the causes of action are
principally for recovery of money, the
aggregate amount claimed shall be the test of
jurisdiction.
Misjoinder of causes of action
There is misjoinder of causes of action when
conditions for joinder under Section 5, Rule
2 are not met [Perez v. Hermano, G.R. No.
147417 (2005)].
An erroneously joined cause of action may, on
motion of a party or on the initiative of the court,
be severed and proceeded with separately.
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Misjoinder is not a ground for dismissal of an
action [Sec. 6, Rule 2].
Subject to waiver
If there is no objection to the improper joinder
or the court did not motu proprio direct a
severance, then there exists no bar in the
simultaneous adjudication of all the
erroneously joined causes of action, if the
court trying the case has jurisdiction over all
of the causes of action therein notwithstanding
the misjoinder [Ada v. Baylon, G.R. No. 182435
(2012)].
If the court has no jurisdiction to try the
misjoined action, then it must be severed.
Otherwise, adjudication rendered by the court
with respect to it would be a nullity [Ada v.
Baylon, G.R. No. 182435 (2012)].
D. Parties to Civil Actions (Rule
3)
Plaintiff
May refer to the claiming party, counter-
claimant, cross-claimant, or third-party plaintiff
[Sec. 1, Rule 3].
Defendant
May refer to the original defending party, the
defendant in a counterclaim, the cross-
defendant, or the third (fourth, etc.)-party
defendant [Sec. 1, Rule 3].
Also includes an unwilling co-plaintiff - any
party who should be joined as plaintiff but
whose consent cannot be obtained. He may be
made a defendant and the reason therefore
shall be stated in the complaint [Sec. 10, Rule
3].
Who may be parties
1. Natural persons [Sec. 1, Rule 3]
2. Juridical persons [Sec. 1, Rule 3]
a. The State and its political subdivisions
b. Other corporations, institutions and
entities for public interest or public
purpose, created by law, and
c. Corporations, partnerships, and
associations for private interest or
purpose to which the law grants a
judicial personality, separate and
distinct from that of each shareholder,
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partner, or member [Art. 44, Civil
Code].
3. Entities authorized by law [Sec. 1, Rule
3]
a. A corporation by estoppel is precluded
from denying its existence, and the
members are liable as general partners
[Sec. 21, Corporation Code]
b. A partnership with capital of at least
P3,000 which fails to comply with the
registration requirements is liable as a
partnership to third persons [Arts.
1768, 1772, Civil Code]
c. The estate of a deceased person is a
juridical entity that has a personality of
its own [Nazareno v. C.A., G.R. No.
138842 (2000), citing Limjoco v.
Intestate Estate of Fragrante, G.R. No.
L-770 (1948)]
d. A legitimate labor union may sue and
be sued in its registered name [Art.
251(e), Labor Code]
e. The Roman Catholic Church may be a
party; as to its properties, the
Archbishop of diocese to which they
belong may be a party [Barlin v.
Ramirez, G.R. No. 2832 (1906);
Versoza v. Fernandez, G.R. No. 32276
(1930)]
f. A dissolved corporation may prosecute
and defend suits by or against it
provided that the suits (i) occur within
three (3) years after its dissolution, and
(ii) the suits are in connection with the
settlement and closure of its affairs
[Sec. 139, Revised Corporation Code]
4. [1 Riano 214, 2016 Bantam Ed.]
a. Two or more persons not organized as
an entity with juridical personality but
enter into a transaction [Sec. 15, Rule
3].
Legal capacity to sue
Facts showing the capacity of a party to sue or
be sued, or the authority of a party to sue or be
sued in a representative capacity, or the legal
existence of an organized association of
persons that is made a party, must be averred
[Sec. 4, Rule 8].
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1. Who are the parties
a. Real Parties in Interest
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 [Sec. 2, Rule 3].
Nature of interest
The interest must be a present and substantial
interest, as distinguished from a mere
expectancy or a future, contingent,
subordinate, or consequential interest [Rayo v.
Metrobank, G.R. No. 165142 (2007)].
It should be material and direct, as
distinguished from a mere incidental interest
[Mayor Rhustom Dagadag v. Tongnawa, G.R.
No. 161166-67 (2005)].
Why necessary to determine the real party
in interest
General rule: Every action must be prosecuted
or defended in the name of the real party in
interest.
Exception: Unless otherwise provided by law
or the Rules [Sec. 2, Rule 3].
If the suit is not brought in the name of or
against the real party-in-interest, the defendant
must set out in his answer as an Affirmative
Defense the ground that the complaint “states
no cause of action” [Sec 12, Rule 8].
Spouses as parties
General rule: Husband and wife shall sue and
be sued jointly.
Exception: As provided by law [Sec. 4, Rule
3].
Remedies for the Plaintiff
1. Amendment of pleadings [Alonso v.
Villamor, G.R. No. L-2352 (1910)]; or
2. Complaint may be deemed amended to
include the real party-in-interest [Balquidra
v. CFI Capiz, G.R. No. L-40490 (1977)]
When real party-in-interest bound despite
not being formally impleaded
As an exception, the real litigant may be held
bound as a party even if not formally
impleaded, provided he had his day in court
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[Albert v. University Publishing Co., G.R. No. L- complete determination or settlement of the
9300 (1958)]. claim subject of the action [Sec. 8, Rule 3].

b. Indispensable Parties Indispensable

Necessary Parties
Parties
A real party-in-interest without whom no final Must be joined under May be joined
determination can be had of an action [Sec. 7, any and all conditions whenever possible
Rule 3]. [Borlasa v. Polistico, [Borlasa v. Polistico,
G.R. No. 22909 G.R. No. 22909
An indispensable party is one whose interest (1925)]. (1925)].
in the subject matter of the suit and the relief Presence is Presence is not
sought are so inextricably intertwined with the mandatory, he must mandatory
other parties that his legal presence as a party be joined because the because his interest
to the proceeding is an absolute necessity court cannot proceed is separable from
[Benedicto-Munoz v. Cacho-Olivares, G.R. No. without him [1 Riano that of the
179121 (2015)]. 281, 2014 Bantam indispensable party
Ed.]. [1 Riano 281, 2014
A party is not indispensable if his interest in Bantam Ed.].
the controversy or subject matter is distinct and No final determination Final decree can be
divisible from the interest of the other parties can be had of a case had in a case even
and will not necessarily be prejudiced by a without his presence. without a necessary
judgment which does not complete justice to party [Chua v.
the parties in court [Benedicto-Munoz v. Torres, G.R. No.
Cacho-Olivares, G.R. No. 179121 (2015)]. 151900 (2005);
Seno v. Mangubat,
c. Representatives as Parties G.R. No. L-44339
(1987)].
A representative may be a trustee of an
express trust, a guardian, an executor or e. Indigent Parties
administrator, or a party authorized by law or
the ROC [Sec. 3, Rule 3]. Indigent Parties Indigent Litigants
[ Rule 21] [Sec 19, Rule 141]
Beneficiary to be included in the title of the One who has no One whose gross
case money or property income and that of
Where the action is allowed to be prosecuted sufficient and their immediate
or defended by a representative or someone available for food, family do not exceed
acting in a fiduciary capacity, the beneficiary shelter, and basic an amount double
shall be included in the title of the case and necessities [Sec. 21, the monthly
shall be deemed to be the real party in interest Rule 3]. minimum wage of an
[Sec. 3, Rule 3]. employee, and who
does not own real
Minor or incompetent person as party property with a fair
A minor or a person alleged to be incompetent market value of
may sue or be sued, with the assistance of his more than
father, mother, guardian, or if he has none, a PHP300,000.
guardian ad litem [Sec. 5, Rule 3]. To be entitled to the
exemption herein
d. Necessary Parties provided, the
litigant shall
A necessary party is not one who is execute an
indispensable but, rather, one who ought to be affidavit that he and
joined as a party if complete relief is to be his immediate family
accorded as to those already parties, or for a do not earn a gross
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Indigent Parties Indigent Litigants Summary of rules for indigent litigants
[ Rule 21] [Sec 19, Rule 141] If the applicant for exemption meets the salary
income above and property requirements under Sec. 19 of
mentioned, nor they Rule 141, then the grant of the application is
own any real mandatory.
property with the
assessed value On the other hand, when the application does
aforementioned, not satisfy one or both requirements, then the
supported by an application should not be denied outright;
affidavit of a instead, the court should apply the "indigency
disinterested test" under Sec. 21, Rule 3 and use its sound
person attesting to discretion in determining the merits of the
the truth of the prayer for exemption [Sps. Algura v. City of
litigant’s affidavit. Naga, G.R. No. 150135 (2006)].
1. Exemption from 1. Exempt from the
payment of payment of legal f. Alternative Defendants
docket and other fees.
lawful fees, and of Where the plaintiff is uncertain against whom
transcripts of 2. The legal fees of several persons he is entitled to relief, he
shall be a lien on may join any or all of them in the alternative,
stenographic
any judgment although a right to relief against one may be
notes which the
rendered in the case inconsistent with a right to relief against the
court may order to
favorably to the other [Sec. 13, Rule 3].
be furnished him indigent litigant,
2. Amount of the unless the court 2. Compulsory and Permissive
docket and other otherwise provides. Joinder of Parties
lawful fees shall
be a lien on any General Rule: The joinder of parties is
judgment permissive
rendered in the
case favorable to Exception:
the indigent, It is compulsory when the one involved is an
unless the court indispensable party [Crisologo v. JEWN Agro-
otherwise Industrial Corporation, G.R. No. 196894
provides. (2014)].
Consequence if Any falsity in the
party not actually affidavit of a litigant a. Compulsory Joinder
indigent: or a disinterested
The proper docket party shall be Parties in interest without whom no final
and other lawful fees sufficient cause to determination can be had of an action (i.e.
shall be assessed and dismiss the indispensable parties) shall be joined either as
collected by the clerk complaint or action plaintiffs or defendants [Sec. 7, Rule 3].
of court. or to strike out the
If payment is not pleading of that Effect of non-joinder of indispensable
made within the time party, without parties
fixed by the court, prejudice to The absence of an indispensable party renders
execution shall issue whatever criminal all subsequent actions of the trial court null
or the payment liability may have and void for want of authority to act, not only
thereof, without been incurred. as to the absent parties but even as to those
prejudice to such present [Moldes v. Villanueva, G.R. No.
other sanctions as the 161955 (2012)].
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Failure to implead an indispensable party is not
a ground for dismissal of an action, as the
remedy in such a case is to implead the
party claimed to be indispensable,
considering that the parties may be added by
order of the court, on motion of the party or on
its own initiative at any stage of the action
[Galido v. Magrare, G.R. No. 206584 (2016)].
Effect of misjoinder or non-joinder
It is when the order of the court to implead
an indispensable party goes unheeded that
the case may be dismissed. The court has
authority to dismiss a complaint due to the fault
of the plaintiff when he does not comply with
any order of the court [Plasabas v. CA, G.R.
No. 166519 (2009)].
Effect of non-joinder of necessary parties
Non-joinder of a necessary party does not
prevent the court from proceeding in the action.
The judgment rendered therein shall not
prejudice the rights of such necessary party
[Sec. 9, par. 3, Rule 3].
Remedy in case of non-joinder of necessary
parties
When a pleading asserting a claim omits to join
a necessary party, the pleader must:
1. Set forth the name of the necessary party,
if known, and
2. State the reason why he is omitted [Sec. 9,
par. 1, Rule 3].
Should the court find the reason for the non-
joinder of a necessary party unmeritorious, it
may order the inclusion of such necessary
party, if jurisdiction over his person may be
obtained. Failure to comply with such order
without justifiable cause shall be deemed a
waiver of the claim against such party [Sec.
9, pars. 1-2, Rule 3].
b. Permissive Joinder
All persons in whom or against whom any right
to relief in respect to or arising out of the same
transaction or series of transactions is alleged
to exist, whether jointly, severally, or in the
alternative, may except as otherwise provided
in these Rules, join as plaintiffs or be joined
as defendants in one complaint, where any
question of law or fact common to all such
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plaintiffs or to all such defendants may arise in
the action; but the court may make such orders
as may be just to prevent any plaintiff or
defendant from being embarrassed or put to
expense in connection with any proceedings in
which he may have no interest [Sec. 6, Rule 3].
Requisites
1. The right to relief arises out of the same
transaction or series of transactions;
2. There is a question of law or fact common
to all the plaintiffs or defendants; and
3. Such joinder is not otherwise proscribed by
the provisions of the ROC on jurisdiction
and venue
[1 Regalado 91, 2010 Ed.]
A party may in one pleading assert, in the
alternative or otherwise, as many causes of
action as he may have against an opposing
party. One of the conditions for such joinder
of causes of action is that the party joining the
causes of action shall comply with the rules
on joinder of parties [Sec. 5, Rule 2].
c. Misjoinder and Non-Joinder of
Parties
Misjoinder
When one is made a party to the action
although he should not be impleaded [1 Riano
285, 2014 Bantam Ed.].
Non-joinder
When one is supposed to be joined but is not
impleaded in the action [1 Riano 285, 2014
Bantam Ed.].
Effect of misjoinder or non-joinder of
parties
Neither misjoinder nor non-joinder of parties is
a ground for dismissal of an action [Sec. 11,
Rule 3]
Objections to defects in parties
Objections should be made at the earliest
opportunity. Thus, objections to misjoinder
cannot be raised for the first time on appeal
[Lapanday Agricultural & Development
Corporation v. Estita, G.R. No. 162109 (2005)].
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d. Class Suit
Requisites
a. Subject matter of the controversy is one of
common or general interest to many
persons;
b. The persons are so numerous that it is
impracticable to join them all as parties;
c. The court finds a number of them
sufficiently numerous and representative of
the class as to fully protect the interests of
all concerned; and
d. The representative sues or defends for the
benefit of all.
[Sec. 12, Rule 3]
Only general interest in the subject matter
of litigation required
A class suit does not require a commonality of
interest in the questions involved in the suit.
What is required by the Rules is a common or
general interest in the subject matter of the
litigation [Mathay v. Consolidated Bank & Trust
Company, G.R. No. L-23136 (1974)]
Right to intervene
In a class suit, any party in interest shall have
the right to intervene to protect his individual
interest [Sec. 12, Rule 3]
No dismissal upon the instance of plaintiff
or due to compromise
A class suit shall not be dismissed or
compromised without the approval of the court
[Sec. 2, Rule 17]
Examples of Class Suits
1. Taxpayer’s suit
A taxpayer's suit or a stockholder's derivative
suit is a class suit, although subject to the other
requisites of the corresponding governing law
especially on the issue of locus standi [1
Regalado 99, 2010 Ed.].
2. Derivative suit
A derivative suit is an action brought by a
stockholder on behalf of the corporation to
enforce corporate rights against the
corporation’s directors, officers or other
insiders. Under the Revised Corporation Code,
the directors or officers, as provided under the
by-laws, have the right to decide whether or not
a corporation should sue. Since these directors
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or officers will never be willing to sue
themselves, or impugn their wrongful or
fraudulent decisions, stockholders are
permitted by law to bring an action in the
name of the corporation to hold these
directors and officers accountable. In derivative
suits, the real party in interest is the
corporation, while the stockholder is a mere
nominal party [Ang v. Ang, G.R. No. 201675
(2013)].
Not a Class Suit
There is no class suit in an action filed by
associations of sugar planters to recover
damages on behalf of individual planters for an
allegedly libelous article in an international
magazine. There is no common or general
interest in the reputation of a specific individual.
Each of the sugar planters has a separate and
distinct reputation in the community not shared
by the others [Newsweek, Inc. v. Intermediate
Appellate Court, G.R. No. 63559 (1986)].
There is no class suit in an action for damages
filed by the relatives of the fatalities in a plane
crash. There is no common or general interest
in the injuries or death of all passengers in the
plane. Each has a distinct and separate
interest which must be proven individually [1
Riano 244, 2016 Bantam Ed.].
e. Suits Against Entities Without
Juridical Personality
Requisites
a. There are 2 or more persons not organized
as a juridical entity; and
b. They enter into a transaction [Sec. 15, Rule
3].
Persons associated in an entity without juridical
personality may be sued under the name by
which they are generally or commonly
known [Sec. 15, Rule 3].
Note: The authority to be a party under Sec. 15,
Rule 3 is confined only to being a defendant
and not as a plaintiff. This is evident from the
words, “they may be used” [1 Riano 265, 2014
Bantam Ed.].
When persons associated in an entity without
juridical personality are sued, the service of
summons may be effected upon all the
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defendants by serving upon any of them, or Actions that survive
Actions that do not
upon the person in charge of the office or place survive the death of
the death of a party
of business maintained under such name [Sec. a party
7, Rule 14]. Aguas v. Llemos, G.R.
No. L-18107 (1962)].
f. Effect of Death of Party Litigant
Court may order the opposing party, within a
specific time, to procure the appointment of an
Duty of counsel upon death of client
administrator or executor of the estate in the
a. Inform court of such fact within 30 days
following cases:
after the death; and
a. No legal representative is named; or
b. Give the name and address of the legal
b. The one so named fails to appear within the
representative [Sec. 16, Rule 3].
specified period [Sec. 16, Rule 3].
Effect of failure to comply
Examples of actions which survive the
Failure of counsel to comply is a ground for
death of the party
disciplinary action [Sec. 16, Rule 3].
a. Actions to recovery real and personal
property from the estate;
Action of court upon notice of death
b. Actions to enforce a lien thereon; and,
Upon receipt of notice, the court shall
c. Actions to recover damages for an injury to
determine if the claim is extinguished by such
a person or property [Sarsaba v. Te, G.R.
death.
No. 175910 (2009)].
a. Claim does not survive: substitution
would not be ordered
Substitution
b. Claim survives: the court shall order the
legal representative of the deceased to
Summons not necessary
appear and be substituted for him within 30
The substitute defendant need not be
days [Sec. 16, Rule 3]
summoned. The order of substitution shall
[1 Riano 286, 2014 Bantam Ed., suggesting
be served upon the parties substituted for the
Aguas v. Llemos, G.R. No. L-18107 (1962)]
court to acquire jurisdiction over the substitute
party [Ferreria v. Vda de Gonzales, G.R. No. L-
Survival of Action
11567 (1986)].
Survival depends on the nature of the action
and the damage sought.
Effect of failure to order substitution
Actions that do not
Results in failure to acquire jurisdiction over
Actions that survive the representative or heirs of the deceased
survive the death of
the death of a party party. Consequently, any judgment rendered
a party
The wrong complained The injury complained against such deceased party shall be null and
of affects primarily and of is personal to the void for lack of jurisdiction over the persons of
principally property person the legal representative or of the heirs upon
and property rights whom the trial and the judgment would be
Injuries to the person Property and property binding [The Heirs of Vda. De Haberer v. Court
are merely incidental rights affected are of Appeals, et al., G.R. Nos. L-42699 to L-2709
[Cruz v. Cruz, G.R. No. incidental (1981)].
173292 (2010)]. [Cruz v. Cruz, G.R. No.
173292 (2010)].
E.g. Actions to recover E.g. Action for support,
Rule in case of death or separation of party
real and personal annulment of who is a public officer
property from the marriage, legal The action may be continued or maintained by
estate; actions to separation or against his successor [Sec. 17, Rule 3].
enforce a lien thereon; [1 Riano 291, 2014
and actions to recover Bantam Ed.]. Requisites:
damages for an injury a. A public officer is a party to an action in his
to person or property official capacity;
[Sec. 1, Rule 88;

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b. During the pendency of the action, he dies,
resigns, or otherwise ceases to hold office;
c. Within 30 days after the successor takes
office or such time as may be granted by
the court, any party shows to the
satisfaction of the court, that
● there is a substantial need for
continuing or maintaining such action;
and
● the successor adopts or continues his
predecessor’s action, or threatens to
do so
d. Before a substitution is made, the party or
officer to be affected shall be given
reasonable notice of the application
therefor and accorded an opportunity to be
heard UNLESS he expressly assents
thereto [Sec. 17, Rule 3].
Action on contractual money claims
Shall not be dismissed but shall instead be
allowed to continue until entry of final judgment
[Sec. 20, Rule 3].
Requisites
a. Action is for recovery of money,
b. The claim arose from express or implied
contract, and
c. Defendant dies before the entry of final
judgment in the court in which the action
was pending [Sec. 20, Rule 3].
Effect
If the plaintiff obtains a favorable judgment,
said judgment shall be enforced following the
procedure provided for in the ROC for
prosecuting claims against the estate of a
deceased person [Sec. 20, Rule 3] He/She is
not supposed to file a motion for the issuance
of an order and writ of execution of the
judgment [1 Riano 201, 2014 Bantam Ed.].
E. Venue (Rule 4)
In civil cases, it is a procedural matter and not
jurisdictional, as compared to criminal cases,
where the venue is jurisdictional.
Venue relates only to the place of trial or the
geographical location in which an action or
proceeding should be brought. It is intended to
accord convenience to the parties and does not
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equate to the jurisdiction of the court [Dolot v.
Paje, G.R. 199199 (2013)].
On dismissal based on improper venue
Improper venue is no longer one of the
grounds for a motion to dismiss under the
Amended Rules. However, the ground of the
venue being improperly laid is one of those that
may be set as an Affirmative Defense in the
answer. The failure to raise the affirmative
defense in the answer will constitute a waiver
of such [Sec 12, Rule 8].
However, the court may make a motu proprio
dismissal for improper venue, inter alia, in
actions covered by the Rules on Summary
Procedure [Sec. 4], Rule of Procedure for
Small Claims cases [Sec. 9], and in ejectment
cases [Sec. 5, Rule 70].
1. Venue of Real Actions
Real actions shall be commenced and tried in
the proper court which has jurisdiction over the
area wherein the real property involved, or a
portion thereof is situated.
Forcible entry and detainer actions shall be
commenced and tried in the municipal court of
the municipality or city wherein the real
property involved, or a portion thereof, is
situated [Sec. 1, Rule 4].
The rule, in its simplified form, means that if the
action is real, the action is local, as opposed
to transitory, and the venue is the place where
the real property involved, or any portion
thereof, is situated [1 Riano 151, 2016 Bantam
Ed.].
Where the subject-matter of the action
involves various parcels of land situated in
different provinces, the venue is determined
by the singularity or plurality of the transactions
involving said parcels of land. Thus, where said
parcels are the objects of one and the same
transaction, the venue is in the court of any of
the provinces wherein a parcel of land is
situated [1 Regalado 118, 2010 Ed., citing El
Hogar Filipino v. Seva, G.R. No. 36627 (1932)].
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2. Venue of Personal Actions
All other actions may be commenced and tried,
at the plaintiff’s election:
a. Where the plaintiff or any of the principal
plaintiffs resides, or
b. Where the defendant or any of the principal
defendants resides, or
c. In case of a non-resident defendant, where
he may be found [Sec. 2, Rule 4].
The plaintiff or the defendant must be
residents of the place where the action has
been instituted at the time the action is
commenced [Ang v. Sps. Ang, G.R. No.
186993 (2012)].
Definition of residence
The residence of a person is his personal,
actual or physical habitation or his actual
residence or place of abode, which may not
necessarily be his legal residence or domicile
provided he resides therein with continuity and
consistency [Boleyley v. Villanueva, G.R. No.
128734 (1999)].
A corporation cannot be allowed to file
personal actions in a place other than its
principal place of business unless such
place is also the residence of a co-plaintiff or
defendant [Davao Light v. CA, G.R. No.
111685 (2001)].
3. Venue of Actions Against Non-
Residents
Non-resident found in the Philippines
a. Personal action: where the nonresident
defendant may be found, as authorized by
Sec. 2, Rule 4, but with an additional
alternative venue, i.e., the residence of any
of the principal plaintiffs, pursuant to Secs.
2 and 3, Rule 4 [1 Regalado 121, 2010
Ed.].
b. Real action: in the proper court which has
jurisdiction over the area wherein the real
property involved, or a portion thereof is
situated [Sec. 1, Rule 4].
Non-resident not found in the Philippines,
and the action affects:
a. Personal status of plaintiff – where
plaintiff resides, or
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b. Property of defendant in the Philippines
– where the property, or any portion
thereof, is situated or found [Sec. 3, Rule
4].
4. When the Rules on Venue Do Not
Apply
a. Cases where a specific rule or law provides
otherwise; examples:
1. Quo warranto proceeding commenced
by the Solicitor General, [Sec. 7, Rule
66]
● The action may be brought in the
Supreme Court, the Court of
Appeals, or in a Regional Trial
Court in the City of Manila.
2. Petition for a continuing writ of
mandamus, and [Sec. 2, Rule 8, Rules
of Procedure for Environmental Cases]
● The petition shall be filed with the
Regional Trial Court exercising
jurisdiction over the territory where
the actionable neglect or omission
occurred or with the Court of
Appeals or the Supreme Court.
3. Civil and criminal action for damages in
written defamation [Art. 360, RPC].
● Note that for written defamations,
the default venue would be the
place where the libelous article is
first published or where any of the
offended parties reside.
● In case that the offended party is a
public officer, the proper venue
would be either where he holds
office at the time of the commission
of the crime, or the place where the
libelous article is first published
[Art. 360, RPC].
b. Parties have validly agreed in writing before
the filing of an action on the exclusive venue
thereof [Sec. 4, Rule 4].
5. Effects of Stipulations on Venue
The parties may stipulate on the venue if the
agreement is:
a. In writing,
b. Made before the filing of the action, and
c. Exclusive as to the venue
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Types of stipulations on venue Pleadings vs. Motions
a. Restrictive: suit may be filed only in the Pleadings Motion
place agreed upon Purpose is to
b. Permissive: parties may file their suit not submit a claim Application for
only in the place agreed upon but also in
or defense for relief other
the places fixed by the rules
[Briones v. CA and Cash Asia, G.R. No. Purpose appropriate than by a
204444 (2015)] judgment pleading [Sec.
[Sec. 1, Rule 1, Rule 15].
Requirement to be binding 6].
To be binding, the parties must have agreed Judgment,
on the exclusive nature of the venue of any
which by its Other reliefs
prospective action between them. The
agreement of parties must be restrictive and Relief character that are not
not permissive [1 Regalado 124, 2010 Ed.]. Sought finally included in a
disposes of judgment.
In the absence of qualifying or restrictive the case.
words (e.g. “only/solely/exclusively”), venue [1 Riano 339, 2005 Ed.]
stipulation is merely permissive; that is, the
stipulated venue is in addition to the venue Prior to the Amended Rules, evidentiary facts
provided for in the rules [Polytrade Corp. v. were supposed to be omitted from pleadings,
Blanco, G.R. No. L-27033 (1969)]. as these matters should be presented during
trial. However, the contents of pleadings are no
When stipulation may be disregarded longer limited to ultimate facts since under Sec.
The court may declare agreements on venue 6, Rule 7, the witnesses, summaries of their
as contrary to public policy if such stipulation testimonies, their judicial affidavits, and
unjustly denies a party a fair opportunity to documentary and object evidence should
file suit in the place designated by the Rules. already be included in the pleading. Likewise,
The court shall take into consideration the Sec. 1 of Rule 8 also states that every pleading
economic conditions of the parties, the must contain the ultimate facts, including the
practical need to avoid numerous suits filed evidence on which the party pleading relies.
against the defendant in various parts of the
country and the peculiar circumstances of the 1. Kinds of Pleadings (Rule 6)
case [1 Regalado 124-125, 2010 Ed., citing
Hoechst Philippines v. Torres, G.R. No. L-
a. Complaint
44351 (1978)].
The complaint is the pleading alleging the
A complaint directly assailing the validity of
plaintiff’s or claiming party’s cause or causes of
the written instrument itself should not be
action [Sec. 3, Rule 6].
bound by the exclusive venue stipulation
contained therein and should be filed in
Note: Counterclaims, cross-claims, third-party
accordance with the general rules on venue
complaints, and complaints-in-intervention are
[Briones v. CA and Cash Asia, G.R. No.
kinds of complaints [Sec. 2, Rule 6].
204444 (2015)].
Function
F. Pleadings 1. To inform the defendant clearly and
definitely of the claims made against him so
Pleadings are the written statements of the that he may be prepared to meet the issues
respective claims and defenses of the parties, at trial.
submitted to the court for appropriate judgment 2. To inform the defendant of all material facts
[Sec. 1, Rule 6]. on which the plaintiff relies to support his
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3. To state the theory of a cause of action
which forms the basis of the plaintiff's claim
of liability [Tantuico v. Republic, G.R. No.
89114 (1991)].
Facts alleged in the complaint are judicial
admissions that bind the plaintiff and may be
the basis to dismiss the complaint [Luzon
Development Bank v. Conquilla, G.R. No.
163338 (2005)].
Allegations of the complaint determine the
nature of the cause of action and the body or
court which has jurisdiction over the action
[Ching vs Subic Bay Golf and Country Club,
Inc, G.R. No. 174353 (2014)].
REMEDIAL LAW
Negative Pregnant
A negative pregnant does not qualify as a
specific denial. It is conceded to be actually an
admission. It refers to a denial which implies
its affirmative opposite by seeming to deny only
a qualification or an incidental aspect of the
allegation but not the main allegation itself [1
Riano 358, 2014 Bantam Ed.].
Examples: When the defense alleges “I have
never borrowed money from the plaintiff from
2011 to 2013,” such may imply that there was
borrowing of money at other times [1 Riano
297, 2016 Bantam Ed.].
c. Counterclaims

b. Answer Any claim which a defending party may have

against an opposing party [Sec. 6, Rule 6].
An answer is a pleading in which a defending
party sets forth his or her defenses [Secs. 2 Compulsory Permissive
and 4, Rule 6]. Counterclaim Counterclaim
A compulsory Not subject to the rule
Negative Defenses counterclaim, which a on compulsory
A negative defense is the specific denial of party has at the time counterclaims.
the material fact or facts alleged in the pleading the answer is filed, Hence, it may be set
of the claimant essential to his or her cause or shall be contained in up as an independent
causes of action [Sec. 5 (a), Rule 6]. the answer [Sec. 8, action and will not be
Rule 11] because a barred if not
Note: A general denial is considered as an compulsory contained in an
counterclaim not answer to the
admission [1 Riano 293, 2016 Bantam Ed.].
raised in the same complaint.
action shall be barred,
Three kinds of specific denials: unless otherwise
1. Specific Denial - Defendant specifies allowed by these
each material allegation of fact, the truth of rules [Sec. 7, Rule 6].
which he does not admit and whenever Not an initiatory Initiatory pleading
practicable, sets forth the substance of the pleading
matters upon which he relies to support his Said certifications areShould be
denial [Rule 8, Section 10]. not required accompanied by a
2. Partial Denials - made when the certification against
defendant does not make a total denial of forum shopping and,
the material allegations, but denies only a whenever required by
part of the averment. Here, he specifies law, also a certificate
which part of the truth he admits and to file action issued
likewise denies [1 Riano 269, 2016 Bantam by the Lupong
Ed.]. Tagapamayapa.
3. Denial through Disavowal of Knowledge Failure to answer a Must be answered by
- made when the defendant alleges he “is compulsory the party against
without knowledge or information sufficient counterclaim is not a whom it is interposed,
to form a belief as to the truth of the cause for a default otherwise he may be
material averments in the complaint” declaration. declared in default as
[Republic v. Sandiganbayan, G.R. No. to the counterclaim.
152154 (2003)]. [1 Riano 385-387, 2014 Bantam Ed.]

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How raised
1. By including it in the Answer
● A compulsory counterclaim or a cross-
claim that a defending party has at the
time he or she files his or her answer
shall be contained therein [Rule 11,
Sec. 8].
2. By filing after the Answer
● Omitted Compulsory Counterclaim -
If a counterclaim already existed at the
time of the filing of the answer and the
defendant fails to raise it, it shall
generally be barred [Sec. 7, Rule 6].
However, an exception to this would be
a counterclaim by amendment before
judgment, when the counterclaim was
not set up due to oversight,
inadvertence, or excusable neglect
[Sec. 10, Rule 11].
● Compulsory Counterclaim arising
after Answer - A counterclaim, which
either matured or was acquired by a
party after serving his answer may,
with permission of the court, be
presented as a counterclaim by
supplemental pleading before
judgment [Sec. 9, Rule 11].
Compulsory Counterclaim
Requisites
1. It arises out of, or is connected with the
transaction or occurrence constituting the
subject matter of the opposing party's
claim,
2. It does not require for its adjudication the
presence of third parties of whom the court
cannot acquire jurisdiction, and
3. It must be within the jurisdiction of the court
both as to the amount and the
nature, except that in an original action
before the RTC, the counter-claim may be
considered compulsory regardless of the
amount [Sec. 7, Rule 6]
A plaintiff who fails or chooses not to answer a
compulsory counterclaim may not be declared
in default, principally because the issues raised
in the counterclaim are deemed automatically
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joined by the allegations in the complaint [Gojo
v. Goyala, G.R. No. L-26768 (1970)].
The filing of a motion to dismiss and the
setting up of a compulsory counterclaim are
incompatible remedies. If he files a motion to
dismiss, he will lose his counterclaim. But if he
opts to set up his counterclaim, he may still
plead his ground for dismissal as an affirmative
defense in his answer [Financial Building Corp.
v. Forbes Park Association, G.R. No. 133119
(2000)].
On amounts
1. In an original action before the RTC, the
counterclaim may be considered
compulsory regardless of the amount [Sec.
7, Rule 6].
2. If a counterclaim is filed in the MTC in
excess of its jurisdictional limits, the excess
is considered waived [Agustin v. Bacalan,
G.R. No. L-46000 (1985)].
Permissive Counterclaim
A counterclaim is permissive if it does not
arise out of, nor is necessarily connected with,
the subject matter of the opposing party’s
claim. This is not barred even if not set up in
the action [1 Herrera 686, 2007 Ed.]. Basically,
a permissive counterclaim is one where any of
the aforementioned requirements of a
compulsory counterclaim are missing [1 Riano
320, 2016 Bantam Ed.].
Docket fees have to be paid for the trial court
to acquire jurisdiction [1 Riano 387, 2014
Bantam Ed., citing GSIS v. Heirs of Caballero,
G.R. No. 158090 (2010)].
Note: Even if the counterclaim arises out of the
subject-matter of the opposing party's claim but
it is not within the jurisdiction of the regular
courts of justice, or it requires for its
adjudication the presence of third parties
over whom the court cannot acquire
jurisdiction, it is considered as only a
permissive counter­claim and is not barred
even if not set up in the action (see also Sec.
2, Rule 9) [1 Regalado 143-144, 2010 Ed.].
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Determining whether a counterclaim is
compulsory or permissive
A positive answer on all four the following tests
would indicate that the counterclaim is
compulsory:
a. Are the issues of fact and law raised by the
claim and counterclaim largely the same?
b. Would res judicata bar a subsequent suit
on defendant’s claims, absent the
compulsory counterclaim rule?
c. Will substantially the same evidence
support or refute the plaintiff's claim as well
as the counterclaim?
d. Is there any logical relation between the
claim and counterclaim?
[GSIS v. Heirs of Caballero, G.R. No. 158090
(2010)]
Effect on counterclaim when complaint is
dismissed
The dismissal of the complaint shall be without
prejudice to the prosecution in the same or
separate action of a counterclaim pleaded in
the answer in the following cases:
1. Dismissal under Sec. 2, Rule 17 – where
the plaintiff files a motion to dismiss the
case, after the defendant had filed a
responsive pleading.
2. Dismissal under Sec. 3, Rule 17 – where
the complaint is dismissed due to the fault
of the plaintiff.
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 [Sec. 8, Rule 6].
Existing Cross-claim - A cross-claim that a
defending party has at the time he or she files
his or her answer shall be contained therein
[Sec. 8, Rule 11].
Exception: Across-claim by amendment
before judgment, when the counterclaim was
not set up due to oversight, inadvertence, or
excusable neglect [Sec. 10, Rule 11].
Cross-claim arising after Answer - A cross-
claim, which either matured or was acquired by
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a party after serving his answer may, with
permission of the court, be presented as a
cross-claim by supplemental pleading before
judgment [Sec. 9, Rule 11].
When a cross-claim is proper
1. It arises out of the subject matter of the
complaint.
2. It is filed against a co-party.
3. The cross-claimant stands to be prejudiced
by the filing of the action against him
[Londres v. CA, G.R. No. 136427 (2002)]
Improper cross-claims
1. Where the cross-claim is improperly
allowed, the remedy is certiorari [Malinao v.
Luzon Surety, G.R. No. L-16082 (1964)]
2. The dismissal of a cross-claim is
unappealable when the order dismissing
the complaint becomes final and executory
[Ruiz, Jr. v. CA, G.R. No. 101566 (1993)]
A cross-claim is not allowed after declaration of
default of cross-claimant. To allow the cross-
claim to remain would be tantamount to setting
aside the order of default the cross-claimant,
who had been previously declared default,
would re-obtain a standing in court as party
litigant [Tan v. Dimayuga, G.R. No. L-15241
(1962)]
e. Third (fourth, etc.) party complaints
A third (fourth, etc.) party complaint is a
claim that a defending party may, with leave of
court, file against a person not a party to the
action, called the third (fourth, etc.)-party
defendant for contribution, indemnity,
subrogation, or any other relief, in respect of
his or her opponent's claim [Sec. 11, Rule 6].
Requisites
1. The party to be impleaded must not yet be
a party to the action
2. The claim against the third-party defendant
must belong to the original defendant
3. The claim of the original defendant against
the third-party defendant must be based
upon the plaintiff's claim against the
original defendant,
4. The defendant is attempting to transfer to
the third-party defendant the liability
asserted against him by the original plaintiff
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[Philtranco Service Enterprises, Inc. v.
Paras, G.R. No. 161909 (2012)], and
5. The court grants leave of court for the filing
of the same [Sec. 11, Rule 6].
When the third (fourth, etc.) party complaint
will not be granted leave, and the court will
require the filing of a separate action:
1. Where matters extraneous to the issue in
the principal case are raised, or
2. Where a new and separate controversy
would be introduced in the action [Sec. 11,
Rule 6].
When, despite grant of leave allowing the
filing of a third-party complaint, the court
dismisses the third (fourth) party complaint
The third-party defendant cannot be located
within 30 days from grant of leave [Sec. 11,
Rule 6].
f. Complaint-in-intervention
Intervention is a remedy by which a third
party, not originally impleaded in a proceeding,
becomes a litigant therein to enable him to
protect or preserve a right or interest which
may be affected by such proceeding
[Restaurante Las Conchas v. Llego, G.R. No.
119085 (1999), citing First Philippine Holdings
Corporation v. Sandiganbayan, G.R. No.
88345 (1996)].
Further discussion under Intervention (Rule 19)
g. Reply
A reply is a pleading, the office or function of
which is to deny, or allege facts in denial or
avoidance of new matters alleged in, or relating
to actionable documents attached to an
answer. This is so, because under the
Amended Rules, the plaintiff may file a reply
only if the defending party attaches an
actionable document to his or her answer [Sec.
10, Rule 6].
Note: An actionable document is a written
document that’s the basis of one’s cause of
action or defense [1 Riano 280, 2016 Bantam
Ed.].
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Note: The function of a reply is to merely
deny the allegations raised in the answer
with the actionable document, not to impose
new causes of action which arise from the
answer.
If the plaintiff wants to interpose a new claim
on the basis of the actionable document
attached in the answer, he should do this
through an amended or supplemental
complaint.
1. The amended complaint must be with
leave of court following Sec. 3, Rule 10.
2. The supplemental complaint is allowed
only if it pertains to transactions,
occurrences, or events which have
happened since the date of the complaint
following Sec. 6, Rule 10.
A reply is not the proper responsive pleading to
a counterclaim or a crossclaim, as the proper
responsive pleading would be an answer to the
counterclaim/cross-claim [1 Riano 335, 2016
Bantam Ed.].
If an actionable document is attached to the
reply, the defendant may file a rejoinder. The
rejoinder must only deny, or allege facts in
denial or avoidance of the new matters alleged
in actionable document attached to the reply
[Sec. 10, Rule 6].
General Rule: There is no need to file a reply
since all new matters alleged in the answer are
deemed controverted [Sec. 10, Rule 6].
Exception: When an actionable document is
attached to the answer, the plaintiff must file a
reply in order to avoid the admission of the
genuineness and due execution of the
document attached. Failure to file a reply would
lead to the admission of the aforementioned
matters [1 Riano 336, 2016 Bantam Ed.].
Extensions of time to file
General Rule:
A motion for extension to file any pleading is
prohibited and is considered a mere scrap of
paper [Sec. 11, Rule 11].
A motion for extension of time to file pleadings,
affidavits, or any other papers is a prohibited
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motion and shall not be allowed [Sec. 12 (e),
Rule 15].
Exception:
A motion for extension of time to file an
answer may be allowed if:
1. For meritorious reasons,
2. For a period not more than 30 calendar
days, and
3. A party may only avail of 1 motion for
extension.
The court may still allow, in its discretion, any
other pleading to be filed after the time fixed by
the Rules [Sec. 11, Rule 11].
2. Parts of a Pleading (Rule 7)
a. Caption
Sets forth the:
1. Name of the court
2. Title of the action (i.e. the names of the
parties and respective participation) and
3. The docket number, if assigned
[Sec. 1, Rule 7]
b. Body
Sets forth the pleading’s designation, the
allegations of party's claims or defenses, the
relief prayed for, and its date.
1. Paragraphs
The paragraphs of the body must be so
numbered as to be readily identified, each of
which shall contain a statement of a single set
of circumstances so far as that can be done
with convenience. A paragraph may be
referred to by its number in all succeeding
pleadings.
2. Headings
When two or more causes of action are
joined, the statement of the first shall be
prefaced by the words “first cause of action," of
the second by "second cause of action," and so
on for the others.
When one or more paragraphs in the
answer are addressed to one of several
causes of action in the complaint, they shall
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be prefaced by the words "answer to the first
cause of action" or "answer to the second
cause of action" and so on; and when one or
more paragraphs of the answer are addressed
to several causes of action, they shall be
prefaced by words to that effect.
3. Relief
The relief sought must be specified, but it may
add a general prayer for such further or other
relief as may be deemed just or equitable.
General Rule: A court cannot grant a relief not
prayed for by a party in the pleadings, or in
excess of that being sought [Bucal v. Bucal,
G.R. No. 206957 (2015)].
Exception: Because the rules allow a general
prayer for such other reliefs as may be deemed
just and equitable, the court may grant reliefs
that are not specifically prayed for as long as
they are just and equitable [1 Riano 257, 2016
Bantam Ed.].
4. Date
Every pleading shall be dated [Sec. 2, Rule 7].
c. Signature and address
Every pleading and other written
submissions to the court must be signed by
the party or counsel representing him or her
[Sec. 3, Rule 7].
The signature of counsel constitutes a
certificate that he or she has read the pleading
and document and that such pleading or
document:
a. Is not being presented for any improper
purpose to harass, delay, or increase cost
of litigation
b. Has claims, defenses, and other legal
contentions that are warranted by law or
jurisprudence, and not merely based on
frivolous arguments contrary to
jurisprudence
c. Has factual contentions that have
evidentiary basis or will most likely be
supported by evidence after availment of
modes of discovery, and
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d. The denials of facts are based on evidence Expedited Procedure in the First Level
or based on belief of lack of information if Courts]
specially so identified [Sec. 3, Rule 7]. 2. Petition for relief from judgment or order
[Sec. 3, Rule 38]
Effect of violation of the rule: 3. Petition for review from RTC to the CA
The court may on motion or motu proprio, after [Sec. 1, Rule 42]
notice and hearing, impose an appropriate 4. Petition for review from quasi-judicial
sanction or refer such to the proper office for agencies to the CA [Sec. 5, Rule 43]
disciplinary action, unless exceptional 5. Appeal by certiorari from the CTA to the SC
circumstances are present. [Sec. 12, R.A. 9282 amending Sec. 19,
R.A. 1125]
On whom sanction imposed: 6. Appeal by certiorari from CA to the SC
The attorney, law firm, or the party that violated [Sec. 1, Rule 45]
the rule. 7. Petition for annulment of judgments or final
orders and resolutions [Sec. 1, Rule 47]
Note: The law firm shall be jointly and severally 8. Complaint for injunction [Sec. 4, Rule 58]
liable for a violation committed by its partner, 9. Application for appointment of receiver
associate, or employee. [Sec. 1, Rule 59]
10. Application for support pendente lite [Sec.
Sanction may include, but shall not be 1, Rule 69]
limited to: 11. Petition for certiorari against judgments,
a. Non-monetary directive or sanction final orders, or resolutions of constitutional
b. An order to pay a penalty in court commissions [Sec. 2, Rule 64]
c. An order directing payment of attorney’s 12. Petition for certiorari [Sec. 1, Rule 65]
fees and other expenses 13. Petition for prohibition [Sec. 2, Rule 65]
14. Petition for mandamus [Sec. 3, Rule 65]
Note: the lawyer or law firm cannot pass on the 15. Petition for quo warranto [Sec. 1, Rule 66]
monetary penalty to the client [Sec. 3, Rule 7]. 16. Complaint for expropriation [Sec. 1, Rule
67]
Under the Amended Rules, an unsigned 17. Complaint for forcible entry or unlawful
pleading may no longer be remedied since the detainer [Sec. 4, Rule 70]
provision for such has been deleted from the 18. Petition for indirect contempt [Sec. 4, Rule
amended rules of court. The lawyer, law firm, 71]
or party responsible for filing an unsigned 19. Petition for appointment of a general
pleading may thus be sanctioned under this guardian [Sec. 2, Rule 93]
rule unless there are exceptional 20. Petition for leave to sell or encumber
circumstances. Also note that an unsigned property of the ward by a guardian [Sec. 1,
pleading remains to be without legal effect, and Rule 95]
is treated as “a mere scrap of paper.” 21. Petition for declaration of competency of a
ward [Sec. 1, Rule 97]
d. Verification 22. Petition for habeas corpus [Sec. 3, Rule
102]
General Rule: Pleadings need not be under 23. Petition for change of name [Sec. 2, Rule
oath or verified [Sec. 4, Rule 7]. 103]
24. Petition for voluntary judicial dissolution of
Exception: When otherwise specifically a corporation [Sec. 1, Rule 104]
required by law or rule [Sec. 4, Rule 7]. 25. Petition for cancellation or correction of
entries in the civil registry [Sec. 1, Rule
The following pleadings require verification, to 108]
wit:
1. Pleadings filed in the inferior courts in How Verified
cases covered by the Rules on Summary By an affidavit under oath with the following
Procedure [Sec. 1, Rule III, Rules on attestations:

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a. The allegations in the pleading are true and
correct based on personal knowledge or
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.
The authorization of the affiant to act on
behalf of the party, whether in the form of a
secretary’s certificate or a special power of
attorney, should be attached to the pleading
[Sec. 4, Rule 7].
Note: It is submitted that the requirement of the
attachment of the document of authorization
implies that the authority of such person may
no longer be proven during trial. This,
therefore, overturns existing jurisprudence
which provides that proof of one’s authority to
sign a verification may be taken up during trial
[246 Corp v. Daway, G.R. No. 157216 (2003)].
Proof of authority should already be
established by attaching said proof to the
pleading.
Effect of noncompliance or defective
verification
General Rule: A pleading required to be
verified that contains a verification based on
"information and belief", or upon "knowledge,
information and belief", or lacks a proper
verification, shall be treated as an unsigned
pleading [Sec. 4, Rule 7].
Note: An unsigned pleading produces no legal
effect and is a “mere scrap of paper.”
Exception: Lack of verification is a mere
formal, and not a jurisdictional, requirement. As
such, a defect in the verification does not
render the pleading fatally defective and the
court may order its subsequent submission
or correction if such serves the ends of justice
[Vda. de Formoso v. PNB, 650 SCRA 35
(2001)].
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e. Certification Against Forum
Shopping
Forum shopping
The repeated availment of several judicial
remedies in different courts, simultaneously or
successively, all substantially founded on the
same transactions and the same essential
facts and circumstances, and all raising
substantially the same issues, either pending in
or already resolved adversely by some other
court [Asia United Bank v. Goodland Company,
Inc., G.R. No. 191388 (2011)].
Test to determine existence of forum
shopping
Whether in the two or more cases pending,
there is identity of
1. Parties
2. Rights or causes of action, and
3. Relief sought
[Huibonhoa v. Concepcion, G.R. No. 153785
(2005)]
Certificate of Non-Forum Shopping (CNFS)
The plaintiff or principal party shall certify
under oath in the complaint or other
initiatory pleading asserting a claim for relief
or in a sworn certification annexed thereto and
simultaneously filed therewith
1. That he or she has not commenced any
action or filed any claim involving the same
issues in any court, tribunal or quasi-
judicial agency and, to the best of his
knowledge, no such other action is pending
2. If there is such other pending action or
claim, a complete statement of the present
status thereof, and
3. If he or she should learn that the same or a
similar action or claim has been filed or is
pending, he shall report that fact within 5
calendar days to the court wherein his
aforesaid complaint or initiatory pleading
has been filed [Sec. 5, Rule 7].
What pleadings require a certification
against non-forum shopping (Initiatory
pleadings)
1. Complaint
2. Permissive counterclaim
3. Cross-claim
4. Third (fourth, etc.) party complain
5. Complaint-in-intervention
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Who signs: Defect Effect
General Rule: Plaintiff or Principal party False certification Constitutes indirect
Exception: Authorized person, usually Non-compliance contempt of court,
counsel with any of the without prejudice to
undertakings administrative and
If, for justifiable reasons, the party-pleader is therein. criminal actions.
unable to sign, he must execute a Special When there is willful Ground for
Power of Attorney designating his counsel of and deliberate summary dismissal,
record to sign on his behalf [Vda. de Formoso forum shopping. with prejudice
v. PNB, G.R. No. 154704 (2011)] In cases of a
juridical entity, the certification may be Direct contempt of
executed by a properly authorized person court
through due authorization by a board resolution
[Cosco v. Kemper, 670 SCRA 343 (2012)]. Cause for
administrative
Note: Similar to the new requirement under sanctions
verification, the authorization of the affiant to [Sec. 5, Rule 7]
act on behalf of the party, should be attached
to the pleading. Contents of a Pleading
The failure of all petitioners to sign the Every pleading stating a party's claims or
document is not a sufficient ground for the defenses shall, in addition to those
Petition's outright dismissal. Jurisprudence mandated by Section 2, Rule 7, state the
confirms that petitioners substantially complied following:
with the verification requirement. The 30 a. Names of witnesses who will be
signatories provided the guarantee that: (1) presented to prove a party's claim or
they had ample knowledge as to the truth of the defense;
allegations in the Petition; and (2) the Petition b. Summary of the witnesses' intended
was made in good faith. For the certification testimonies, provided that the judicial
against forum shopping, Altres stated the affidavits of said witnesses shall be
general rule that non-signing petitioners will be attached to the pleading and form an
dropped as parties to the case. Nonetheless, integral part thereof, and
there is an exception: when all petitioners General Rule:
share a common interest, the signature of one Only witnesses whose judicial affidavits are
(1) petitioner in the certification against forum attached to the pleading shall be presented
shopping is enough to satisfy the substantial by the parties during trial.
compliance rule [Cordillera Global Network v.
Paje, G.R. No. 215988 (2019)]. Exception:
If a party presents meritorious reasons as
Effect of noncompliant CNFS basis for the admission of additional
Defect Effect witnesses
Failure to comply Not curable by mere c. Documentary and object evidence in
with the amendment of the support of the allegations contained in the
requirements. complaint or other pleading [Sec. 6, Rule 7].
initiatory pleading.
Rationale:
Cause for dismissal To ensure that a person filing a case or a
of the case, without pleading would, at the time of filing, already
prejudice, unless have evidentiary basis to back the same up,
otherwise provided, and there would be no delay caused by parties
upon motion and still trying to find evidence as basis for the
after hearing. claims during the pendency of the case.

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Moreover, all papers and pleadings filed in
court must likewise bear the following items:
1. Professional Tax Receipt Number
2. IBP Official Receipt Number
3. Roll of Attorneys’ Number
4. MCLE Certificate of Compliance, or
Certificate of Exemption
Note: Failure to comply with the first three
requirements allow the court to not take action
with the pleading, without prejudice to possible
disciplinary actions against the erring counsel.
Failure to comply with the fourth requirement
causes the dismissal of the case and
expunction of the pleadings from the records [1
Riano 262-263, 2016 Bantam Ed.].
3. Manner of Making Allegations
(Rule 8)
a. In General
Every pleading shall contain in a methodical
and logical form:
1. a plain, concise and direct statement of
the ultimate facts,
2. the evidence on which the party pleading
relies for his or her claim or defense, as the
case may be
3. If the cause of action or defense is based
on law, the pertinent provisions of the law
and its applicability [Sec. 1, Rule 8].
Alternative Causes of Action
A party may set forth two or more claims or
defenses alternatively in one cause of action.
Such happens when a party is not certain
which cause of action would squarely fit the set
of facts alleged in the complaint [1 Riano 278,
2016 Bantam Ed.].
Also, a pleading which alleges alternative
causes of action is not made insufficient by the
insufficiency of one or more of the alternative
statements as long as one of them is sufficient
[Sec. 2, Rule 8].
Example: A plaintiff may be unsure as to
whether the liability of the carrier is based
either on breach of contract or a quasi-delict.
The rules allow him to state both causes of
action in the alternative [1 Riano 278, 2016
Bantam Ed.].
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How to allege the following in a pleading:
1. Capacity to sue or be sued
The following must be averred, to wit:
a. Facts showing the capacity of a person
to sue or be sued,
b. The authority of a party, to sue and be
sued in a representative capacity, or
c. The legal existence of an organized
association of persons that is made a
party.
Moreover, a party desiring to raise an issue
as to the legal existence of any party to sue
or be sued in a representative capacity
must do so via specific denial [Sec. 4,
Rule 8].
2. Judgments
It is sufficient to aver the judgment or
decision without setting forth matter
showing jurisdiction to render it.
However, an authenticated copy of the
judgment or decision pleaded must be
attached to the pleading [Sec. 6, Rule 8].
3. Official documents or acts
It is sufficient to aver that the document
was issued or the act was done in
compliance with law [Sec. 9, Rule 8].
Condition precedent
A general averment of the performance or
occurrence of all conditions precedent shall
be sufficient [Sec. 3, Rule 8].
All valid conditions precedent to the institution
of the particular action, whether prescribed by
statute, fixed by agreement of the parties or
implied by law must be performed or complied
with before commencing the action, unless the
conduct of the adverse party has been such as
to prevent or waive performance or excuse
non-performance of the condition [Anchor
Savings Bank v. Furigay, G.R. No. 191178
(2013)].
Examples of conditions precedent:
a. A tender of payment is required before
making a consignation [Art. 1256, NCC]
b. Exhaustion of administrative remedies is
required in certain cases before resorting
to judicial action [Lopez v. City of Manila,
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G.R. No. 127139 (1999); Dy v. CA, G.R.
No. 121587 (1999)]
c. Prior resort to barangay conciliation
proceedings is necessary in certain cases
[Book III, Title I, Chapter 7, LGC]
d. Earnest efforts toward a compromise must
be undertaken when the suit is between
members of the same family and if no
efforts were in fact made, the case must be
dismissed, [Art. 151, FC]
e. Arbitration may be a condition precedent
when the contract between the parties
provides for arbitration first before recourse
to judicial remedies
[1 Riano 333-334, 2014 Bantam Ed.]
Note: The failure to comply with a condition
precedent before the filing of a complaint is no
longer a ground for an allowable motion to
dismiss under the Amended Rules. However, it
is an affirmative defense that must be set out
in the answer or else, it is deemed waived [Sec.
12, Rule 8].
Fraud, mistake, malice, intent, knowledge,
and other condition of the mind
In all averments of fraud or mistake, the
circumstances constituting fraud or
mistake must be stated with particularity
[Sec. 5, Rule 8].
Rationale:
The reason for this rule is that an allegation of
fraud concerns the morality of the defendant’s
conduct and he is entitled to know fully the
ground on which the allegations are made, so
he may have every opportunity to prepare his
case to clear himself at the trial [Guy v. Guy,
G.R. No. 189486 (2012)].
Malice, intent, knowledge or other condition of
the mind of a person may be averred
generally [Sec. 5, Rule 8].
b. Action or Defense based on
Document
Actionable document
Whenever an action or defense is based or
founded upon a written instrument or
document, said instrument or document is
deemed an actionable document [1 Riano
359, 2014 Bantam Ed.].
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Pleading the document
1. The substance of such document shall be
set forth in the pleading, and
2. The original or a copy thereof shall be
attached to the pleading as an exhibit [Sec.
7, Rule 8].
Note: Setting forth the substance of the
actionable document and the attachment of
such to the pleading is the only way to plead
the document under the Amended Rules.
A variance in the substance of the document
set forth in the pleading and the document
annexed thereto does not warrant dismissal of
the action [Convets Inc. v. National Dev. Co.,
G.R. No. L-10232 (1958)].
How to contest an actionable document
General rule:
The adverse party, under oath, specifically
denies them, and sets forth what he or she
claims to be the facts.
Exceptions: The requirement of an oath does
not apply when:
1. The adverse party does not appear to be a
party to the instrument, or
2. Compliance with an order for an inspection
of the original instrument is refused [Sec. 8,
Rule 8].
Effect of failure to deny under oath
The genuineness and due execution of the
actionable document is deemed admitted [Sec.
8, Rule 8].
Meaning of due execution and genuineness
That the party whose signature it bears admits
that he signed it or that it was signed by another
for him with his authority; that it was in words
and figures exactly as set out in the pleading of
the party relying upon it; that the document was
delivered and that any formal requisites
required by law, such as a seal, an
acknowledgment, or revenue stamp, which it
lacks, are waived by him [Hibberd v. Rohde
and Mcmillian, G.R. No. 8418 (1915)].
c. Specific Denials
The purpose of requiring the defendant to
make a specific denial is to make him disclose
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the matters alleged in the complaint which he
succinctly intends to disprove at the trial,
together with matters which he relied upon to
support the denial [Philippine Bank of
Communications v. Go, G.R. No. 175514
(2011)].
A denial does not become specific merely
because it is qualified by the word “specific” or
“specifically” [Republic v. Gimenez, G.R. No.
174673 (2016)].
Material averments in any pleading asserting
a claim, other than those as to the amount of
unliquidated damages, shall be deemed
admitted when not specifically denied [Sec. 11,
Rule 8].
Note: Under the previous Rules, only material
averments in the complaint were deemed
admitted if not specifically denied. Under the
Amended Rules widens the scope of such rule
to include any pleading asserting a claim. It
is submitted, therefore, that this rule now
covers:
1. Counterclaims
2. Cross-claims (both compulsory and
permissive)
3. Third (fourth, etc.) party complaints, and
4. Complaints-in-intervention.
As to answers, any new allegations set forth
therein are deemed controverted [Sec. 10,
Rule 6].
Effect of failure to make specific denials
General rule: Material averments in a pleading
asserting a claim or claims shall be deemed
admitted when not specifically denied [Sec. 11,
Rule 8].
Exceptions:
The following averments in the complaint are
not deemed admitted even if not specifically
denied:
1. Amount of unliquidated damages [Sec. 11,
Rule 8]
2. Conclusions in a pleading, because it is for
a court to make conclusions, and
3. Non-material allegations or averments,
because the rules provide that only
material allegations have to be denied [1
Riano 300, 2016 Bantam Ed.]
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When a specific denial requires an oath
Specific denial under oath is required for the
denial of the genuineness and due execution of
an actionable document. But, as previously
mentioned, an oath is not required when the
adverse party does not appear to be a party to
the instrument or when compliance with an
order for inspection of the original instrument is
refused [Sec. 8, Rule 8].
Note: The provisions on usury were deleted by
the amended rules.
Striking out of a pleading
The court may order any pleading to be
stricken out or that any sham or false,
redundant, immaterial, impertinent, or
scandalous matter be stricken out therefrom
[Sec. 13, Rule 8].
How done
1. Upon motion by a party before responding
to a pleading;
2. Upon motion by a party within 20 calendar
days after service of the pleading upon him
or her, if no responsive pleading is allowed
by the rules; or
3. Upon the court’s own initiative at any time
[Sec. 13, Rule 8].
d. 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 or her.
Where raised: Answer [Sec. 12, Rule 8].
The grounds shall be limited to those under
Sec. 5(b), Rule 6 and those enumerated under
Sec. 12, Rule 8.
The following are the affirmative defenses
that should be raised in the answer:
Under Sec. 5(b), Rule 6, 1st paragraph:
1. Fraud,
2. Statute of limitations,
3. Release,
4. Payment,
5. Illegality,
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6. Statute of frauds, 3. Res judicata; and
7. Estoppel, 4. Statute of limitations [Sec. 1, Rule 9].
8. Former recovery,
9. Discharge in bankruptcy, and Note: If the non-waivable grounds are not
10. Any other matter by way of confession and raised in the answer, the Amended Rules
avoidance. allow them to be proper grounds for a
motion to dismiss [Sec. 12, Rule 15].
Note: The court is allowed to conduct a
summary hearing within 15 calendar days Remedy if the affirmative defense is denied
from the allegation of these affirmative Affirmative defenses, if denied, shall not be the
defenses in the answer. After such hearing, subject of a motion for reconsideration, or a
they must be resolved by the court within 30 petition for certiorari, prohibition, or
calendar days from the end of the summary mandamus, but may be among the matters to
hearing [Sec. 12(d), Rule 8]. be raised on appeal after a judgment on the
merits [Sec. 12(e), Rule 8].
Under Sec. 5(b), Rule 6, 2nd paragraph
1. Lack of jurisdiction over the subject matter; Note: If denied, the case will proceed to trial.
2. Litis pendentia, and The defendant may raise the matter on appeal
3. Res judicata. after judgment on the merits.

Note: The foregoing three (3) grounds need 4. Effect of Failure to Plead (Rule 9)
not be included in the answer due to the use
of the word “may”. Also note that these grounds Failure to plead defenses and
for dismissal (in addition to statute of objections
limitations) may still be raised at any time since
they are not waivable [Sec. 1, Rule 9 in relation
General rule: Defenses and objections not
to Sec. 12 (a), Rule 15].
pleaded in either a motion to dismiss or in the
answer are deemed waived [Sec. 1, Rule 9].
Under Sec. 12, Rule 8:
1. Lack of jurisdiction over the person of the
Exceptions:
defendant,
The court shall dismiss the case when it
2. Improper venue,
appears from the pleadings or the evidence on
3. Lack of legal capacity to sue of the plaintiff,
record that:
4. Failure to state a cause of action, and
1. The court has no jurisdiction over the
5. Failure to comply with a condition
subject matter,
precedent.
2. There is another action pending between
the same parties for the same cause (litis
Note: The court must motu proprio resolve
pendentia),
these affirmative defenses within 30 calendar
3. The action is barred by a prior judgment
days from the filing of the answer [Sec. 12(c),
(res judicata), or
Rule 8].
4. The action is barred by statute of limitations
(prescription) [Sec. 1, Rule 9].
Effect of failure to raise the affirmative
defense at the earliest opportunity
Note: The aforementioned grounds are the
only grounds allowed in a motion to dismiss
General rule: Failure to raise an affirmative
[Sec. 12 (a), Rule 15].
defense in the answer or at the earliest
opportunity constitutes a waiver of the
defense. Failure to plead compulsory
counterclaim and cross-claim
Exception: Non-waivable grounds
1. Lack of jurisdiction over the subject matter; General rule: A compulsory counterclaim, or a
2. Litis pendentia; cross-claim, not set up shall be barred [Sec. 2,
Rule 9].
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Exceptions:
1. Omitted Counterclaim or Cross-claim
When a pleader fails to set up a
counterclaim or cross-claim through
oversight, inadvertence, or excusable
neglect, or when justice requires, he may,
by leave of court, set up the counterclaim or
cross-claim by amendment before
judgment [Sec. 10, Rule 11].
2. Counterclaim or Cross-claim after
Answer
A counterclaim or a cross-claim which
either matured or was acquired by a party
after serving his pleading may, with the
permission of the court, be presented as a
counterclaim or a cross-claim by
supplemental pleading before judgment
[Sec. 9, Rule 11].
Default
Who may be declared in default: Defendant.
Ground for declaration of default: Failure of
the defending party to answer within the time
allowed therefor [Sec. 3, Rule 9].
Failure to attend the pre-trial does not result
in the "default" of the defendant. The failure
of the defendant to attend shall be cause to
allow the plaintiff to present his evidence ex
parte and the court to render judgment on the
basis thereof [Aguilar v. Lightbringers Credit
Cooperative, G.R. No. 209605 (2015)].
Requisites before a declaration of default
1. The court must have validly acquired
jurisdiction over the person of the
defending party, either by service of
summons or voluntary appearance;
2. The defending party must have failed to
file his answer within the time allowed
therefor;
3. The claiming party must file a motion to
declare the defending party in default;
4. The claiming party must prove that the
defending party has failed to answer within
the period provided by the ROC;
[Sablas v. Sablas, G.R. No. 144568 (2007)]
5. The defending party must be notified of
the motion to declare him in default; and
[Sec. 3, Rule 9]
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6. There must be a hearing set on the motion
to declare the defending party in default
[Spouses de los Santos v. Carpio, G.R. No.
153696 (2006)]
[1 Riano 364, 2014 Bantam Ed.]
Effect of an order of default
A party in default shall be entitled to notices
of subsequent proceedings but shall not take
part in the trial [Sec. 3, Rule 9]. The party
declared in default loses his standing in court.
The loss of such standing prevents him from
taking part in the trial. He forfeits his rights as a
party litigant, has no right to present evidence
supporting his allegations, to control the
proceedings, or cross-examine witnesses [1
Riano 305, 2016 Bantam Ed.].
A party in default may still participate as a
witness [Cavili v. Florendo, G.R. No. 73039
(1987)].
Court actions after default:
a. Proceed to render judgment granting the
claimant such relief as his or her pleading
may warrant, or
b. Require the claimant to submit evidence;
such reception of evidence may be
delegated to the clerk of court [Sec. 3, Rule
9].
A declaration of default is not tantamount to
an admission of the truth or validity of the
plaintiff’s claims [Monarch Insurance v. CA,
G.R. No. 92735 (2000)].
A defending party declared in default retains
the right to appeal from the judgment by
default. However, the grounds that may be
raised in such an appeal are restricted to any
of the following:
a. The failure of the plaintiff to prove the
material allegations of the complaint;
b. The decision is contrary to law; and
c. The amount of judgment is excessive or
different in kind from that prayed for.
In these cases, the appellate tribunal should
only consider the pieces of evidence that were
presented by the plaintiff during the ex parte
presentation of his evidence [Otero v. Tan,
G.R. No. 200134 (2012)].
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Reliefs from an order of default
Before judgment
File a motion under oath to set aside the order
of default upon proper showing that:
a. His or her failure to answer was due to
fraud, accident, mistake or excusable
negligence, and
b. He has a meritorious defense - such that
the motion must be accompanied by a
statement of the evidence which he intends
to present if the motion is granted and
which is such as to warrant a reasonable
belief that the result of the case would
probably be otherwise if a new trial is
granted [Kilosbayan v. Janolo, G.R. No.
180543 (2010)] [Sec. 3(b), Rule 9]
In such a case, the order of default may be set
aside in such terms and conditions as the judge
may impose in the interest of justice [Sec. 3(b),
Rule 9].
After judgment but before it has become
final and executory
1. Motion for new trial under Sec. 1(a),
Rule 37 [Lina v. CA, G.R. No. L-63397
(1985)], or
2. Appeal from the judgment as being
contrary to the evidence or the law
[Republic v. Sandiganbayan, G.R. No.
148154 (2007), cited in 1 Riano 373,
2014 Bantam Ed.].
After judgment has become final and
executory
1. Petition for relief under Rule 38 [Lina
v. CA, G.R. No. L-63397 (1985)]
2. Petition for certiorari under Rule 65
will lie when said party was improperly
declared in default [1 Riano 374,
2014 Bantam Ed.].
Effect of a partial default
Partial default takes place when the complaint
states a common cause of action against
several defendants, and only some of whom
answer [Sec. 3, Rule 9].
Effects
1. The court should declare defaulting
defendants in default, and proceed to trial
on answers of others
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2. If the defense is personal to the one who
answered, it will not benefit those who did
not answer.
Extent of relief
A judgment rendered against a party in default
shall neither:
1. Exceed the amount,
2. Be different in kind from that prayed for, nor
3. Award unliquidated damages [Sec. 3(d),
Rule 9].
Actions where default are not allowed
In case of failure to file an answer in an action
for:
1. Annulment or declaration of nullity of
marriage, or
2. Legal separation
The court shall order the Solicitor General, or
his or her deputized public prosecutor:
1. To investigate whether or not a collusion
between the parties exists, or
2. To intervene for the State in order to see
to it that the evidence submitted is not
fabricated, if there is no collusion [Sec.
3(e), Rule 9].
Other instances where default is not
allowed:
1. Special civil actions of certiorari,
prohibition and mandamus where
comment instead of an answer is required
to be filed [Sec. 6, Rule 65].
2. Cases covered by the Rule on Summary
Procedure [See Sec. 6, Rule on Summary
Procedure, which requires the court to
render. judgment if the defendant fails to
answer]
3. In expropriation proceedings, whether or
not a defendant has previously appeared
or answered, he may present evidence as
to the amount of compensation to be paid
for his property in the trial of the issue of
just compensation [Sec. 3(2), Rule 67].
5. Amended and Supplemental
Pleadings (Rule 10)
a. Amended Pleadings
How to amend pleadings
1. Adding an allegation,
2. Adding the name of any party,
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3. Striking out an allegation,
4. Striking out the name of any party,
5. Correcting a mistake in the name of a party,
or
6. Correcting a mistaken or inadequate
allegation or description in any other
respect [Sec. 1, Rule 10].
Purpose of Amendments to a Pleading
The courts should be liberal in allowing
amendments to pleadings to avoid a
multiplicity of suits and in order that the real
controversies between the parties are
presented, their rights determined, and the
case decided on the merits without
unnecessary delay [Tiu v. Phil. Bank of
Communication, G.R. No. 151932 (2009)].
How to file amended pleadings
When any pleading is amended, a new copy of
the entire pleading, incorporating the
amendments, which shall be indicated by
appropriate marks, shall be filed [Sec. 7, Rule
10].
No amendment necessary to conform to or
authorize presentation of evidence
When issues are not raised in the pleadings but
are tried with the consent of the parties, they
shall be treated as if they had been raised in
the pleading. No amendment of such
pleadings deemed amended is necessary to
cause them to conform to the evidence
[Sec. 5, Rule 10].
Amendment as a matter of right
A party may amend his pleading once as a
matter of right
a. At any time before a responsive pleading
is served, or
b. In the case of a reply, at any time within
10 calendar days after it is served
[Sec. 2, Rule 10]
A motion to dismiss is not a responsive
pleading and does not preclude the exercise of
the plaintiff’s right to amend his complaint
[Remington Industrial Sales v. CA, G.R. No.
133657 (2002)].
Amendments by leave of court
Substantial amendments may be made only
upon leave of court [Sec. 3, Rule 10].
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Requisites
a. Motion for leave of court, accompanied by
the amended pleading sought to be
admitted; [Sec. 10, Rule 15]
b. Notice is given to the adverse party; and
c. Parties are given the opportunity to be
heard [Sec. 3, Rule 10].
When leave of court to substantially amend
a pleading shall be refused
If it appears to the court that the motion was
made:
1. With intent to delay;
2. With intent to confer jurisdiction on the
court; or
3. The pleading stated no cause of action
from the beginning [Sec. 3, Rule 10].
Note: This rule merely integrates into the Rules
of Court the landmark case of Swagman Hotels
v. Court of Appeals which provided that a
complaint whose cause of action has not
yet accrued cannot be cured or remedied by
an amended or supplemental pleading
alleging the existence or accrual of a cause of
action while the case is pending [Swagman v.
CA, G.R. No. 161135 (2005)].
Formal amendment
When proper
a. Defect in the designation of the parties, or
b. Other clearly clerical or typographical
errors
[Sec. 4, Rule 10]
How made
Such defects or errors are 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.
[Sec. 4, Rule 10]
Effect of amended pleading
Supersedes the pleading that it amends
When a pleading is amended, the original
pleading is deemed to have been
abandoned. The original ceases to perform
any further function as a pleading [Ching
and Powing Properties Inc. v. Cheng, G.R.
No. 175507 (2014)].
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Admissions in the superseded pleadings may The adverse party may plead thereto within
be offered in evidence against the pleader ten (10) calendar days from notice of the order
admitting the supplemental pleading [Sec. 6,
Note: The amended rules changed the Rule 10].
word “received” into “offered”, meaning
that the admissions in the superseded Purpose
pleadings may not necessarily be received To bring into the records new facts which will
in evidence. They are considered enlarge or change the kind of relief to which
extrajudicial admissions. the plaintiff is entitled [Ada v. Baylon, G.R. No.
182435 (2012)].
Claims or defenses alleged in the superseded
pleading but not incorporated or reiterated in Amended Supplemental
the amended pleading are deemed waived Pleadings Pleadings
[Sec. 8, Rule 10]. Refer to facts Refer to transactions,
existing at the time of occurrences or events
b. Supplemental pleadings the commencement which have happened
of the action since the date of the
When proper pleading sought to be
supplemented
A supplemental pleading is filed to set forth
transactions, occurrences or events which A new copy of the No such requirement
entire pleading, exists
have happened since the date of the pleading
incorporating the
sought to be supplemented [Sec. 6, Rule 10].
amendments, which
shall be indicated by
How made appropriate marks,
Upon motion of a party, the court may, upon shall be filed
reasonable notice and upon such terms as just Either as a matter of Always by leave of
permit him or her to serve a supplemental right or by leave of court
pleading. court

Note: The admission or non-admission of a

supplemental pleading is not a matter of right Supersedes the Merely supplements,
but is discretionary on the court. Note the pleading that it and exists side-by-side
language of Sec. 6, Rule 10: “may.” amends with the original mkcck
[1 Riano 366, 2011
Ed.]

6. When to File Responsive Pleadings (Rule 11)

Responsive Pleadings Period Reckoning Point

Within 30 calendar days
Answer to the complaint [Sec. 1].
Exception: unless a Service of summons
different period is fixed by
the court
Answer of a defendant foreign private juridical
entity whose summons was served on the Receipt of summons
Within 60 calendar days
government official designated by law [Sec. by such entity
2].
Service of a copy of
Answer to amended complaint as a matter of
Within 30 calendar days the amended
right [Sec. 3].
complaint

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Responsive Pleadings Period Reckoning Point
Notice of the order
Answer to amended complaint NOT as a
Within 15 calendar days admitting the amended
matter of right [Sec. 3].
complaint
Answer to an amended counterclaim
amended cross-claim, amended third (fourth, Same as answer to Same as answer to
etc.) -party complaint, and amended amended complaint amended complaint
complaint-in-intervention [Sec. 3].
Answer to counterclaim or cross-claim [Sec.
Within 20 calendar days Service
4].
Answer to third (fourth, etc.)-party complaint Same as answer to the Same as answer to the
[Sec. 5]. complaint complaint
Service of the pleading
Reply [Sec. 6] Within 15 calendar days
responded to
Within 20 calendar days
Notice of the order
Answer to supplemental complaint [Sec. 7]. (unless a different period is
admitting the same
fixed by the court)
Note: The Rules allow for a motion to extend time to file an answer, as long as it is for meritorious
reasons. Such may only be availed of by the defendant once and may not exceed 30 calendar days
[Sec. 1, Rule 11].
b. Relaxation of the Manchester Rule (Sun
G. Filing and Service Insurance Doctrine)
● NOT automatic dismissal
● Court may allow payment of fees within
1. Rules on Payment of Docket Fees
a reasonable time, but in no case
beyond the expiration of the applicable
It is not simply the filing of the complaint or
prescriptive period of the action filed
appropriate initiatory pleading but the payment
[Sun Insurance v. Asuncion, G.R. No.
of the prescribed docket fee that vests a trial
79937 (1989)].
court with jurisdiction over the subject matter
or nature of the action [Proton Pilipinas v.
c. Exception to the Sun Insurance doctrine
Banque National de Paris, G.R. No. 151242
The Sun Insurance rule allowing payment
(2005)].
of deficiency does not apply where plaintiff
never demonstrated any willingness to
Payment of docket fees is mandatory and
abide by the Rules to pay the docket fee
jurisdictional [National Transmission
but stubbornly insisted that the case filed
Corporation v. Heirs of Teodulo Ebesa, G.R.
was one for specific performance and
No. 186102 (2016)].
damages [Gochan v. Gochan, G.R. No.
146089 (2001)].
Effect of Non-Payment
d. Further modification
a. The Manchester Rule
● Docket fees as lien
● Automatic Dismissal
● Where the trial court acquires
● Any defect in the original pleading
jurisdiction over a claim by the filing of
resulting in underpayment of the
the pleading and the payment of the
docket fees cannot be cured by
prescribed filing fee, but subsequently,
amendment, such as by the reduction
the judgment awards a claim not
of the claim as, for all legal purposes,
specified in the pleading, or cannot
there is no original complaint over
then be estimated, or a claim left for
which the court has acquired
determination by the court, then the
jurisdiction [Manchester v. CA, G.R.
additional filing fee shall constitute a
No. 75919 (1987)].
lien on the judgment [Heirs of Hinog v.
Melicor, G.R. No. 140954 (2005)].

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e. Limitation on the claims covered by b. Sending them by registered mail;
fees as lien c. Sending them by accredited courier; or
Claims not specified or claims although d. Transmitting them by electronic mail or
specified are left for determination of the other electronic means as may be
court are limited only to any damages that authorized by the Court, in places where
may arise after the filing of the complaint or the court is electronically equipped [Sec. 3,
similar pleading for then it will not be Rule 13].
possible for the claimant to specify nor
speculate as to the amount thereof Mode of Filing Date of Filing
[Metrobank v. Perez, G.R. No. 181842 The clerk of court shall
(2010)]. Personal
endorse on the pleading
Filing
the date and hour of filing
Filing and Service under Rule 13
Filing by The date of the mailing of
Coverage Registered motions, pleadings, and
The filing of all pleadings, motions, and Mail other court submissions,
other court submissions, as well as the and payments or deposits,
service thereof, except those for which a as shown by the post
different mode of service is prescribed [Sec. 1, Filing by office stamp on the
Rule 13].
Accredited envelope or the registry
Note: Due to the revision, the rule now Courier receipt shall be
contemplates filing of submissions that are not considered as the date of
paper-based, such as those made through their filing.
electronic means. Transmittal by
electronic mail
Papers required to be filed and served The date of electronic
or other
a. Judgment transmission
electronic
b. Resolution
c. Order means
d. Pleading subsequent to the complaint [Sec. 3, Rule 13]
e. Written motion
f. Notice To whom service made
g. Appearance
h. Demand General Rule:
i. Offer of judgment; or Serve the copy of the pleading or the court
j. Similar papers [Sec. 4, Rule 13]. submission to the party himself.

Distinguish: Filing and Service of Exception:

Pleadings
Filing is the act of submitting the pleading or
other paper to the court [Sec. 2, Rule 13].
Service is the act of providing a party with a
copy of the pleading or any other court
submission [Sec. 2, Rule 13].
How filed
The filing of pleadings and other court
submissions shall be made by:
a. Submitting personally the original to the
court;
If a party has appeared by counsel, service
upon such party shall be made upon his or her
counsel or one of the counsels.
Exception to Exception:
The court orders service upon both the party
and counsel [Sec. 2, Rule 13].
When several parties/several counsel
Where one counsel appears for several
parties, such counsel shall only be entitled to
one copy of any paper served upon him by the
opposite side.

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Where several counsels appear for one
party, such party shall be entitled to only one
copy of any pleading or paper to be served
upon the lead counsel if one is designated or
upon any one of them is there no
designation of a lead counsel [Sec. 2, Rule
13].
Modes of Service
Pleadings, motions, orders, judgments, and
other court submissions shall be served:
1. Personally,
2. By registered mail,
3. By accredited courier,
4. By electronic mail, facsimile transmission,
or other electronic means as may be
authorized by the Court,
5. By service as provided for in international
conventions to which the Philippines is a
party, and
6. Substituted service [Sec. 5, Rule 13].
Note: As to which modes of service are
preferred, refer below to the discussion on
conventional service of orders, pleadings, and
other documents.
Presumptive Service
There shall be presumptive service of a notice
to a party of a court setting:
1. Addressee is in the same judicial region
of the court where the case is pending
● if such notice appears on the records to
have been mailed at least 20 calendar
days prior to the scheduled date of
hearing
2. Addressee is from outside the judicial
region of the court where the case is
pending
● if such notice appears on the records to
have been mailed at least 30 calendar
days prior to the scheduled date of
hearing [Sec. 10, Rule 13].
Note: Since it is provided as a mere
presumption, it may be subject to proof to the
contrary, such as when counsel adduces
evidence that notice of the court setting was
indeed not served.
1. Personal service
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How personal service is made
Service by personal service shall be made by:
1. By personal delivery of a copy to the party,
counsel, or to their authorized
representative named in the appropriate
pleading or motion, or
2. By leaving it in his or her office with his or
her clerk, or with a person having charge
thereof
● If 1. no person is found in his or her
office, or 2. his or her office is not
known, or 3. he or she has no office,
then by leaving the copy at the party or
counsel's residence, if known, with a
person of sufficient age and discretion
residing therein.
● Such must be served at the residence
at a time between 8 am to 6 pm [Sec.
6, Rule 13].
2. Service by registered mail
How service by registered mail is made
1. Depositing the copy in the post office in a
sealed envelope,
2. The copy must be plainly addressed to the
party or counsel at his office, if known.
Otherwise, address to his residence, if
known,
3. Postage must be fully prepaid, and
4. Copy must come with instructions to the
postmaster to return the mail to the sender
after 10 calendar days if the copy remains
undelivered.
Ordinary mail – If no registry service is
available in the locality of either the sender or
addressee, service can be made through
ordinary mail [Sec. 7, Rule 13].
3. Service by accredited courier
How service by accredited courier is done
Note: Unlike the other means of service, there
is no provision under the Amended Rules
which outlines how service via accredited
courier is done.
At most, the Amended Rules only provide that
in the case of judgments, finals orders, and
resolutions, such service must be preceded
by an ex parte motion requested by any party
to the proceedings [Sec. 13, Rule 13].
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4. Service by electronic mail, facsimile
transmission, or other electronic means
When service by electronic means or
facsimile is allowed
Service by electronic means and facsimile shall
be made if the party concerned consents to
such modes of service [Sec. 9, Rule 13].
How service by electronic means or
facsimile is made
Service by electronic means
1. By sending an e-mail to the party’s or
counsel’s e-mail address, or
2. Through other electronic means of
transmission.
Before service by electronic means can be
availed of, either the agreement of the parties
or the direction of the court is required [Sec. 9,
Rule 13].
Service by facsimile
By sending a facsimile copy to the party or
counsel’s given facsimile number [Sec. 9, Rule
13].
Subject format of electronically served
documents and facsimiles
The subject of the e-mail and facsimile must
follow the prescribed format:
1. Case number, followed by
2. Case title, followed by
3. The pleading, order or document title.
● The title of each electronically-filed or
served pleading or document, and
each submission served by facsimile,
shall contain sufficient information to
enable the court to ascertain from the
title:
a. The parties filing or serving the
paper,
b. The nature of the paper,
c. The party or parties against whom
relief, if any, is sought, and
d. The nature of the relief sought
[Sec. 12, Rule 13].
Change of electronic mail or facsimile
number
A party who changes his e-mail address or
facsimile number while the action is pending
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must file, within 5 calendar days, a notice of
change of e-mail address or facsimile number
with the court and serve notice on all other
parties [Sec. 11, Rule 13].
Service through the registered e-mail of the
party shall be presumed valid unless such
party notifies the court of any change as
aforementioned [Sec. 11, Rule 13].
Note: Due to the rule providing for such
presumption, any actual change in the e-mail
addresses or facsimile numbers of the parties
will not bind the court unless the party gives
notice of the change.
5. Service as provided for in international
conventions
An example of an international convention
which the Philippines is a party to which
likewise relates to service of court documents
would be the Convention on the Service
Abroad of Judicial and Extrajudicial
Documents in Civil or Commercial Matters.
6. Substituted service
When substituted service is allowed
When service cannot be made personally or by
mail because the office and place of residence
of the party or his counsel being unknown [Sec.
8, Rule 13].
How substituted service is made
1. Delivering the copy to the clerk of court
2. With proof of failure of both personal
service and service by mail [Sec. 8, Rule
13].
Papers that may be served through
substituted service
1. Pleadings
2. Motions
3. Notices
4. Resolutions, and
5. Other papers [Sec. 8, Rule 13].
Judgments, final orders, or resolutions cannot
be served by substituted service [1 Regalado
233, 2010 Ed.].
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Service of judgments, final orders, or therefore, that the rationale for allowing
resolutions electronic service in these cases is to ensure
Judgments, final orders, or resolutions shall be receipt by the parties to the case.
served either:
1. Personally, Conventional service or filing of orders,
2. By registered mail, pleadings, and other documents
3. By accredited courier, upon ex parte
motion of any party General Rule: The following should not be
4. By publication, when a party summoned by served or filed electronically, and shall be filed
publication has failed to appear in the or served personally or by registered mail:
action. Expenses of publication must be 1. Initiatory pleadings and initial responsive
borne by the prevailing party [Sec. 13, Rule pleadings (answer);
13]. 2. Subpoena, protection orders, and writs;
3. Appendices and exhibits to motions, or
Note: Curiously, both Sec. 5, Rule 13 and Sec. other documents that are not readily
13, Rule 13 mandate different methods of amenable to electronic scanning; and
service when it comes specifically to 4. Sealed and confidential documents or
“judgements” and “final orders”. It is records.
submitted that the enumeration in Sec. 13,
Rule 13 should govern when it comes to these Exception: When the court gives express
two court documents, as such rule specifically permission for them to be filed electronically
provides for the method of service of [Sec. 14, Rule 13].
“judgements” and “final orders”. Sec. 5, Rule
13 on the other hand, covers the method of When service is deemed complete
service for a more general list of court Mode of Completeness of
documents. Lex specialis derogat legi generali. Service Service
Specific provisions of law govern over general Personal
provisions. Upon actual delivery.
Service
Upon the expiration of the
Service of court-issued orders and other Service by 10 calendar days after
documents ordinary mail mailing, unless the court
The court may electronically serve orders and otherwise provides.
other documents to all the parties in the case Upon the actual receipt by
which shall have the same effect and validity the addressee, or
as provided herein. Service by after 5 calendar days from
registered the date he or she
A paper copy of the order or other document mail received the first notice of
electronically served shall be retained and the postmaster, whichever
attached to the record of the case [Sec. 18, is earlier.
Rule 13]. Upon actual receipt by the
addressee or
Note: It is submitted that despite Sec. 18, Rule after at least 2 attempts to
13 allowing for service of orders and other Service by
deliver or
documents electronically, such mode of accredited
upon the expiration of 5
service may be done only in addition to the courier
calendar days after the
four modes of service in the case of first attempt to deliver,
judgements, final orders, and resolutions as whichever is earlier.
dictated by Sec. 13, Rule 13. This is so At the time of the
because Sec. 13, Rule 13 uses the word “shall” electronic transmission of
in enumerating the modes of service applicable Electronic
the document or
to such documents. Electronic service Service
at the time that the
cannot replace these modes of service, and electronic notification of
may only supplement the same. It appears,

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Mode of Completeness of Mode Proof of Filing
Service Service official receipt and
service of the document is document tracking
sent. number.
By an affidavit of
Note: It is not effective or electronic filing of the filing
complete if the party party, and a paper copy of
serving learns that it did the pleading or other
Electronic
not reach the person to be document transmitted, or
Filing
served.
Service by Upon receipt by the other A written or stamped
facsimile party as indicated in the acknowledgment of its
transmission facsimile printout. filing by the clerk of court.
At the time of delivery of By an affidavit of
Substituted Filing by
the copy to the clerk of electronic filing of the filing
service other
court [Sec. 8, Rule 13]. party, and a copy of the
authorized
[Sec. 15, Rule 13] electronic
electronic
acknowledgment of its
means
Proof of Filing filing by the court.
[Sec. 16, Rule 13]
General rule: The filing of a pleading or any
other court submission shall be proved by its Proof of Service
existence in the record of the case. Mode Proof of Service
A written admission of the
Exception: If the pleading or any other court party served, or
document is not in the record, but is claimed to
have been filed by the following modes, proof The official return of the
shall be: server, or
Personal
Mode Proof of Filing
Service
By the written or stamped The affidavit of the party
acknowledgment of its serving, containing a
Personal statement of the date,
filing by the clerk of court
Filing
on a copy of the pleading place, and manner of
or court submission. service
By the registry receipt and Service by An affidavit of the person
the affidavit of the person ordinary mail mailing stating the facts
who mailed it containing a showing compliance with
full statement of the date Note: This Sec. 7, Rule 13.
and place of deposit of mode of
the mail in the post office service may
Filing by only be
in a sealed envelope
registered availed of if
addressed to the court,
mail no registry
with postage fully prepaid,
and with the instructions service is
to the postmaster to return available in
the mail to the sender the locality
after 10 calendar days if as per Sec.
not delivered. 7, Rule 13.
By an affidavit of service An affidavit of the person
Service by
Filing by of the person who brought mailing stating the facts
registered
accredited the pleading or other showing compliance with
mail
courier document to the service Sec. 7, Rule 13 and the
provider, and the courier’s
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Mode Proof of Service Copies to be Filed
registry receipt issued by 1. Supreme Court
the mailing office. a. One original (properly marked) and
four copies
An affidavit of service b. If En Banc, parties shall file ten
executed by the person additional copies
Service by who brought the pleading c. In both cases, just two sets of
accredited or paper to the service annexes, one attached to the
courier provider, and the courier’s original and an extra copy
official receipt or document d. Parties to cases before the
tracking number. Supreme Court are further
Service by An affidavit of service required, on voluntary basis for the
electronic executed by the person first six months following the
mail, who sent the e-mail, effectivity of this Rule and
facsimile, or facsimile, or other compulsorily afterwards unless the
other electronic transmission, period is extended, to submit,
authorized and printed proof of simultaneously with their court-
electronic transmittal. bound papers, soft copies of the
means of same and their annexes (the latter
transmission in PDF format) either by email to
[Sec. 17, Rule 13] the Court’s e-mail address or by
compact disc (CD). This
2. Efficient Use of Paper Rule; E-Filing requirement is in preparation for
the eventual establishment of an e-
Prescribed format: Single space with one- filing paperless system in the
and-a-half space between paragraphs, using judiciary
an easily readable font style of the party’s 2. Court of Appeals and Sandiganbayan
choice, of 14-size font, and on a 13-inch by 8.5- a. One original (properly marked) and
inch white bond paper. two copies with their annexes
3. Court of Tax Appeals
Coverage of Format Requirement a. One original (properly marked) and
1. All pleadings, motions and similar papers two copies with annexes
intended for the court and quasi-judicial b. On appeal to the En Banc, one
body’s consideration and action; original (properly marked) and
2. All decisions, resolutions and orders issued eight copies with annexes
by courts and quasi-judicial bodies under 4. Other courts
the administrative supervision of the a. One original (properly marked) with
Supreme Court; the stated annexes attached
3. Reports submitted to the courts and [Sec. 5, A.M. No. 11-9-4-SC]
transcripts of stenographic notes [Sec. 3,
A.M. No. 11-9-4-SC]. Annexes Served on Adverse Party
A party required by the rules to serve a copy of
Margins and Prints his court-bound on the adverse party need not
The parties shall maintain the following enclose copies of those annexes that based on
margins on all court-bound papers: a left hand the record of the court such party already has
margin of 1.5 inches from the edge; an upper in his possession. In the event a party requests
margin of 1.2 inches from the edge; a right a set of the annexes filed with the court, the
hand margin of 1.0 inch from the edge; and a part who filed the paper shall comply with the
lower margin of 1.0 inch from the edge. Every request within five days from receipt [Sec. 6,
page must be consecutively numbered [Sec. 4, A.M. No. 11-9-4-SC].
A.M. No. 11-9-4-SC].

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H. Summons (Rule 14)
Definition
The writ by which the defendant is notified of
the action brought against him [Licaros v.
Licaros, G.R. No. 150656 (2003)].
By whom issued
Clerk of court upon directive of the court [Sec.
1, Rule 14].
Leave of court in case service requires prior
leave
Any application under this rule for leave to
effect service in any manner for which leave of
court is necessary shall be made by:
a. A motion in writing,
b. Supported by affidavit of the plaintiff or
some person on his behalf setting forth the
grounds for the application [Sec. 19, Rule
14].
When summons are issued
1. Within 5 calendar days from receipt of the
initiatory pleading, and
2. Upon proof of payment of the requisite
legal fees
● Note: The new rules now require proof
of such payment to be submitted with
the initiatory pleading.
Summons shall not be issued, and the case
shall be dismissed if the complaint on its face
is dismissible under Sec. 1, Rule 9. Such
provides for the non-waivable grounds for
dismissal of a complaint, to wit:
1. The court has no jurisdiction over the
subject matter
2. Litis pendentia
3. Res judicata
4. The action is barred by the statute of
limitations [Sec. 1, Rule 14].
Note: The rule directing the court not to issue
summons in case any of the grounds are
present is similar to the Rules on Small Claims
and Summary Procedure. However, the
grounds under the amended provision are
limited to the non-waivable grounds in Sec. 1,
Rule 9.
Contents of summons
1. Summons shall be
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a. Directed to the defendant, and
b. Signed by the clerk of court under seal
2. Summons shall contain
a. The name of the court, and the names
of the parties to the action;
b. When authorized by the court upon ex
parte motion, an authorization for the
plaintiff to serve summons to the
defendant;
Note: The plaintiff may serve summons
together with the sheriff, only when the
sheriff, his deputy or proper court
officer fails to serve summons, or if the
summons is to be served outside the
judicial region of the court. In the latter
case, there would be no need for the
sheriff, his deputy, or the proper court
officer to have first failed to serve the
summons before the plaintiff may be
authorized by court to serve summons
[Sec. 3, Rule 14].
c. A direction that the defendant answer
within the time fixed by the ROC; and
d. A notice that unless the defendant so
answers, plaintiff will take judgment by
default and may be granted the relief
applied for.
3. The following shall be attached to the
original and each copy of the summons
a. A copy of the complaint, and
b. An order for appointment of guardian
ad litem, if any [Sec. 2, Rule 14].
1. Nature and Purpose of Summons in
Relation to Actions In Personam, In
Rem, and Quasi In Rem
In personam In rem and quasi in
rem
Nature
Confers jurisdiction Summons is served
over the person of for purposes of due
the defendant in a process.
civil case.
Jurisdiction over the
Where the action is person of the
in personam, that is, defendant is not a
one brought against prerequisite to
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Rules for service of summons by plaintiff
In personam In rem and quasi in
The court shall authorize the plaintiff to serve
rem
summons together with the sheriff upon ex
a person on the confer jurisdiction parte motion in 2 instances:
basis of his personal on the court 1. In case of failure of service of summons by
liability, jurisdiction provided that the the aforementioned persons, or
over the person of court acquires 2. In cases where summons is to be served
the defendant is jurisdiction over the outside the judicial region of the court
necessary for the res, which does where the case is pending.
court to validly try NOT mean that • Note: There is no need for prior failure
and decide the case service of summons to serve in this case before the plaintiff
[Velayo-Fong v. may be dispensed may be authorized by the court to
Velayo, G.R. No. with (Due process). serve.
155488 (2006)].
If the plaintiff is a juridical entity
Purpose 1. It shall notify the court, in writing, name its
authorized representative, and
a. To acquire a. Not to acquire 2. A board resolution or secretary’s certificate
jurisdiction over jurisdiction over must be attached stating that such
the person of the the defendant representative is duly authorized to serve
defendant in a but mainly to the summons on behalf of the plaintiff.
civil case satisfy the
b. To give notice to constitutional If the plaintiff misrepresents that the
the defendant requirement of defendant was served summons, and it is
that an action due process later proved that no summons was served:
has been b. Jurisdiction over a. The case shall be dismissed with
commenced the defendant is prejudice,
against him [1 not required b. The proceedings shall be nullified, and
Riano 376, 2011 c. The court c. The plaintiff shall be meted appropriate
Ed.]. acquires sanctions.
jurisdiction over
an action as long If summons is returned without being
as it acquires served on any or all the defendants,
jurisdiction over The court shall order the plaintiff to cause the
the res that is service of summons by other means available
the subject under the Rules.
matter of the ● Failure to comply with the order shall lead
action [Macasaet to dismissal without prejudice [Sec. 3, Rule
v. Co, Jr., G.R. 14].
No. 156759
(2013)]. 3. Validity of summons

Summons shall remain valid until duly

2. Who may serve summons
served unless it is recalled by the court [Sec.
a. The sheriff,
4, Rule 14].
b. His or her deputy,
c. Other proper court officer, or
d. The plaintiff together with the sheriff Alias summons
[Sec. 3, Rule 14]. Issued by the court, upon motion, in case of
loss or destruction of summons [Sec. 4, Rule
The enumeration of persons who may validly 14].
serve summons is exclusive [1 Regalado 245,
2010 Ed.] .

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Failure of service
After unsuccessful attempts to personally
serve the summons on the defendant in his or
her address indicated in the complaint.
Substituted service should be in the manner
provided under Section 6 of this Rule [Sec. 4,
Rule 14].
4. Personal Service
How done
1. By handing a copy to the defendant in
person and informing the defendant that he
or she is being served, or
2. If he or she refuses to receive and sign for
it, by leaving the summons within the view
and in the presence of the defendant [Sec.
5, Rule 14].
Note: The old provision provides for
“tendering” as a means of service whenever
handing a copy to the defendant in person is
not possible. The amendment merely explains
what tendering means and how it is done.
5. Substituted Service
When availed of
Substituted service may be availed of when for
justifiable reasons, the defendant cannot be
served personally after at least 3 attempts
on 2 different dates [This reflects the ruling in
the case of Manotoc v. CA, 499 SCRA 21
(2006)].
Note: As per Sec. 20, Rule 14, the attempts
must be done within the 30 calendar day period
provided for the completion of service of
summons.
How done [Sec. 6, Rule 14]
1. 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;
● To be of sufficient discretion, a
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
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action [Prudential Bank v. Magdamit,
G.R. No. 183795 (2014)].
2. 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;
● Must be the one managing the office or
business of the defendant, such as the
president or manager; and such
individual must have sufficient
knowledge to understand the obligation
of the defendant in the summons, its
importance, and the prejudicial effects
arising from inaction on the summons
[Prudential Bank v. Magdamit, G.R.
No. 183795 (2014)].
3. 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 [This reflects the ruling in the case
of Robinson v. Miralles, G.R. No. 163584
(2006)]; and
4. By sending an electronic mail to the
defendant's electronic mail address, if
allowed by the court [Sec. 6, Rule 14].
6. Constructive Service
a. Service upon a defendant where his
identity is unknown or where his
whereabouts are unknown.
Service is made by publication
a. With leave of court,
● The order shall specify a reasonable
time not less than 60 calendar days
within which the defendant must
answer.
b. Effected within 90 calendar days from
commencement of the action,
c. In a newspaper of general circulation and
in such places and for such time as the
court may order.
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Note: The defendant’s whereabouts must be
ascertained with diligent inquiry [Sec. 16, Rule
14].
b. Service upon residents temporarily
outside the Philippines
Service may, by leave of court, be also effected
out of the Philippines as by the means provided
under extraterritorial service [Sec. 18, Rule 14
in re Sec. 17].
Note: The section referred to is that on
extraterritorial service of summons.
7. Extraterritorial Service
When allowed
1. When the defendant does not reside and is
not found in the Philippines, and
2. The action
a. Affects the personal status of the
plaintiff or
b. Relates to, or the subject of which is,
property within the Philippines, in which
the defendant has or claims a lien or
interest, actual or contingent, or
c. In which the relief demanded consists,
wholly or in part, in excluding the
defendant from any interest therein, or
d. The property of the defendant has
been attached within the Philippines
[Sec. 17, Rule 14].
How summons served
By leave of court, be effected outside the
Philippines
a. By personal service;
b. By means provided for in international
conventions to which the Philippines is a
party;
c. By publication in a newspaper of general
circulation in such places and for such time
as court may order; or
● a copy of the summons and order of the
court shall be sent by registered mail to
the last known address of the
defendant
d. In any other manner the court may deem
sufficient.
Any order granting such leave shall specify a
reasonable time within which the defendant
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must answer, which shall not be less than 60
calendar days after notice [Sec. 17, Rule 14].
Notably, publishing a copy of the summons
does not necessarily mean that the trial court
intended to direct extraterritorial service of
summons under the second mode of service
provided in Section 15, Rule 14 of the Rules.
RTC's call not to have a copy of the summons
sent to Melania's last known address – whether
through registered mail (in such case, the
mode of service would qualify under the
second mode) or through other means (as
exhibited in Romualdez-Licaros) – in addition
to the publication of the summons is amply
justified by the circumstances of this case. As
the records show, it is undisputed that Melania
had left the Philippines and had been
estranged from Cris as early as 1991. Since
then, Melania has been residing in San Diego,
California, without any showing that she had
informed Cris or that Cris knew of her foreign
address. Hence, given this backdrop, it is quite
understandable why it would have been futile,
more so, logistically improbable, to have the
summons sent to Melania's "last known
address." At the very least, the publication of
summons should be considered as substantial
compliance with the rules on service [Arrieta v.
Arrieta, G.R. 234808 (2018)].
8. Proof of service
Proof of service shall
a. Be made in writing by the server and
b. Set forth the manner, place, and date of
service; any papers which have been
served with the process, and the name of
the person who received the papers served
c. Be sworn to when made by a person, other
than the sheriff or his or her deputy [Sec.
21, Rule 14].
Summons made by electronic mail
Proof of service shall be:
a. A print out of said e-mail,
b. Copy of the summons as served, and
c. The affidavit of the person mailing [Sec. 21,
Rule 14].
Summons made by publication
Proof of service shall be:
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a. The affidavit of the publisher, business or
advertising manager,
b. Copy of the publication, and
c. An 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 or
her last known address [Sec. 22, Rule 14].
Note: The amended rules changed printer to
publisher and removed the foreman or principal
clerk from those who may execute the affidavit.
Effect of defect of proof of service
a. Where the sheriff's return is defective, the
presumption of regularity in the
performance of official functions will not lie
[Sps. Venturanza v. CA, G.R. No. 77760
(1987)].
b. Defective return is insufficient and
incompetent to prove that summons was
indeed served [Santiago Syjuco, Inc. v.
Castro, G.R. No. 70403 (1989)].
c. Party alleging valid summons will now
prove that summons was indeed served
[Heirs of Manguiat v. CA, G.R. No. 150768
(2008)].
d. If there are no valid summons, the court did
not acquire jurisdiction which renders null
and void all subsequent proceedings and
issuances [Santiago Syjuco, Inc. v. Castro,
G.R. No. 70403 (1989)].
When summons shall be served
The server shall complete its service within 30
calendar days from issuance of summons by
the clerk of court and receipt of such [Sec. 20,
Rule 14].
Return of summons
Within 5 calendar days from service of
summons, the server shall:
1. File with the court a copy of the return, and
2. Serve a copy of the return to the plaintiff’s
counsel personally, by registered mail, or
by electronic means authorized by the
rules [Sec. 20, Rule 14].
Contents of the return when substituted
service was availed of
1. The impossibility of prompt personal
service within 30 calendar days from issue
and receipt of summons;
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2. The date and time of the 3 attempts on at
least 2 different dates to cause personal
service and the details of the inquiries
made to locate the defendant; and
3. Information on the person to whom the
summons was served:
a. The name of the person at least 18
years of age and of sufficient discretion
residing thereat,
b. The name of the competent person in
charge of the defendant’s office or
regular place of business, or
c. The name of the officer of the
homeowners’ association or
condominium corporation or its chief
security officer in charge of the
community or building where the
defendant may be found [Sec. 20, Rule
14].
Note: The enumeration of persons to whom
summons was made is the enumeration of
persons upon whom substituted service may
be made under Sec. 6, Rule 14.
9. Service upon prisoners, minors,
spouses
Upon prisoners
Where the defendant is a prisoner confined
in a jail or institution, service shall be effected
upon him by the officer having the
management of such jail or institution.
● Such officer is deemed a special sheriff
● He or she shall file a return within 5
calendar days from service of summons
[Sec. 8, Rule 14].
Upon minors or incompetent persons
Where the defendant is a minor, insane, or
incompetent person, service of summons shall
be made:
a. Upon him or her personally, and
b. On his or her legal guardian
i. If none, on his or her guardian ad litem
whose appointment shall be applied for
by the plaintiff
ii. In the case of a minor, on his or her
parent or guardian [Sec. 10, Rule 14].
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Upon spouses
When spouses are sued jointly, service of
summons should be made to each spouse
individually [Sec. 11, Rule 14].
10. Service upon domestic or foreign
private juridical entities
Upon an entity without juridical personality
a. When applicable
1. Persons are associated in an entity
without juridical personality, and
2. They are sued under the name by
which they are generally or commonly
known.
b. Service may be effected upon all the
defendants by serving upon
1. Any one of them, or
2. The person in charge of the office or
place of business maintained in such
name.
Note: Such service shall not bind any person
whose connection with the entity has, upon due
notice, been severed before the action was
filed [Sec. 7, Rule 14].
Upon domestic private juridical entity
Service is effected upon:
a. The president,
b. Managing partner,
c. General manager,
d. Corporate secretary,
e. Treasurer, or
f. In- house counsel.
Service may be effected wherever they may be
found, or in their absence or unavailability, on
their secretaries [Sec. 12, Rule 14].
Note: This is a new provision that seeks to
address the issue of plaintiffs under the old
rules frequently having to ask for alias
summons that would include new addresses of
the officers. This is in line with the amended
rule that alias summons will only be issued for
lost summons.
If service cannot be made on the enumerated
officers or their secretaries, it shall be made
upon the person who customarily received
the correspondence for the defendant at its
principal office. [Sec. 12, Rule 14]
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Note: A person who customarily receives
correspondence is also a person to whom
substituted service of summons may be made
after at least 3 attempts on 2 different dates
[Sec. 6, Rule 14]. However, with such provision
under this section, it appears that the
requirement of 3 attempts on 2 different dates
does not apply in this instance. As soon as
service cannot be made on the officers or their
secretaries, service can already be made on
the person customarily receiving
correspondence.
Domestic juridical entity under receivership
or liquidation
Service of summons shall be made on the
receiver or liquidator [Sec. 12, Rule 14].
Note: In case of refusal by any of the persons
mentioned to receive summons for
domestic juridical entities despite at least 3
attempts on 2 different dates, service may be
made electronically, if allowed by the court
[Sec. 12, Rule 14].
Upon foreign private juridical entities
a. Juridical entity registered/ has a
resident agent and is doing business in
the Philippines
Service may be made on:
1. Its resident agent designated in
accordance with law,
2. If there is no such agent, on the
government official designate by law to that
effect, or
3. On any of its officers, agents, directors, or
trustees within the Philippines [Sec. 14,
Rule 14].
b. Juridical entity not registered/ has no
resident agent but has transacted or is
doing business in the Philippines
Service may, with leave of court, be effected
outside the Philippines through:
1. Personal service coursed through the
appropriate court in the foreign country with
the assistance of the DFA;
2. Publication once in a newspaper of general
circulation in the country where the
defendant may be found and by serving a
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copy of the summons and the court order
by registered mail at the last known
address of the defendant;
3. Facsimile;
4. Electronic means with the prescribed proof
of service; or
5. Other means as the court, in its discretion,
may direct [Sec. 14, Rule 14].
Service upon public corporations
To Whom
Defendant
Summons Served
The Republic of the
Solicitor General
Philippines
Executive head or
Province, City,
such other officer/s
Municipality, or like
as the law or the
public corporations
court may direct.
[Sec. 15, Rule 14]
Duty of counsel
When counsel may be deputized by the
court to serve summons on his client
1. Where summons is improperly served, and
2. A lawyer makes a special appearance on
behalf of the defendant to question the
validity of service of summons [Sec. 13,
Rule 14].
Note: Due to this new provision in the rules,
when the defendant claims lack of jurisdiction
over his person by special appearance, the
court will no longer dismiss the case but
instead will deputize the counsel to serve
summons on his client. This is also in line
with the amendment removing lack of
jurisdiction over the person of the defendant as
a ground for an allowable motion to dismiss. It
remains, however, as an affirmative defense
that may be raised in the answer.
Effect of voluntary appearance
The defendant’s voluntary appearance in the
action shall be equivalent to service of
summons.
The inclusion in a motion to dismiss of other
grounds aside from the lack of jurisdiction over
the person of the defendant shall be deemed a
voluntary appearance [Sec. 23, Rule 14].
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Note: It is submitted that despite Sec. 23, Rule
14 mentioning lack of jurisdiction over the
person as a ground to be included in a motion
to dismiss, such still remains to be a prohibited
motion under Sec. 12, Rule 15, as the only
allowable grounds for a motion to dismiss are
lack of jurisdiction over the subject matter, litis
pendencia, res judicata, and prescription. A
motion to dismiss on the basis of lack of
jurisdiction over the defendant should be
dismissed outright [Sec. 12, Rule 15].
It is also submitted that the allegation of any of
the old grounds for a motion to dismiss under
Rule 16 of the old rules of Civil Procedure
would be tantamount to a voluntary
appearance by the defendant.
I. Motions (Rule 15)
1. In General
Definition of a Motion
A motion is any application for relief other
than by a pleading [Sec. 1, Rule 15].
Distinguish: Motions vs. Pleadings
Motion Pleading
Contains allegations Contains allegations
of facts [Sec. 3, Rule of the ultimate facts
15] [Sec. 1, Rule 8]
Prays for a relief [Sec. 1, Rule 15]
Generally in writing, Always in writing
except when made [Sec. 1, Rule 6]
in open court or
during the course of
a hearing or trial
[Sec. 2, Rule 15].
Contents of Motions
a. Relief sought to be obtained,
b. Grounds upon which it is based, and
c. With supporting affidavits and other
papers if
i. Required by the ROC, or
ii. Necessary to prove facts alleged
therein [Sec. 3, Rule 15].
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Form of Motions
General rule: In writing
The rules applicable to pleadings shall apply to
written motions so far as concerns caption,
designation, signature, and other matters of
form [Sec. 11, Rule 15].
Exceptions: Oral
Motions made in:
1. Open court or
2. The course of a hearing or trial
Note: Such motions should be immediately
resolved in open court, after the adverse party
is given the opportunity to argue his or her
opposition. However, when the motion is based
on facts not appearing on record, the court may
conduct a hearing to:
1. Hear the matter on affidavits or
depositions presented by the parties, or
2. The court may direct that the matter be
heard wholly or partly on oral testimony
or depositions [Sec. 2, Rule 15].
Motion for leave
A motion for leave to file a pleading or motion
shall be accompanied by the pleading or
motion sought to be admitted [Sec. 10, Rule
15].
Motion Day
General Rule: Where the court decides to
conduct a hearing on a litigious motion, it shall
be set on a Friday.
Exception: When a motion requires immediate
action [Sec. 8, Rule 15].
Omnibus Motion Rule
General rule: A motion attacking a pleading,
order, judgment, or proceeding shall include all
objections then available. All objections not
included in the motion are deemed waived
[Sec. 9, Rule 15].
Purpose: To require the movant to raise all
available exceptions for relief during a single
opportunity so that multiple and piece-meal
objections may be avoided [Manacop v. Court
of Appeals, G.R. No. 104875 (1992)].
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Exceptions: Non-waivable grounds under
Sec. 1, Rule 9, namely:
a. Lack of jurisdiction over subject matter
b. Litis pendentia
c. Res judicata
d. Prescription [Sec. 9, Rule 15]
2. Non-litigious Motions
What are Non-Litigious motions
Motions which the court may act upon without
prejudicing the rights of adverse parties. Such
motions shall not be set for hearing and the
court shall resolve the motion within 5
calendar days from receipt of the motion.
Non-litigious motions include:
a. Motion for issuance of an alias summons;
b. Motion for extension to file an answer;
c. Motion for postponement;
d. Motion for the issuance of a writ of
execution;
e. Motion for the issuance of an alias writ of
execution
f. Motion for the issuance of a writ of
possession;
g. Motion for the issuance of an order
directing the sheriff to execute the final
certificate of sale; and
h. Other similar motions [Sec. 4, Rule 15].
3. Litigious Motions
What are Litigious Motions
One which requires the parties to be heard
before a ruling on the motion is made by the
court [1 Riano 368, 2011 Ed.].
Litigious motions include:
a. Motion for bill of particulars;
b. Motion to dismiss;
Note: Since a motion to dismiss is now
classified as a litigious motion, such motion
should be resolved within 15 calendar days
from the filing of the opposition to the
motion to dismiss [Sec. 5(c), Rule 15].
Therefore, this clearly repeals Secs. 2 and
3, Rule 16 of the old Rules of Court on
hearing and resolution of a motion to
dismiss.
c. Motion for new trial;
d. Motion for reconsideration;
e. Motion for execution pending appeal;
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f. Motion to amend after a responsive
pleading has been filed;
g. Motion to cancel statutory lien;
h. Motion for an order to break in or for a writ
of demolition;
i. Motion for intervention;
j. Motion for judgment on the pleadings;
k. Motion for summary judgment;
l. Demurrer to evidence;
m. Motion to declare defendant in default; and
n. Other similar motions [Sec. 5(a), Rule 15].
The period to file an opposition would be 5
calendar days from the receipt of the litigious
motion. The court shall then resolve the motion
within 15 calendar days from receipt of the
opposition or upon expiration of the period to
file such opposition.
Note: No other submissions, other than the
opposition, shall be considered by the court in
resolving the motion [Sec. 5(c), Rule 15].
Service of Litigious Motions
Litigious motions shall be served by:
1. Personal service;
2. Accredited private courier;
3. Registered mail; or
4. Electronic means [Sec. 5(b), Rule 15].
Note: Remember that electronic means of
service may only be availed of with consent of
the other party or with authorization of the court
[Sec. 9, Rule 13].
No written motion shall be acted upon by the
court without proof of service thereof pursuant
to Section 5(b) [Sec. 7, Rule 15].
Hearing on Litigious Motions
The court may call for a hearing if deemed
necessary for the motion’s resolution and send
notice to all parties concerned, specifying the
time and date of the hearing. [Sec. 6, Rule 15]
Note that the allowance for hearing only
applies to litigious motions, since non-litigious
motions cannot be set for hearing [Sec. 4, Rule
15].
4. Prohibited Motions
The following motions shall not be allowed:
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1. Motion to dismiss except on the following
grounds:
● Lack of jurisdiction over the subject
matter,
● Litis pendentia, or
● That the action is barred by res judicata
or the statute of limitations [Sec. 12,
Rule 15].
Motion to Dismiss
The grounds under the current Rules are
limited only to lack of jurisdiction over the
subject matter, litis pendentia, res judicata, and
prescription [Sec. 12, Rule 15]. Notably, the
Amended Rules empower the court to dismiss
a case motu proprio if the aforementioned non-
waivable grounds are apparent on the face of
the complaint [Sec. 1, Rule 14].
The other grounds for a motion to dismiss
under Rule 16 of the old Rules (i.e. lack of
jurisdiction over the person, improper venue,
lack of capacity to sue, payment/release,
unenforceability under the statute of frauds,
failure to comply with condition precedent) can
now only be raised as affirmative defenses
[Sec. 12, Rule 8, citing Sec. 5(b), Rule 6].
When a Motion to Dismiss can be Filed
The current Rules do not provide specifically
when a motion to dismiss can be filed. It is
therefore submitted that it is unnecessary for
the rules to provide a period for filing a motion
to dismiss, since the grounds under Sec. 1,
Rule 9 are non-waivable. Thus, a motion to
dismiss can be filed at any time during the
proceedings, subject to the exception of
estoppel by laches provided for in Tijam v.
Sibonghanoy [23 SCRA 29 (1968)].
Remedies from the Denial of a Motion to
Dismiss
Affirmative defenses if denied, cannot be the
subject of a motion for reconsideration, or
petition for certiorari, prohibition, or mandamus
[Sec. 12, Rule 8].
Exception: If the non-waivable grounds under
Sec. 1, Rule 9 are raised not as affirmative
defenses, but in a motion to dismiss, it is
submitted that the movant may still file a
motion for reconsideration or a petition for
certiorari, mandamus, or prohibition against
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the order of denial of the motion to dismiss.
This is because there is no prohibition against
its filing, as opposed to if the ground is set forth
as an affirmative defense in the answer and the
affirmative defense is denied.
Note: The remedy of a petition for certiorari
under Rule 65 is available only when the denial
of the motion to dismiss is tainted with grave
abuse of discretion. Generally, the proper
remedy against the denial of a motion to
dismiss would be going through the usual trial
process, and later, filing a timely appeal
against an adverse judgement [1 Riano 412,
2016 Bantam Ed.].
2. Motion to hear affirmative defenses
Such motion is prohibited since the court is
required to act on the affirmative defenses set
out in the answer within 30 calendar days if the
affirmative defense is among those listed in
Sec. 12, Rule 8. The court is also allowed to
avail of a summary hearing within 15 calendar
days from the filing of the answer and is
thereafter mandated to resolve the affirmative
defense within 30 calendar days from the
termination of the summary hearing if the
affirmative defenses are those set forth in the
first paragraph of Sec. 5(b), Rule 6 [Sec. 12,
Rule 8].
3. Motion for reconsideration of the
court’s action on affirmative defenses
The denial of an affirmative defense shall not
be the subject of a motion for
reconsideration or a petition for certiorari,
prohibition, or mandamus [Sec. 12, Rule 8].
However, it is not clear from the amended rules
whether the court’s action of approving an
affirmative defense cannot be the subject to a
motion for reconsideration, since Sec. 12(c),
Rule 15 merely provides that a motion for
reconsideration of the court’s action on an
affirmative defense is a prohibited pleading. It
does not distinguish whether between the
court’s act of either denying or approving the
affirmative defense.
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4. Motion to suspend proceedings without
a TRO or injunction issued by a higher
court
The principle of judicial courtesy justifies the
suspension of proceedings before the lower
courts even without an injunctive writ or order
from the higher court. However, this remains
an exception and may be applied only if there
is a strong probability that the issues before the
higher court would be rendered moot and
moribund as a result of the continuation of the
proceedings in the lower court [Trajano v.
Uniwide Sales Warehouse Club, G.R. No.
190253, (2014)].
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 Sec. 11,
Rule 11
Any pleading may still be filed out of time
without seeking for motion for extension of
time, and it will depend on the court whether it
will be admitted. The Rules authorize the court,
in its discretion, to accept a pleading, although
filed late [Sec. 11, Rule 11].
6. Motion for postponement intended for
delay, except if it is based on:
● Acts of god,
● Force majeure, or
● Physical inability of the witness to
appear and testify [Sec. 12, Rule 15].
Allowed motions for postponement
If the motion for postponement is granted, the
presentation of evidence by the moving party
must still be terminated on the dates previously
agreed upon [Sec. 12, Rule 15].
Note: The dates previously agreed upon refer
to those set forth in the schedule of trial as
required under Sec. 1, Rule 30.
The motion for postponement, whether written
or oral, shall be accompanied by the original
official receipt from the clerk of court
evidencing payment of the postponement fee.
Such receipt evidencing payment of the fee
shall be submitted at the time of the filing of the
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motion or not later than the next hearing date.
The clerk shall not accept the motion unless
accompanied by said receipt [Sec. 12, Rule
15].
Note: Sec. 3, Rule 30 allows postponement of
trial due to illness of party or counsel, provided
that their presence is indispensable and that
the character of illness is such as to render the
non-attendance excusable.
5. Motion for Bill of Particulars (Rule
12)
Definition: A party may move for a definite
statement or for a bill of particulars of any
matter which is not averred with sufficient
definiteness or particularity to enable him
properly to prepare his responsive pleading
[Sec. 1, Rule 12].
An action cannot be dismissed on the ground
that the complaint is vague or indefinite. The
remedy of the defendant is to move for a bill of
particulars, or avail of the proper mode of
discovery [Galeon v. Galeon, G.R. No. L-30380
(1973)].
Purpose: To enable the movant to prepare his
or her responsive pleading [Sec. 1, Rule 12].
It is not to enable the movant to prepare for
trial. When this is the purpose, the appropriate
remedy is to avail of Discovery Procedures
under Rules 23 to 29 [1 Riano 419, 2011 Ed.].
When applied for
1. Before responding to a pleading.
2. If the pleading is a reply, within 10 calendar
days from service thereof [Sec. 1, Rule 12].
Contents
The motion shall point out
1. The defects complained of,
2. The paragraph wherein they are contained,
and
3. The details desired [Sec. 1, Rule 12].
The only question to be resolved in such
motion is whether the allegations in the
complaint are averred with sufficient
definiteness or particularity to enable the
movant to properly prepare his responsive
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pleading and to prepare for trial [Tantuico, Jr.
v. Republic, G.R. No. 89114 (1991)].
What cannot be done in a bill of particulars
a. To supply material allegations necessary to
the validity of a pleading
b. To change a cause of action or defense
stated in the pleading
c. To state a cause of action or defense other
than the one stated
d. To set forth the pleader’s theory of his
cause of action or a Rule of evidence on
which he intends to reply
e. To furnish evidentiary information [Virata v.
Sandiganbayan, G.R. No. 103527 (1993)].
Actions of The Court
Upon the filing of the motion, the clerk of court
must immediately bring it to the attention of the
court, which may either
1. Deny, or
2. Grant the motion outright, or
3. Allow the parties the opportunity to be
heard [Sec. 2, Rule 12].
Compliance with the Order
If motion is granted, either in whole or in part,
the pleader must file a bill of particulars or a
more definite statement, within 10 calendar
days from notice of order, unless the court fixes
a different period.
The bill of particulars or a more definite
statement ordered by the court may be filed
either in a separate pleading or in an amended
pleading, serving a copy thereof on the
adverse party [Sec. 3, Rule 12].
A bill of particulars becomes part of the
pleading for which it was intended [Sec. 6, Rule
12].
Effect of non-compliance
1. If the order is not obeyed, or in case of
insufficient compliance therewith, the court
may
a. Order the striking out of the pleading or
the portions thereof to which the order
is directed, or
b. Make such an order as it may deem
just [Sec. 4, Rule 12].
2. If the plaintiff fails to obey, his complaint
may be dismissed by the court. This
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dismissal shall have the effect of an
adjudication upon the merits, unless
otherwise declared by the court [Sec. 3,
Rule 17].
3. If the defendant fails to obey, his answer
will be stricken off and his counterclaim
dismissed, and he will be declared in
default upon motion of the plaintiff [Sec. 3,
Rule 9; Sec. 4, Rule 12; Sec. 4, Rule 17] [1
Riano 422, 2011 Ed.].
Effect on the period to file a responsive
pleading
Provided that the Motion for Bill of Particulars
is sufficient in form and substance, it stays the
period for the movant to file his responsive
pleading [1 Riano 422, 2011 Ed.].
After service of the bill of particulars or of a
more definite pleading, or after notice of denial
of his motion, the moving party may file his
responsive pleading within the period to which
he was entitled at the time of filing his motion,
which shall not be less than five (5) calendar
days in any event [Section 5, Rule 12].
J. Dismissal of Actions (Rule 17)
1. With Prejudice vs. Without
Prejudice
WITH PREJUDICE
When a motion to dismiss or an affirmative
defense is granted on the following grounds,
the order shall bar the refiling of the same
action or claim:
a. The cause of action is barred by prior
judgment;
b. The cause of action is barred by the
statute of limitations;
c. That the claim or demand set forth in the
plaintiff’s pleading has been paid, waived,
abandoned, or otherwise extinguished; or
d. That the claim on which the action is
founded is unenforceable under the
provisions of the statute of frauds.
Note: Such rule does not bar the filing of an
appeal to challenge the granting of the motion
to dismiss or the affirmative defense [Sec. 13,
Rule 15].
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a. Dismissal Due to the Fault of
Plaintiff
The complaint may be dismissed upon
motion of the defendant or upon the court’s
own motion if, for no justifiable cause, the
plaintiff:
1. Fails to appear on the date of the
presentation of his evidence in chief on the
complaint
2. Fails to prosecute his action for an
unreasonable length of time, also called as
non-prosequitur.
a. The true test for the exercise of such
power is whether, under the prevailing
circumstances, the plaintiff is culpable
for want of due diligence in failing to
proceed with reasonable promptitude.
As to what constitutes "unreasonable
length of time," this Court has ruled that
it depends on the circumstances of
each particular case [Allied Banking
Corp v. Sps. Madriaga, G.R. No.
196670 (2016)].
b. The action should never be dismissed
on a non-suit for want of prosecution
when the delay was caused by the
parties looking towards a settlement
[Goldloop Properties Inc. v. CA, G.R.
No. 99431 (1992)].
3. Fails to comply with the ROC or any court
order [Sec. 3, Rule 17].
a. A case may be dismissed for failure to
answer written interrogatories under
Rule 25 even without an order from the
court to answer [Arellano v. CFI
Sorsogon, G.R. No. L-34897 (1975)]
[also see Sec. 5, Rule 29].
General rule: This dismissal shall have the
effect of an adjudication upon the merits and is
thus a dismissal with prejudice [AFP
Retirement v. Republic, 694 SCRA 118
(2013)].
Exception: Otherwise declared by the court
[Sec. 3, Rule 17].
Note: Under Sec. 3, Rule 14, the plaintiff’s
failure to comply with the order of the court
to serve summons shall cause the dismissal
of the initiatory pleading without prejudice.
This rule can be seen as an exception to the
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general rule that dismissal due to failure to
comply with the order of the court shall cause
dismissal with prejudice.
Effect on counterclaim
Dismissal is without prejudice to the right of the
defendant to prosecute his counterclaim in the
same or in a separate action [Sec. 3, Rule 17].
WITHOUT PREJUDICE
Generally:
1. Dismissal upon notice by plaintiff
2. Dismissal upon motion by plaintiff
a. Dismissal Upon Notice by Plaintiff
A complaint may be dismissed by the plaintiff
by filing a notice of dismissal at any time before
service of
a. The answer, or
b. A motion for summary judgment
Upon such notice being filed, the court shall
issue an order confirming the dismissal [Sec. 1,
Rule 17].
Note: Sec. 1, Rule 17 refers to “before service”,
not “before filing.”
Withdrawal is not automatic but requires an
order by the court confirming the dismissal.
Until thus confirmed, the withdrawal does not
take effect [1 Herrera 1055, 2007 Ed.].
It is not the order confirming the dismissal
which operates to dismiss the complaint. As
the name of the order implies, it merely
confirms the dismissal already effected by the
filing of the notice [1 Riano 489, 2014 Bantam
Ed.].
General rule: Dismissal is without prejudice
Exceptions:
a. Unless otherwise stated in the notice
b. A notice operates as an adjudication upon
the merits when filed by a plaintiff who has
once dismissed in a competent court an
action based on or including the same
claim [Sec. 1, Rule 17].
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b. Dismissal Upon Motion by Plaintiff
A complaint shall not be dismissed at the
plaintiff’s instance save upon approval of the
court and upon such terms and conditions as
the court deems proper [Sec. 2, Rule 17].
General rule: Dismissal is without prejudice
Exception: Otherwise specified in the order
[Sec. 2, Rule 17].
Effect on counterclaim
The dismissal shall be without prejudice to the
right of the defendant to prosecute his
counter­claim in a separate action unless
within 15 calendar days from notice of the
motion he manifests his preference to have his
counterclaim resolved in the same action [Sec.
2, Rule 17].
Note: Sec. 2, Rule 17 is clear. The
counterclaim is not dismissed, whether it is a
compulsory or a permissive counterclaim
because the rule makes no distinction [1 Riano
491, 2014 Bantam Ed.].
Dismissal of Counterclaim, Cross-
claim, or Third-party Complaint
Provisions of Rule 17 shall apply to the
dismissal of any counterclaim, cross-claim, or
third-party complaint.
Voluntary dismissal by the claimant by notice
as in Sec. 1, Rule 17 shall be made:
a. Before a responsive pleading or a motion
for summary judgment is served; or
b. If there is none, before the introduction of
evidence at trial or hearing [Sec. 4, Rule
17].
2. Dismissal which have an effect of
an adjudication on the merits
Two-dismissal Rule
The notice of dismissal operates as an
adjudication upon the merits [Sec. 1, Rule
17].
Applies when the plaintiff has
1. A twice dismissed action,
2. Based on or including the same claim,
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3. In a court of competent jurisdiction [1 Riano
490, 2014 Bantam Ed.].
Also, dismissal due to the fault of the
plaintiff shall have the effect of an adjudication
upon the merits, unless otherwise declared by
the court [Sec. 3, Rule 17].
K. Pre-Trial (Rule 18)
Pre-trial is a procedural device by which the
court is called upon, after the filing of the last
pleading, to compel the parties and their
lawyers to appear before it, and negotiate an
amicable settlement or otherwise make a
formal settlement and embody in a single
document the issues of fact and law involved in
the action, and such other matters as may aid
in the prompt disposition in the action, such as
the
a. Number of witnesses the parties intend to
present
b. Tenor or character of their testimonies
c. Documentary evidence
d. Nature and purpose of each of them
e. Number of trial dates that each will need to
put on his case [1 Herrera 1074, 2007 Ed.].
1. Nature and Purpose
Pre-trial is mandatory and should be
terminated promptly [Sec. 2, Rule 18].
Purpose of pre-trial is to consider
1. Possibility of an amicable settlement or of
a submission to alternative modes of
dispute resolution
2. Simplification of the issues
3. Possibility of obtaining stipulations or
admissions of facts and of documents to
avoid unnecessary proof
4. Limitation of the number and identification
of witnesses and the setting of trial dates
5. Advisability of a preliminary reference of
issues to a commissioner
6. Propriety of rendering judgment on the
pleadings, or summary judgment, or of
dismissing the action should a valid ground
therefore be found to exist
7. The requirement for the parties to:
a. Mark their evidence if not yet marked in
the judicial affidavits of their witnesses,
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Note: The Judicial Affidavit Rule requires
that documentary or object evidence must
be marked and attached to the judicial
affidavits, with such evidence being
marked as Exhibit A, B, C for the plaintiff,
and Exhibit 1, 2, 3 for the defendant [Sec.
2(a)(2), AM No. 12-8-8-SC].
b. Examine and make comparisons of the
adverse parties’ evidence vis-a-vis the
copies to be marked,
c. Manifest for the record, stipulations
regarding the faithfulness of the
reproductions and the genuineness
and due execution of the adverse
parties’ evidence,
d. Reserve evidence not available at the
pre-trial, but only in the following
manner, or else it shall not be allowed
i. Testimonial evidence: by
giving the name or position and
the nature of the proposed
witness
ii. Documentary/Object
evidence: by giving a
particular description of the
evidence
8. Such other matters as may aid in the
prompt disposition of the action.
Failure without just cause of a party and
counsel to appear during pre-trial, despite
notice, shall result in a waiver of any
objections to the faithfulness of the
reproductions marked, or their genuineness
and due execution.
Failure without just cause to bring the evidence
required shall be deemed a waiver of the
presentation of such evidence [Sec. 2, Rule
18].
Note: Both waivers mentioned above are
based on lack of just cause either to appear
during pre-trial or to bring the evidence
required.
2. Appearance of Parties
It shall be the duty of the parties and their
counsel to appear at:
a. Pre-trial,
b. Court-annexed mediation, and
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c. Judicial dispute resolution, if necessary
Plaintiff and Defendant
[Sec. 4, Rule 18].
counsel and counsel
Note: Both parties and their counsel are prejudice, evidence ex
required to attend. Appearance of either only unless parte within
the party or his counsel counts as non- otherwise 10 calendar
appearance, unless: ordered by days from
the court termination
Excused non-appearance [Sec. 5, Rule of pre-trial,
Appearance of a party and counsel may only 18]. and
be excused for: judgment
a. Acts of god, shall be
b. Force majeure, or rendered
c. Duly substantiated physical inability [Sec. based on the
4, Rule 18]. evidence
offered [Sec.
Appearance by Representative 5, Rule 18].
A representative may appear on behalf of a
party, but must be fully authorized in writing to: Remedy Motion for Motion for
a. Enter an amicable settlement, reconsiderati reconsiderati
b. To submit to alternative modes of dispute on, then on, and if the
resolution, and appeal denial is
c. To enter stipulations or admissions of facts tainted with
and documents [Sec. 4, Rule 18]. grave abuse
of discretion,
Note: It is not sufficient for the representative to a petition for
be given the power to enter one or two of the certiorari.
matters enumerated. An incomplete authority
does not satisfy the requirement of the Rules
and should be deemed the equivalent of having The non-appearance of the defendant in pre-
no authority at all [1 Riano 429, 2016 Bantam trial is not a ground to declare him in default.
Ed.]. While the effect of the failure of the defendant
to appear at the pre-trial is similar to that of
The written authorization must be in the form of default (possible presentation of evidence ex
a special power of attorney as authority to parte), under the Rules, this consequence is
enter into amicable settlement must be in such not to be called a declaration of default [1 Riano
form [Sec. 23, Rule 138; Art. 1878(3), Civil 302, 2016 Bantam Ed.].
Code].
Default by Failure to appear
Effect of failure to appear defendant [Sec. 3, by defendant
The party and counsel must have been duly Rule 9] [Sec. 5, Rule 18]
notified and their failure to appear was
without valid cause. It is only then that the Upon motion of the Not required
following effects occur upon non-appearance claiming party with
of both party and counsel: notice to the
defending party
Plaintiff and Defendant
counsel and counsel Requires proof of Not required
failure to answer
Effect The action The plaintiff
shall be shall be
dismissed allowed to
with present
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Default by Failure to appear Effect of failure to file pre-trial brief

defendant [Sec. 3, by defendant Failure to file the pre-trial brief shall have the
Rule 9] [Sec. 5, Rule 18] same effect as failure to appear at the pre-trial
[Sec. 6, Rule 18].

Court may render Court renders Notice of Pre-Trial

judgment without judgment based After the last responsive pleading has been
receiving evidence on the evidence served and filed, the branch clerk of court shall
presented ex parte issue a notice of pre-trial within 5 calendar
days from filing [Sec. 1, Rule 18].
Judgment by default Judgment ex parte
Note: There is no longer a need for the plaintiff
Relief awarded must No such limitation to move ex parte for the case to be set for pre-
be the same in nature trial. It is now directly vested with the clerk of
and amount as court.
prayed for in the
complaint The “last pleading” need not be literally
construed as the actual filing of the last
pleading. For pre-trial, the expiration of the
3. Pre-Trial Brief period for filing the last pleading is sufficient
[Sarmiento v. Juan, G.R. No. L-56605 (1983)].
When to file and serve pre-trial brief
The sufficiency of the written notice of pre-trial
The parties shall file with the court and serve
is irrelevant where evidence shows that
on the adverse party to ensure receipt at least
counsel and the parties actually knew of the
3 calendar days before the date of pre-trial
pre-trial [Bembo v. CA, G.R. No. 116845
their pre-trial briefs [Sec. 6, Rule 18].
(1995)].
Contents of pre-trial brief:
When pre-trial conducted
a. A concise statement of the case and the
The notice of pre-trial shall set pre-trial to be
reliefs prayed for;
conducted not later than 60 calendar days
b. A summary of admitted facts and proposed
from the filing of the last responsive pleading
stipulation of facts;
[Sec. 1, Rule 18].
c. The main factual and legal issues to be
tried or resolved;
Contents of Notice of Pre-Trial
d. The propriety of referral of factual issues to
The notice of pre-trial shall include the dates
commissioners;
set for:
e. The documents or other object evidence to
a. Pre-trial;
be marked, stating the purpose thereof;
b. Court-Annexed Mediation (CAM); and
f. The names of the witnesses, and the
c. Judicial Dispute Resolution (JDR), if
summary of their respective testimonies;
necessary [Sec. 3, Rule 18].
and
g. A brief statement of points of law and
Service of Notice of Pre-Trial
citation of authorities [Sec. 6, Rule 18].
The notice of pre-trial shall be served on
counsel, or on the party if he or she has no
Legal effect of representations and
counsel [Sec. 3, Rule 18].
statements in the pre-trial brief
The parties are bound by the representations
and statements in their respective pre-trial Pre-Trial Order
briefs [A.M. 03-1-09-SC (2004)]. When is a Pre-trial order Issued
The court shall issue and order within 10
Note: Representations and statements in the calendar days from termination of pre-trial
pre-trial briefs are in the nature of judicial [Sec. 7, Rule 18].
admissions [Sec. 4, Rule 129].
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Effects of pre-trial order
The contents of the order shall control the
subsequent course of the action, unless:
a. The order is modified before trial to prevent
manifest injustice, or [Sec. 7, Rule 18]
b. There are issues impliedly included therein
or may be inferable therefrom by
necessary implication [Philippine Export
and Foreign Loan Guarantee Corp. v.
Amalgamated Management and
Development Corp., G.R. No. 177729
(2011)].
Contents of a pre-trial order
a. An enumeration of the admitted facts;
b. The minutes of the pre-trial conference
prepared by the branch clerk of court [Sec.
2, Rule 18];
c. The legal and factual issued to be tried;
d. The applicable law, rules, and
jurisprudence;
e. The evidence marked;
f. The specific trial dates for continuous trial,
which shall be within the period provided by
the rules;
g. The case flowchart to be determined by the
court
● Contains the different stages of the
proceedings up to the promulgation of
the decision and the use of time frames
for each stage in setting the trial dates.
h. A statement that the one-day examination
of witness rule and most important witness
rule shall be strictly followed; and
● One day examination of witness rule
The One-Day Examination of Witness
Rule, that is, a witness has to be fully
examined in one (1) day only, shall be
strictly adhered to subject to the courts'
discretion during trial on whether or not
to extend the direct and/or cross-
examination for justifiable reasons
[Item I-A-5-i, A.M. No. 03-1-09-SC].
● Most important witness rule
The court shall determine the most
important witnesses to be heard and
limit the number of witnesses (Most
Important Witness Rule) [Item I-A-5-j,
AM No. 03-1-09-SC]
The court shall require the parties
and/or counsel to submit to the Branch
COC the names, addresses and
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contact numbers of the witnesses to be
summoned by subpoena [Item I-A-5-l,
AM No. 03-1-09-SC].
i. A statement that the court shall render
judgment on the pleadings or summary
judgment, as the case may be [Sec. 7, Rule
18].
Use of Judicial Affidavits
The direct testimony of witnesses for the
plaintiff shall be in the form of judicial
affidavits. However, even witnesses for the
defendant are required to submit judicial
affidavits, which likewise take the place of their
direct testimony [AM No. 12-8-8-SC, Sec.
2(a)(1)].
After identification of such affidavits, cross-
examination shall proceed immediately [Sec.
7, Rule 18].
Postponement of presentation of witnesses
General Rule: Postponement of presentation
of the parties’ witnesses at a scheduled date is
prohibited.
● Effect of failure to appear without valid
cause: The presentation of the scheduled
witness will proceed with the absent party.
Exception: A motion for postponement for
presentation of witnesses is allowed if the
postponement is based on:
a. Acts of God,
b. Force majeure, or
c. Duly substantiated inability of the witness
to appear and testify.
Note: The party causing the postponement
must still finish his presentation of evidence
within the remaining dates previously agreed
upon [Sec. 7, Rule 18 in relation to Sec. 2, Rule
30].
Conduct of pre-trial
The judge shall be the one to ask questions
on issues raised by the parties, and all
questions or comments by counsel or parties
must be directed to the judge to avoid hostilities
between the parties [A.M. No. 03-1-09-SC
(2004)].
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Motu proprio order for summary judgment
or judgment on the pleadings
The court may motu proprio include in the pre-
trial order that the case be submitted for
summary judgment or judgment on the
pleadings without need of position papers or
memoranda, and without prejudice to a party
moving for either judgment on the pleadings or
summary judgment when:
a. There be no more controverted facts,
b. No more genuine issue as to any material
fact,
c. There be an absence of any issue, or
d. Should the answer fail to tender an issue
[Sec. 10, Rule 18].
Note: Such order is deemed an interlocutory
order as it is included in the pre-trial order.
However, the order of the court submitting the
case for such judgment shall not be subject to
appeal or certiorari as provided for expressly
under Sec. 10, Rule 18.
Judgment shall be rendered within 90 calendar
days from termination of pre-trial [Sec. 10, Rule
18].
Court-Annexed Mediation (CAM)
After pre-trial and after the issues are joined,
the court shall refer the parties for mandatory
CAM.
Period: Not exceeding 30 calendar days
without extension [Sec. 8, Rule 18].
Note: A.M. 11-1-6-SC-PHILJA insofar as it
provides that an extended period of another 30
days may be granted by the court upon motion
by the mediator and with the conformity of the
parties shall no longer apply.
Effect of failure of mediation:
a. Proceed with trial; or
b. If the judge is convinced that settlement is
possible, referral to another court to
proceed with JDR.
Judicial Dispute Resolution (JDR)
If the judge of the court to which the case is
originally raffled is convinced that settlement is
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still possible, the case may be referred to
another court for JDR.
Period: Non-extendible period of 15 calendar
days from notice of failure of CAM. Note that
the period to conduct JDR is included in the
period for the presentation of plaintiff’s
evidence [Sec. 1[a][i], Rule 30].
Effect of failure: Trial before the original court
shall proceed on the dates agreed upon [Sec.
9, Rule 18].
Note: JDR is no longer mandatory as provided
for under A.M. 11-1-6-SC-PHILJA due to the
amended rules. The aforementioned A.M. also
provides for a 30-day JDR for first level courts,
a 60-day JDR for second level courts, and
discretion on the part of the JDR judge to order
a longer period of JDR. Such provisions are
now repealed due to the Amended Rules
providing for a non-extendible shorter period of
15 calendar days for JDR.
Confidentiality
All proceedings during CAM and JDR shall be
confidential [Sec. 9, Rule 18].
Effect of non-appearance at CAM or JDR
Note: Non-appearance at CAM or JDR, if
necessary, shall be deemed as non-
appearance at pre-trial [Sec. 3, Rule 18].
Therefore, the following sanctions are meted
out to non-appearing parties at CAM or JDR:
1. Waiver of any objections to the faithfulness
of the reproductions marked, or their
genuineness and due execution [Sec. 2,
Rule 18],
2. If plaintiff and counsel fail to appear
● The action will be dismissed with
prejudice, unless otherwise ordered by
the court.
If defendant and counsel fail to appear
● The plaintiff shall be allowed to present
evidence ex parte within 10 calendar
days from termination of pre-trial, and
judgment shall be rendered based on
the evidence offered [Sec. 5, Rule 18].
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Pre-Trial in Civil Cases vs. Pre-Trial in Criminal Cases

Pre-trial in a Civil Case [Rule 18] Pre-trial in a Criminal Case [Rule 118]

As to when Not later than 60 calendar days from the After arraignment and within 30 days from
conducted filing of the last responsive pleading the date the court acquires jurisdiction over
[Sec. 1]. the person of the accused.

Exception: If special laws and circulars

provide for a shorter period.

[Sec. 1]

As to need of There is no longer a need for the plaintiff Ordered by the court and no motion is
motion to move ex parte to set the case for pre- required from either party [Sec. 1].
trial. Under the Amended Rules, the clerk
of court should issue the notice of pre-trial
within 5 calendar days from filing of the
last responsive pleading [Sec. 1].

As to Mandatory [Sec. 2] Mandatory [Sec. 1]

whether
mandatory

As to effect Of the plaintiff – the case shall be
of failure to dismissed with prejudice, unless the court
appear orders otherwise.
Of the defendant – the plaintiff shall be
allowed to present evidence ex parte, and
judgment shall be rendered based
thereon [Sec. 5, Rule 18].
If the counsel for the accused or the
prosecutor does not appear at the pre-trial
conference and does not offer an
acceptable excuse for his lack of
cooperation, the court may impose proper
sanctions or penalties [Sec. 3].

As to The court shall consider this matter [Sec. Not in the enumeration to be considered
possibility of 2(a)]. [Sec. 1].
an amicable
settlement

As to A pre-trial brief is specifically required to A pre-trial brief is not required under Rule
requirement be submitted [Sec. 6]. 118.
of Pre-Trial
Brief

As to The pre-trial order shall include an Shall be reduced in writing and signed by
agreements enumeration of the admitted facts and the accused and counsel, otherwise, they
of proposed stipulation of facts [Sec. 7(a)]. cannot be used against the accused [Sec.
admissions 2].
made

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L. Intervention (Rule 19)
Definition
A proceeding in a suit or an action by which a
third person is permitted by the court to
make himself a party, either:
1. Joining plaintiff in claiming what is sought
by the complaint,
2. Uniting with defendant in resisting the
claims of the plaintiff, or
3. Demanding something adverse to both of
them [1 Herrera 1117, 2007 Ed., citing
Gutierrez v. Villegas, G.R. No. L-11848
(1962)].
Purpose
Its purpose is to afford one not an original party,
yet having a certain right/interest in the pending
case, the opportunity to appear and be
joined so he could assert or protect such
right/interest [Cariño v. Ofilada, G.R. No.
102836 (1993)].
Nature
Intervention cannot alter the nature of the
action and the issues already joined [Castro v.
David, 100 Phil 454 (1956)].
Intervention is never an independent action,
but is ancillary and supplemental to the
existing litigation [Saw vs CA, 195 SCRA 740
(1991)].
Requisites
1. A motion for leave to intervene filed at any
time before rendition of judgment by the
trial court [Sec. 2, Rule 19].
Note: A motion for intervention is a litigious
motion. Therefore, the court shall resolve
the motion within 15 calendar days from
receipt of the opposition or upon expiration
of the period to file such opposition. The
period to file an opposition would be 5
calendar days from the receipt of such
opposition [Sec. 5, Rule 15].
2. A legal interest:
a. In the matter in litigation;
b. In the success of either of the parties;
c. An interest against both; or
d. So situated as to be adversely affected
by a distribution or other disposition of
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property in the custody of the court or
of an officer thereof.
3. Intervention will not unduly delay or
prejudice the adjudication of rights of the
original parties.
4. Intervenor’s rights may not be fully
protected in a separate proceeding [Sec. 1,
Rule 19; Lorenza Ortega v. CA, G.R. No.
125302 (1998)].
Notwithstanding the presence of a legal
interest, permission to intervene is subject to
the sound discretion of the court, the
exercise of which is limited by considering
"whether or not the intervention will unduly
delay or prejudice the adjudication of the rights
of the original parties and whether or not the
intervenor’s rights may be fully protected in a
separate proceeding [Virra Mall Tenants v.
Virra Mall, G.R. No. 182902 (2011)].
Time to Intervene
The motion to intervene may be filed at any
time before rendition of judgment by the trial
court [Sec. 2, Rule 19].
How effected
a. By filing a motion to intervene,
b. Attaching a copy of the pleading-in-
intervention, and
c. Serving the motion and pleading-in-
intervention on the original parties [Sec. 2,
Rule 19].
Pleadings-in-intervention
a. Complaint-in-intervention – If intervenor
asserts a claim against either or all of the
original parties.
b. Answer-in-intervention – If intervenor
unites with the defending party in resisting
a claim against the latter [Sec. 3, Rule 19].
c. Answer to complaint-in-intervention - It
shall be filed within 15 calendar days from
notice of the order admitting the complaint-
in-intervention, unless a different period is
fixed by the court [Sec. 4, Rule 19].
Remedies
If Denied If Granted
Appeal [1 Regalado An improper
324, 2010 Ed., citing granting of a motion
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If Denied If Granted Subpoena Summons

Ortiz v. Trent, G.R. for intervention may Directed to a person Directed to the
No. 5099 (1909) and be controlled by [Sec. 1, Rule 21] defendant [Sec. 2,
Hospicio de San certiorari and Rule 14]
Jose v. Piccio, G.R. prohibition [1
No. L-8540 (1956)] Regalado 324, 2010 Costs for court Tender of costs not
Ed., citing Pflieder v. attendance and the required by Rule 14
De Britanica, G.R. production of
No. L-19077 (1964)]. documents and other
materials subject of
If there is grave the subpoena shall be
abuse of discretion tendered or charged
and there is no other accordingly [Sec. 6,
plain, speedy and Rule 21].
adequate remedy,
mandamus [1 Who may issue
Regalado 324, 2010 1. Court before whom the witness is required
Ed., citing Dizon v. to attend
Romero, G.R. No. L- 2. Court of the place where the deposition is
26252 (1968) and to be taken
Macias v. Cruz, G.R. 3. Officer or body authorized by law to do so
No. L-28947 (1973)]. in connection with investigations
conducted by said officer or body, or
4. Any justice of the SC or of the CA, in any
M. Subpoena (Rule 21)
case or investigation pending within the
Philippines [Sec. 2, Rule 21].
Definition
A process directed to a person requiring him or
Form and contents
her:
1. Shall state the name of the court and the
1. To attend and to testify at the hearing or the
title of the action or investigation
trial of an action, or at any investigation
2. Shall be directed to the person whose
conducted by competent authority, or for
attendance is required
the taking of his or her deposition
3. For subpoena duces tecum, shall also
2. Also to bring any books, documents, or
contain a reasonable description of the
other things under his or her control [Sec.
books, documents or things demanded
1, Rule 21].
which must appear to the court prima facie
relevant [Sec. 3, Rule 21].
Subpoena Summons
When issued against prisoners
A process directed to A direction that the When applied for, the judge or officer shall
a person requiring defendant answer examine and study carefully the application to
him to attend and to within the time fixed determine whether it is made for a valid
testify. It may also by the ROC [Sec. 2, purpose [Sec. 2, Rule 21].
require him to bring Rule 14].
with him any books, When Supreme Court authorization
documents, or other required
things under his When the subpoena for appearance or
control [Sec. 1, Rule attendance in any court is issued against a
21]. prisoner:
1. Sentenced to death, reclusion perpetua, or
life imprisonment, and

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2. Confined in any penal institution [Sec. 2,
Rule 21].
Personal appearance in court; same effect
as subpoena
A person present in court before a judicial
officer may be required to testify as if he or she
were in attendance upon a subpoena [Sec 7,
Rule 21].
Subpoena for depositions
Proof of service of notice to take a deposition
shall constitute sufficient authorization for the
issuance of subpoenas for the persons named
in such notice.
Note: In order to issue a subpoena duces
tecum, an order of the court shall be necessary
[Sec 5, Rule 21].
1. Subpoena Duces Tecum
A process directed to a person requiring him to
bring with him books, documents, or other
things under his control [Sec. 1, Rule 21].
The subpoena duces tecum is, in all respects,
like the ordinary subpoena ad testificandum,
with the exception that it concludes with an
injunction that the witness shall bring with
him and produce at the examination the
books, documents, or things described in
the subpoena [see Sec. 1, Rule 21].
Note the requirements for a subpoena duces
tecum, see item (3) of “Form and contents”
above.
2. Subpoena Ad Testificandum
A process directed to a person requiring him to
attend and to testify at the hearing or the trial of
an action, or at any investigation conducted by
competent authority or for the taking of his
deposition [Sec. 1, Rule 21]
Note: This is the technical and descriptive term
for the ordinary subpoena [1 Regalado 330,
2010 Ed.].
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Service of Subpoena
Service of a subpoena shall be made in the
same manner as personal or substituted
service of summons [Sec. 6, Rule 21].
Formalities
a. The original is exhibited to the person
served;
b. A copy is delivered to him; and
c. Costs for court attendance and the
production of documents and other
materials subject of the subpoena shall be
tendered or charged accordingly [Sec. 6,
Rule 21].
When made: must be made so as to allow the
witness a reasonable time for preparation and
travel to the place of attendance [Sec. 6, Rule
21].
Compelling Attendance of Witnesses
Warrant to compel attendance
The court which issued the subpoena may
issue a warrant to the sheriff or his or her
deputy to arrest the witness and to bring him or
her before the court or officer where his or her
attendance is required, upon
a. Proof of service, and
b. Failure of witness to attend [Sec. 8, Rule
21].
Costs
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 [Sec. 8, Rule 21].
Failure to obey
Effect of failure by any person without
adequate cause to obey a subpoena served
upon him or her:
a. Contempt of court who issued the
subpoena, or
b. Punishment in accordance with the
applicable law or rule if the subpoena was
not issued by a court [Sec. 9, Rule 21].
When Sec. 8 and Sec. 9 will not apply
Provisions regarding the compelling of
attendance and contempt shall not apply to a:
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a. Witness who resides more than 100 km
from his or her residence to the place
where he or she is to testify by the ordinary
course of travel; or
b. Detention prisoner if no permission of the
court in which his or her case is pending
was obtained [Sec. 10, Rule 21].
Viatory Right
The right not to be compelled to attend upon a
subpoena by reason of the distance from the
residence of the witness to the place where he
is to testify is sometimes called the viatory
right of a witness [1 Regalado 334-335, 2010
Ed.].
Note: Such right applies only in civil cases, not
criminal cases [Genorga v. Quitain, A.M. No.
981-CFI (1977)].
Quashing of Subpoena
For quashing subpoena duces tecum
1. A motion is promptly made and, in any
event, at or before the time specified
therein
2. Grounds
a. Subpoena is unreasonable and
oppressive, or
b. Relevancy of the books, documents or
things does not appear, or
c. Person in whose behalf the subpoena
is issued fails to advance the
reasonable cost of the production
thereof
d. Witness fees and kilometrage allowed
by these Rules were not tendered
when the subpoena was served [Sec.
4, Rule 21].
For quashing subpoena ad testificandum
a. Witness is not bound thereby, or
b. Witness fees and kilometrage allowed by
the ROC were not tendered when the
subpoena was served [Sec. 4, Rule 21].
N. Computation of Time (Rule
22)
Applicability
In computing any period of time:
a. Prescribed or allowed by the Rules,
b. By order of the court, or
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c. By any applicable statute [Sec. 1, Rule 22].
How to compute time
The day of the act/event from which the
designated period begins to run is the
excluded and the date of performance
included.
Note: If the last day of the period falls on a
Saturday, Sunday, or legal holiday in the place
where the court sits, the time shall not run
until the next working day [Sec. 1, Rule 22].
Effect of interruption
Should an act be done which interrupts the
running of the period, the allowable period after
such interruption shall start to run on the day
after notice of cessation of the cause
thereof.
Note: The day of the act that caused the
interruption, shall be excluded in the
computation of the period [Sec. 2, Rule 22].
O. Modes of Discovery
Discovery
A device employed by a party to obtain
information about relevant matters on the
case from the adverse party in the preparation
for trial [1 Riano 437, 2016 Bantam Ed.].
Purpose
To permit mutual knowledge before trial of all
relevant facts gathered by both parties so that
either party may compel the other to disgorge
facts whatever he has in his possession [1
Riano 437, 2016 Bantam Ed.].
Modes of Discovery
1. Depositions pending actions [Rule 23]
2. Depositions before action or pending
appeal [Rule 24]
3. Interrogatories to parties [Rule 25]
4. Admission by adverse party [Rule 26]
5. Production or inspection of documents or
things [Rule 27]
6. Physical and mental examination of
persons [Rule 28]
1. Depositions
Deposition – taking of testimony out of court
of any person, whether party to the action or
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not but at the instance of a party to the action.
It is taken out of court [1 Riano 438, 2016
Bantam Ed.].
Methods
a. By oral examination, or
b. By written interrogatory [Sec. 1, Rule 23].
Kinds of depositions
1. Depositions pending action [Rule 23]
2. Depositions before action or pending
appeal [Rule 24]
Depositions pending action (Rule 23)
The testimony of any person may be taken
upon ex parte motion of a party.
Note: The attendance of witnesses may be
compelled by the use of subpoena as provided
in Rule 21 [Sec. 1, Rule 23].
Deposition of a person deprived of liberty
The deposition may be taken only by leave of
court on such terms as the court prescribes
[Sec. 1, Rule 23].
The Supreme Court allowed the use of Rule 23
suppletory in criminal cases. But this is only
applied because of the unusual circumstances
of the Mary Jane Veloso case. By denying the
prosecution's motion to take deposition by
written interrogatories, the appellate court in
effect silenced Mary Jane and denied her and
the People of their right to due process by
presenting their case against the said accused.
By its belief that it was rendering justice to the
respondents, it totally forgot that it in effect
impaired the rights of Mary Jane as well as the
People. By not allowing Mary Jane to testify
through written interrogatories, the Court of
Appeals deprived her of the opportunity to
prove her innocence before the Indonesian
authorities and for the Philippine Government
the chance to comply with the conditions set for
the grant of reprieve to Mary Jane. Mary Jane
cannot even take a single step out of the prison
facility of her own volition without facing severe
consequences. Her imprisonment in Indonesia
and the conditions attached to her reprieve
denied her of any opportunity to decide for
herself to voluntarily appear and testify before
the trial court in Nueva Ecija where the cases
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of the respondents were pending [People v.
Sergio, G.R. No. 240053 (2019)].
Before whom depositions are taken
a. Within the Philippines, it may be taken
before a
1. Judge,
2. Notary public, or
3. Any person authorized to administer
oaths, as stipulated by the parties in
writing [Sec. 14, Rule 23].
[Sec. 10, Rule 23]
b. Within a foreign state or country, it may be
taken
1. On notice before a secretary of
embassy or legation, consul general,
consul, vice- consul, or consular agent
of the Philippines,
2. Before such person or officer as may
be appointed by commission or under
letters rogatory, or
3. Any person authorized to administer
oaths as stipulated by parties in writing
[Sec. 14, Rule 23].
[Sec. 11, Rule 23]
Disqualification by interest
No deposition shall be taken before a person
who is
a. A relative within the 6th degree of
consanguinity or affinity,
b. An employee or counsel of any of the
parties,
c. A relative within the same degree, or
employee of such counsel, or
d. Any person financially interested in the
action [Sec. 13, Rule 23].
Taking depositions upon oral examination
1. A party desiring to take the deposition of
any person upon oral examination shall
give reasonable notice in writing to
every other party to the action. The
notice shall state:
a. The time and place for taking the
deposition,
b. The name and address of each person
to be examined, if known, and
c. if the name is not known, a general
description sufficient to identify him or
the particular class or group to which
he belongs.
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Note: On motion of any party upon whom the
notice is served, the court may for cause shown
enlarge or shorten the time [Sec. 15, Rule 23].
2. An order for protection of the parties
and the deponent may be issued by the
court where the action is pending:
a. After notice is served,
b. Upon motion by any party or the
person to be examined,
c. For good cause shown [Sec.16, Rule
23].
3. The attendance of the witnesses may be
compelled by the use of a subpoena [Sec.
1, Rule 23].
4. Examination and cross-examination of
deponents may proceed as permitted at
the trial under Secs. 3 to 18 of Rule 132
[Sec 3, Rule 23].
5. All objections made at the time of the
examination to the qualifications of the
officer taking the deposition, or to the
manner of taking it, or to the evidence
presented, or to the conduct of any party,
and any other objection to the proceedings,
shall be noted by the officer upon the
deposition. Evidence objected to shall be
taken subject to the objections [Sec. 17,
Rule 23].
Effect of taking depositions
A party shall not be deemed to make a person
his own witness for any purpose by taking his
deposition [Sec. 7, Rule 23].
Depositions before actions (Rule 24)
Referred to as perpetuation of testimony
because their objective is to perpetuate the
testimony of a witness for future use, in the
event of further proceedings [1 Regalado 363,
2010 Ed.].
Requisites
a. Any person who desires to perpetuate
1. his own testimony; or
2. the testimony of another person
b. Regarding any matter that may be
cognizable in any court of the Philippines.
[Sec. 1, Rule 24]
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Procedure for deposition before action
1. File a verified petition in the court of the
place of the residence of any expected
adverse party. The petition shall be entitled
in the name of the petitioner and shall show
that:
a. The petitioner expects to be a party to
an action in a court of the Philippines
but is presently unable to bring it or
cause it to be brought,
b. The subject matter of the expected
action and his interest therein,
c. The facts which he desires to
establish by the proposed testimony
and his reasons for desiring to
perpetuate it,
d. The names or a description of the
persons he expects will be adverse
parties and their addresses so far as
known, and
e. The names and addresses of the
persons to be examined and the
substance of the testimony which he
expects to elicit
Note: Such petition shall ask for an order
authorizing the petitioner to take the
depositions of the persons sought to be
examined who are named in the petition for the
purpose of perpetuating their testimony [Sec.
2, Rule 24].
2. The petitioner shall serve a notice upon
each person named in the petition as an
expected adverse party, together with a
copy of the petition, stating that the
petitioner will apply to the court, at a time
and place named therein, for the order
described in the petition.
● At least 20 calendar days before the
date of the hearing, the court shall
cause notice thereof to be served on
the parties and prospective deponents
in the manner provided for service of
summons [Sec. 4, Rule 23].
3. If the court is satisfied that the perpetuation
of the testimony may prevent a failure or
delay of justice, it shall make an order
designating or describing the persons
whose deposition may be taken and
specifying the subject matter of the
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examination and whether the depositions
shall be taken upon oral examination or
written interrogatories. The depositions
may then be taken in accordance with Rule
23 before the hearing [Sec. 4, Rule 24].
Depositions pending appeal (Rule 24)
If an appeal has been taken or the time for
taking such has not yet expired, the court in
which the judgment was rendered may allow
the taking of depositions of witnesses to
perpetuate their testimony for use in the event
of further proceedings in said court [Sec. 7,
Rule 24].
Procedure for deposition pending appeal
1. The party who desires to perpetuate the
testimony may make a motion in the said
court for leave to take the depositions,
upon the same notice and service thereof
as if the action was pending therein.
2. The motion shall state the
a. Names and addresses of the persons
to be examined,
b. The substance of the testimony which
he expects to elicit from each, and
c. Reason for perpetuating their
testimony.
3. If the court finds that the perpetuation of the
testimony is proper to avoid a failure or
delay of justice, it may make an order
allowing the depositions to be taken,
and thereupon the depositions may be
taken and used in the same manner and
under the same conditions as are
prescribed in these Rules for depositions
taken in pending actions [Sec. 7, Rule 24].
Specific uses of depositions
Deposition By whom used
Any deposition Any party
Deposition of a party or of
anyone who at the time of
taking the deposition was an
officer, director, or
An adverse party
managing agent of a public
or private corporation,
partnership, or association
which is a party
Deposition of a witness,
Any party
whether or not a party
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USE OF DEPOSITIONS
Scope of examination
Unless otherwise ordered by the court as
provided by Secs. 16 and 18, Rule 23, the
deponent may be examined regarding any
matter:
1. Not privileged, and
2. Relevant to the subject of the pending
action,
a. Whether relating to the claim or
defense of any other party;
b. Including the existence, description,
nature, custody, condition, and location
of any books, documents, or other
tangible things, and
c. Including the identity and location of
persons having knowledge of relevant
facts.
General rule: A deposition is not a substitute
for the actual testimony in open court of a party
or witness. If the witness is available to testify,
he should be presented in court to testify. If
available to testify, a party’s or witness’
deposition is inadmissible in evidence for being
hearsay [Dasmarinas Garments Inc. v. Reyes,
G.R. No. 108229 (1993)].
Exception: Depositions may be used as
evidence under the circumstances in Sec. 4,
Rule 23.
General uses of deposition
Intended as a means to compel disclosure of
facts resting in the knowledge of a party or
other person, which are relevant in a suit or
proceeding [1 Regalado 349, 2010 Ed.].
Purpose
Contradicting or impeaching the testimony
of deponent as a witness
Any purpose
Any purpose if the court finds that
1. Witness is dead, or
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Deposition By whom used
[Sec. 4, Rule 23]
Effect of using deposition
General rule: The introduction in evidence of
the deposition or any part thereof for any
purpose makes the deponent the witness of
the party introducing the deposition.
Exceptions:
1. The deposition is used to contradict or
impeach the deponent.
2. The deposition of a party or of any one who
at the time of taking the deposition was an
officer, director, or managing agent of a
public or private corporation, partnership,
or association which is a party may be used
by an adverse party for any purpose [Sec.
4(b), Rule 23].
[Sec. 8, Rule 23]
Effect of only using a part of the deposition
If only part of a deposition is offered in evidence
by a party, the adverse party may require him
to introduce all of it which is relevant to the
part introduced, and any party may introduce
any other parts [Sec. 4(d), Rule 23].
When May Objections to Admissibility Be
Made
Subject to the provisions of Sec. 29, Rule 23,
objection may be made at the trial or hearing
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Purpose
2. Witness resides more than 100 km
from the place of trial or hearing, or
is out of the Philippines, unless it
appears that his absence was
procured by the party offering the
deposition, or
3. Witness is unable to attend or testify
because of age, sickness, infirmity,
or imprisonment, or
4. Party offering the deposition has been
unable to procure the attendance of
the witness by subpoena; or
5. Upon application and notice, that such
exceptional circumstances exist as
to make it desirable, in the interest of
justice and with due regard to the
importance of presenting the testimony
of witnesses orally in open court, to
allow the deposition to be used;
to receiving in evidence any deposition or part
thereof for any reason which would require
the exclusion of the evidence if the witness
were then present and testifying [Sec. 6, Rule
23].
When May Taking of Deposition Be
Terminated or its Scope Limited
When the court/RTC of the place where the
deposition is being taken may order the
termination or the scope of the deposition
limited
a. At any time during the taking of the
deposition,
b. on motion or petition of any party or of the
deponent,
c. upon a showing that the examination is
being conducted in bad faith or in such
manner, as unreasonably to annoy,
embarrass, or oppress the deponent or
party.
[Sec. 16, Rule 23]
Order terminating examination
If the order made terminates the examination,
it shall be resumed only upon the order of
the court in which the action is pending.
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Suspension of taking of deposition Error and
Effect
Upon demand of the objecting party or Irregularities
deponent, the taking of the deposition shall be of any kind which
suspended for the time necessary to make a might be obviated
notice for an order. or removed if
promptly
Note: The court may impose upon either party prosecuted.
or witness the requirement to pay reasonable Objections to the Waived
costs and expenses [Sec. 18, Rule 23]. form of written Unless served in
interrogatories writing upon the party
Effect of errors and irregularities in under Sec. 25 and propounding them
depositions 26 within the time
Error and allowed for serving
Effect
Irregularities succeeding cross or
Objection as to the Waived other interrogatories
notice for taking a Unless written and within 3 days
deposition objection is promptly after service of last
served upon party interrogatories
giving notice. authorized.
Objection to taking Waived In the manner in Waived
a deposition Unless made which testimony Unless a motion to
because of (1) Before taking of is transcribed or suppress the
disqualification of deposition begins or the deposition is deposition or some
officer before (2) As soon thereafter dealt with by the part thereof is made
whom it is to be as the disqualification officer under Sec. with reasonable
taken becomes known or 17, 19, 20, and 26 promptness after
could be discovered such defect is
with reasonable ascertained, or with
diligence. due diligence might
Objection to the Not waived by failure have been,
competency of a to make them before ascertained.
witness or or during the taking of [Sec. 29, Rule 23]
competency, the deposition.
relevancy, or Unless the ground of Orders of the court for the protection of
materiality of the objection is one parties and deponents:
testimony which might have
been obviated or After notice is served for taking a deposition
removed if presented by oral examination, upon motion by any party
at that time. or by the person to be examined, and for good
Occurring at oral Waived cause shown, the court may order that:
examination and Unless reasonable 1. The deposition shall not be taken
other particulars objection thereto is 2. It may be taken only at some designated
made at the time of place other than that stated in the notice
Objection in the taking the deposition. 3. It may be taken only on written
manner of taking interrogatories
the deposition, in 4. Certain matters shall not be inquired into
the form of 5. The scope of the examination shall be held
questions or with no one present except the parties to
answers, in the the action and their officers or counsel
oath or 6. After being sealed the deposition shall be
affirmation, or in opened only by order of the court
conduct of 7. Secret processes developments, or
parties and errors research need not be disclosed

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8. The parties shall simultaneously filed
specified documents or information
enclosed in sealed envelope to be opened
as directed by the court
9. The court may make any other order which
justice requires to protect the party or
witness from annoyance, embarrassment,
or oppression.
[Sec. 16, Rule 23]
2. Interrogatories to Parties (Rule 25)
Purpose: To elicit material and relevant facts
from any adverse parties [Sec. 1, Rule 25]
and to assist the parties in clarifying the issues
and in ascertaining the facts involved in a case
[Philippine Health Insurance Corp vs Our Lady
of Lourdes Hospital, G.R. No. 193158 (2015)].
Note: As compared to a bill of particulars
which is directed to a pleading and designed to
seek for a more definite statement or for
particulars in matters not availed with sufficient
definiteness in a pleading, interrogatories are
not directed against a particular pleading and
what is sought is the disclosure of all material
and relevant facts from a party [1 Riano 447,
2016 Bantam Ed.].
Written interrogatories to parties differ from
the written interrogatories in a deposition
since such are not served upon the adverse
party directly but rather on the officer
designated in the notice [1 Riano 447, 2016
Bantam Ed.].
Scope and use: Interrogatories may relate to
any matters that can be inquired into under
Sec. 2 of Rule 23, and the answers may be
used for the same purposes provided in Sec. 4
of the same Rule [ Sec. 1, Rule 25].
Procedure for interrogatories to parties
1. Upon ex parte motion,
2. Any party desiring to elicit material and
relevant facts from any adverse parties,
3. Shall file and serve written interrogatories
on the party
4. Such are to be answered by:
a. the party served or,
b. if the party served is a public or private
corporation or a partnership or
association, by any officer thereof
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competent to testify in its behalf [Sec.
1, Rule 25].
Note: The interrogatories shall be answered
fully in writing and shall be signed and
sworn to by the person making them [Sec. 2,
Rule 25].
Number of interrogatories
No party may, without leave of court, serve
more than one set of interrogatories to be
answered by the same party [Sec. 4, Rule 25].
Answers as judicial admissions
Written interrogatories and the answers thereto
must both be filed and served [Sec. 2, Rule 25].
The answers constitute judicial admissions
[Sec. 4, Rule 129].
Service and filing
The party upon whom the interrogatories have
been served shall file and serve a copy of the
answers on the party submitting the
interrogatories within 15 calendar days after
service thereof, unless the court, on motion
and for good cause shown, extends or
shortens the time [Sec. 2, Rule 25].
Objections to interrogatories; answers
deferred
Objections to any interrogatories may be
presented to the court within 10 calendar
days after service thereof, with notice as in
case of a motion; and answers shall be
deferred until the objections are resolved,
which shall be at as early a time as is
practicable [Sec. 3, Rule 25] .
Grounds for objections
a. They require the statements of conclusions
of law or answers to hypothetical questions
or opinion, or mere hearsay, or matters not
within the personal knowledge of the
interrogated party.
b. Frivolous interrogatories need be
answered.
[2 Herrera 50, 2007 Ed.]
Consequences of Refusal to Answer
If a party or an officer or managing agent of a
party fails to serve answers to
interrogatories submitted under Rule 25 after
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proper service of such interrogatories, the court
on motion and notice, may:
1. Strike out all or any part of any pleading of
the party,
2. Dismiss the action or proceeding or any
part thereof, or
3. Enter a judgment by default against the
party, and
4. In its discretion, order him to pay
reasonable expenses incurred by the
other, including attorney’s fees.
Note: Such consequences also apply for willful
failure to appear before the officer who is to
take his deposition [Sec. 5, Rule 29].
Effect of Failure to Serve Written
Interrogatories
General Rule: A party not served with written
interrogatories may not be compelled by
adverse party to:
1. Give testimony in open court; or
2. Give a deposition pending appeal.
Exception: Allowed by the court for good
cause shown and to prevent a failure of justice
[Sec. 6, Rule 25].
3. Admission by Adverse Party (Rule
26)
Rule 26, as a mode of discovery, contemplates
interrogatories seeking clarification in order to
determine the truth of the allegations in a
pleading [1 Regalado 370, 2010 Ed.].
Purpose
In order to allow one party to request the
adverse party, in writing, to admit certain
material and relevant matters which, most
likely, will not be disputed during the trial [1
Riano 448-449, 2016 Bantam Ed.].
In order to avoid unnecessary inconvenience
before trial, a party may request the other to:
a. Admit the genuineness of any material and
relevant document described in and
exhibited with the request, or
b. Admit the truth of any material and relevant
matter of fact set forth in the request [Sec.
1, Rule 26].
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How made
A party may file and serve upon any other
party a written request for the purpose
mentioned above [Sec. 1, Rule 26].
Note: The request for admission must be
served on the party, not the counsel. This is
an exception to the general rule that notices
shall be served upon counsel and not upon the
party [Duque v. CA, G.R. 125383 (2002)].
When made
At any time after issues have been joined [Sec.
1, Rule 26].
Implied Admission by Adverse Party
Each of the matters which an admission is
requested shall be deemed admitted unless
the party to whom request is directed files and
serves upon the party requesting admission a
sworn statement [Sec. 2, Rule 26].
Contents
1. Denying specifically the matters of which
an admission is requested, or
2. Setting forth in detail the reasons why he
cannot truthfully either admit or deny those
matters.
[Sec. 2, Rule 26]
Period: Such party must file and serve such
statement:
1. Within a period not less than 15 calendar
days after service thereof, or
2. Within such further time as the court may
allow on motion.
[Sec. 2, Rule 26]
Objections
Objections to any request for admission shall
be submitted to the court by the party
requested within the period for and prior to
the filing of his sworn statement.
● His compliance with the request for
admission shall be deferred until such
obligations are resolved, which resolution
shall be made as early as practicable [Sec.
2, Rule 26].
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Consequences of Failure to Answer
Request for Admission
The proponent may apply to the proper court
for an order to compel an answer [Sec. 1,
Rule 29].
If application is granted, the court
1. Shall require the refusing party to answer;
and
2. May require the refusing party or counsel
to pay reasonable expenses for obtaining
the order, if the court finds that the refusal
to answer was without substantial
justification.
Effect of refusal to answer
Refusal to answer after being directed by the
court would:
a. Constitute contempt of that court [Sec. 2,
Rule 29].
b. Allow the court to make such orders
regarding the refusal as are just, like:
1. An order that the matters regarding
which questions were asked shall be
taken as established for the purposes
of the action in accordance with the
claim of the party obtaining the order
2. An order refusing to allow the
disobedient party to support or
oppose designated claims or defenses
3. An order 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 party
for disobeying any of such orders.
[Sec. 3, Rule 29]
Effect of Admission
Any admission made by a party pursuant to
such request is for the purpose of the
pending action only and shall not constitute
an admission by him for any other purpose nor
may the same be used against him in any other
proceeding [Sec. 3, Rule 26].
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Withdrawal of admission
The court may allow the party making the
admission under this Rule, to withdraw and
amend it upon such terms as may be just [Sec.
4, Rule 26].
Effect of Failure to File and Serve Request
for Admission
General Rule: A party who fails to file and
serve a request for admission on the adverse
party of material and relevant facts at issue
which are, or ought to be, within the personal
knowledge of the latter, shall not be permitted
to present evidence on such facts.
Exception: Allowed by the court for good
cause shown and to prevent a failure of justice
[Sec. 5, Rule 29].
4. Production or Inspection of
Documents or Things (Rule 27)
Purpose
This mode of discovery is not only for the
benefit of a party, but also for the court and for
it to discover all the relevant and material facts
in connection with the case [1 Riano 451, 2016
Edition].
Procedure for production/inspection of
documents or things
a. Upon motion of any party,
b. Showing good cause therefor,
c. The court in which an action is pending
may order any party to:
i. Produce and permit the inspection and
copying or photographing, by or on
behalf of the moving party, of any
designated documents, papers,
books, accounts, letters,
photographs, objects or tangible
things not privileged, which
constitute or contain evidence material
to any matter involved in the action and
which are in his possession custody or
control; or
ii. Permit entry upon designated land or
other property in his possession or
control for the purpose of inspecting,
measuring, surveying, or
photographing the property or any
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designated relevant object or operation When examination may be ordered
thereon. Such may be ordered in an action in which the
mental or physical condition of a party is in
Note: The order shall specify the time, place controversy [Sec. 1, Rule 28].
and manner of making the inspection and
taking copies and photographs, and may Procedure
prescribe such terms and conditions as are A motion for the examination is filed in the
just [Sec. 1, Rule 27]. court where the action is pending:
a. Showing good cause for the examination,
Production/inspection of documents vs b. With notice to the party to be examined,
Subpoena duces tecum and to all other parties, and
Production or c. Specifying the time, place, manner,
Subpoena duces
inspection of conditions, scope, and person conducting
tecum
documents the examination [Sec. 2, Rule 28].
May be directed to d. It cannot be done motu proprio.
Limited to the parties
non- party [Sec. 1,
of the action [Sec. 1,
Rule 21 refers to “a Report of findings
Rule 27]
person”] A copy of the detailed examination report shall
Issued upon motion be given by the party causing the examination
May be issued upon
of any party [Sec. 1, upon request by the party examined.
ex parte application
Rule 27]
Must show good Need not show good Note: The party causing the examination shall
cause [Sec. 1, Rule cause [see Secs. 3
then be entitled, upon request, to receive from
27] and 4, Rule 21]
the party examined, a report of any
Grounds for quashal
examination previously or subsequently made
(1) Unreasonable,
[Sec. 3, Rule 28].
oppressive, irrelevant
May be quashed for
lack of good cause Refusal to deliver the report
(2) Failure to
shown If the party examined refuses to deliver such
advance reasonable
costs of production report, the court on motion and notice may
[Sec. 4, Rule 21] make an order requiring delivery on such
Disobedience would terms as are just.
allow court to make
such orders in regard If a physician fails or refuses to make such a
to the refusal as are report the court may exclude his testimony if
just, and among offered at the trial [Sec. 3, Rule 28].
others, an order Waiver of privilege
refusing to allow the The party examined waives any privilege
Disobedience
disobedient party to regarding the testimony of every other person
constitutes contempt
support or oppose who has examined or may thereafter examine
of court [Sec. 9, Rule
designated claims or him in respect of the same mental/physical
21]
defenses or examination by:
prohibiting him from a. Requesting and obtaining a report of the
introducing in examination ordered, or
evidence designated
b. Taking the deposition of the examiner.
documents or things
[Sec. 4, Rule 28]
or items of testimony
[Sec. 3(b), Rule 29]
Note: Since the results of the examination are
intended to be made public, the same are not
5. Physical and Mental Examination covered by physician-patient privilege under
of Persons (Rule 28) Sec. 24(b), Rule 130 [1 Regalado 376, 2010
Ed.].

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6. Refusal to Comply with Modes of Discovery (Rule 29)
Form of refusal Sanctions
Upon refusal to answer, the proponent may apply to the court for an order to compel
an answer.

If the application is granted, the court shall

a. require the refusing party or deponent to answer the question or interrogatory,
and
b. if it also finds that the refusal to answer was without substantial justification, it may
require the refusing party or deponent or the counsel advising the refusal, or both
Refusal to answer of them, to pay the proponent the amount of the reasonable expenses incurred
any question in obtaining the order, including attorney’s fees.

If the application is denied and the court finds that it was filed without substantial
justification, the court may require the proponent or the counsel advising the filing of
the application, or both of them, to pay to the refusing party or deponent the
amount of the reasonable expenses incurred in opposing the application, including
attorney’s fees [Sec. 1, Rule 29].

The refusal may be considered a contempt of that court [Sec. 2, Rule 29].
Refusal to be
The refusal may be considered a contempt of that court [Sec. 2, Rule 29].
sworn
The court may make such orders in regard to the refusal as are just, and among others
the following
a. An order that the matters regarding which the questions were asked, or the
character or description of the thing or land, or the contents of the paper, or the
physical or mental condition of the party or any other designated facts shall be
taken to be established for the purposes of the action in accordance with the
Refusal to answer
claim of the party obtaining the order;
designated
b. An order refusing to allow the disobedient party to support or oppose
questions or
designated claims or defenses or prohibiting him from introducing in evidence
refusal to produce
designated documents or things or items of testimony, or from introducing
documents or to
evidence of physical or mental condition;
submit to physical
c. An order striking out pleadings or parts thereof, or staying further
or mental
proceedings until the order is obeyed, or dismissing the action or proceeding
examination
or any part thereof or rendering a judgment by default against the disobedient
party; and
d. In lieu of any of the foregoing orders or in addition thereto, an order directing the
arrest of any party or agent of party for disobeying any of such orders except an
order to submit to a physical or mental examination.
[Sec. 3, Rule 29]
The court, upon proper application, may issue an order requiring the other party to
pay him reasonable expenses incurred, including attorney’s fees PROVIDED that
party requesting proves genuineness of such document or truth
Refusal to admit
UNLESS the court finds:
under Rule 26
a. There were good reasons for denial, or
b. Admissions sought were of no importance.
[Sec. 4, Rule 29]
The court on motion and notice may”
Failure of party to a. Strike out all or any part of any pleading of disobedient party,
attend or serve b. Dismiss the action or proceeding or any part thereof, or
answers to written
c. Enter a judgment by default against disobedient party, and
interrogatories
d. d. In its discretion, order payment of reasonable expenses incurred by the other
[Sec. 5]
including attorney’s fees.

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Note: Expenses and attorney’s fees are not to be imposed upon the Republic of the Philippines under
Rule 29 [Sec. 6, Rule 29].
P. Trial (Rule 30)
Definition
Trial is the judicial examination and
determination of the issues between the parties
to the action [Black’s Law Dictionary 1348, 5th
Ed.].
The judicial process of investigating and
determining the legal controversies, starting
with the production of evidence by the plaintiff
and ending with his closing argument [Acosta
v. People, G.R. No. L-17427 (1962)].
A hearing is a broader term. It is not confined
to the trial and presentation of the evidence
because it actually embraces several stages in
the litigation. It includes the pre-trial and the
determination of granting or denying a motion
[Trocio v. Labayo, G.R. No. L-35701 (1973)].
When trial unnecessary
A civil case may be adjudicated upon without
the need for trial in any of the following cases:
1. Where the pleadings tender no issue at all,
judgment on the pleadings may be
directed by the court [Rule 34]
2. Where from the pleadings, affidavits,
depositions and other papers, there is
actually no genuine issue, the court may
render a summary judgment [Rule 35]
3. Where the parties have entered into a
compromise or an amicable settlement
either during the pre-trial or while the trial is
in progress [Rule 18; Art. 2028, Civil Code]
4. Where the complaint has been dismissed
with prejudice, or when the dismissal has
the effect of an adjudication on the merits
[Sec. 13, Rule 15; Sec. 3, Rule 17; Sec. 5,
last par., Rule 7]
5. Where the case falls under the Rules on
Summary Procedure, and
6. Where the parties agree, in writing, upon
the facts involved in the litigation and
submit the case for judgment on the facts
agreed upon, without the introduction of
evidence [Sec. 7, Rule 30].
[1 Riano 563, 2014 Bantam Ed.]
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1. Schedule of Trial
The parties shall strictly observe the scheduled
hearings as agreed upon and set forth in the
pre-trial order [Sec. 1, Rule 30].
Trial dates
The schedule of trial dates shall be continuous
and within the following periods:
a. Initial presentation of plaintiff’s evidence
● Shall be set not later than 30
calendar days after termination of pre-
trial conference.
● Plaintiff shall be allowed to present
evidence within a period of 3 months
or 90 calendar days which shall
include the date of JDR.
b. Initial presentation of defendant’s
evidence
● Shall be set not later than 30
calendar days after the court’s ruling
on plaintiff’s formal offer of evidence.
● Defendant shall be allowed to present
evidence within a period of 3 months
or 90 calendar days.
c. The period for 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 90 calendar days.
d. If deemed necessary, the court shall set
the presentation of the parties’ rebuttal
evidence.
● Shall be completed within 30 calendar
days.
[Sec. 1, Rule 30]
Periods for presentation of evidence
General Rule: The presentation of evidence of
all parties shall be terminated within 10
months or 300 calendar days.
Exception: If there are no third (fourth-etc.)-
party claim, counterclaim, or cross-claim,
the presentation of evidence shall be
terminated within 6 months or 180 calendar
days.
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Note: Trial dates may be shortened depending
on the number of witnesses to be presented
[Sec. 1, Rule 30].
Period of decision
The court shall decide and serve copies of its
decision to the parties within a period not
exceeding 90 calendar days from
submission of the case for resolution, with
or without memoranda [Sec. 1, Rule 30].
Hearing days
Trial shall be held from Monday to Thursday.
● Courts shall call the cases at exactly
8:30am and 2:00pm pursuant to A.C.
No. 3-99.
● Hearing on the motions shall be held on
Fridays pursuant to Sec. 8, Rule 15
[Sec. 4, Rule 30].
Court calendars
All courts shall ensure the posting of
their court calendars outside their
courtrooms at least 1 day before the
scheduled hearings [Sec. 4, Rule 30].
2. Adjournments and Postponements
A court may adjourn a trial from day to day,
and to any stated time, as the expeditious and
convenient transaction of business may require
[Sec. 2, Rule 30].
Note: The party who caused the postponement
is warned that presentation of its evidence
must be terminated on the remaining dates
previously agreed upon.
Limitations on the authority to adjourn
General rule: The court has no power to
adjourn a trial for a period longer than 1 month
for each adjournment; nor more than 3
months in all.
Exception: When authorized in writing by the
Court Administrator, Supreme Court [Sec. 2,
Rule 30].
Postponement
A motion for postponement should not be filed
in the last hour especially when there is no
reason why it could not have been presented
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earlier [Cañete v. Judge, CFI Zamboanga del
Sur, G.R. No. L-21743 (1968)].
Postponements lie in the court’s discretion
[Hap Hong Hardware Co., Inc. v. Philippine
Milling Company, G.R. No. L-16778 (1961)].
3. Requisites of Motion to Postpone
Trial
a. For Absence of Evidence
Under the Old Rules, specifically Sec. 3 of Rule
30, postponement of trial for absence of
evidence was allowed provided that the motion
for such was accompanied by an affidavit
showing the materiality/ relevance of the
evidence and that due diligence has been used
to procure it. Under the revised rules, however,
such section has been deleted, meaning that
absence of evidence can no longer be used
as a basis for postponement of trial.
Under Sec. 12(f), Rule 15, postponement may
only be allowed due to acts of God, force
majeure, or physical inability of the witness to
appear and testify. The amended Sec. 3 of
Rule 30 also provides for an additional ground
which is illness of a party or counsel.
b. For Illness of Party or Counsel
Motion to postpone trial based on illness of a
party or counsel may be granted if
accompanied by affidavit or sworn
certification showing:
1. The presence of such party or counsel at
the trial is indispensable; and
2. That the character of his or her illness is
such as to render his non-attendance
excusable [Sec. 3, Rule 30].
Note: Such ground for postponement of trial
was initially under Section 4 of the same rule.
Agreed Statement of Facts
Under the Old Rules, specifically Section 7 of
Rule 30, the parties may agree, in writing, upon
the facts involved in the litigation, and submit
the case for judgment on the facts agreed
upon, without the introduction of evidence.
If the parties agree only on some of the facts in
issue, trial shall be held as to the disputed
facts in such order as the court shall prescribe.
Under the revised rules, however, such
section has been deleted.
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Order of trial
General Rule: Trial shall be limited to the
issues stated in the pre-trial order and proceed
as follows:
a. Presentation of plaintiff’s evidence in chief
b. Presentation of defendant’s evidence in
chief and evidence in support of his
counterclaim, cross-claim and 3rd-party
complaint
c. 3rd-party defendant shall adduce evidence
of his defense, counterclaim, cross-claim,
and 4th party complaint
d. 4th-party defendant shall adduce evidence,
and so forth
e. Parties against whom any counterclaim or
cross-claim has been pleaded shall adduce
evidence in support of their defense, in the
order to be prescribed by court
f. Parties may then respectively adduce
rebutting evidence only, unless the court
permits them to adduce evidence upon
their original case
g. Upon admission of the evidence, the case
shall be submitted for decision, unless the
court directs parties to argue or to submit
respective memoranda or any further
pleading
Note: Such is subject to the provisions of Sec.
2, Rule 31 on separate trials.
Exception: When the court for special reasons
otherwise directs [Sec. 5, Rule 30].
Reverse order
Where the answer of the defendant admitted
the obligation stated in the complaint,
although special defenses were pleaded, the
plaintiff has every right to insist that it was for
the defendant to come forward with evidence
to support his special defenses [Yu v. Mapayo,
G.R. No. L- 29742 (1972)].
The reasoning behind this is that the plaintiff
need not present evidence since judicial
admissions do not require proof [Sec. 2, Rule
129].
Offer of exhibits
After the presentation of evidence, the offer of
exhibits shall be made orally. The objections
shall then be made, and the court shall orally
rule on the same [Sec 6, Rule 30].
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Note: This is consistent with the rule on
continuous trial for criminal cases, as well as
the amendments to the Rules of Court.
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 [Sec.
9, Rule 30].
Exception: The court may delegate the
reception of evidence to its COC in:
a. Default hearings
b. Ex parte hearings, or
c. Cases where parties agree in writing.
Note: In order to be able to receive evidence,
the clerk of court must be a member of the
bar [Sec. 9, Rule 30].
Objections
The COC has no power to rule on objections
to any question or to the admission of exhibits.
Objections shall be resolved by the court
upon submission of the clerk’s report and the
TSN within 10 calendar days from
termination of the hearing [Sec. 9, Rule 30].
Q. Consolidation and Severance
(Rule 31)
Consolidation is a procedural device, granted
to the court as an aid in deciding how cases in
its docket are to be tried, so that the business
of the court may be dispatched expeditiously
while providing justice to the parties [Republic
v. Heirs of Oribello, G.R. No. 199501 (2013)].
When proper: When actions involving a
common question of fact or law are pending
before the court [Sec. 1, Rule 31].
Court action
The court may
a. Order a joint hearing or trial of any or all
matters in issue in the actions
b. Order all actions consolidated; and
c. Make such orders concerning proceedings
therein as may tend to avoid unnecessary
costs or delay.
[Sec. 1, Rule 31]
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Purpose: To avoid multiplicity of suits, guard
against oppression or abuse, prevent delay,
clear congested dockets, simplify the work of
the trial court and save unnecessary costs and
expenses [1 Regalado 392, 2010 Ed.].
Where a case has been partially tried before
one judge, the consolidation of the same with
another related case pending before another
judge who had no opportunity to observe the
demeanor of the witness during trial makes the
consolidation not mandatory [PCGG v.
Sandiganbayan, G.R. No. 102370-71 (1992)].
The Rules do not distinguish between
cases filed before the same branch or judge
and those that are pending in different
branches or before different judges of the
same court, in order that consolidation may be
proper, as long as the cases involve the
resolution of questions of law or facts in
common with each other [Active Woods
Products Co. Inc. v. CA, G.R. No. 86602
(1990)].
Kinds of consolidation
a. Quasi-consolidation – where all, except
one, of several actions are stayed until one
is tried, in which case, the judgment in the
one trial is conclusive as to others; not
actually consolidation but referred to as
such
b. Actual consolidation – where several
actions are combined into one, lose their
separate identity, and become one single
action in which judgment is rendered
c. Consolidation for Trial – where several
actions are ordered to be tried together,
but each retains its separate character,
and requires the entry of separate
judgment [Republic v. Sandiganbayan,
G.R. No. 152375 (2011)].
Severance
The court may order a separate trial of any
claim, cross-claim, counterclaim, or third-party
complaint, or of any separate issue [Sec. 2,
Rule 31].
When proper: In furtherance of convenience
or to avoid prejudice [Sec. 2, Rule 31].
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When a separate trial of claims is conducted by
the court under this section, it may render
separate judgments on each claim [see Sec.
5, Rule 36].
This provision permitting separate trials
presupposes that the claims involved are
within the jurisdiction of the court. When
one of the claims is not within its jurisdiction,
the same should be dismissed, so that it may
be filed in the proper court [1 Regalado 394,
2010 Ed.].
R. Demurrer to Evidence (Rule
33)
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 [Sec. 1, Rule 33].
1. Grounds
Insufficiency of evidence, that upon the facts
and the law the plaintiff has shown no right
to relief [Sec. 1, Rule 33].
2. Effect of order denying demurrer to
evidence
If the demurrer is denied, the defendant shall
have the right to present his evidence [Sec.
1, Rule 33].
The order denying the demurrer to evidence
shall not be the subject of an appeal or petition
for certiorari, prohibition, or mandamus before
judgment [Sec. 2, Rule 33].
Note: The remedy then is to proceed to trial,
and if the defendant loses, to appeal the
judgment and include in the assigned errors,
the denial of the demurrer to evidence.
3. Effect of order granting demurrer to
evidence
If the demurrer is granted, the case shall be
dismissed [Sec. 1, Rule 33].
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Note: The grant of a demurrer is considered an Demurrer in Demurrer in
adjudication on the merits and the proper CIVIL CASE CRIMINAL CASE
remedy would be to appeal the judgment. If the defense filed
the demurrer with
The appellate court should not remand the leave of court, the
case for further proceedings but should render defense may
judgment on the basis of the evidence present evidence
submitted by the plaintiff [Consolidated Bank upon denial of
and Trust Corp. v. Del Monte Motor Works, demurrer.
Inc., G.R. No. 143338 (2005)].
If the demurrer is When without
4. Waiver of Right to Present Evidence denied, the defendant leave of court and
does not lose his the demurrer is
If the order granting the demurrer is right to present his denied, the defense
reversed on appeal, the defendant is deemed evidence. is deemed to have
to have waived his right to present evidence waived the right to
[Sec. 1, Rule 33; Republic v. Tuvera, G.R. No. present evidence
148246 (2007)]. and thus submits
the case for
5. Action on Demurrer to Evidence judgment on the
basis of evidence
A demurrer to evidence shall be subject to the offered by the
provisions of Rule 15 [Sec. 2, Rule 33]. prosecution.
If the demurrer is No appeal is
Being subject to the provisions of Rule 15, it granted, the plaintiff allowed when a
follows that a demurrer to evidence is may appeal and if the demurrer is granted
considered an allowable litigious motion. Rule dismissal is reversed, because the
15 requires that there must be proof of service the defendant is dismissal is deemed
to the other party who shall have 5 calendar deemed to have an acquittal [People
days to file an opposition. The court shall waived his right to v. Tan, G.R. No.
then resolve the motion within 15 calendar present his evidence. 167526 (2010)].
days from the receipt of such opposition, or It is the defendant
upon expiration of the period to file opposition who invokes The court may, on
[Sec. 5, Rule 15]. demurrer by moving its own initiative,
for the dismissal of may dismiss the
6. Distinguish: Demurrer to Evidence the case. action after giving
in a Civil Case and Demurrer to the prosecution an
The court does not opportunity to be
Evidence in a Criminal Case
do so on its own heard.
initiative.
Demurrer in Demurrer in
[Riano 498, Criminal Procedure, 2016 Ed.]
CIVIL CASE CRIMINAL CASE
Anchored upon the
failure of the Predicated upon S. Judgments and Final Orders
plaintiff to show prosecution’s
that he is entitled to insufficiency of Judgments in General
relief, upon the facts evidence [Sec. 23,
and the law [Sec. 1, Rule 119]. The final ruling by a court of competent
Rule 33]. jurisdiction regarding the rights and
May be filed with or obligations of the parties, or other matters
without leave of submitted to it in an action or proceeding
court [Sec. 23, Rule [Macahilig v. Heirs of Magalit, G.R. No. 141423
119] (2000)].

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Requisites of a valid judgment
1. Court or tribunal must be clothed with
authority to hear and determine the matter
before it [Acosta v. COMELEC, G.R. No.
131488 (1998)].
2. Court must have jurisdiction over the
parties and the subject matter.
3. Parties must have been given an
opportunity to adduce evidence on their
behalf [Acosta v. COMELEC, G.R. No.
131488 (1998)].
4. Evidence must have been considered by
the tribunal in deciding the case [Acosta v.
COMELEC, G.R. No. 131488 (1998)].
5. Judgment must be in writing, personally
and directly prepared by the judge [Corpus
v. Sandiganbayan, G.R. No. 162214
(2004)].
6. Judgment must state clearly the facts and
the law upon which the decision is based,
signed by the judge and filed with the clerk
of court [Sec. 1, Rule 36; Sec. 14, Art VIII,
1987 Constitution.
Form of judgment or final order determining
the merits of the case
a. In writing,
b. Personally and directly prepared by the
judge,
c. Stating clearly & distinctly the facts and the
law on which it is based,
d. Signed by the judge, and
e. Filed with the clerk of court.
[Sec. 1, Rule 36]
Parts of a Decision
In general, the essential parts of a good
decision consist of the following:
a. Statement of the case,
b. Statement of facts,
c. Issues or assignment of errors,
d. Court ruling, in which each issue is, as a
rule, separately considered and resolved,
and
e. Dispositive portion.
The ponente may also opt to include an
introduction or a prologue as well as an
epilogue, especially in cases in which
controversial or novel issues are involved
[Velarde v. Social Justice Society, G.R. No.
159357 (2004)].
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Parts of a judgment
a. The opinion of the court – contains the
findings of fact and conclusions of law
b. The disposition of the case – the final and
actual disposition of the rights litigated (the
dispositive part)
c. Signature of the judge
[2 Herrera 155, 2007 Ed.]
1. Judgment on The Pleadings (Rule
34)
a. Grounds
The court may, motu proprio or on motion by a
party, direct judgment on such pleading when
the answer:
a. Fails to tender an issue, or
b. Admits the material allegations of the
adverse party’s pleading [Sec. 1 and 2,
Rule 34].
Note: The concept will not apply when no
answer is filed. It will come into operation when
an answer is served and filed but the same fails
to tender an issue, or admits the material
allegations of the adverse party’s pleading [1
Riano 609, 2014 Bantam Ed.].
When no answer is filed, the remedy is to move
that the defendant be declared in default [Sec.
3, Rule 9].
When availed of by motion of a party
The motion shall be subject to the provisions of
Rule 15 [Sec. 2, Rule 34].
From the reference to Rule 15, it follows that a
motion for a judgment on the pleadings is
considered an allowable litigious motion. As
such, there must be proof of service to the
other party who shall have 5 calendar days to
file an opposition. From receipt of such, the
court shall have 15 calendar days to resolve
the motion.
Judgment on the pleadings is not proper in the
ff. cases:
a. Declaration of Nullity of Marriage;
b. Annulment of marriage; and
c. Legal Separation.
Note: In such cases, the material facts alleged
in the complaint shall always be proved [Sec.
1, Rule 34].
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b. Action on motion for judgment on the
pleadings
The court may motu proprio or on motion
render judgment on the 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 [Sec. 2, Rule 34].
2. Summary Judgments (Rule 35)
Definition
A judgment which a court may render before
trial, but after both parties have pleaded
upon application by one party supported by
affidavits, depositions, or other documents,
with notice upon the adverse party who may file
an opposition supported also by affidavits,
depositions or other documents, should the
court find after summarily hearing both parties
with their respective proofs that there exists
no genuine issue between them [2 Herrera
118, 2007 Ed., citing Evangelista v. Mercator
Financing Corporation, G.R. No. 148864
(2003)].
Summary Judgment is proper when it
appears to the court that:
a. There exists no genuine issue as to any
material fact, except as to the amount of
damages, and
b. The moving party is entitled to judgment
as a matter of law.
Genuine issue - an issue of fact which calls for
the presentation of evidence as distinguished
from a sham, fictitious, contrived, or false claim
[Philippine Bank of Communications v. Go,
G.R. No. 175514 (2011)].
Test - 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,
that there is no defense to the action, or the
claim is clearly meritorious [Estrada v.
Consolacion, G.R. No. L- 40948 (1976)].
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The rendition of a summary judgment does
NOT always result in the full adjudication of all
the issues raised in a case. In such event, a
partial summary judgment is rendered/ Clearly,
such a partial summary judgment - because it
does not put an end to the action at law by
declaring that the plaintiff either has or has not
entitled himself to recover the remedy he sues
for - cannot be considered a final judgment. It
remains to be an interlocutory judgment or
order, instead of a final judgment, and is not to
be dealt with and resolved separately from the
other aspects of the case. Thus, the remedy is
not appeal, since only a final judgment of order
can be appealed [Home Devlopment Mutual
Fund v. Sagun, G.R. No. 205698 (2018)].
However, an order or resolution granting a
Motion for Summary Judgment which fully
determines the rights and obligations of the
parties relative to the case and leaves no other
issue unresolved, except the amount of
damages, is a final judgment [Trade and
Investment Development Corporation of the
Philippines v. Philippine Veterans Bank, G.R.
No. 233850 (2019)].
When filed
1. If sought by the claimant – only after the
answer is served; [Sec. 1, Rule 35]
2. If sought by the defendant – at any time
[Sec. 2, Rule 35]
Procedure
1. Movant files a motion for summary
judgment, citing the supporting affidavits,
depositions, or admissions, and the
specific law relied upon.
2. The adverse party may file a comment and
serve opposing affidavits, depositions,
admissions within 5 calendar days from
receipt of the motion.
3. A hearing will be conducted only if ordered
by the court
- Note: There is no longer a mandatory
hearing for the motion due to the
amendment of the rules. This is also
consistent with the amendments to
Rule 15.
4. Court renders summary judgment.
Note: Any action of the court on a motion for
summary judgment shall not be subject of
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an appeal or petition for certiorari, [Sec. 5, Rule 35]
prohibition or mandamus [Sec. 3, Rule 35].
Affidavits in bad faith [Sec. 6, Rule 35] –
Damages must still be proven even if not those presented under this Rule which appear
denied [Sec. 3, Rule 35]. to the court at any time as presented in bad
faith or solely for the purpose of delay.
Bases for summary judgment
a. Affidavits Effect of affidavits in bad faith
b. Depositions The court:
c. Admissions 1. Shall order the offending party or counsel
[Secs. 1-2, Rule 35] to pay the other party the amount of
reasonable expenses which the filing of
When the Case Not Fully Adjudicated the affidavits caused him to incur; and
2. May, after hearing, adjudge the offending
Partial summary judgment – applies when for party or counsel guilty of contempt [Sec.
some reason there can be no full summary 6, Rule 35].
judgment. Trial should deal only with the facts
not yet specified or established. Distinguish: Judgment on the
Pleadings and Summary Judgments
Duty of the court
If on motion for summary judgment, judgment
Summary Judgment on the
is not rendered upon the whole case or for all
judgment pleadings
the reliefs sought and a trial is necessary, the
[Rule 35] [Rule 34]
court may.
Involves an issue, Absence of a factual
1. Ascertain which material facts exist without
but the issue is not issue in the case
substantial controversy and the extent to
genuine. because the answer
which the amount of damages and other
tenders no issue at
reliefs is not in controversy by
all.
a. Examining the pleadings and evidence
Motion for summary Motion for judgment
before it; and
judgment may be on the pleadings is
b. Interrogating counsel [Sec. 4, Rule 35]
filed by either the filed by a claiming
2. Make an order which:
claiming or the party like a plaintiff
a. Specifies which facts ascertained are
defending party or a counterclaimant
deemed established, and
[Secs. 1-2]. [Sec. 1].
b. Directs further proceedings as are just
3. Conduct trial on the controverted facts.
May be ordered May be ordered
motu proprio by the motu proprio by the
Effect: A partial summary judgment is not a
court [Sec. 10, Rule court [Sec. 10, Rule
final judgment, but merely a pre-trial
18]. 18].
adjudication that said issues in the case shall
be deemed established for the trial of the case Based on the Based on the
pleadings, pleadings alone
[Guevarra v. CA, G.R. No. L-49017 (1983)].
affidavits, [Sec. 1].
depositions and
Form
1. Made on personal knowledge admissions [Sec. 3]
2. Setting forth such facts as would be [1 Riano 614-615, 2014 Bantam Ed.]
admissible in evidence
3. Showing affirmatively that the affiant is 3. Rendition and Entry of Judgments
competent to testify to the matters stated and Final Orders
therein
4. Certified true copies of all papers or parts Rendition of judgment
thereof referenced in the affidavit shall be Pronouncement of the judgment in open court
attached or served with the affidavit. does not constitute rendition of judgment. It is
the filing of the signed decision with the
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COC that constitutes rendition. Even if the
judgment has already been put in writing and
signed, it is still subject to amendment if it has
not yet been filed with the COC [Ago v. CA,
G.R. No. L-17898 (1962)].
Promulgation of judgment
Promulgation is the process by which a
decision is published, officially announced,
made known to the public or delivered to the
COC for filing, coupled with notice to the parties
or their counsel [2 Herrera 151, 2007 Ed., Neria
v. Commissioner of Immigration, G.R. No. L-
24800 (1968)].
Period for rendition
a. All cases filed must be decided or resolved
by the Supreme Court within 24 months
from the date of their submission for
decision.
b. Unless reduced by the SC, within 12
months for lower collegiate courts and
within 3 months for all other lower courts.
[Sec. 15, Art. VIII, Constitution,]
A case is deemed submitted for resolution
upon the filing of the last pleading, brief or
memorandum required by the Rules of Court
or by the court [Sec. 15, Art. VIII, Constitution].
An extension of the period may be set by the
SC upon request by the judge concerned on
account of heavy caseload or by other
reasonable excuse. Without an extension, a
delay in the disposition of cases is tantamount
to gross inefficiency on the part of the judge
[Arap v. Mustafa, SCC-01-7 (2002)] .
Entry of judgment
The entry of judgment refers to the physical
act performed by the clerk of court in
entering the dispositive portion of the judgment
in the book of entries of judgment after the
same has become final and executory [1 Riano
615, 2014 Bantam Ed.].
When entered: If no appeal, or motion for
new trial or reconsideration is filed within
the time provided in the Rules, the judgment
or final order shall forthwith be entered by the
clerk in the book of entries of judgments [Sec.
2, Rule 36].
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Note: The date of finality of the judgment or
final order shall be deemed to be the date of its
entry [Sec. 2, Rule 36]. This is regardless of the
date when the physical act of entry was done
[1 Riano 615, 2014 Bantam Ed.].
Contents of record in the book of entries:
a. Dispositive part of the judgment or final
order
b. Signature of the clerk; and
c. Certification that such judgment or final
order has become final and executory
[Sec. 2, Rule 36].
Final judgment rule
General rule: Once a decision or order
becomes final and executory, it is removed
from the power or jurisdiction of the court
which rendered it to further alter or amend it
[Siliman University v. Fontelo-Paalan, G.R. No.
170948 (2007)].
Under the doctrine of immutability of
judgments, a judgment that has attained
finality can no longer be disturbed. The reason
is two-fold:
a. To avoid delay in the administration of
justice, and to make orderly the discharge
of judicial business; and
b. To put an end to judicial controversies at
the expense of occasional errors.
[1 Riano 538-539, 2011 Ed.]
Exceptions:
a. Correction of clerical errors [Filipinas
Palmoil Processing, Inc. v. Dejapa, G.R.
No. 167332 (2011)]
b. Nunc pro tunc entries [Filipinas Palmoil
Processing, Inc. v. Dejapa, G.R. No.
167332 (2011)]
c. Whenever circumstances transpire after
finality of the decision, rendering its
execution unjust and inequitable [Apo
Fruits Corp. v. Land Bank of the Phils.,
G.R. No. 164195 (2010)]
d. In cases of special and exceptional nature,
when it is necessary in the interest of
justice to direct modification in order to
harmonize the disposition with the
prevailing circumstances [Industrial Timber
Corp. v. Ababon, G.R. No.164518 (2006)]
e. In case of void judgments [FGU Insurance
v. RTC Makati, G.R. No. 161282 (2011)]
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f. Where there is a strong showing that a Motion for New Trial and Motion for
grave injustice would result from an Reconsideration
application of the Rules [Almuete v.
People, G.R. No. 179611 (2013)] MNT MR
g. When there are grounds for annulment of 1. Fraud, 1. Damages
judgment or petition for relief [Gochan v. accident, awarded
Mancao, G.R. No. 182314 (2013)] mistake, are
or excessive
Amended/clarified Supplemental excusable 2. That the
judgment decision negligenc evidence is
An entirely new Does not take the e (FAME) insufficient
Grounds
decision and place of or extinguish 2. Newly to justify
[Sec. 1,
supersedes the the original judgment. discovere the
Rule 37]
original judgment. d decision or
Court makes a Serves to add to the evidence final order
thorough study of original judgment. 3. That the
the original decision or
judgment and final order
renders the is contrary
amended and to law
clarified judgment A 2nd MNT A 2nd MR of a
only after may be judgment or
considering all the allowed if final order is
factual and legal based on a not allowed.
Second
issues. ground not Note: This
MNT/MR
[1 Regalado 418, 2010 Ed.] existing or prohibition
[Sec. 5,
T. Post-Judgment Remedies available does not apply
Rule 37]
when the 1st to interlocutory
MNT was orders.
1. Motion for New Trial or
made.
Reconsideration (Rule 37)
The original The court may
Remedies before finality of judgment judgment or amend the
1. Motion for new trial [Rule 37] final order judgment or
2. Motion for reconsideration [Rule 37] shall be final order
3. Appeal [Rules 40-45] vacated, and accordingly if
[1 Riano 60, 2011 Ed.] the action the ground
shall stand for relied upon
In civil cases, this is under Rule 37. In criminal trial de novo; prevails
cases, this is under Rule 121. Effect if
but the [Sec. 3, Rule
granted
recorded 37].
The motion for reconsideration (MR) under evidence
Rule 37 is directed against a judgment or final shall be used
order. It does not refer to one for interlocutory in the new
orders, which often precedes a petition for trial without
certiorari under Rule 65 [1 Riano 558, 2011 retaking the
Ed.]. same [Sec. 6,
Rule 37]
These motions are prohibited in cases covered
by the Rule on Summary Procedure [Sec. 19]
and those falling under the Rules of Procedure
on Small Claims Cases [Sec. 16].

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Grounds for Motion for New Trial
(MNT)
One or more of the following causes materially
affecting the substantial rights of said party:
1. Fraud, accident, mistake or excusable
negligence (FAME)
(a) Ordinary prudence could not have
guarded against, and
(b) By reason of which such aggrieved
party has probably been impaired in his
rights.
2. Newly discovered evidence
(a) It was discovered after the trial, or
(b) It could not have been discovered and
produced at the trial even with the
exercise of reasonable diligence; and
(c) The evidence is of such weight that if
admitted, would probably alter the
result of the action; and
(d) It must be material and not merely
collateral, cumulative, or corroborative
[Sec. 1, Rule 37].
[FAME]
Ground Definition
The fraud must be extrinsic.
Any fraudulent scheme
executed outside of the trial
by the prevailing party
against the losing party, who,
Fraud because of such fraud, is
prevented from presenting
his side of the case, or
judgment was procured
without fair submission of
the controversy.
It is an unintended and
unforeseen injurious
occurrence; something that
does not occur in the usual
Accident
course of events or that could
not be reasonably
anticipated. [Black’s Law
Dictionary]
It may either be a mistake of
fact or mistake of law made
Mistake in good faith by the
defendant who was misled
in the case.
Excusable It must be one that is
negligenc imputable to the party.
e evidence - supported by affidavits of the
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Ground Definition
Note: The negligence of
counsel is binding on the
client except if it was so great
as to prejudice the client and
prevent fair presentation of
the case.
[1 Regalado, 2010 Ed.]
Note: A motion for reopening the trial is
different from a motion for new trial—the
latter can only be done after promulgation of
judgment whereas the former may properly be
presented after either or both parties have
formally offered and closed their evidence
before judgment [1 Regalado 432, 2010 Ed.].
Grounds for Motion for
Reconsideration
1. Damages awarded are excessive;
2. Evidence is insufficient to justify the
decision or final order; or
3. Decision or final order is contrary to law
[Sec. 1, Rule 37].
Note: If the MR is based on the same grounds
as that for a MNT, it is considered a MNT
[Rodriguez v. Rovira, G.R. No. 45252 (1936)].
When to File
Within the period for taking an appeal [Sec. 1,
Rule 37]
See Period of appeal below.
Note: An MNT and MR may only be availed of
by a party to the proceeding [Alaban vs CA,
G.R. No. 156021 (2005)].
Contents
The motion shall be:
a. Made in writing,
b. Stating the ground or grounds therefor, and
c. A written notice of which shall be served by
the movant on the adverse party.
A MNT shall be proved in the manner provided
for proof of motions.
a. A motion based on FAME - supported by
affidavits of merits which may be
rebutted by affidavits.
b. A motion based on newly-discovered
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witnesses by whom such evidence is
expected to be given, or by duly
authenticated documents which are
proposed to be introduced in evidence.
When MNT based on FAME not
accompanied by affidavit of merits
General rule: Denied
Exceptions:
1. The court has no jurisdiction over the
defendant/ subject matter, so the judgment
is null and void
2. The judgment is defective as where a
judgment by default was rendered even
before the reglementary period to answer
had expired.
3. The defendant was deprived of his day
in court as when no notice of hearing was
furnished him
[1 Regalado 435, 2010 Ed.]
A MR shall point out specifically the findings
or conclusions of the judgment or final
order which are not supported by the evidence
or which are contrary to law, making express
reference to the testimonial or documentary
evidence or to the provisions of law alleged to
be contrary to such findings or conclusions.
Note: A pro forma MNT/MR shall not toll the
reglementary period of appeal [Sec. 2, Rule
37].
When MNT considered pro forma
1. Based on the same ground raised in
preceding MNT/MR already denied;
2. Contains the same arguments and manner
of discussion in the prior opposition to a
motion to dismiss which was granted;
3. The new ground alleged in the 2nd MNT
was available and could have been alleged
in the first MNT which was denied;
4. Based on the ground of insufficiency of
evidence/that the judgment is contrary to
law, but does not specify the supposed
defects in judgment; or
5. Based on FAME but does not specify the
facts constituting these grounds and/or is
not accompanied by an affidavit of merits.
[1 Regalado 193, 2010 Ed.]
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Single-motion rule [Sec. 5, Rule 37]
Motion for New Trial
A MNT shall include all grounds then
available and those not so included shall be
deemed waived.
● A 2nd MNT, based on a ground not
existing nor available when the first
motion was made, may be filed within the
time herein provided excluding the time
during which the first motion had been
pending.
Motion for Reconsideration
A second motion for reconsideration of a
judgment or final order is not allowed.
Court action
The trial court may:
1. (MNT) Set aside the judgment or final order
and grant a new trial, upon such terms as
may be just
2. (MR) Amend such judgment or final order
accordingly if the court finds that
a. Excessive damages have been
awarded or that, or
b. Judgment or final order is contrary to
the evidence or law
3. Deny the motion [Sec. 3, Rule 37]
Court resolution
The motion shall be resolved within 30 days
from the time it is submitted for resolution [Sec.
4, Rule 37].
Note: The 30-day period to resolve the motion
is mandatory [Gonzales v. Bantolo, A.M. No.
RTJ-06-1993 (2006)].
Effects of denial of motion
An order denying a MNT or MR is not
appealable.
The remedy is an appeal from the judgment
or final order [Sec 9, Rule 37].
Note: The order denying the motion may itself
be assailed by a petition for certiorari under
Rule 65 [1 Regalado 437, 2010 Ed.].
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Effects of grant of motion
Grant of MNT
The original judgment or final order shall be
vacated, and the action shall stand for trial de
novo;
Note: The recorded evidence taken upon the
former trial, insofar as the same is material and
competent to establish the issues, shall be
used at the new trial without retaking the
same [Sec. 6, Rule 37].
Grant of MR
The court may amend such judgment or final
order [Sec. 3, Rule 37].
Partial grant of new trial or reconsideration
If the grounds for a motion under this Rule
appear to the court to affect:
1. The issues as to only a part, or
2. Less than all of the matter in controversy,
or
3. Only one, or less than all, of the parties to
it, the court may order a new trial or
grant reconsideration as to such issues
if severable without interfering with the
judgment or final order upon the rest [Sec.
7, Rule 37].
Partial new trial; effect
When less than all of the issues are ordered
retried, the court may either
1. Enter a judgment or final order as to the
rest, or
2. Stay the enforcement of such judgment or
final order until after the new trial.
[Sec. 8, Rule 37]
1. Remedy Against Denial and Fresh-
Period Rule
15-day period to file the notice of appeal
The SC has allowed a fresh period of 15 days
within which to file the notice of appeal in the
RTC, counted from receipt of the order
dismissing a MNT/MR.
• The fresh period of 15 days becomes
significant only when a party opts to
file a motion for new trial or motion
for reconsideration.
[Neypes v. CA, G.R. No. 141524 (2005)]
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Note: An order denying a motion for new trial
or reconsideration is not appealable, the
remedy being an appeal from the judgment or
final order [Sec. 9, Rule 37].
2. Appeals
a. Nature of the right to appeal
o The right to appeal is not a
constitutional, natural, or inherent right.
o It is a statutory privilege and of
statutory origin and is available only if
granted or if so provided by statute [Yu
vs Samson-Tatad, 642 SCRA 421
(2011)].
o As a rule, the perfection of an appeal in
the manner and within the period
prescribed by law is not only
mandatory, but jurisdictional. A failure
to comply with the rules of appeal will
render the judgment final and
executory [Landbank of the Philippines
vs CA, G.R. No. 221636 (2016)].
b. Judgments and final orders subject
to appeal
An appeal may be taken from a judgment or
final order that completely disposes of the
case, or of a particular matter therein when
declared by the ROC to be appealable [Sec. 1,
Rule 41].
Note: Not every judgment or final order is
appealable. An example of judgments or final
orders which do not completely dispose of a
case and are, hence, not appealable are
several and separate judgments provided for
under Secs. 4 and 5 of Rule 36.
c. Matters not appealable; available
remedies
1. An order denying a petition for relief or any
similar motion seeking relief from
judgment;
2. An interlocutory order;
3. An order disallowing or dismissing an
appeal;
4. An order denying a motion to set aside a
judgment by consent, confession or
compromise on the ground of fraud,
mistake or duress, or any other ground
vitiating consent;
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5. An order of execution; the appellee did not file any objection [1
6. A judgment or final order for or against one Regalado 552, 2010 Ed.].
or more of several parties or in separate
claims, counterclaims, cross-claims and Remedy Against Judgments and Orders
third-party complaints, while the main case Which Are Not Appealable
is pending, unless the court allows an In those instances where the judgment or final
appeal therefrom; and order is not appealable, the aggrieved party
7. An order dismissing an action without may file the appropriate special civil action
prejudice. under Rule 65 [Sec. 1, Rule 41].
[Sec. 1, Rule 41, as amended by A.M. No. 07-
7-12-SC]. d. Doctrine of Finality / Immutability of
judgment
Final order v. Interlocutory order
Final Order Interlocutory Order General rule: Once a decision or order
One that finally One that determines becomes final and executory, it is removed
disposes of a case, incidental matters from the power or jurisdiction of the court
leaving nothing more that does not touch which rendered it to further alter or amend it
to be done by the on the merits of the [Siliman University v. Fontelo-Paalan, G.R. No.
Court in respect case or put an end to 170948 (2007)].
thereto [Investments, the proceedings
Inc. v. CA, G.R. No. [Silverio Jr. v. A judgment that has acquired finality
L-60036 (1987)]. Filipino Business becomes immutable and unalterable, and
Consultants, Inc., may no longer be modified in any respect, even
G.R. No. 143312 if the modification is meant to correct
(2005)]. erroneous conclusions of fact and law, and
Subject to appeal Proper remedy to whether it be made by the court that rendered
[Investments, Inc. v. question an it or by the Highest Court of the land [PNB v.
CA, G.R. No. L- improvident Spouses Maranon, G.R. No. 189316 (2013)].
60036 (1987)] interlocutory order is
a petition for
certiorari under Rule Rationale
65 [Silverio Jr. v. a. To avoid delay in the administration of
Filipino Business justice, and procedurally to make orderly
Consultants, Inc., the discharge of judicial business, and
G.R. No. 143312 b. To put an end to judicial controversies at
(2005)]. the risk of occasional errors.
Must express clearly Not considered [PCI Leasing and Finance, Inc. v. Milan, G.R.
and distinctly the decisions or No. 151215 (2010)].
facts and the law on judgments within the
which it is based constitutional Exceptions:
[Sec. 14, Art. VIII, definition [1 Riano a. Correction of clerical errors [Filipinas
Constitution]. 581, 2014 Bantam Palmoil Processing, Inc. v. Dejapa, G.R.
Ed., citing Amargo v. No. 167332 (2011)]
CA, G.R. No. L- b. Nunc pro tunc entries [Filipinas Palmoil
3172] Processing, Inc. v. Dejapa, G.R. No.
[Pahila-Garrido v Tortogo, G.R. No. 156358 167332 (2011)]
(2011)] c. Whenever circumstances transpire after
finality of the decision, rendering its
Effect of an appeal from an interlocutory execution unjust and inequitable [Apo
order Fruits Corp. v. Land Bank of the Phils.,
If an order appealed from is interlocutory, the G.R. No. 164195 (2010)]
appellate court can dismiss the appeal even if d. In cases of special and exceptional nature,
when it is necessary in the interest of

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justice to direct modification in order to
harmonize the disposition with the
prevailing circumstances [Industrial Timber
Corp. v. Ababon, G.R. No.164518 (2006)]
e. In case of void judgments [FGU Insurance
v. RTC Makati, G.R. No. 161282 (2011)]
f. Where there is a strong showing that a
grave injustice would result from an
REMEDIAL LAW
application of the Rules [Almuete v.
People, G.R. No. 179611 (2013)]
g. When there are grounds for annulment of
judgment or petition for relief [Gochan v.
Mancao, G.R. No. 182314 (2013)].

e. Modes of Appeal

Appeals from QJAs Petition for Review

Ordinary Appeal Petition for Review
to the CA by Certiorari
Rule Rule 41 Rule 42 Rule 43 Rule 45
Case decided by Case decided by Awards, judgments, Case where only
RTC in exercise of RTC in exercise of final orders or questions of law are
original jurisdiction appellate jurisdiction resolutions of or raised or involved
[Sec. 2(a)]. [Sec. 2(b), Rule 41]. authorized by any [Sec. 2(c), Rule 41].
QJA in the exercise
of its quasi-judicial Appeal by certiorari
functions [Sec. 1]. from a judgment or
final order or
EXCEPT: Judgments resolution of the CA,
or final orders issued the Sandiganbayan,
under the Labor the RTC or other
Code [Sec. 2]. courts whenever
authorized by law
[Sec. 1].
Mode Notice of Petition for review Verified petition for Petition for review on
of appeal/Record on with the CA [Sec. review with the CA certiorari with the SC
appeal appeal with the CA 2(b), Rule 41] [Sec. 5] [Sec. 2(c), Rule 41]
[Sec. 2(a)]
How Filing a notice of File a verified petition File a verified petition File verified petition
made appeal with the court for review with the for review in 7 legible for review on
which rendered the CA, paying at the copies with the CA, certiorari with the SC
judgment or final same time to the with proof of service [Sec. 1]
order appealed from clerk of said court of a copy thereof on
and serving a copy the corresponding the adverse party Petitioner shall pay
thereof upon the docket and other and on the court or the corresponding
adverse party lawful fees, agency a quo. The docket and other
depositing the original copy of the lawful fees to the
If required, the amount of PHP petition intended for COC of the SC and
record-on appeal 500.00 for costs, and the CA shall be deposit the amount
shall be filed and furnishing the RTC indicated as such by of PHP 500.00 for
served in like and the adverse the petitioner. costs at the time of
manner [Sec. 2] party with a copy of the filing of the
the petition [Sec. 1] Upon the filing of the petition. Proof of
petition, the service of a copy
petitioner shall pay thereof on the lower
to the COC of the CA court concerned and
the docketing and on the adverse party
other lawful fees and shall be submitted
deposit the sum of together with the
PHP 500.00 for costs petition [Sec. 3]
[Sec. 5]

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Appeals from QJAs Petition for Review
Ordinary Appeal Petition for Review
to the CA by Certiorari
Period Within 15 days from Within 15 days from Within 15 days from: Within 15 days from
of notice of the notice of 1. Notice of the notice of
appeal judgment or final 1. The decision award, 1. The judgment or
order appealed from sought to be judgment, final final order or
reviewed or order or resolution
Where a record of 2. The denial of resolution, or appealed from,
appeal is required, petitioner’s MNT 2. The date of or
file a notice of appeal or MR filed in i. its last 2. The denial of the
and a record on due time after publication, if petitioner’s MNT
appeal within 30 judgment [Sec. publication is or MR filed in
days from notice of 1] required by due time after
the judgment or final law for its notice of the
order [Sec. 3] effectivity, or judgment [Sec.
ii. the denial of 2]
petitioner’s
MNT or MR
duly filed in
accordance
with the
governing law
of the court or
agency a quo
[Sec. 4]

Period of Appeal Perfection of Appeal

The fresh period rule shall apply to:
1. Rule 40 governing appeals from the MTCs
to the RTCs
2. Rule 41 governing appeals from the RTCs
to CA
3. Rule 42 on petitions for review from the
RTCs to the CA
4. Rule 43 on appeals from quasi-judicial
agencies to the CA, and
5. Rule 45 governing appeals by certiorari to
the SC
Note: The fresh period rule gives the appellant
a fresh 15-day period within which to make his
appeal from the order denying the MNT, MR,
or any final order or resolution.
The new rule aims to regiment or make the
appeal period uniform, to be counted from
receipt of the order denying the MNT, MR
(whether full or partial) or any final order or
resolution [Neypes v. CA, G.R. No. 141524
(2005)].
Perfection of an appeal in the manner and
within the period laid down by law is
mandatory and jurisdictional [Balgami v. CA,
G.R. No. 131287 (2004)].
Effect of failure to perfect appeal
a. Defeats a party’s right to appeal, and
b. Precludes appellate court from acquiring
jurisdiction.
[1 Riano 20, 2011 Ed.]
Issues to Be Raised on Appeal
Issues that have not been raised before the
lower courts cannot be raised on the first time
on appeal [Spouses Erorita vs Spouses
Dumlao, G.R. No. 195477 (2016)].
Errors
General Rule: The appellate court shall
consider no error unless stated in the
assignment of errors [Sec. 8, Rule 51].
Exceptions: The court may consider an error
not raised on appeal provided that it is an error:

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1. That affects the jurisdiction over the subject
matter,
2. That affects validity of the judgment
appealed from,
3. Which affects the validity of the
proceedings,
4. That is closely related to or dependent to
an assigned error, and properly argued in
brief,
5. That is a plain clerical error,
6. Of which consideration is necessary to
arrive at a just decision and complete
resolution of the case or serve the interests
of justice, or
7. Raised in the trial court and are matters of
record having such bearing on the issue
submitted which the parties failed to raise
or which the lower court.
[1 Riano 529-530, 2016 Ed.]
The appellate court has no jurisdiction to
review a judgment which is immediately final
and executory by express provision of law
[Republic v. Bermudez-Lorino, G.R. No.
160258 (2005)].
Rule 40 – Appeal from MTCs to RTCs
Procedure [Rule 40]
File a notice of appeal with the court that
rendered the judgment or final order
appealed from [Sec. 3]
Within the period for taking an appeal, the
appellant shall pay to the clerk of the court
which rendered the judgment or final order
appealed from the full amount of the
appellate court docket and other lawful fees
[Sec. 5]
↓ [Sec. 2, Rule 40]
Within 15 days from the perfection of the
appeal, the COC or the branch COC of the
lower court shall transmit the original record
or the record on appeal, together with the
transcripts and exhibits, which he shall
certify as complete, to the proper RTC. A
copy of his letter of transmittal of the records
to the appellate court shall be furnished the
parties [Sec. 6]
↓ 1. File a notice of appeal with the trial court
Upon receipt of the complete record or the
record on appeal, the COC of the RTC shall
notify the parties of such fact [Sec. 7(a)]
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↓
Within 15 days from such notice, it shall be
the duty of the appellant to submit a
memorandum which shall briefly discuss the
errors imputed to the lower court, a copy of
which shall be furnished by him to the
adverse party. Failure of the appellant to file
a memorandum shall be a ground for
dismissal of the appeal [Sec. 7(b)]
↓
Within 15 days from receipt of the appellant’s
memorandum, the appellee may file his
memorandum [Sec. 7(c)]
↓
Upon the filing of the memorandum of the
appellee, or the expiration of the period to do
so, the case shall be considered submitted
for decision. The RTC shall decide the case
on the basis of the entire record of the
proceedings had in the court of origin and
such memoranda as are filed [Sec. 7(d)]
Where taken
To the RTC exercising jurisdiction over the
area to which the former pertains [Sec. 1, Rule
40].
When taken
1. Within 15 days after notice to the appellant
of the judgment or final order appealed
from.
2. Where a record on appeal is required, the
appellant shall file a notice of appeal and a
record on appeal within 30 days after
notice of the judgment or final order.
3. The period of appeal shall be interrupted
by a timely motion for new trial or
reconsideration. No motion for extension
of time to file a motion for new trial or
reconsideration shall be allowed.
Extension of period to appeal
Period to appeal may be extended but such
extension is addressed to the sound discretion
of the court [Socco v. Garcia, G.R. No. L-18231
(1962)].
How taken
By notice of appeal
that rendered the judgment or final order
appealed from
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● indicating the parties to the appeal, the
judgment or final order or part thereof
appealed from, and
● state the material dates showing the
timeliness of the appeal.
2. Copies of the notice of appeal shall be
served on the adverse party [Sec. 3, Rule
40].
3. Pay to the COC which rendered the
judgment or final order appealed from the
full amount of the appellate court docket
and other lawful fees [Sec. 5, Rule 40].
By record on appeal
1. File a notice of appeal [Sec. 2, Rule 41]
following the steps above.
2. The form and contents of the record on
appeal shall be as provided in Sec. 6, Rule
41 (see appeals from judgments or final
orders of the RTC).
3. Copies of the notice of appeal, and the
record on appeal where required, shall be
served on the adverse party [Sec. 3, Rule
40].
4. Pay to the COC which rendered the
judgment or final order appealed from the
full amount of the appellate court docket
and other lawful fees [Sec. 5, Rule 40].
Note: Record on appeal shall be required only
in:
1. Special proceedings
2. In such other cases of multiple or separate
appeals
[Sec. 2, Rule 41].
Perfection of appeal
The perfection of the appeal and the effect
thereof shall be governed by the provisions of
Sec. 9, Rule 41 [Sec. 4, Rule 40].
See appeals from judgments or final orders of
the RTC.
Appeal from order dismissing a case
without trial; lack of jurisdiction
Two Scenarios
1. If an appeal is taken from an order of the
lower court dismissing the case without
a trial on the merits
a. The RTC may affirm or reverse it, as
the case may be
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b. In case of affirmance and the ground
of dismissal is lack of jurisdiction
over the subject matter, the RTC, if it
has jurisdiction thereover, shall try
the case on the merits as if the case
was originally filed with it
c. In case of reversal, the case shall be
remanded for further proceedings
2. If the case was tried on the merits by the
lower court without jurisdiction over the
subject matter, the RTC on appeal shall
not dismiss the case if it has original
jurisdiction thereof, but shall decide the
case in accordance with Sec. 7, Rule 40,
without prejudice to the admission of
amended pleadings and additional
evidence in the interest of justice
[Sec. 8, Rule 40].
Applicability of Rule 41
The other provisions of Rule 41 shall apply to
appeals provided for herein insofar as they are
not inconsistent with or may serve to
supplement the provisions of Rule 40 [Sec.
9, Rule 40].
Rule 41 – Appeal from RTCs
Appeal from the RTC to the CA via Rule 41
presupposes that
1. The RTC rendered the judgment or final
order in the civil action or special
proceeding in the exercise of its original
jurisdiction; and
2. That the appeal is taken to the CA on:
a. Questions of fact or
b. Mixed questions of fact and law
[1 Regalado 555, 2010 Ed.].
NOTICE OF APPEAL
Contents
1. Parties to the appeal
2. Judgment or final order or part thereof
appealed from
3. Court to which the appeal is being taken,
and
4. Material dates showing the timeliness of
the appeal.
[Sec. 5, Rule 41]
RECORD ON APPEAL
General Rule: No record on appeal shall be
required
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Exception: In special proceedings and other
cases of multiple or separate appeals where
the law or the ROC so require.
● In such cases, the record on appeal shall
be filed and served in like manner [Sec.
2(a), Rule 41].
Contents of the record on appeal
1. Full names of all the parties to the
proceedings shall be stated in the caption
of the record on appeal
2. The judgment or final order from which the
appeal is taken and,
3. In chronological order, copies of only such
pleadings, petitions, motions and all
interlocutory orders as are related to the
appealed judgment or final order for the
proper understanding of the issue involved,
4. Together with such data as will show that
the appeal was perfected on time.
[Sec. 6, Rule 41]
Note: The requirement that the record on
appeal must show on its face that the
appeal was perfected on time is mandatory
and jurisdictional that if not complied with, the
appeal must be dismissed [1 Regalado 563,
2010 Ed.].
Exception: If the trial court issued an order to
the effect that the appeal was seasonably
perfected with the filing of the notice of appeal
and the record on appeal within the
reglementary period [Pimentel v. CA, G.R. No.
L-39684 (1975)].
If an issue of fact is to be raised on appeal,
the record on appeal shall include by
reference all the evidence taken upon the issue
involved.
1. The reference shall specify the
a. Documentary evidence by the exhibit
numbers or letters by which it was
identified when admitted or offered at
the hearing, and
b. Testimonial evidence by the names of
the corresponding witnesses
2. If the whole testimonial and documentary
evidence in the case is to be included, a
statement to that effect will be sufficient
without mentioning the names of the
witnesses or the numbers or letters of
exhibits.
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3. Every record on appeal exceeding 20
pages must contain a subject index.
[Sec. 6, Rule 41]
Approval of the record on appeal
1. Upon the filing of the record on appeal
for approval and if no objection is filed by
the appellee within 5 days from receipt of a
copy thereof, the trial court may:
a. Approve it as presented or upon its
own motion, or
b. At the instance of the appellee, may
direct its amendment
● by the inclusion of any omitted
matters which are deemed
essential to the determination of
the issue of law or fact involved in
the appeal.
2. If the trial court orders the amendment
of the record, the appellant, within the
time limited in the order, or such extension
thereof as may be granted, or if no time is
fixed by the order within 10 days from
receipt thereof, shall:
a. Redraft the record by including therein,
in their proper chronological sequence,
such additional matters as the court
may have directed him to incorporate,
and
b. Submit the redrafted record for
approval, upon notice to the appellee,
in like manner as the original draft.
[Sec. 7, Rule 41]
Joint record on appeal
Where both parties are appellants, they may
file a joint record on appeal within 30 days from
notice of judgment or final order, or that fixed
by the court [Secs. 3 and 8, Rule 41].
Period to appeal
1. Within 15 days from notice of judgment or
final order appealed from
2. Within 30 days from notice of judgment or
final order where a record on appeal is
required
3. Within 48 hours from notice of judgment or
final order appealed from in habeas corpus
cases [Sec. 3, Rule 41].
Note: If a MNT/MR was properly filed but the
motion was ultimately dismissed, a fresh
period of 15 days within which to file the notice
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of appeal in the RTC, counted from receipt of of service of 2 copies thereof upon the
the order dismissing the motion is granted appellee [Sec. 7, Rule 44].
[Neypes v. CA, G.R. No. 141524 (2005)].
Note: Under Sec. 5(b) of the Efficient Use of
Reckoning point of reglementary period Paper Rule [A.M. 11-9-4-SC], file one original
Period for filing the appeal should be (properly marked) and 2 copies with their
counted from the date when the party’s annexes with the CA.
counsel received a copy of the judgment or
final order because that is the effective service Grounds for dismissal with respect to
of the decision. When a party is represented by appellant’s brief:
counsel, service of process must be made on 1. Failure of the appellant to serve and file the
counsel, not on the party [Fajardo v. CA, G.R. required number of copies of his brief within
No. 140356 (2001); Sec. 2, Rule 13]. the time provided by the ROC, or
2. Absence of specific assignment of errors in
Note: The mere filing and pendency of motion the appellant’s brief.
for extension to perfect appeal does not [Sec. 1(e)-(f), Rule 50]
suspend the running of the reglementary
period [King v. Corro, G.R. No. L-23617 Contents
(1967)]. 1. Subject index
2. Assignment of errors
Extension of period to appeal 3. Statement of the Case
The period to appeal may be extended but 4. Statement of Facts
such extension is addressed to the sound 5. Statement of issues
discretion of the court [Gregorio v. CA, G.R. 6. Arguments
No. L-43511 (1976)]. 7. Relief
8. Copy of judgment or final order appealed
Note: If the trial court approves the record from [Sec. 13, Rule 44].
on appeal even if the period for the appeal
has expired, this is tantamount to a valid Appellee’s brief
order granting the extension prayed for by Within 45 days from receipt of the appellant’s
the appellant if any such motion has been filed brief, the appellee shall file with the court 7
[Berkenkotter v. CA, G.R. No. L-36629 (1973)]. copies of his legibly typewritten,
mimeographed or printed brief, with proof
Conversely, dismissal constitutes a denial of of service of 2 copies thereof upon the
the extension prayed for, in which case the only appellant [Sec. 8, Rule 44].
question that can arise is whether the trial court
had gravely abused its discretion in denying Note: Under Sec. 5(b) of the Efficient Use of
such extension [PVTA v. Delos Angeles, G.R. Paper Rule [A.M. 11-9-4-SC], file one original
No. L-29736, (1974)]. (properly marked) and 2 copies with their
annexes with the CA.
Pleadings to be filed
1. Appellant’s brief Contents
2. Appellee's brief 1. Subject index
3. Appellant’s reply brief 2. Statement of Facts or Counter-Statement
of Facts
Appellant’s brief 3. Argument [Sec. 14, Rule 44].
It shall be the duty of the appellant to file with
the court, within 45 days from receipt of the Appellant’s reply brief
notice of the clerk that all the evidence, oral and Within 20 days from receipt of the appellee’s
documentary, are attached to the record, 7 brief, the appellant may file a reply brief
copies of his legibly typewritten, answering points in the appellee’s brief not
mimeographed or printed brief, with proof covered in his main brief [Sec. 9, Rule 44].

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Extension of time for filing briefs:
General rule: Not allowed
Exception: Good and sufficient cause, and
only if the motion for extension is filed before
the expiration of the time sought to be extended
[Sec. 12, Rule 44].
Payment of docket fees
1. Within the period for taking an appeal,
the appellant shall pay to the clerk of the
court which rendered the judgment or final
order appealed from, the full amount of the
appellate court docket and other lawful
fees.
2. Proof of payment of said fees shall be
transmitted to the appellate court
together with the original record or the
record on appeal [Sec. 4, Rule 41].
Note: Payment of docket fees in full is
mandatory and is a condition sine qua non
for the perfection of an appeal. Subsequent
payment of appellate docket fees does not cure
the defect of the appeal because payment is a
jurisdictional requirement [Santander v
Villanueva, G.R. No. L-6184 (1958)].
Perfection of appeal
1. A party’s appeal by notice of appeal is
deemed perfected as to him upon the filing
of the notice of appeal in due time.
2. A party’s appeal by record on appeal is
deemed perfected as to him with respect to
the subject matter thereof upon the
approval of the record on appeal filed in
due time [Sec. 9, Rule 41].
Note: An appellant who fails to perfect his
appeal on time due to FAME may file for a
petition for relief under Sec. 2, Rule 38. If his
petition for relief is denied, he can file a petition
under Rule 65, since the denial of a petition for
relief is no longer appealable under Sec. 1 of
Rule 41 [De Luna v. Palacio, G.R. No. L-26927
(1969)].
Effect of perfected appeal
1. In appeals by notice of appeal, the court
loses jurisdiction over the case upon
the perfection of the appeals filed in due
time and the expiration of the time to
appeal of the other parties.
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2. In appeals by record on appeal, the court
loses jurisdiction only over the subject
matter thereof upon the approval of the
records on appeal filed in due time and
the expiration of the time to appeal of the
other parties.
[Sec. 9, Rule 41]
Residual powers/jurisdiction of the RTC
In either case, prior to the transmittal of the
original record or the record on appeal, the
court may
1. Issue orders for the protection and
preservation of the rights of the parties
which do not involve any matter litigated by
the appeal
2. Approve compromises
3. Permit appeals of indigent litigants
4. Order execution pending appeal in
accordance with Sec. 2 of Rule 39, and
5. Allow withdrawal of the appeal.
[Sec. 9, Rule 41]
Note: There is no residual jurisdiction to speak
of where no appeal or petition has even been
filed [Fernandez v. CA, G.R. No. 131094
(2005)].
Duty of clerk upon perfection of appeal
1. Within 30 days after perfection of all the
appeals in accordance with the preceding
section, it shall be the duty of the COC of
the lower court:
a. To verify the correctness of the original
record or the record on appeal and to
make a certification of its correctness,
b. To verify the completeness of the
records that will be transmitted to the
appellate court,
c. If found to be incomplete, to take such
measures as may be required to
complete the records, availing of the
authority that he or the court may
exercise for this purpose; and
d. To transmit the records to the appellate
court
2. If the efforts to complete the records fail,
he shall indicate in his letter of
transmittal the exhibits or transcripts not
included in the records being transmitted to
the appellate court, the reasons for their
non-transmittal, and the steps taken or that
could be taken to have them available.
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3. The COC shall furnish the parties with
copies of his letter of transmittal of the
records to the appellate court.
[Sec. 10, Rule 41]
Note: Even if the appeal has already been
perfected but the records have not yet been
transmitted to the appellate court, the trial
court still has jurisdiction to set aside its
order approving the record on appeal
[Cabungcal v. Fernandez, G.R. No. L-16520
(1964)].
Dismissal of appeal
Prior to the transmittal of the original record
or the record on appeal to the appellate court,
the trial court may motu proprio or on
motion dismiss the appeal for:
1. Having been taken out of time, or
2. Non-payment of the docket and other
lawful fees within the reglementary period.
[Sec. 13, Rule 41]
Rule 42 – Petition for Review from
RTCs to CA
RULE 42
Petition for review from the RTC to the CA
Appeal via Rule 42 is proper when one appeals
from a decision of the RTC in the exercise of its
appellate jurisdiction. It may be taken on
either questions of fact, questions of law, or on
mixed questions of fact and law [Macawiwili
Gold Mining and Development Co., Inc. v. CA,
G.R. No. 115104 (1998)].
This mode of appeal is not a matter of right
but is a matter of discretion on the part of the
CA, on whether or not to entertain the appeal
[1 Regalado 581, 2010 Ed.].
Note: Since Rule 42 is a petition for the
purpose of appeal and not petitions in original
actions, lower courts/judges that rendered
the judgment complained of are not
impleaded as parties in the appeal [1
Regalado 579, 2010 Ed.].
How taken
If a party desires to appeal from a decision of
the RTC in its appellate jurisdiction:
1. File a verified petition for review with the
CA
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a. Within 15 days from notice of judgment
or final order, or
b. Within 15 days from notice of denial of
petitioner’s MNT or MR
2. Pay at the same time to the clerk of the CA
the corresponding docket and other
lawful fees,
3. Deposit PHP 500.00 for costs, and
4. Furnish the RTC and the adverse party with
a copy of the petition.
[Sec. 1, Rule 42]
Period to appeal
The petition shall be filed and served within 15
days from notice of the decision sought to be
reviewed or of the denial of the petitioner's
MNT or MR filed in due time after judgment
[Sec. 1, Rule 42].
Extension of period
Upon proper motion and the payment of the
full amount of the docket and other lawful fees
and the deposit for costs before the
expiration of the reglementary period, the
CA may grant an additional period of 15 days
only within which to file the petition for review.
No further extension shall be granted except
for the most compelling reason and in no case
to exceed 15 days [Sec. 1, Rule 42].
Form and contents
1. In 7 legible copies, with the original copy
intended for the court being indicated as
such by the petitioner
● Note: Under Sec. 5(b) of the Efficient
Use of Paper Rule [A.M. 11-9-4-SC],
file one original (properly marked) and
2 copies with their annexes with the
CA.
2. Full names of the parties to the case,
without impleading the lower courts or
judges thereof either as petitioners or
respondents
3. Specific material dates showing that it was
filed on time
4. A concise statement of the
a. Matters involved
b. Issues raised
c. Specification of errors of fact or law, or
both, allegedly committed by the RTC,
and
d. Reasons or arguments relied upon for
the allowance of the appeal
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5. Clearly legible duplicate originals or true
copies of the judgments or final orders of
both lower courts, certified correct by the
COC of the RTC,
6. The requisite number of plain copies
thereof and of the pleadings and
7. Other material portions of the record as
would support the allegations of the petition
8. Certification of non-forum shopping
[Sec. 2, Rule 42]
Effect of failure to comply
Failure to comply with any of the following
requirements shall be sufficient ground for
dismissal:
1. Payment of docket and other lawful fees
Note: In petitions for review under Rules
42, 43, and 45, the docket fee is paid in the
appellate courts
2. Deposit for costs
3. Proof of service of petition
4. Contents of the documents which should
accompany the petition
[Sec. 3, Rule 42]
Note: Failure to append the pleadings and
material portions of the record does not justify
the outright dismissal of the petition. There is
substantial compliance when the pleadings
were attached to the MR [Mendoza v. David,
G.R. No. 147575 (2004)].
Perfection of appeal
Appeal is deemed perfected as to petitioner
upon the
1. Timely filing of the petition, and
2. Payment of the corresponding docket and
lawful fees.
[Sec. 8(a), Rule 42]
Jurisdiction of the RTC
1. The RTC loses jurisdiction over the case
upon the perfection of the appeals filed
in due time and the expiration of the time to
appeal of the other parties.
2. However, before the CA gives due
course to the petition, the RTC may:
a. Issue orders for the protection and
preservation of the rights of the parties
which do not involve any matter
litigated by the appeal, approve corn-
promises
b. Permit appeals of indigent litigants
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c. Order execution pending appeal in
accordance with Sec, 2 of Rule 39, and
d. Allow withdrawal of the appeal.
[Sec. 8(a), Rule 42]
Note: The Doctrine of Residual Jurisdiction
of the RTC, at item (2) above, applies as in
cases under Rule 42, except that the RTC must
exercise this jurisdiction before the CA gives
due course to the petition [Sec. 8(a), Rule 42].
In contrast, the RTC must exercise residual
jurisdiction in Rule 41 prior to transmittal of the
original record or the record on appeal [Sec. 9,
Rule 41].
Effect of appeal
General rule: The appeal shall stay the
judgment or final order.
Exceptions:
1. Civil cases decided under the Rule on
Summary Procedure, or
2. The CA, the law, or ROC provide
otherwise.
[Sec. 8(a), Rule 42]
Action on petition
The CA may:
1. Require the respondent to file a comment
on the petition, not a motion to dismiss,
within 10 days from notice; or
2. Dismiss the petition if it finds
a. The same to be patently without merit
or prosecuted manifestly for delay, or
b. That the questions raised therein are
too insubstantial to require
consideration.
[Sec. 4, Rule 42]
Note: Under this Rule, appeal is discretionary
on the CA which may give its due course only
when the petition shows prima facie that the
lower court has committed error [1 Riano 600,
2011 Ed.].
Contents of comment
1. In 7 legible copies
● Note: Under Sec. 5(b) of the Efficient
Use of Paper Rule [A.M. 11-9-4-SC],
file one original (properly marked) and
2 copies with their annexes with the CA
2. Certified true copies of such material
portions of the record referred to therein
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3. Together with other supporting papers
4. Whether or not he accepts the statement of
matters involved in the petition
5. Such insufficiencies or inaccuracies as he
believes exist in petitioner’s statement of
matters involved but without repetition, and
6. The reasons why the petition should not be
given due course.
A copy thereof shall be served on the petitioner
[Sec. 5, Rule 42].
Due course
1. If upon the filing of the comment or such
other pleadings as the court may allow or
require, or
2. After the expiration of the period for the
filing thereof without such comment or
pleading having been submitted,
the CA finds prima facie that the lower court
has committed an error of fact or law that
will warrant a reversal or modification of the
appealed decision, it may accordingly give
due course to the petition [Sec. 6, Rule 42].
Whenever the CA deems it necessary, it may
order the COC of the RTC to elevate the
original record of the case including the oral
and documentary evidence within 15 days from
notice [Sec. 7, Rule 42].
Submission for decision
1. If the petition is given due course, the CA
may
a. set the case for oral argument or
b. require the parties to submit
memoranda within a period of 15 days
from notice.
2. The case shall be deemed submitted for
decision upon the filing of the last pleading
or memorandum required by these Rules
or by the court itself.
[Sec. 9, Rule 42]
Rule 43 – Appeals from CTA, CSC,
and QJA
Court of Tax Appeals
Mode of review
The CTA is no longer a quasi-judicial
agency under R.A. 9282, as of April 7, 2004.
The CTA is no longer covered by Rule 43. A
party adversely affected by a decision or ruling
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of the CTA en banc may file with the SC a
verified petition for review on certiorari
under Rule 45 [Sec. 11, R.A. 9282 and A.M.
No. 07-7-12-SC].
Civil Service Commission
See Rule 43 on Review of QJAs below.
Ombudsman
Unappealable decisions
The following decisions are unappealable:
1. In administrative cases where respondent
is absolved of the charge
2. In case of conviction, where penalty
imposed is public censure or reprimand, or
suspension of not more than one month or
a fine equivalent to one month salary.
[Sec. 7, Rule III, Admin Order No. 7]
Jurisdiction of the CA
Appeals from decisions of the Office of the
Ombudsman in administrative disciplinary
cases should be taken to the CA under the
provisions of Rule 43 [Fabian v. Desierto,
G.R. No. 129742 (1998)].
Note: The CA has jurisdiction over orders,
directives and decisions of the Office of the
Ombudsman in administrative disciplinary
cases only. It cannot review the orders,
directives or decisions of the Office of the
Ombudsman in criminal or non-administrative
cases [Duyon v. The Former Special Fourth
Division of the Court Of Appeals, G.R. No.
172218 (2014)].
Jurisdiction of the SC
Decisions of the Ombudsman in criminal cases
are unappealable. However, where the
findings of the Ombudsman on the
existence of probable cause (in criminal
cases) are tainted with grave abuse of
discretion amounting to lack or excess of
jurisdiction, the aggrieved party may file before
the SC a petition for certiorari under Rule 65
[Duyon v. The Former Special Fourth Division
of the Court Of Appeals, G.R. No. 172218
(2014)].
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National Labor Relations Commission
Appeal from the NLRC
Appeal from quasi-judicial agencies under
Rule 43 does not apply to judgments or final
orders issued under the Labor Code [Sec. 2,
Rule 43].
The remedy of a party aggrieved by the
decision of the NLRC is to file a MR and, if
denied, file a special civil action for certiorari
under Rule 65 within 60 days from notice of
the decision. In observance of the doctrine of
hierarchy of courts, this should be filed with
the CA [St. Martin Funeral Homes v. NLRC,
G.R. No. 130866 (1998)].
From the CA, the remedy of the aggrieved
party is a petition for review by certiorari to
the SC [Dongon v. Rapid Movers and
Forwarders, G.R. No. 163431 (2013)].
Quasi-judicial Agencies
Scope
Appeals from awards, judgments, final orders,
or resolutions of or authorized by any quasi-
judicial agency (QJA) in the exercise of its
quasi-judicial functions [Sec. 1, Rule 43].
A quasi-judicial agency or body is an organ
of government other than a court and other
than a legislature, which affects the rights of
private parties though either adjudication or
rule-making [United Coconut Planters Bank v.
E. Ganzon, Inc., G.R. No. 168859 (2009)].
Quasi-judicial agencies covered by Rule 43:
1. Civil Service Commission
2. Securities and Exchange Commission
3. Office of the President
4. Land Registration Authority
5. Social Security Commission
6. Civil Aeronautics Board
7. Bureau of Patents, Trademarks and
Technology Transfer
8. National Electrification Administration
9. Energy Regulatory Board
10. National Telecommunications Commission
11. Department of Agrarian Reform under RA
6657
12. GSIS
13. Employees Compensation Commission
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14. Agricultural Inventions Board
15. Insurance Commission
16. Philippine Atomic Energy Commission
17. Board of Investment
18. Construction Industry Arbitration
Commission, and
19. Voluntary arbitrators authorized by law
Where to appeal
Appeal may be taken to the CA on questions of
fact, of law, or mixed questions of fact and law
[Sec. 3, Rule 43].
Period to appeal
Within 15 days from
1. Notice of award, judgment, final order, or
resolution, or
2. Date of its last publication, if publication is
required by law for its effectivity; or
3. Denial of petitioner’s MNT or MR duly filed
in accordance with the governing law of the
court or agency a quo.
[Sec. 4, Rule 43]
Extension of period
Upon proper motion and the payment of the full
amount of the docket fee before the expiration
of the reglementary period, the CA may grant
an additional period of 15 days only within
which to file the petition for review. No further
extension shall be granted except for the most
compelling reason and in no case to exceed 15
days [Sec. 4, Rule 43].
How taken
1. File a verified petition for review in 7 legible
copies with the CA
a. The original copy of the petition
intended for the CA shall be indicated
as such by the petitioner.
b. Under Sec. 5(b) of the Efficient Use of
Paper Rule [A.M. 11-9-4-SC], file one
original (properly marked) and 2 copies
with their annexes with the CA
2. Proof of service of a copy thereof on the
adverse party and on the court or agency a
quo.
3. Upon the filing of the petition, pay to the
COC of the CA the docketing and other
lawful fees and deposit PHP 500.00 for
costs.
a. Exemption from payment of docketing
and other lawful fees and the deposit
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for costs may be granted by the CA
upon a verified motion setting forth
valid grounds therefor.
b. If the CA denies the motion, the
petitioner shall pay the docketing and
other lawful fees and deposit for costs
within 15 days from notice of the denial.
[Sec. 5, Rule 43]
Contents of petition
1. Full names of parties to the case, without
impleading the court or agencies
2. Concise statement of facts and issues
involved, and grounds relied upon for
review
3. Clearly legible duplicate original or a
certified true copy of award, judgment, final
order, or resolution appealed from
4. Certified true copies of such material
portions of record referred to in the petition
and other supporting papers
5. Certificate of non-forum shopping
6. Statement of specific material dates
showing timeliness of appeal.
[Sec. 6, Rule 43]
Effect of failure to comply
Failure to comply with the following is sufficient
ground for the CA to dismiss the appeal:
1. Payment of docket and lawful fees
2. Deposit for costs
3. Proof of service of petition
4. Contents of petition
5. Documents which should accompany the
petition.
[Sec. 7, Rule 43]
Action on the petition
The CA may
1. Require the respondent to file a Comment
within 10 days from notice, or
2. Dismiss the petition if CA finds the same to
be
a. Patently without merit
b. Prosecuted manifestly for delay, or
c. Questions raised are too insubstantial
to require consideration.
[Sec. 8, Rule 43]
Contents of comment
1. Filed within 10 days from notice in 7 legible
copies,
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a. Under Sec. 5(b) of the Efficient Use of
Paper Rule [A.M. 11-9-4-SC], file one
original (properly marked) and 2 copies
with their annexes with the CA.
2. Accompanied by clearly legible certified
true copies of such material portions of the
record referred to therein together with
other supporting papers,
3. Point out insufficiencies or inaccuracies in
petitioner’s statement of facts and issues;
and
4. State the reasons why the petition should
be denied or dismissed.
5. A copy thereof shall be served on the
petitioner, and proof of such service shall
be filed with the CA.
[Sec. 9, Rule 43]
Due course
The CA may give due course to the petition
1. If upon
a. The filing of the comment or such other
pleadings or documents as may be
required or allowed by the CA or
b. The expiration of the period for the filing
thereof, and
2. On the basis of the petition or the records,
the CA finds prima facie that the court or
agency concerned has committed
errors of fact or law that would warrant
reversal or modification of the award,
judgment, final order or resolution sought
to be reviewed.
[Sec. 10, Rule 43]
The findings of fact of the court or agency
concerned, when supported by substantial
evidence, shall be binding on the CA [Sec. 10,
Rule 43].
Transmittal of records
Within 15 days from notice that the petition
has been given due course, the CA may
require the court or agency concerned to
transmit the original or a legible certified
true copy of the entire record of the
proceeding under review.
● The record to be transmitted may be
abridged by agreement of all parties to
the proceeding.
● The CA may require or permit subsequent
correction of or addition to the record.
[Sec. 11, Rule 43]
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Appeal from Judgments or Final Orders of
Effect of appeal The Court of Appeals
General rule: Appeal shall not stay the award,
judgment, final order or resolution sought to be Any alleged errors committed in the exercise
reviewed. of its jurisdiction will amount to nothing more
than errors of judgment which are reviewable
Exception: The CA shall direct otherwise upon by timely appeal and not by special civil
such terms as it may deem just [Sec. 12, Rule action of certiorari [Chuidian v.
43]. Sandiganbayan (Fifth Division), G.R. No.
139941 (2001)]].
Submission for decision
If petition is given due course, the CA may As provided in Rule 45, decisions, final
a. Set the case for oral argument or orders or resolutions of the CA in any case,
b. Require parties to submit memorandum i.e., regardless of the nature of the action or
within 15 days from notice. proceedings involved, may be appealed to
the SC by filing a petition for review, which
Upon filing of the last pleading or would be but a continuation of the appellate
memorandum required by the ROC or the CA, process over the original case [Fortune
case is deemed submitted for decision [Sec. Guarantee and Insurance Corporation v. CA,
13, Rule 43]. G.R. No. 110701 (2002)].
Certiorari as mode of appeal and as special
Rule 45 – Appeals by Certiorari to the civil action
Supreme Court Appeal by
Certiorari as SCA
certiorari
[Rule 65]
Appeal by certiorari from the RTC to the SC [Rule 45]
via Rule 45 Brings up for review, Writ of certiorari
RTC must have rendered judgment in the errors of judgment issues for the
exercise of its original jurisdiction [1 committed by the correction of
Regalado 609, 2010 Ed.]. court. errors of
jurisdiction only or
If the RTC is in exercise of its appellate grave abuse of
jurisdiction, proper remedy is to appeal to discretion amounting
the CA via Rule 42 even if only questions of to lack or excess of
law are raised [1 Regalado 609, 2010 Ed.]. jurisdiction [Silverio
v. CA, G.R.No. L-
Note: A question of law exists when there is a 39861 (1986)].
doubt/controversy as to what the law is on a Based on Petition raises the
certain state of facts. There is a question of fact questions of law issue as to whether
when the doubt/ difference arises as to the which the appellant the lower court
truth/ falsehood of facts [Ramos v. Pepsi, G.R. desires the acted without or in
No. L-22533 (1967)]. If the test is whether the appellant court to excess of
appellate court can determine the issue resolve. jurisdiction or with
raised without reviewing or evaluating the grave abuse of
evidence, it is a question of law. The question discretion.
must not involve the examination of the Involves the review May be directed
probative value of the evidence presented of the judgment, against an
[Vda. De Arroyo v. El Beaterio, G.R. No. L- award or final interlocutory order
22005 (1968)]. order on the merits. of the court prior to
appeal from the
Grave abuse of discretion is not an judgment or where
allowable ground under Rule 45 [Martires v. there is no appeal
CA, G.R. No. 78036-37 (1990)]. or any other plain,

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Appeal by Procedure [Rule 45]
Certiorari as SCA
certiorari File a verified petition for review on certiorari,
[Rule 65]
[Rule 45] which may include an application for a writ of
speedy, or preliminary injunction or other provisional
adequate remedy. remedies [Sec. 1].

Proof of service of a copy thereof on the

lower court concerned and on the adverse
party shall be submitted together with the
petition [Sec. 3].
↓
Must be made within May be filed not Pay the corresponding docket and other
the reglementary later than 60 days lawful fees to the COC of the SC and deposit
period for appeal. from notice of the the amount of ₱500.00 for costs at the time
judgment, order or of the filing of the petition [Sec. 3].
resolution sought to ↓
be assailed. SC may dismiss or deny the petition [Sec. 5],
or give due course to it [Sec. 8].
Stays the judgment, Unless a writ of ↓
award or order preliminary If the petition is given due course, the SC
appealed from. injunction or a TRO may require the elevation of the complete
shall have been record of the case or specified parts thereof
issued, does not within 15 days from notice [Sec. 8].
stay the challenged
proceeding. Propriety as a mode of appeal
Petitioner and The parties are the A party desiring to appeal by certiorari from a
respondent are the aggrieved party judgment or final order or resolution of the
original parties to against the lower CA, the Sandiganbayan, the RTC or other
the action, and the court or quasi- courts whenever authorized by law, may file
lower court or quasi- judicial agency and with the SC a verified petition for review on
judicial agency is the prevailing certiorari [Sec. 1, Rule 45].
not to be impleaded. parties, who
thereby respectively Only questions of law are allowed.
become the The petition shall raise only questions of law
petitioner and [Sec. 1, Rule 45].
respondents.
Prior filing of a MR MR is a condition Whether an appeal involves only questions of
is not required precedent [Villa law or both questions of law and fact is best left
[Sec. 1]. Rey Transit v. Bello, to the determination of an appellate court
G.R. No. L-18957 and not by the court which rendered the
(1963)], subject to decision appealed from [PNB v. Romillo, etc.,
certain exceptions. et al., G.R. No. L-70681 (1985)].
Appellate court is in Higher court
the exercise of its exercises original Questions of law Questions of fact
appellate jurisdiction under Doubt as to the truth
jurisdiction and its power of or falsehood of
power of review control and Doubt as to what the
facts, or as to
[Regalado 543-544, supervision over law is on certain
probative value of
1977 Ed.]. the proceedings of facts.
the evidence
lower courts presented.
[Regalado 543-544, If the appellate court
1977 Ed.]. The determination
can determine the
[2 Herrera 643-645, 2000 Ed.] involves evaluation
issue without

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Questions of law Questions of fact 5. The CA’s findings of fact are conflicting
reviewing or or review of [Casica v. Villaseca, G.R. No. L-9590
evaluating the evidence. (1957)]
evidence. 6. The CA, in making its findings, went
Query involves the beyond the issues of the case and the
calibration of the same is contrary to the admissions of both
whole evidence appellant and appellee [Nakpil & Sons v.
considering mainly CA, G.R. No. L-47851 (1986)]
the credibility of 7. The CA manifestly overlooked certain
Can involve relevant facts not disputed by the parties
witnesses,
questions of and which, if properly considered, would
existence, and
interpretation of law justify a different conclusion [Abellana v.
relevancy of specific
with respect to a Dosdos, G.R. No. L-19498 (1965)]
surrounding
certain set of facts. 8. The CA’s findings of fact are contrary to
circumstances and
relation to each those of the trial court, or are mere
other and the whole conclusions without citation of specific
probabilities of the evidence, or where the facts set forth by the
situation. petitioner are not disputed by the
[1 Regalado 609, 2010 Ed. citing Bernardo v. respondent, or where the findings of fact of
CA, G.R. No. 101680 (1992), Pilar the CA are premised on absence of
Development Corp. v. IAC, G.R. No. 72283 evidence but are contradicted by the
(1986); Vda. de Arroyo v. El Beaterio del evidence of record [Manlapaz v. CA, G.R.
Santissimo Rosario de Molo, G.R. No. L-22005 No. L-56589 (1987)].
(1968)]
Period of appeal
Conclusiveness of findings of fact Within 15 days from notice of the
1. Judgment or final order or resolution
General rule: The SC is not a trier of facts appealed from, or
and is not to review or calibrate the evidence 2. Denial of the petitioner’s MNT or MR filed
on record. Moreover, findings of facts of trial in due time after notice of the judgment.
court, as affirmed on appeal by the CA, are [Sec. 2, Rule 45]
conclusive on the court [Boston Bank of the
Philippines v. Manalo, G.R. No. 158149 Note: The Neypes doctrine which gives a
(2006)]. fresh 15-day period to the appellant is also
applicable to Rule 45 petitions [Neypes v. CA,
Exceptions: G.R. No. 141524 (2005)].
CA’s findings of fact may be reviewed by
the SC on appeal by certiorari when: Extension of period
1. Conclusion is a finding grounded entirely On motion duly filed and served, with full
on speculations, surmises or conjectures payment of the docket and other lawful fees
[Joaquin v. Navarro, G.R. No. L-5426 and the deposit for costs before the
(1953)] expiration of the reglementary period, the
2. Inference made is manifestly mistaken, SC may for justifiable reasons grant an
absurd or impossible [Luna v. Linatok, G.R. extension of 30 days only within which to file
No. 48403 (1942)] the petition [Sec. 2, Rule 45].
3. There is grave abuse of discretion in the
appreciation of facts [Buyco v. People, Form and contents of petition
G.R. No. L-6327 (1954)] 1. In 7 legible copies, with the original copy
4. Judgment is based on a misapprehension intended for the court being indicated as
of facts [De la Cruz v. Sosing, G.R. No. L- such by the petitionerm
4875 (1953)] a. Under Sec. 5(a) of the Efficient Use of
Paper Rule [A.M. 11-9-4-SC], file one
original (properly marked) and four

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copies, unless the case is referred to
the SC en banc, in which event, the
parties shall file ten additional copies
and simultaneously soft copies of the
same and their annexes (the latter in
PDF format) either by email to the SC’s
e-mail address or by compact disc
(CD)
2. Full names of the parties to the case,
without impleading the lower courts or
judges thereof either as petitioners or
respondents;
3. Specific material dates showing that it was
filed on time;
4. A concise statement of the
a. Matters involved
b. Issues raised
c. Specification of errors of fact or law, or
both, allegedly committed by the rtc,
and
d. Reasons or arguments relied upon for
the allowance of the appeal
5. Clearly legible duplicate originals or true
copies of the judgments or final orders of
both lower courts, certified correct by the
COC of the RTC,
6. Requisite number of plain copies thereof
and of the pleadings and other material
portions of the record as would support the
allegations of the petition
7. Certificate of non-forum shopping
[Sec. 2, Rule 45]
Grounds for denial of petition
The SC may dismiss the petition on motion or
motu proprio upon showing:
a. Failure of petitioner to comply with
1. Payment of docket or other lawful fees
2. Deposit for costs
3. Proof of Service; and
4. Contents of and documents which
would accompany the petition
b. Appeal is without merit
c. It is prosecuted manifestly for delay
d. That the questions raised are so
unsubstantial as to require consideration
[Sec. 5, Rule 45].
Note: Although the lower court is not a party to
the case, failure to present proof of service of
copies to the lower court and to the adverse
party shall result in the outright dismissal of the
appeal. This is because the service is for the
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purpose of giving the lower court notice that its
judgment should not be entered since it is not
yet executory due to the pending petition [1
Regalado 615-616, 2010 Ed.].
Review is discretionary
A review is not a matter of right, but of sound
judicial discretion, and will be granted only
when there are special and important
reasons therefore.
The following are examples that may be
considered by the court:
1. When the court a quo has decided a
question of substance, not theretofore
determined by the SC, or has decided it in
a way probably not in accord with law or
with the applicable decisions of the SC,
or
2. When the court a quo has so far departed
from the accepted and usual course of
judicial proceedings, or so far sanctioned
such departure by a lower court, as to call
for an exercise of the power of supervision.
[Sec. 6, Rule 45]
Elevation of records
If the petition is given due course, the SC may
require the elevation of the complete record of
the case or specified parts thereof within 15
days from notice [Sec. 8, Rule 45].
Appeal from Judgments or Final Orders of
The Sandiganbayan
Mode of review
Decisions and final orders of the
Sandiganbayan shall be appealable to the SC
by petition for review on certiorari raising
pure questions of law in accordance with Rule
45 of the ROC [Sec. 7, P.D. 1606, as
amended; and Sec. 1, Rule 45].
Appeal from Judgments or Final Orders of
The Court of Tax Appeals
Mode of review
The CTA is no longer a quasi-judicial
agency under R.A. 9282, as of April 7, 2004.
The CTA is no longer covered by Rule 43.
A party adversely affected by a decision or
ruling of the CTA en banc may file with the SC
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a verified petition for review on certiorari
under Rule 45 [Sec. 11, R.A. 9282 and A.M.
No. 07-7-12-SC].
Rule 64 – Review of judgments or final
orders of the COA and COMELEC
Review of Final Judgments or Final Orders
of The Commission on Audit
Mode of review
A judgment or final order or resolution of the
Commission on Audit (COA) may be brought
by the aggrieved party to the SC on certiorari
under Rule 65, except as hereinafter provided
[Sec. 2, Rule 64].
Filing of the petition
1. The petition shall be filed within 30 days
from notice of the judgment or final order or
resolution sought to be reviewed.
2. The filing of a MNT or MR of said judgment
or final order or resolution, if allowed under
the procedural rules of the Commission
concerned, shall interrupt the period
herein fixed.
3. If the motion is denied, the aggrieved party
may file the petition within the remaining
period, but which shall not be less than 5
days in any event, reckoned from notice of
denial [Sec. 3, Rule 45].
Effect of filing
The filing of a petition for certiorari shall not
stay the execution of the judgment or final
order or resolution sought to be reviewed,
unless the SC shall direct otherwise upon
such terms as it may deem just [Sec. 8, Rule
64].
When the decision, order or resolution
adversely affects the interest of any
government agency, the appeal may be taken
by the proper head of that agency [Sec. 1,
Rule XII, 2009 Revised Rules of Procedure of
the Commission on Audit].
Review of Final Judgments or Final Orders
of The Commission on Elections
Mode of review
A judgment or final order or resolution of the
Commission on Elections (COMELEC) may be
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brought by the aggrieved party to the SC on
certiorari under Rule 65, except as
hereinafter provided [Sec. 2, Rule 64].
Unless otherwise provided by law, or by any
specific provisions in the COMELEC Rules of
Procedure, any decision, order or ruling of the
Commission may be brought to the SC on
certiorari by the aggrieved party within 30
days from its promulgation [Sec. 1, Rule 37,
COMELEC Rules of Procedure].
Dismissal, reinstatement, and
withdrawal of appeal
Grounds for dismissal of appeal
1. Failure of the record on appeal to show on
its face that the appeal was taken within the
period fixed by the ROC,
2. Failure to file the notice of appeal or the
record on appeal within the period
prescribed by the ROC,
3. Failure of the appellant to pay the docket
and other lawful fees as provided in Sec. 4,
Rule 41,
4. Unauthorized alterations, omissions or
additions in the approved record on appeal
as provided in Sec. 4 of Rule 44,
5. Failure of the appellant to serve and file the
required number of copies of his brief or
memorandum within the time provided by
the ROC,
6. Absence of specific assignment of errors in
the appellant’s brief, or of page references
to the record as required in Sec. 13(a), (c),
(d) and (f) of Rule 44,
7. Failure of the appellant to take the
necessary steps for the correction or
completion of the record within the time
limited by the court in its order,
8. Failure of the appellant to appear at the
preliminary conference under Rule 48 or to
comply with orders, circulars, or directives
of the court without justifiable cause, and
9. The fact that order or judgment appealed
from is not appealable [Sec. 1, Rule 50].
10. Appeal under Rule 41 taken from the RTC
to the CA raising only questions of law,
11. Appeal by notice of appeal instead of by
petition for review from the appellate
judgment of a RTC [Sec. 2, Rule 50].
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Other grounds The appeal may be dismissed motu proprio or
1. By agreement of the parties (i.e. amicable on motion of the respondent on the following
settlement) grounds:
2. Where appealed case has become moot or 1. Failure to take the appeal within the
academic reglementary period,
3. Where appeal is frivolous or dilatory 2. Lack of merit in the petition,
[1 Regalado 644-645, 2010 Ed.] 3. Failure to pay the requisite docket fee and
other lawful fees or to make a deposit for
Withdrawal of appeal costs,
4. Failure to comply with the requirements
1. An appeal may be with­drawn as a matter regarding proof of service and contents of
of right at any time before the filing of and the documents which should
the appellee’s brief. accompany the petition,
2. Thereafter, the withdrawal may be allowed 5. Failure to comply with any circular,
in the discretion of the court [Sec. 3, Rule directive or order of the SC without
50]. justifiable cause,
6. Error in the choice or mode of appeal, and
Dismissal by the SC 7. The fact that the case is not appealable to
the SC [Sec. 5, Rule 56].

Comparative table on the modes of appeal

When Proper
RULE 40 RULE 41 RULE 42 RULE 43 RULE 45
ORDINARY APPEAL
Matter of Right; Filed with the court PETITIONS FOR REVIEW
of origin Discretionary; No records are elevated unless the court decrees it
All records are elevated from court Filed with the appellate court
of origin
Appeal from
Appeal from a a decision of Appeals to the SC from a
judgment or final the RTC in judgment or final order or
order of a the exercise resolution of the CA,
MTC/MeTC/MCTC of its original Appeals from Sandiganbayan, RTC or
jurisdiction awards, judgments, such other courts as may
Appeal from a
final orders or be authorized by law
decision of the
resolution of or
RTC rendered in Decisions, final orders, or
authorized by any
the exercise of its resolutions of the CA in
quasi-judicial
appellate any case, regardless of
Rule 41 provisions shall apply to agency in the
jurisdiction the nature of the action or
Rule 40 if not consistent with Rule exercise of its quasi-
40 provisions judicial functions proceedings involved,
may be appealed to the
SC by filing a petition for
review

Where to File
RULE 40 RULE 41 RULE 42 RULE 43 RULE 45
Filed with
Filed with the MTC the RTC Filed with the CA Filed with the CA Filed with the SC
Appeal to the RTC Appeal to Appeal to the CA Appeal to the CA Appeal to the SC
the CA
Questions of fact,
Questions of Questions of fact, questions of law, or
Questions of fact or
fact or mixed questions of law, mixed questions of
mixed questions of Only questions of law
questions of or mixed fact and law
fact and law
fact and law questions of both

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Time for Filing
RULE 40 RULE 41 RULE 42 RULE 43 RULE 45
Within 15 days from:
1. Notice of award,
judgment, final Within 15 days from:
BY NOTICE OF APPEAL order, or 1. Notice of judgment,
Within 15 days
Within 15 days after notice of resolution; final order, or
from notice of
judgment or final order 2. Date of resolution appealed
decision, or
Within 15 days publication, if from; or
BY RECORD ON APPEAL
from notice of publication is 2. Notice of denial of
Within 30 days from notice of
denial of required by law MNT or
judgment or final order by filing a
petitioner’s MNT for its effectivity; reconsideration filed
notice of appeal and a record on
or reconsideration or in due time after
appeal
3. Denial of notice of judgment
petitioner’s MNT
or MR

3. Petition for relief from judgment inexcusable negligence or due to a mistake of

(Rule 38) procedure by counsel [Fukuzumi v. Sanritsu
Great International Corporation, G.R. No.
Nature 140630 (2004)].
A legal remedy whereby a party seeks to set
aside a judgment rendered against him by a Motion for new trial and petition for relief
court whenever he was unjustly deprived of Motion for New Petition for Relief
a hearing or was prevented from taking an Trial [Rule 38]
appeal because of fraud, accident, mistake, [Rule 37]
or excusable negligence (FAME) [Quelnan v. Available before Available after
VHF Phils, G.R. No. 138500 (2005)]. judgment becomes judgment has
final and executory become final and
A petition for relief from judgment is an executory
equitable remedy allowed only in exceptional Applies to Applies to
cases when there is no other available or judgments or final judgments, final
adequate remedy. When a party has another orders only orders and other
remedy available, either MNT or appeal, and proceedings
he was not prevented by FAME from filing such Grounds: Ground: FAME
motion or taking such appeal, he cannot avail 1. FAME; or
himself of this petition [Trust International 2. Newly
Paper Corp. v. Pelaez, G.R. No. 164871 discovered
(2006)]. evidence
Filed within the time Filed:
In addition, a petition for relief is available to appeal 1. Within 60 days
only when the loss of the remedy was due to from knowledge
the petitioner’s own fault [Tuason v CA, G.R. of judgment; and
No. 116607 (1996)].
2. Within 6
months from
Relief under Rule 38 will not be granted to a
party who seeks to be relieved from the effects entry of
of the judgment when the loss of the remedy of judgment
law was due to his own negligence, or a If denied, order of If denied, order
mistaken mode of procedure for that denial is not denying a petition
matter; otherwise, the petition for relief will be appealable; hence, for relief is not
tantamount to reviving the right of appeal which remedy is appeal appealable;
has already been lost either because of from judgment remedy is

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Motion for New Petition for Relief
Trial [Rule 38]
[Rule 37]
appropriate civil
action under Rule
65
Legal remedy Equitable remedy
Motion need not be Petition must be
verified verified
These remedies are mutually exclusive
[Francisco v. Puno, G.R. No. L-55694
(1981)].
[1 Regalado 426-437, 441-442, 2010 Ed.]
When proper
When a judgment or final order is entered, or
any other proceeding is thereafter taken
against a party in any court through FAME
[Sec. 1, Rule 38].
Thus, it was held that a petition for relief is
also applicable to a proceeding taken after
entry of judgment or final order such as an
order of execution [Cayetano v. Ceguerra,
G.R. No. L-18831 (1965)] or an order
dismissing an appeal [Medran v. CA, G.R.
No. L-1350 (1949)].
A party who has filed a timely MNT or MR
can no longer file a petition for relief from
judgment after his motion has been denied
[Francisco v. Puno, G.R. No. L-55694 (1981)].
A petition for relief is not an available remedy
in the SC or the CA [Purcon vs MRM
Philippines Inc., G.R. No. 182718 (2008)].
Grounds for Availing of the Remedy
1. When judgment or final order is entered, or
any other proceeding is thereafter taken
against petitioner through FAME
● Petition is filed in the same court, in the
same case with prayer for the
judgment, order, proceeding to be set
aside.
2. When petitioner has been prevented from
taking an appeal by FAME
● Petition is filed in the same court, in the
same case with prayer for the appeal to
be given due course.
[Secs. 1-2, Rule 38]
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Note: “Extrinsic fraud” - fraud which the
prevailing party caused to prevent the losing
party from being heard on his action or
defense. Such fraud concerns not the
judgment itself but the manner in which it was
obtained [AFP Mutual Benefit Association, Inc.
v. RTC-Marikina City, G.R. No. 183906
(2011)].
Time to File Petition
1. Within 60 days after the petitioner learns
of the judgment, final order, or other
proceeding to be set aside, and
2. Not more than 6 months after such
judgment or final order was entered, or
such proceeding was taken.
[Sec. 3, Rule 38]
Note: These two periods must concur, are
not extendible and are never interrupted.
Strict compliance with these periods stems
from the equitable character and nature of the
petition for relief. Such petition is actually the
“last chance” given by law to litigants to
question a final judgment or order. Failure to
avail of such chance, within the grace period
fixed by the Rules, is fatal [Quelnan v. VHF
Phils, G.R. No. 138500 (2005)].
Contents of Petition
The petition must be:
1. Verified;
2. Accompanied by an affidavit showing the
FAME relied upon; and
3. The facts constituting the petitioner’s good
and substantial cause of action or defense,
as the case may be.
[Sec. 3, Rule 38]
Note: A petition for relief from judgment may
only be availed of by a party to the proceeding
[Alaban vs CA, 470 SCRA 697, 705].
The absence of an affidavit of merits is a
fatal defect and warrants denial of the petition
[Fernandez v. Tan Tiong Tick, G.R. No. 15877
(1961)]. However, it is not a fatal defect so long
as the facts required to be set out also
appear in the verified petition [Fabar Inc. v.
Rodelas, G.R. No. L-46394 (1977)].
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When affidavit of merit is not necessary:
1. When there is lack of jurisdiction over the
defendant;
2. When there is lack of jurisdiction over the
subject matter;
3. When judgment was taken by default;
4. When judgment was entered by mistake or
was obtained by fraud; or
5. Other similar cases.
[1 Regalado 434-435, 2010 Ed.]
Order to file answer
If the petition is sufficient in form and
substance to justify relief, the court in which it
is filed, shall issue an order requiring the
adverse parties to answer the same within 15
days from the receipt thereof.
● The order shall be served in such manner
as the court may direct, together with
copies of the petition and the
accompanying affidavits.
[Sec. 4, Rule 38]
Note: Failure to answer the petition for relief
does not constitute default. Even without it, the
court will still have to hear the petition on the
merits [1 Regalado 447. 2010 Ed.].
Proceedings after answer is filed
After the filing of the answer or the expiration of
the period therefore, the court shall hear the
petition
a. If the allegations are not true, the petition
shall be dismissed
b. If the allegations are true, it shall set
aside the judgment or final order or
other proceeding complained of upon
such terms as may be just and the case
shall stand as if such judgment, final order
or other proceeding had never been
rendered, issued or taken. The court shall
then proceed to hear and determine the
case as if a timely motion for a new trial
or reconsideration had been granted by
it.
[Sec. 3, Rule 38]
Note: Where the denial of an appeal is set
aside, the lower court shall be required to give
due course to the appeal and to elevate the
record of the appealed case as if a timely
and proper appeal had been made [Sec. 7,
Rule 38].
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Remedy for denial of petition for relief
Appeal from an order denying a petition for
relief is no longer available under the present
rules [1 Regalado 437, 2010 Ed. citing Sec. 1,
Rule 41].
Note: An order granting a petition for relief is
interlocutory and non-appealable [1 Regalado
447, 2010 Ed.].
The remedy against a denial of a petition for
relief is certiorari under Rule 65, when proper
[1 Regalado 437, 2010 Ed.].
4. Annulment of judgment by the
Court of Appeals (Rule 47)
Nature
An action for annulment of judgment is a
remedy in equity exceptional in character
availed of only when other remedies are
wanting [Spouses Teano vs The Municipality of
Navotas, G.R. No. 205814 (2016)].
It is a remedy independent of the case where
the judgment sought to be annulled is
rendered. It is not the continuation of the same
case, like in the reliefs of MR, appeal, or
petition for relief [CIR vs Kepco Ilijan Corp.,
G.R. No. 199422 (2016)].
Such remedy is considered an exception to the
final judgment rule or the doctrine of
immutability of judgments [Diona v. Balangue,
688 SCRA 22, 34, (2013)].
Purpose
The purpose of such action is to have the final
and executory judgment set aside so that there
will be a renewal of litigation [Spouses Teano
v. The Municipality of Navotas, G.R. No.
205814 (2016)].
When proper
An action for annulment of judgment may be
availed of even if the judgment to be annulled
has already been fully executed or
implemented [Islamic Da’wah Council of the
Philippines. v. CA, G.R. No. 80892 (1989)].
When not available
The remedy may not be invoked:
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a. Where the party has availed himself of the availed of, in a MNT or petition for
remedy of new trial, appeal, petition for relief.
review, or other appropriate remedy and b. Lack of jurisdiction [Sec. 2, Rule 47].
lost, or
b. Where he has failed to avail himself of Extrinsic fraud
those remedies through his own fault or It refers to any fraudulent act of the prevailing
negligence. party in litigation committed outside the trial
[Republic v. ‘G’ Holdings, Inc., G.R. No. of the case where the defeated party
141241 (2005)] prevented from fully exhibiting his side by
fraud or deception practiced on him by his
Note: It is a condition sine qua non that one opponents like:
must have failed to avail of those remedies, a. Keeping him away from court,
through no fault attributable to him. Otherwise, b. Giving him false promise of a compromise,
he would benefit from his own inaction or or
negligence [Republic v. De Castro, G.R. No. c. Where an attorney fraudulently or without
189724 (2011)]. authority connives at his defeat.
[Cagayan Economic Zone Authority vs
Where filed Meridien Vista Gaming Corp, G.R. No. 194962
Judgment, Final Judgment, Final (2016)]
Order or Order or Note: Use of forged instruments, perjured
Resolution of the Resolution of the testimonies, or other manufactured evidence is
RTC MTC, etc. not extrinsic fraud since such evidence does
Filed with the CA Filed with the RTC not preclude a party’s participation in trial
[Sec. 1, Rule 47] [Sec. 19(6), BP 129] [Bobis v. CA, G.R. No. 113796 (2000), and
CA has exclusive Conde v. IAC, G.R. No. 70443 (1986)].
RTC as a court of
and original
general jurisdiction Lack of jurisdiction
jurisdiction over said
under Sec. 19(6), BP Either lack of jurisdiction over the person of the
action under Sec.
129. defending party, or over the subject matter of
9(2) of BP 129.
The CA may dismiss the claim [1 Regalado 630, 2010 Ed.].
The RTC has no
the case outright; it
such discretion, it is Petitioner must show absolute lack of
has the discretion on
required to consider jurisdiction and not mere abuse of judicial
whether or not to
it as an ordinary civil discretion; a claim of grave abuse of discretion
entertain the petition
action. will support a petition for certiorari but not an
[Sec. 5, Rule 47].
action for annulment of judgment [1 Riano 633,
Who can file 2011 Ed.].
A person who is not a party to the judgment
may sue for its annulment provided that he can Only evidence found in the record can justify
prove: nullity [Arcelona v. CA, G.R. No. 102900
a. The judgment was obtained through fraud (1997)].
or collusion, and
b. He would be adversely affected thereby Form and contents of petition
[Alaban v. CA, G.R. No. 156021 (2005)]. 1. Verified petition, alleging therein:
a. With particularity the facts and the law
Grounds for Annulment relied upon
b. Petitioner’s good and substantial cause
The annulment may be based only on the of action or defense
grounds of: 2. In 7 clearly legible copies, together with
a. Extrinsic fraud, and sufficient copies corresponding to the
● Note: Such shall not be a valid ground number of respondents
if it was availed of, or could have been 3. Certified true copy of the judgment or final
order or resolution shall be attached to the

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original copy of the petition intended for the
court and indicated as such by the Based on extrinsic fraud
petitioner The court may on motion order the trial court
4. Affidavits of witnesses or documents to try the case as if a timely motion for new
supporting the cause of action or defense; trial had been granted therein [Sec. 7, Rule 47].
and
5. Certificate of non-forum shopping. Difference: When it is based on extrinsic fraud,
[Sec. 3, Rule 47] the original judgment was not tainted by
jurisdictional defects but by the deception
Period to File Action which then resulted in the prejudicial error [1
Regalado 635-636, 2010 Ed.].
Extrinsic Lack of
fraud jurisdiction Note: The judgment of annulment may include
Before it is the award of damages, attorney’s fees, and
Period for 4 years from barred by other reliefs [Sec. 9, Rule 47].
filing discovery laches or
estoppel Effect on prescriptive period for refiling of
[Sec. 3, Rule 47] the original action
Note: There must be a manifest showing with When suspended - from the filing of said
petition that it was filed within the 4-yr period [1 original action until the finality of the judgment
Regalado 532, 2010 Ed.]. of annulment.

Action of the court When not suspended - where the extrinsic

1. Should the court find no substantial merit
in the petition, the same may be
dismissed outright with specific reasons
for such dismissal.
2. Should prima facie merit be found in the
petition, the same shall be given due
course and summons shall be served on
the respondent.
[Sec. 5, Rule 47]
Procedure
The procedure in ordinary civil cases shall
be observed. Should a trial be necessary, the
reception of the evidence may be referred to a
member of the court or a judge of a RTC [Sec.
6, Rule 47].
Note: Prima facie determination is not available
in annulment of judgments or final orders of
MTCs before the RTC [Sec. 10, Rule 47].
Effects of Judgment of Annulment
Based on lack of jurisdiction
A judgment of annulment shall set aside the
questioned judgment or final order or
resolution and render the same null and void,
without prejudice to the original action
being refiled in the proper court [Sec. 7, Rule
47].
fraud is attributable to the plaintiff in the original
action [Sec. 8, Rule 47].
5. Collateral attack on judgments
Direct attack vs. Collateral attack
a. Direct attack - The object of an action is to
annul or set aside such judgment or enjoin
its enforcement.
b. Collateral/Indirect attack - In an action to
obtain a different relief, an attack on the
judgment or proceeding is made as an
incident thereof [Hortizuela v. Tagufa, G.R.
No. 205867 (2015)].
The validity of a judgment or order of the
court, which has become final and
executory, may be attacked in three ways:
a. By a direct action or proceeding to annul
the same
● To annul and enjoin enforcement of the
judgment, where the alleged defect is
not apparent on its face or from the
recitals contained in the judgment; See
Rule 47
b. By direct action, as certiorari, or by
collateral attack in case of apparent nullity
● The collateral attack must be against a
challenged judgment which is void
upon its face as where it is patent that

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the court which rendered said
judgment has no jurisdiction or that the
nullity of the judgment is apparent from
its own recitals
c. By a Petition for Relief under Rule 38
● Must be taken in the same action or
proceeding in which the judgment or
order was entered.
[1 Regalado 454-456, 2010 Ed.]
Void judgment
1. Considered as no judgment at all.
2. Cannot be the source of any right nor the
creator of any obligation.
3. All acts performed pursuant to it and all
claims emanating from it have no legal
effect.
4. Can never become final and any writ of
execution based on it is void.
[Polystyrene Manufacturing v. Privatization
Management, G.R. No. 171336 (2007)]
Attacking a void judgment
1. It may be assailed any time, and
2. It may be done collaterally or in a direct
action unless barred by laches.
[Spouses Benatiro v. Heirs of Cuyos, G.R. No.
161220 (2008)]
Remedies
If the period for appeal has not yet lapsed:
1. New Trial and Reconsideration [Rule 37],
2. Appeal [Rules 40-45],
3. Petition for Relief [Rule 48], and
4. Other appropriate remedies such as
certiorari.
[1 Riano 60, 2011 Ed.]
If the appropriate remedies are no longer
available without the fault of the petitioner, he
may avail of a petition for Annulment of
Judgment [Rule 47] [Mandy Commodities Co.
Inc. v ICBC, G.R. No. 166734 (2009)].
Note: When all else fails, there is jurisprudence
to the effect that a patently void judgment may
be dealt with by a Main Action for Injunction
[Barrameda v. Moir, G.R. No. L-7927 (1913)].
Rule 65 as a remedy from judgment
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Denial of Motion to Dismiss
The remedy of a petition for certiorari under
Rule 65 is available only when the denial of the
motion to dismiss is tainted with grave abuse of
discretion. Generally, the proper remedy
against the denial of a motion to dismiss would
be going through the usual trial process, and
later, filing a timely appeal against an adverse
judgement [1 Riano 412, 2016 Bantam Ed.].
Denial of Motion to Dismiss
An order denying a MNT or MR is not
appealable. The remedy is an appeal from
the judgment or final order [Sec 9, Rule 37].
Remedy Against Judgments and Orders
Which Are Not Appealable
In those instances where the judgment or final
order is not appealable, the aggrieved party
may file the appropriate special civil action
under Rule 65.
Under Sec. 1, Rule 41, the following are not
appealable:
1. An order denying a petition for relief or any
similar motion seeking relief from
judgment;
2. An interlocutory order;
3. An order disallowing or dismissing an
appeal;
4. An order denying a motion to set aside a
judgment by consent, confession or
compromise on the ground of fraud,
mistake or duress, or any other ground
vitiating consent;
5. An order of execution;
6. A judgment or final order for or against one
or more of several parties or in separate
claims, counterclaims, cross-claims and
third-party complaints, while the main case
is pending, unless the court allows an
appeal therefrom; and
7. An order dismissing an action without
prejudice [Sec. 1, Rule 41].
Other Judgments, Final Orders, or
Resolutions Which May Be Brought to the
SC Under Rule 65
1. Judgment, final order, or resolution of the
COA;
2. Judgment, final order, or resolution of the
COMELEC; [Sec. 2, Rule 64]
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3. Findings of the Ombudsman on the declares categorically what the rights and
existence of probable cause [Duyon v. The obligations of the parties are and which
Former Special Fourth Division of the Court party is in the right; or
of Appeals, G.R. No. 172218 (2014)] b. A judgment or order that dismisses an
4. Denial of petition for relief [1 Regalado 437, action on the ground, for instance, of res
2010 Ed.] judicata or prescription.
5. Discretionary execution [Heirs of Dimaampao v. Alug, G.R. No. 198223
(2015)]
U. Execution, Satisfaction, and
Finality for purposes of appeal refers to the
Effect of Judgments (Rule 39) distinction between “final judgments or orders”
and “interlocutory orders,” which cannot be
Definition appealed according to Sec. 1(b), Rule 41 [1
Execution is a remedy afforded by law for the Regalado 450, 2010 Ed.].
enforcement of a judgment. It is a judicial
writ issued to an officer authorizing and Finality for purposes of execution refers to
requiring him to execute the judgment of the the judgment being “final and executory” upon
court [Pamantasan ng Lungsod ng Maynila v. the lapse of the appeal period if no appeal is
IAC, G.R. No. L-65439 (1986), citing 2 taken, upon which execution shall issue as a
Francisco, 592-593, 1966 Ed.]. matter of right according to Sec. 1, Rule 39 [1
Regalado 449-450, 2010 Ed., see Perez v.
Note: The prevailing party can secure certified Zulueta, G.R. No. L-10374 (1959)].
true copies of the judgment or final order of the
appellate court, the entry thereof, and submit it A judgment becomes “final and executory”
to the court of origin to justify a motion for a writ by operation of law [Prieto v. Alpadi
of execution even without waiting for receipt of Development Corporation, G.R. No. 191025
the records from the appellate court [Circular (2013)].
No. 24-94].
Final and Executory
The appellate court can also direct the Final Judgments
Judgments
issuance of the writ of execution upon motion Final judgments Judgments become
in the same while the records are still with the finally dispose of, final and executory by
appellate court, or even after remand to the adjudicate, or operation of law after
lower court [1 Regalado 452, 2010 Ed.]. determine the rights the lapse of the period
of the parties, for appeal without an
Difference Between Finality of HOWEVER, they are appeal being filed
Judgment for Purposes of Appeal and not yet “final and [Cadena v. Civil
executory” pending Service Commission,
for Purposes of Execution the expiration of the G.R. No. 191412
reglementary period (2012)].
A judgment is final if it disposes of the action for appeal [1
as distinguished from an interlocutory order Regalado 450, 2010
which leaves something to be done with Ed.].
respect to the merits of the case, and it is During that period, After the lapse of the
executory if the period to appeal has expired the winning party reglementary period to
and no appeal is taken [2 Herrera 281, 2007 cannot demand the appeal, the prevailing
Ed.; 1 Regalado 450, 2010 Ed.]. execution of the party is entitled to a
judgment yet as a writ of execution, and
A final judgment or order is one that finally right [City of Manila issuance thereof is a
disposes of a case, leaving nothing more to be v. CA, G.R. No. ministerial duty of the
done by the court in respect thereto. Examples 100626 (1991)]. court [City of Manila v.
include: CA, G.R. No. 100626
a. An adjudication on the merits which, on the (1991)].
basis of the evidence presented at the trial,

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When Execution Shall Issue
General rule: Execution shall issue as a matter
of right, on motion, upon a judgment or order
that disposes of the action or proceeding
upon the expiration of the period to appeal
therefrom if no appeal has been duly perfected
[Sec. 1, Rule 39].
Exceptions: The following are immediately
executory without the expiration of the period
to appeal
a. Judgments in actions for injunction,
receivership, accounting and support,
and such other judgments as are now or
may hereafter be declared to be
immediately executory [Sec. 1, Rule 39].
b. Judgments in an action for forcible entry
or unlawful detainer rendered against the
defendant [Sec. 19, Rule 39].
c. The decision of the Regional Trial Court in
civil cases governed by the Rules on
Summary Procedure [Sec. 21, Rules on
Summary Procedure].
d. The decision of the Labor Arbiter
reinstating a dismissed or separated
employee [Art. 229, Labor Code].
Exception to the exception: The appellate
court in its discretion may make an order
suspending, modifying, restoring, or granting
the injunction, receivership, accounting, or
award of support. The stay of execution shall
be upon such terms as to bond or otherwise as
may be considered proper for the security or
protection of the rights of the adverse party
[Sec. 1, Rule 39].
Quashal of a writ of execution
General rule: The execution of final and
executory judgments may no longer be
contested and prevented, and no appeal
should lie therefrom [1 Riano 609, 2016 Ed.].
Exception: These exceptional circumstances
may prevent the execution of a judgment or
allow the quashal of a writ of execution already
issued:
1. Improvidently issued
2. Defective in substance
3. Issued against wrong party
4. Issued without authority
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5. Inequitable due to change in situation of
parties
6. Controversy was never validly submitted to
court [Sandico v. Piguing, G.R. No. L-
26115 (1971)]
7. The writ varies the terms of the judgment,
there is ambiguity in the terms of the
judgment or when it is sought to be
enforced against property exempt from
execution [Limpin v. IAC, G.R. No 70987
(1987)]
8. There is substantial variance between the
judgment and the writ of execution issued
to enforce the same [Malacora v. CA, G.R.
No. 51042 (1982)].
[1 Regalado 453, 2010 Ed.]
Note: These defects may be challenged on
appeal or in certiorari, prohibition, or
mandamus actions [Limpin v. IAC, G.R. No
70987 (1987)].
Execution as a Matter of Right
Execution as a matter of right is available in
two instances
1. Upon the expiration of the period to appeal
therefrom if no appeal has been duly
perfected.
2. Appeal has been duly perfected and finally
resolved.
[Sec. 1, Rule 39]
How done
1. If no appeal is perfected upon the
expiration of the period to appeal
therefrom, on motion.
2. If the appeal has been duly perfected
and finally resolved, the execution may
a. Be applied for in the court of origin,
b. On motion of the judgment obligee,
c. Submitting certified true copies of the
judgment or judgments or final order or
orders sought to be enforced and of the
entry thereof, with notice to the adverse
party.
[Sec. 1, Rule 39]
Necessity of hearing
An ex parte motion for the issuance of the writ
would suffice since the trial court may take
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judicial notice of the record of the case to
determine the propriety of the issuance thereof.
However, where the losing party shows that
subsequent facts had taken place which
would render execution unjust, a hearing
on the motion should be held [Luzon Surety
Co. v. Beson, G.R. No. L-26865-66 (1976)].
General rule:
Issuance of the writ of execution is a matter of
right on the part of the prevailing party when
the judgment or order becomes executory
[1 Regalado 453, 2010 Ed.].
Exceptions:
The issuance of a writ of execution which
issues as a matter of right can be countered in
any of the following cases:
a. When the judgment has already been
executed by the voluntary compliance
thereof by the parties;
b. When a judgment has been novated by the
parties;
c. When a petition for review is filed and
preliminary injunction is granted; Also,
when execution of the judgment has been
enjoined by a higher court;
d. When the judgment sought to be executed
is conditional or incomplete;
e. When facts and circumstances transpire
which would render execution inequitable
or unjust;
f. When execution is sought more than five
(5) years from its entry without it having
been revived;
g. When execution is sought against property
exempt from execution;
h. When refusal to execute the judgment has
become imperative in the higher interest of
justice.
[1 Riano 647-648, 2014 Bantam Ed.]
Supervening event doctrine
A supervening event can be invoked for the
modification or alteration of a final
judgment. This refers to:
a. Facts which transpire after judgment has
become final and executory;
b. New circumstances which developed after
the judgment has acquired finality;
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c. Matters which the parties were not aware
of prior to or during the trial as they were
not yet in existence at that time.
The supervening facts or circumstances must
either
a. Bear a direct effect upon the matters
already litigated and settled, or
b. Create a substantial change in the rights or
relations of the parties therein which render
execution of the final judgment unjust,
impossible, or inequitable.
[Abrigo, et al. v. Flores, et al., G.R. No. 160786
(2013)]
Discretionary Execution
The issuance of a writ of execution is
discretionary on the part of the court when it
is for the
a. Execution of a judgment or final order
pending appeal, or
b. Execution of several, separate, or partial
judgments.
[Sec. 2, Rule 39]
Note: The period to appeal where an MR has
been filed commences only upon the receipt of
a copy of the order disposing of the MR. The
pendency of the MR prevents the running of the
period to appeal. When there is a pending MR,
an order of execution pending appeal is
improper and premature [JP Latex
Technology, Inc. v. Ballons Granger Balloons,
Inc., et al., G.R. No. 177121 (2009)].
Discretionary execution is not applicable in
the case of the CA
A judgment of the CA cannot be executed
pending appeal [Heirs of Justice JBL Reyes v.
CA, G.R. No. 135180-81 (2000)].
Where motion filed
1. In the trial court
● While it has jurisdiction over the case
and is in possession of the original
record or record on appeal
2. In the appellate court
● After the trial court has lost jurisdiction.
[Sec. 2, Rule 39]
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Requisites
1. Motion filed by the prevailing party with
notice to the adverse party,
2. Filed with either the trial court or appellate
court,
3. Hearing on the motion for discretionary
execution,
4. There must be good reasons to justify the
discretionary execution, and
5. The good reasons must be stated in a
special order [Sec. 2, Rule 39].
“Good reasons”
Compelling circumstances justifying the
immediate execution lest judgment becomes
illusory, or the prevailing party may after the
lapse of time become unable to enjoy it [Far
East Bank v. Toh, G.R. No. 144018 (2003)].
Mere issuance of a bond to answer for
damages is no longer considered a good
reason for execution pending appeal [Planters
Products v. CA, G.R. No. 106052 (1999)].
Mere allegation that the appeal is dilatory is not
a good reason to merit discretionary execution.
Nor is the fact that the prevailing party is in
financial distress [Intramuros Tennis Club vs
CA, G.R. No. 135630 (2000)].
Examples of good reasons:
1. Where the goods subject of the judgment
stand to perish or deteriorate during the
pendency of the appeal [Yasuda v. CA,
G.R. No. 112569 (2000)].
2. The award of actual damages is for an
amount fixed and certain, but not an award
for moral and exemplary damages [Radio
Communications Inc. v. Lantin, G.R. No. L-
59311 (1985)].
3. Insolvency of a defeated party [Hacienda
Navarro v. Labrador, G.R. No. L-45912
(1938)].
4. The prevailing party is of advanced age
and in a precarious state of health and the
obligation in the judgment is non-
transmissible, being for support [De Leon
v. Soriano, G.R. No. L-7648 (1954)].
5. Where defendants were exhausting their
income and have no other property aside
from proceeds of the property subject in
litigation [Lao v. Mencias, G.R. No. L-
23554 (1967)].
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Stay of discretionary execution
Discretionary execution issued may be stayed
upon approval by the proper court of a
sufficient supersedeas bond
a. Filed by the party against whom it is
directed, and
b. Conditioned upon the performance of the
judgment or order allowed to be executed
in case it shall be finally sustained in whole
or in part.
Note: The bond may be proceeded against on
motion with notice to the surety [Sec. 3, Rule
39].
General rule: The filing of a supersedeas
bond is sufficient to stay the enforcement of
a discretionary execution [Sec. 3, Rule 39].
Exception: Where the needs of the
prevailing party are urgent, the Court can
order immediate execution despite such
supersedeas bond [1 Regalado 466, 2010 Ed.].
If judgment is reversed totally or partially,
or annulled, on appeal or otherwise
The trial court may, on motion, issue such
orders of restitution or reparation of
damages as equity and justice may warrant
under the circumstances [Sec. 5, Rule 39].
Restitution - The property itself must be
returned to the judgment debtor, if the same is
still in the possession of the judgment creditor,
plus compensation to the former for the
deprivation and use of the property [1
Regalado 467, 2010 Ed.].
Reparation of damages:
a. If the purchaser at the public auction
was the judgment creditor, pay the full
value of the property at the time of its
seizure plus interest
b. If the purchaser at public auction was a
third person, judgment creditor must pay
the judgment debtor the amount realized
from the sale with interest thereon; and
c. If the judgment award was reduced on
appeal, the judgment creditor must return
to the judgment debtor only the excess
which he received over and above that to
which he is entitled under the final
judgment, with interest on such excess.
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[Po Pauco v. Tan Juco, G.R. No. L-63188 How enforced
(1990)] A revived judgment may also be enforced the
same way [Sec. 6, Rule 39].
Remedy against discretionary execution
The remedy is certiorari by Rule 65. Note: The 10-year prescriptive period
Note: The fact that the losing party has also commences to run from the date of finality of
appealed from the judgment does not bar the revived judgment and not the original
certiorari proceedings as the appeal could not judgment [PNB v. Bondoc, G.R. No. L-20236
be an adequate remedy from such premature (1965)].
execution [Jaca v. Davao Lumber Co., G.R.
No. L-25771 (1982)]. Time periods
The time periods provided may be stayed by:
How a Judgment is Executed a. Agreement of the parties for a definite time,
b. Injunction, or
Execution by Motion or by Independent c. Taking of an appeal or writ of error.
Action [Yau vs Silverio, and Macapagal v. Gako, 543
SCRA 520, 529 (2008)]
Modes of enforcement of execution The periods shall not apply to:
Mode When enforced a. Special proceedings, and
Within 5 years from the b. Judgments for support.
By motion date of entry of [Rodil v. Benedicto, 95 SCRA 137, (1980) and
judgment. Canonizado v. Benitez, 127 SCRA 610 (1984)]
After the lapse of 5
years from date of entry Contents of the writ of execution
and before it is barred The writ of execution is issued in the name of
by the statute of the Republic of the Philippines and shall state:
By 1. The name of the court,
limitations
independent 2. The case number and title,
action 3. The dispositive part of the subject
Note: The Statute of
Limitations is 10 years judgment or order, and
from date of entry [Art. 4. Shall require the sheriff or other proper
1144(3), CC]. officer to whom it is directed to enforce the
[Sec. 6, Rule 39] writ according to its terms.
[Sec. 8, Rule 39]
Revival of judgment
An action for revival of judgment is a procedural Dispositive portion as subject of execution
means of securing the execution of a previous The writ of execution should conform to the
judgment which has become dormant after the dispositive portion of the decision to be
passage of 5 years without it being executed executed [Ex-Bataan Veterans Security
upon motion of the prevailing party [Saligumba Agency Inc vs NLRC, G.R. No. 121428 (1995)].
vs Palanog, 573 SCRA 8, 15-16 (2008)]. Issuance of a writ of execution

The action must be filed within 10 years from Effectivity

the date the judgment became final since the
action to enforce a judgment prescribes in 10
years from the finality of judgment [Art.
1144(3), CC].
A revived judgment is deemed a new judgment
separate and distinct from the original
judgment. It is not a continuation [PNB v.
Bondoc, G.R. No. L-20236 (1965)].
Such writ shall continue in effect during the
period within which the judgment may be
enforced by motion [Sec. 14, Rule 39].
Note: A judgment may be enforced by motion
within 5 years from date of entry of judgment
[Sec. 6, Rule 39].

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Against whom issued
General rule: Only real parties in interest in
an action are bound by judgment rendered
therein and by the writs of execution.
Exceptions:
Cases where the writ may be issued against
non-parties
a. One who is privy to judgment debtor can be
reached by an order of execution and writ
of demolition [Vda. De Medina v. Cruz,
G.R. No. L-39272 (1988)]
b. Issued against one who, not being
originally a party to the case, submits his
interest to the court for consideration in the
same case and invites adjudication
regarding said interest [Jose v. Blue, G.R.
No. L-28646 (1971)]
c. Where non-parties voluntarily signed the
compromise agreement or voluntarily
appeared before court [Rodriguez v.
Alikpala, G.R. No. L-38314 (1974)]
Return of a writ of execution
a. Judgment satisfied within 30 days
The writ of execution shall be returnable to the
court issuing it immediately after the judgment
has been satisfied in part or in full [Sec. 14,
Rule 39].
b. Judgment not satisfied within 30 days
1. The officer shall report to the court and
state the reason therefore.
2. The officer shall make a report to the
court every 30 days on the proceedings
taken thereon until the judgment is
satisfied in full, or its effectivity expires.
3. The returns or periodic reports shall set
forth the whole of the proceedings
taken, and shall be filed with the court
and copies thereof promptly furnished
the parties.
[Sec. 14, Rule 39]
Entry of satisfaction of judgment
Satisfaction of a judgment shall be entered by
the COC in the court docket, and in the
execution book, upon the:
a. Return of a writ of execution showing the
full satisfaction of the judgment, or
b. Filing of an admission to the satisfaction of
the judgment executed and acknowledged
in the same manner as a conveyance of
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real property by the judgment obligee or by
his counsel unless a revocation of his
authority is filed, or
c. Endorsement of such admission by the
judgment obligee or his counsel on the face
of the record of the judgment.
[Sec. 44, Rule 39]
The court may order the entry of satisfaction
even if the judgment was satisfied in fact or
otherwise than upon execution:
a. With admission of satisfaction by the
judgment obligee or counsel, or
● On demand of the judgment obligor,
such persons must execute and
acknowledge, or indorse, the
admission
● After notice and upon motion, the court
may order such persons to do so
b. Without admission of satisfaction.
[Sec. 45, Rule 39]
Effect of death of a party to execution
a. Death of the judgment obligee
• Will not prevent the execution of
judgment
• Execution will issue upon the
application of the executor,
administrator, or successor in interest.
b. Death of the judgment obligor
• Will not prevent execution of judgment
• Execution shall issue against his
executor, administrator, or successor
in interest.
[Sec. 7, Rule 39]
Execution of Judgments for Money
If the award is for payment of money,
execution is enforced by
1. Immediate payment on demand,
2. Satisfaction by levy, or
3. Garnishment of debts and credits [Sec. 9,
Rule 39].
Note: Levy can only be made under Sec. 9 of
Rule 39.
IMMEDIATE PAYMENT ON DEMAND
Procedure
1. The officer shall demand from the
judgment obligor the immediate payment of
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the full amount stated in the writ of
execution and all lawful fees.
2. The judgment obligor shall pay in cash,
certified bank check payable to the
judgment obligee, or any other form of
payment acceptable to the latter, the
amount of the judgment debt under proper
receipt directly to the judgment obligee or
his authorized representative if present at
the time of payment.
3. The lawful fees shall be handed under
proper receipt to the executing sheriff
who shall turn over the said amount within
the same day to the COC of the court that
issued the writ.
[Sec. 9(a), Rule 39]
Procedure if the judgment obligee or his
authorized representative is not present to
receive payment
1. The judgment obligor shall deliver the
aforesaid payment to the executing sheriff.
● Note: In no case shall the executing
sheriff demand that any payment by
check be made payable to him.
2. The executing sheriff shall turn over all
the amounts coming into his possession
within the same day to the COC of the court
that issued the writ, or if the same is not
practicable, deposit said amounts to a
fiduciary account in the nearest
government depository bank of the RTC of
the locality.
3. The COC shall thereafter arrange for the
remittance of the deposit to the account of
the court that issued the writ whose COC
shall then deliver said payment to the
judgment obligee in satisfaction of the
judgment.
4. The excess, if any, shall be delivered to the
judgment obligor while the lawful fees shall
be retained by the COC for disposition as
provided by law.
[Sec. 9(a), Rule 39]
SATISFACTION BY LEVY
Definition
Levy is an act whereby:
a. A sheriff/officer sets apart or appropriates,
b. For the purpose of satisfying the command
of the writ,
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c. A part or the whole of the judgment debtor’s
property [Fiestan v. CA, G.R. No. 81552
(1990)].
Condition before resort to satisfaction by
levy
If the judgment obligor cannot pay all or part of
the obligation in cash, certified bank check or
other mode of payment acceptable to the
judgment obligee [Sec. 9(b), Rule 39].
Procedure
1. The officer shall levy upon the properties
of the judgment obligor of every kind and
nature whatsoever which may be disposed
of for value and not otherwise exempt from
execution.
2. The officer shall give the judgment obligor
the option to choose which property or
part thereof may be levied upon, sufficient
to satisfy the judgment.
3. If the judgment obligor does not exercise
the option, the officer shall first levy on the
personal properties, if any, and then on
the real properties if the personal
properties are insufficient to answer for
the judgment.
Note: The sheriff shall sell only a sufficient
portion of the personal or real property of the
judgment obligor which has been levied upon
and only so much of the personal or real
property as is sufficient to satisfy the judgment
and lawful fees.
How the levy is done
Real property, stocks, shares, debts, credits,
and other personal property, or any interest in
either real or personal property, may be levied
upon in like manner and with like effect as
under a writ of attachment [Sec. 9(b), Rule
39].
Note: If the judgment is for a sum of money
1. The judgment obligor dies before the
levy has been made on the property:
judgment cannot be enforced by writ of
execution. Instead, it should be filed as a
claim against the estate.
2. If the judgment obligor dies after the
entry of judgment but before levy on his
property: Execution will issue if it is for the
recovery of real/personal property.
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[1 Regalado 475, 2010 Ed.]
“Break-open” order
An order from the court authorizing the sheriff
to destroy, demolish or remove improvements
on property subject of execution [Sec. 10(d),
Rule 39].
A special order of demolition is an order from
the court authorizing the sheriff to destroy,
demolish or remove improvements on
property subject of execution. It is issued
upon hearing and reasonable notice. Without
one, the sheriff cannot destroy, demolish, or
remove any improvements on the property
[Guario v. Ragsac, A.M. No. P-08-2571 (2009);
see Sec. 10(d), Rule 39].
A writ of execution directing the sheriff to cause
the defendant to vacate is in the nature of a
habere facias possessionem and authorizes
the sheriff, without need of securing a
“break-open” order, to break open the
premises where there is no occupant therein
[Arcadio v. Ylagan, A.M. No. 2734 (1986)].
Note: The rationale is that the writ of execution
itself is essentially an order to place the
prevailing party in possession of the property.
If the defendant refuses to surrender
possession of the property to the prevailing
party, the sheriff or other proper officer should
oust him. No express order to this effect needs
to be stated in the decision [Guario v. Ragsac,
A.M. No. P-08-2571 (2009)].
GARNISHMENT OF DEBTS AND CREDITS
The process of levying shall be called
garnishment if the property involved is
money, stocks, or other incorporeal
property in the hands of third persons.
Note: Garnishment merely sets apart such
funds but does not constitute the creditor as
owner of the garnished property [De la Rama
v. Villarosa, G.R. No. L-19727 (1963)].
What may be garnished
The officer may levy on
a. Debts due the judgment obligor and
b. Other credits, including
1. Bank deposits
2. Financial interests,
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3. Royalties
4. Commissions and
5. Other personal property not capable of
manual delivery in the possession or
control of third parties. [Sec. 9(c), Rule
39]
Procedure
1. Notice shall be served upon the person
owing such debts or having in his
possession or control such credits to which
the judgment obligor is entitled.
● Note: The garnishment shall cover only
such amount as will satisfy the
judgment and all lawful fees.
2. The garnishee shall make a written report
to the court within 5 days from service of
the notice of garnishment stating whether
or not the judgment obligor has sufficient
funds or credits to satisfy the amount of the
judgment. If not, the report shall state how
much funds or credits the garnishee holds
for the judgment obligor.
● Note: Upon service of the writ of
garnishment, the garnishee becomes a
“virtual party” or “forced intervenor” to
the case and the trial court thereby
acquires jurisdiction to bind the
garnishee to comply with its orders and
processes [BPI v. Lee, G.R. No.
190144 (2012)].
3. The garnished amount in cash, or
certified bank check issued in the name of
the judgment obligee, shall be delivered
directly to the judgment obligee within
10 working days from service of notice on
said garnishee requiring such delivery,
except the lawful fees which shall be paid
directly to the court.
4. In the event there are two or more
garnishees holding deposits or credits
sufficient to satisfy the judgment, the
judgment obligor, if available, shall have
the right to indicate the garnishee or
garnishees who shall be required to
deliver the amount due; otherwise, the
choice shall be made by the judgment
obligee.
5. The executing sheriff shall observe the
same procedure under Sec. 9(a), Rule 39
with respect to delivery of payment to the
judgment obligee [Sec. 9(c), Rule 39].
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Execution of Judgments for Specific Acts
Under Section 10, a party is directed to
execute conveyance of land or to deliver deeds
or other documents, or to perform any other
specific acts in connection therewith but
which acts can be performed by persons
other than said party [1 Regalado 486, 2010
Ed.].
FOR CONVEYANCE OF REAL OF LAND OR
PERSONAL PROPERTY
Conditions
1. If a judgment directs a party to
a. Execute a conveyance of land or
personal property, or
b. Deliver deeds or other documents, or
c. Perform any other specific act in
connection therewith, and
2. The party fails to comply within the time
specified [Sec. 10(a), Rule 39].
Procedure
1. The court may direct the act to be done at
the cost of the disobedient party by
some other person appointed by the court
and the act when so done shall have like
effect as if done by the party.
2. If real or personal property is situated within
the Philippines, the court may by an order
divest the title of any party and vest it in
others, which shall have the force and
effect of a conveyance executed in due
form of law [Sec. 10(a), Rule 39].
It is only when reconveyance is no longer
feasible (e.g. passed on to a buyer for value in
good faith, dissipated, etc.) that the judgment
obligor should pay the judgment obligee the
fair market value of the property [Raymundo
v. Galen Realty and Mining Corp., G.R. No.
191594 (2013)].
FOR SALE OF REAL OR PERSONAL
PROPERTY
If the judgment be for the sale of real or
personal property, [an order for execution shall
be issued] to:
a. Sell such property, describing it, and
b. Apply the proceeds in conformity with the
judgment [Sec. 10(b), Rule 39].
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FOR DELIVERY OR RESTITUTION OF REAL
PROPERTY
1. The officer shall demand of the person
against whom the judgment for the delivery
or restitution of real property is rendered
and all persons claiming rights under him
to peaceably vacate the property within 3
working days and restore possession
thereof to the judgment obligee.
2. Otherwise, the officer shall oust all such
persons therefrom with the assistance, if
necessary, of appropriate peace officers,
and employing such means as may be
reasonably necessary to retake
possession and place the judgment obligee
in possession of such property.
3. Any costs, damages, rents or profits
awarded by the judgment shall be satisfied
in the same manner as a judgment for
money [Sec. 10(c), Rule 39].
REMOVAL OF IMPROVEMENTS ON
PROPERTY SUBJECT OF EXECUTION
General Rule: When the property subject of
the execution contains improvements
constructed or planted by the judgment obligor
or his agent, the officer shall not destroy,
demolish, or remove said improvements.
Exceptions:
1. Upon special order of the court, issued
upon motion of the judgment obligee after
due hearing and
2. After the former has failed to remove the
same within a reasonable time fixed by the
court [Sec. 10(d), Rule 39].
DELIVERY OF PERSONAL PROPERTY
In judgments for the delivery of personal
property, the officer shall:
a. Take possession of the same, and
b. Deliver it to the party entitled thereto and
satisfy any judgment for money as therein
provided [Sec. 10(e), Rule 39].
Execution of Special Judgments
A special judgment under Section 12 requires
the performance of any act, other than the
payment of money or the sale or delivery or real
or personal property, which a party must
personally do because his personal
qualifications and circumstances have been
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taken into consideration [1 Regalado 486, 2010
Ed.].
When proper
A judgment requires performance of any other
act than those mentioned in Secs. 9 and 10
(payment of money or sale or delivery of
property) [Sec. 11, Rule 39].
Procedure
A certified copy of the judgment shall be
1. Attached to the writ of execution and
2. Served by the officer upon
a. The party against whom the same is
rendered, or
b. Any other person required thereby, or
by law, to obey the same, and
3. Such party or person may be punished for
contempt if he disobeys such judgment.
[Sec. 11, Rule 39]
Examples:
a. A judgment in mandamus to reinstate
petitioner as chief clinic of the hospital
[Vital-Gozon v. CA, G.R. No. 101428
(1992)]
b. A judgment directing the defendant to
remove a fence from a certain place is a
special judgment [Marquez v. Marquez,
G.R. No. 47792 (1941)].
Effect of Levy on Third Person
The levy on execution shall create a lien in
favor of the judgment obligee over the right,
title and interest of the judgment obligor in such
property at the time of the levy, subject to
liens and encumbrances then existing [Sec.
12, Rule 39].
Note: The power of the court in executing
judgments extends only over properties
unquestionably belonging to the judgment
debtor [Corpuz v. Pascua, A.M. No. P-11-2972
(2011)].
A duly registered levy on attachment or
execution is preferred over a prior unregistered
sale. Under the Torrens system, the auction
sale of property retroacts to the date the levy
was registered; now, under Secs. 51 and 2 of
P.D. 1529, the act of registration is the
operative act to convey or affect the land
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insofar as third persons are concerned [Du v.
Stronghold Insurance Co. Inc., G.R. No.
156580 (2004)].
Properties Exempt from Execution
General rule: The following property, and no
other, shall be exempt from execution:
a. The judgment obligor’s family home as
provided by law, or the homestead in which
he resides, and land necessarily used in
connection therewith,
b. Ordinary tools and implements
personally used by him in his trade,
employment, or livelihood,
c. Three horses, or three cows, or three
carabaos, or other beasts of burden, such
as the judgment obligor may select
necessarily used by him in his ordinary
occupation,
d. His necessary clothing and articles for
ordinary personal use, excluding jewelry,
e. Household furniture and utensils
necessary for housekeeping, and used for
that purpose by the judgment obligor and
his family, such as the judgment obligor
may select, of a value not exceeding PHP
100,000,
f. Provisions for individual or family use
sufficient for four months,
g. The professional libraries and
equipment of judges, lawyers, physicians,
pharmacists, dentists, engineers,
surveyors, clergymen, teachers, and other
professionals, not exceeding PHP 300,000
in value,
h. One fishing boat and accessories not
exceeding the total value of PHP 100,000
owned by a fisherman and by the lawful
use of which he earns his livelihood,
i. So much of the salaries, wages, or
earnings of the judgment obligor for his
personal services within the four
months preceding the levy as are
necessary for the support of his family
j. Lettered gravestones
k. Monies, benefits, privileges, or annuities
accruing or in any manner growing out of
any life insurance
l. The right to receive legal support, or
money or property obtained as such
support, or any pension or gratuity from the
Government,
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m. Properties specially exempted by law.
[Sec. 13, Rule 39]
Examples of item (m) above
1. Property mortgaged to the DBP [Sec. 26,
CA 458]
2. Savings of national prisoners deposited
with the postal savings bank [Act. 2489]
3. Benefits from private retirement systems of
companies and establishments with
limitations [R.A. 4917]
4. Laborer’s wages except for debts incurred
for food, shelter, clothing and medical
attendance [Art. 1708, CC]
5. Benefit payments from SSS [Sec. 16, R.A.
1161, as amended]
Exception: No article or species of property
mentioned in Sec. 13, Rule 39 (enumerated
above) shall be exempt from execution issued
upon a:
a. Judgment recovered for its price or
b. Judgment of foreclosure of a mortgage
thereon [Sec. 13, Rule 39].
The exemptions must be claimed, otherwise
they are deemed waived. It is not the duty of
the sheriff to set off the exceptions on his own
initiative [Herrera v. Mcmicking, G.R. No. L-
5329 (1909)].
Proceedings Where Property is
Claimed by Third Persons; in Relation
to Third Party Claim in Attachment
and Replevin
Sec. 16, Rule 39 and other provisions providing
a mode for recovering property alleged to have
been wrongfully taken by sheriff pursuant to a
writ of execution or other process, refer to a
stranger to an action [Tillson v. CA, G.R. No.
89870 (1991)].
Remedies of third-party claimant
a. Summary hearing before the court which
authorized the execution
b. “Terceria” or third-party claim filed with
the sheriff [Sec. 16, Rule 39]
c. Action for damages on the bond posted
by the judgment creditor
d. Independent Reinvindicatory action
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Note: Such are cumulative remedies and may
be resorted to by a third-party claimant
independently of or separately from and
without need of availing of the others [Sy v.
Discaya, G.R. No. 86301 (1990)].
For a third-party claim to be sufficient
a. Must be filed by a person other than the
defendant or his agent, at any time before
sale
b. Must be under oath or supported by
affidavit stating the claimant’s title to, or
right of possession of, the property, and
grounds therefor
c. Must be served upon the officer making
levy and a copy thereof upon the judgment
creditor [Sec. 16, Rule 39].
On spouses
A spouse who was not a party to the suit but
whose conjugal property is being executed
because the other spouse is the judgment
obligor is not considered a stranger to the
suit and cannot file a separate action to
question the execution since they could have
easily questioned the execution in the main
case itself [1 Regalado 501, 2010 Ed.].
The institution of a separate action was allowed
when the property was the exclusive or
paraphernal property of a spouse who was
not a party to the case the judgment wherein
was sought to be executed. In such a situation,
the aggrieved spouse was deemed to be a
stranger to that main action [Ching v. CA, G.R.
No. 118830 (2003)].
Effect of third-party claim
The officer shall not be bound to keep the
property, unless such judgment obligee, on
demand of the officer, files a bond approved by
the court to indemnify the third-party claimant
in a sum not less than the value of the property
levied on [Sec. 16, Rule 39].
SUMMARY HEARING BEFORE COURT
AUTHORIZING EXECUTION
A third-person whose property was seized by a
sheriff to answer for an obligation of a judgment
debtor may invoke the supervisory power of the
court which authorized such execution [Sy v.
Discaya, G.R. No. 86301 (1990)].
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Procedure
a. Claimant files application
b. Court conducts summary hearing, and
c. The court may:
1. Command that the property be
released from the mistaken levy and
restored to rightful owner or possessor,
or
2. If the claimant's proofs do not
persuade, the claim will be denied by
the court.
The court determination is limited only to a
determination of whether the sheriff has acted
rightly or wrongly in performance of his duties.
The court does not and cannot pass upon the
question of title [Sy v. Discaya, G.R. No. 86301
(1990)].
TERCERIA
When to file
Any time, as long as:
a. Sheriff has the possession of the property
levied upon, or
b. Before the property shall have been sold
under execution.
Procedure
Claimant serves on the officer making levy an
affidavit of his title and a copy thereof to
judgment creditor [Sec. 16, Rule 39].
Bond
To enforce a claim for damages against the
bond, the action must be filed within 120 days
from the filing of the bond.
The officer shall not be liable for damages
for the taking or keeping of the property, to any
third-party claimant if such bond is filed.
When bond not required
When the writ of execution is issued in favor of
the Republic of the Philippines, or any officer
duly representing it, the filing of such bond shall
not be required.
Note: If sheriff or levying officer is sued for
damages,
a. He shall be represented by the Solicitor
General, and
b. If held liable, the actual damages adjudged
by the court shall be paid by the National
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Treasurer out of such funds as may be
appropriated for the purpose.
[Sec. 16, Rule 39]
The right of a third-party claimant to file a
terceria is founded on his title or right of
possession. Corollary thereto, before the court
can exercise its supervisory power to direct the
release of the property mistakenly levied and
the restoration thereof to its rightful owner, the
claimant must first unmistakably establish his
ownership or right of possession thereon
[Villasi v. Garcia, G.R. No. 190106 (2014)].
REIVINDICATORY ACTION
Nothing contained in Sec. 16, Rule 39 shall
prevent such claimant or any third person from
vindicating his claim to the property in a
separate action, or prevent the judgment
obligee from claiming damages in the same or
a separate action against a third-party claimant
who filed a frivolous or plainly spurious claim
[Sec. 16, Rule 39].
Procedure
He must institute an action, distinct and
separate from that which the judgment is being
enforced, with the court of competent
jurisdiction
● In such action, the validity and sufficiency
of title of the claimant will be resolved.
● A writ of preliminary injunction against the
sheriff may be issued.
Note: No need to file a claim in the court which
issued a writ. The latter is not a condition sine
qua non for the former [Sy v. Discaya, G.R. No.
86301 (1990)].
IN RE: THIRD PARTY CLAIMS IN
ATTACHMENT AND REPLEVIN
If the claim is filed under Sec. 16, Rule 39, it
must be filed in a separate action instituted
for the purpose. Intervention is no longer
allowed since judgment has already been
rendered [1 Regalado 500-501, 2010 Ed.].
If it is filed under Sec. 14, Rule 57
(Attachment) or under Sec. 7, Rule 60
(Replevin), the claim may be litigated in the
same action involved or in a separate suit.
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Intervention is allowed [1 Regalado 501, 2010
Ed.].
The reason for the difference is that the
judgment in the case subject of Sec. 16, Rule
39 is already final and executory, while Rules
57 and 60 involve actions still pending in
the trial court [1 Regalado 501, 2010 Ed.].
Rules on Redemption
When available
Only for real property, since nothing in the
ROC provides for redemption of personal
property [Sec. 27, Rule 39].
Who may redeem
a. Judgment obligor, or his successor in
interest in the whole or any part of the
property
b. A creditor (redemptioner) having a lien by
virtue of an attachment, judgment or
mortgage on the property sold, or on some
part thereof, subsequent to the lien under
which the property was sold [Sec. 27, Rule
39].
If the lien of the creditor is prior to the
judgment under which the property was sold:
a. He is not a redemptioner;
b. He cannot redeem since his interests in his
lien are fully protected. Any purchaser at a
public auction takes the same subject to
such prior lien which he has to satisfy [1
Regalado 512, 2010 Ed.].
Proof required of redemptioner
A redemptioner must produce to the officer, or
person from whom he seeks to redeem, and
serve with his notice to the officer
a. A copy of the judgment or final order under
which he claims the right to redeem,
certified by the clerk of the court wherein
the judgment or final order is entered; or,
b. If he redeems upon a mortgage or other
lien,
1. 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
claim; and
2. An affidavit executed by him or his
agent, showing the amount then
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actually due on the lien [Sec. 30, Rule
39].
When redemption can be made
Who When
Within 1 year from the
By the judgment
date of registration of
obligor
the certificate of sale
Within 1 year from the
By first
date of registration of
redemptioner
the certificate of sale
By all subsequent Within 60 days from
redemptioners last redemption
[Sec. 28, Rule 39]
Note: There is no extension or interruption of
redemption period [Sec. 28, Rule 39].
Redemption price
a. By the judgment debtor or first
redemptioner:
1. Purchase price,
2. 1% interest thereon up to time of
redemption,
3. Any amount of assessments or taxes
which purchaser may have paid after
purchase and interest on such last
named amount at the same rate, and
4. If the purchaser is also a creditor
having a prior lien to that of a
redemptioner, other than the judgment
under which such purchase was made,
the amount of such other lien, also with
interest.
b. By all subsequent redemptioners:
1. Amount paid on last redemption,
2. 2% interest thereon,
3. Any amount of assessments or taxes
which purchaser may have paid after
purchase as well as interest on such
last named amount at the same rate,
and
4. The amount of any liens held by said
last redemptioner prior to his own, also
with interest [Sec. 28, Rule 39].
If redemption is made by the judgment
obligor
a. No further redemption is allowed, and
b. He is restored to his estate [Sec. 29, Rule
39].
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Note: When a judgment debtor redeems the
property, what is effected is the elimination of
the lien created by the levy on attachment or
judgment on the registration of mortgage
thereon. Note that he never lost ownership so
there is no recovery of ownership [1 Regalado
513, 2010 Ed.].
Payment of redemption price may be made
to the:
a. Purchaser or redemptioner, or
b. For him to the officer who made the sale.
[Sec. 29, Rule 39]
Duties upon redemption
The person to whom the redemption payment
is made must execute and deliver to him a
certificate of redemption.
a. Acknowledged before a notary public or
other officer authorized to take
acknowledgments of conveyances of real
property.
b. Filed and recorded in the registry of deeds
of the place in which the property is
situated, and
c. The registrar of deeds must note the record
thereof on the margin of the record of the
certificate of sale [Sec. 29, Rule 39].
RIGHTS PENDING REDEMPTION
Right of judgment obligee
Apply for injunction to restrain the commission
of waste on the property [Sec. 31, Rule 39].
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, to
a. Continue to use it in the same manner in
which it was previously used
b. Use it in the ordinary course of husbandry,
or
c. Make the necessary repairs to buildings
thereon while he occupies the property.
[Sec. 31, Rule 39]
Expiration of period to redeem
a. II no redemption be made within 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; or,
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b. If so redeemed whenever 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.
General Rule: Under the expiration of the right
of redemption, the purchaser or redemptioner
shall be substituted to and acquire all the rights,
title, interest and claim of the judgment obligor
to the property as of the time of the levy -
possession of the property shall be given to
the purchaser or last redemptioner by the
same officer
Exception: A third party is actually holding the
property adversely to the judgment obligor
[Sec. 33, Rule 39].
Two documents which the sheriff executes
in case of real property
a. Certificate of sale
1. Contents:
i. A particular description of the real
property sold;
ii. The price paid for each distinct lot
or parcel;
iii. The whole price paid by him; and
iv. A statement that the right of
redemption expires one year from
the date of the registration of the
certificate of sale
2. Must be registered in the registry of
deeds of the place where the property
is situated [Sec. 25, Rule 39]. - From
registration of said certificate, the 1
year redemption period starts [Sec. 28,
Rule 39]
3. Certificate of sale after execution sale
is merely a memorial of the fact of sale
and does not operate as conveyance [1
Regalado 508, 2010 Ed.].
b. Deed of Conveyance
1. Executed upon the expiration of the
period to redeem.
Note: The purchaser or redemptioner
shall be substituted to and acquire all
the rights, title, interest and claim of the
judgment obligor to the property as of
the time of the levy.
2. Executed by the officer making the
sale.
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3. Under the expiration of the right of
redemption [Sec. 33, Rule 39].
Note: Hence, the certificate of sale of real
property does not confer any right to the
possession or ownership, of the real
property purchased. It is the deed of sale
executed by the sheriff at the expiration of the
period of redemption which entitles the
purchaser to possession of the property sold
[1 Regalado 508, 2010 Ed.].
Recovery of purchase price if sale not
effective
a. If the purchaser of real property sold on
execution, or his successor in interest,
● Fails to recover the possession thereof,
or
● Is evicted therefrom, in consequence of
irregularities in the proceedings
concerning the sale, or
b. Because the judgment has been reserved
or set aside, or
c. Because the property sold was exempt
from execution, or
d. Because a third person has vindicated his
claim, to the property,
The purchaser may, on motion in the same
action or in a separate action,
a. Recover from the judgment obligee the
price paid, with interest, or so much thereof
as has not been delivered to the judgment
obligor; or
b. Have the original judgment revived in his
name for the whole price with interest, or
so much thereof as has been delivered to
the judgment obligor.
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.
[Sec. 34, Rule 39]
Note: A purchaser’s right of possession is
recognized only as against the judgment
debtor and his successor-in-interest. It is not
so against persons whose right of possession
is adverse. When a third party is in possession
of the property purchased, the possession is
presumed to be based on just title - a
presumption which may be overcome by the
purchaser in a judicial proceeding for recovery
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of the property [Villanueva v. Cherdan
Lending Investors Corp., G.R. No. 177881
(2010)].
Examination of Judgment Obligor
When Judgment is Unsatisfied
When applicable
When the return of the writ issued against
property of a judgment obligor shows that
judgment remains unsatisfied [Sec. 36, Rule
39].
Procedure
The judgment obligee, at any time after such
return is made, shall be entitled to an order
from the court which rendered the said
judgment
a. Requiring such judgment obligor to appear
and be examined concerning his property
and income before such court or before a
commissioner appointed by it, at a
specified time and place; and
b. Proceedings may thereupon be had for the
application of the property and income of
the judgment obligor towards the
satisfactions of the judgment.
When judgment obligor not required to
appear be examined
a. When he is required to appear before a
court or commissioner outside the province
or city in which such obligor resides or is
found [Sec. 36, Rule 39].
b. After the lapse of the five years within
which a judgment may be enforced by
motion [Umali v. Coquia, G.R. No. L-46303
(1988)].
Order for payment in fixed monthly
installments
If upon investigation of his current income and
expenses, it appears that the earnings of the
judgment obligor for his personal services
are more than necessary for the support of
his family, the court may order that:
a. He pay the judgment in fixed monthly
installments, and
b. Upon his failure to pay any such installment
when due without good excuse, may
punish him for indirect contempt [Sec. 40,
Rule 39].
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Examination of Obligor of Judgment
Obligor
When applicable
a. When the return of a writ of execution
against the property of a judgment obligor
shows that the judgment remains
unsatisfied, in whole or in part, and
b. Upon proof that a person, corporation, or
other juridical entity has property of such
judgment obligor or is indebted to him [Sec.
37, Rule 39].
Procedure
The court may, by an order
a. Require such person, corporation, or other
juridical entity, or any officer or member
thereof, to appear before the court or a
commissioner appointed by it, at a time and
place within the province or city where such
debtor resides or is found, and
b. Be examined concerning the same.
Effect of order
The service of the order shall
a. Bind all credits due the judgment obligor
and all money and property of the judgment
obligor in the possession or in the control
of such person, corporation, or juridical
entity from the time of service, and
b. The court may also require notice of such
proceedings to be given to any party to the
action in such manner as it may deem
proper [Sec. 37, Rule 39].
Note: This is not applicable if there is no issue
concerning the indebtedness of the bank and
there is no denial by the depositor of the
existence of the deposit with the bank which is
considered a credit in favor of the depositor
against the bank [PCIB v. CA, G.R. No. 84526
(1991)].
When alleged obligor denies debt or claims
property
The court may
a. Authorize the judgment obligee to institute
an action against such person or
corporation for the recovery of such
interest or debt,
b. Forbid a transfer or other disposition of
such interest or debt within 120 days from
notice of the order, and
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c. May punish disobedience of such order as
for contempt.
[Sec. 43, Rule 39]
Impropriety of an action for damages as a
remedy
Where the writ of execution is unsatisfied,
the remedy to enforce it is Secs. 38-39, and
not a complaint for damages [Phil.
Transmarine Carriers v. CA, G.R. No. 122346
(2000)].
OTHER REMEDIES
Order for application of property or income
The court may order any property of the
judgment obligor, or money due him, not
exempt from execution, in the hands of either
himself or another person, or of a corporation
or other juridical entity, to be applied to the
satisfaction of the judgment, subject to any
prior rights over such property [Sec. 40, Rule
39].
After a writ of execution against property has
been issued, a person indebted to the
judgment obligor may pay to the sheriff
holding the writ of execution the amount of
his debt or so much thereof as may be
necessary to satisfy the judgment, in the
manner prescribed in Sec. 9, Rule 39 and the
sheriffs receipt shall be a sufficient discharge
for the amount so paid or directed to be
credited by the judgment obligee on the
execution [Sec. 39, Rule 39].
Appointment of receiver
The court may appoint a receiver of the
property of the judgment obligor; and it may
also forbid a transfer or other disposition of,
or any interference with, the property of the
judgment obligor not exempt from execution
[Sec. 41, Rule 39].
If it appears that the judgment obligor has an
interest in real estate in the place in which
proceedings are had, as mortgagor or
mortgagee or otherwise, and his interest
therein can be ascertained without
controversy, the receiver may be ordered to
sell and convey such real estate or the
interest of the obligor therein; and such sale
shall be conducted in all respects in the
same manner as is provided for the sale of
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real estate upon execution, and the The rule of res judicata applies to final
proceedings thereon shall be approved by the decisions of quasi-judicial agencies and to
court before the execution of the deed [Sec. judgments rendered in probate proceedings [1
42, Rule 39]. Regalado 534, 2010 Ed.].

Effect of Judgment or Final Orders BAR BY FORMER JUDGMENT

The judgment or decree of a court of competent
Immutability of judgments jurisdiction on the merits concludes the parties
A judgment that has acquired finality and their privies to the litigation and constitutes
becomes immutable and unalterable, and a bar to a new action or suit involving the same
may no longer be modified in any respect, even cause of action either before the same or any
if the modification is meant to correct other tribunal [Machoca v. Cariaga, G.R. No.
erroneous conclusions of fact and law, and 75109-10 (1989)].
whether it be made by the court that rendered
it or by the Highest Court of the land [PNB v. Requisites
Spouses Maranon, G.R. No. 189316 (2013)]. a. A final judgment or order
b. Jurisdiction over the subject matter and the
RES JUDICATA parties by the court rendering judgment
Dual aspect c. Judgment upon merits
a. Bar by former judgment d. Between the two cases, there is identity of:
1. The judgment or final order is a bar to 1. Parties
the prosecution of a subsequent action 2. Subject matter
based on the same claim or cause of 3. Cause of action [1 Riano 430, 2011
action Ed.]
2. Described by Sec. 47, pars. (a) and (b),
Rule 39 General rule: For res judicata to apply, trial
3. Also known as “Estoppel by Verdict” must be made on the merits of the case [1
b. Conclusiveness of judgment Regalado 530, 2010 Ed.].
1. The judgment or final order precludes
the relitigation of particular issues or Exception: Sec. 3, Rule 17: Dismissal upon
facts on a different demand or cause of fault of plaintiff - If plaintiff fails to appear at
action the time of the trial, or to prosecute his action
2. Described by Sec. 47, par. (c), Rule 39 for an unreasonable length of time, or to
3. Also known as the Rule of Auter Action comply with these rules or any order of the
Pendant court, the action may be dismissed upon
[1 Riano 541, 2011 Ed.; 1 Regalado 529, 2010 motion of the defendant or upon the court's
Ed.] own motion. This dismissal shall have the
effect of an adjudication upon the merits,
Bar by former Conclusiveness of unless otherwise provided by court
judgment judgment [Development Bank v. CA, G.R. No. 110203
Requires identity of There is only identity (2001)].
parties, subject of parties and subject
matter, and causes matter Res judicata in judgments in rem
of action Judgments or final
Causes of action are Conclusive as to
order
different Against a specific Title of the thing
Absolute Bar to: Conclusive as to thing
(a) all matters matters directly Probate of a will or The will or
directly adjudged; adjudged and actually administration of the administration
and litigated
estate of a deceased
(b) those that might
person.
have been adjudged
Claim Preclusion Issue Preclusion
[1 Riano 683-684, 2011 Ed.]
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Judgments or final Res judicata, law of the case, and stare
Conclusive as to
order decisis
In respect to the Condition, status or
personal, political, or relationship of the Res Law of the Stare
legal condition or person judicata case decisis
status of a particular The parties Operates only Once a point
person or his and the in the of law has
relationship to causes of particular and been
another. action in single case established
[1 Riano 542, 2011 Ed.] both actions where the by the court,
are identical ruling arises that point of
Res judicata in judgments in personam or and is not law will,
In other cases, the judgment or final order is, substantially carried into generally, be
with respect to the matter directly adjudged or the same other cases followed by
as to any other matter that could have been [1 Regalado as a the same
missed in relation thereto, conclusive 530, 2010 precedent. court and by
between Ed., citing all courts of
a. The parties and Yusingco The ruling lower rank in
b. Their successors in interest, by title v.Ong Hing adhered to in subsequent
subsequent to the commencement of the Lian, G.R. the particular cases where
action or special proceeding, litigating for No. L-26523 case need not the same
the same thing and under the same title (1971); be followed as legal issue is
and in the same capacity. Vergara v. a precedent in raised
[Sec. 47(b), Rule 39] Roque, G.R. subsequent [CDCP
No. L-32984 litigation Mining Corp.
CONCLUSIVENESS OF JUDGMENT (1977)]. between other v. CIR, G.R.
Any right, fact or matter in issue directly parties [1 No. 122213
adjudicated or necessarily involved in the Riano 544, (2005)].
determination of an action before a competent 2011 Ed].
court in which a judgment or decree is rendered
on the merits is conclusively settled by the Enforcement and Effect of Foreign
judgment therein and cannot again be Judgments or Final Orders
litigated between the parties and their privies
whether or not the claim or demand, A valid judgment rendered by a foreign
purpose or subject matter of the two suits tribunal may be recognized insofar as the
is the same [Machoca v. Cariaga, G.R. No. immediate parties the underlying cause of
75109-10 (1989)]. action are concerned so long as it is
convincingly shown that:
Requisites a. There has been an opportunity for a fair
a. A final judgment or order hearing before a court of competent
b. Jurisdiction over the subject matter and the jurisdiction,
parties by the court rendering it b. Trial upon registered proceedings has
c. Judgment upon merits been conducted, and
d. Between the two cases, there is identity of: c. There is nothing to indicate either a
1. Parties, and prejudice in court and in the system of laws
2. Issues. under which it is sitting or fraud in procuring
[1 Regalado 529-531, 2010 Ed.] the judgment.
[Philippine Aluminum v. Fasgi Enterprises,
G.R. No. 137378 (2000)]

Purpose
a. To avoid repetitive litigation on claims and
issues,
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b. Prevent harassment of the parties, and d. Fraud, or
c. Avoid undue imposition on the courts. e. Clear mistake of law or fact [Sec. 48, Rule
[1 Regalado 536, 2010 Ed.] 39].

Basis A foreign judgment is presumed to be valid

This policy of preclusion rests on principles of and binding in the country from which it
comity, utility, and convenience of nations [1 comes, until a contrary showing, on the basis
Regalado 536, 2010 Ed., see also Raytheon of a presumption of regularity of proceedings
International, Inc. v. Rouzie, Jr., G.R. No. and the giving of due notice in the foreign forum
162894 (2008)]. [Asiavest Merchant Bankers v CA, G.R. No
110263 (2001)].
As a generally accepted principle of
international law, it is part of the law of the Before our courts can give the effect of res
Philippines by virtue of the Incorporation judicata to a foreign judgment, it must be
Clause [Sec. 2, Art. II, 1987 Constitution, 1 shown that the parties opposed to the
Regalado 536, 2010 Ed. citing Raytheon v. judgment had been given ample opportunity to
Rouzie, G.R. No. 162894 (2008)]. do so on grounds under Section 48 of Rule 39
of the ROC [Roehr v. Rodriguez, G.R. No.
Nature 142480 (2003)].
The civil action for enforcement of a foreign
judgment is one incapable of pecuniary
estimation. IV. Provisional Remedies
● Although the foreign judgment may result
in recovery of money or property, the A. Nature, Purpose, and
cause of action and subject matter of
the civil action is the foreign judgment
Jurisdiction over provisional
itself (and not, as in an ordinary action for remedies
monetary relief, the violation of a right
through an act or omission). The matter left Nature of provisional remedies
for proof is the foreign judgment itself, not They are temporary, auxiliary, and ancillary
the facts from which it prescinds [1 remedies available to a litigant for the
Regalado 536, 2010 Ed.]. protection and preservation of his rights while
the main action is pending. They depend on
Effect of foreign judgments [Sec. 48, Rule the existence of a principal action [1
39] Regalado 684, 2010 Ed.].
Nature Effect
In judgments Judgment is Orders granting or denying provisional
against a specific conclusive upon the remedies are merely interlocutory and cannot
thing (in rem) title to the thing. be the subject of an appeal. They may however
Judgment is be challenged before a superior court through
presumptive a petition for certiorari under Rule 65 [Pahila-
evidence of a right Garrido v. Tortogo, et. al., G.R. No. 156358
In judgments (2002)].
as between parties
against a person (in
and their
personam) Purpose of provisional remedies
successors-in-
interest by a a. To preserve or protect litigants’ rights or
subsequent title. interests during the pendency of the
principal action;
In both cases, judgment may be repelled by b. To secure the judgment;
evidence of c. To preserve the status quo of the the things
a. Want of jurisdiction, subject to the action or the relation
b. Want of notice, between the parties; and
c. Collusion, d. To preserve the subject matter of the action
[2 Riano 2, 2016 Bantam Ed.].
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Kinds of provisional remedies
a. Preliminary attachment [Rule 57]
b. Preliminary injunction [Rule 58]
c. Receivership [Rule 59]
d. Replevin [Rule 60]
e. Support pendente lite [Rule 61]
Note: The enumeration above is not exclusive.
The court may invoke its equity jurisdiction and
order the appropriate reliefs during the
pendency of an action [Reyes v. Lim, G.R. No.
134241 (2003)].
Jurisdiction Over Provisional Remedies
The court which grants or issues a provisional
remedy is the court which has jurisdiction
over the main action [1 Regalado 685, 2010
Ed.].
The authority to grant provisional remedies is
not the sole prerogative of superior courts.
Inferior courts may also grant all appropriate
provisional remedies in an action pending with
it and is within its jurisdiction. In fact, the
jurisdiction of the MTC includes the “grant of
provisional remedies in the proper cases”
[Sec. 33 (1), B.P. 129].
B. Preliminary Attachment (Rule
57)
Definition
A writ of preliminary attachment is a provisional
remedy issued upon order of the court where
an action is pending to be levied upon the
property…of the [adverse party] therein, the
same to be held by the Sheriff as security for
the satisfaction of whatever judgment might
be secured in said action by the attaching
creditor against the defendant.
The remedy of preliminary attachment may be
obtained at the commencement of the action
or at any time before entry of judgment. A
preliminary attachment writ ceases to exist
upon entry of judgment in the proceeding
where it was issued [UEM Mara Phils. Corp. v.
Wee, G.R. No. 206563 (2020)].
Purposes
1. To seize the property of the debtor in
advance of final judgment and to hold it for
purposes of satisfying said judgment, as in
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the grounds stated in Sec. 1(a) to (e), Rule
57, or
2. To acquire jurisdiction over the action
by actual or constructive seizure of the
property in those instances where personal
or substituted service of summons on the
defendant cannot be effected, as in Sec.
1(f), Rule 57 [PCIB v. Alejandro, G.R. No.
175587 (2007)].
Note: Being a mere ancillary to a principal
proceeding, the attachment must fail if the
principal suit itself cannot be maintained.
Another consequence is that where the main
action is appealed, the attachment is also
considered appealed and is removed from the
jurisdiction of the lower court [2 Riano 12, 2016
Bantam Ed.]. It can have no independent
existence apart from a suit on a claim of the
plaintiff against the defendant. Any relief
against such attachment could be disposed of
only in that case [UEM Mara Phils. Corp. v.
Wee, G.R. No. 206563 (2020)].
Grounds for Issuance of Writ of
Attachment
When Preliminary Attachment may be
Applied For
An order for preliminary attachment may be
applied for
a. At the commencement of the action, or
b. At any time before entry of judgment [Sec.
1, Rule 57].
Who may apply
It may be applied for by
a. The plaintiff, or
b. Any proper party [Sec. 1, Rule 57].
● Any proper party includes a defendant
who filed a counterclaim, cross-claim,
or a third party complaint [Sec. 1, Rule
3].
Grant of Preliminary Attachment is
Discretionary
The grant of the remedy of preliminary
attachment is addressed to judicial discretion
[2 Riano 13, 2016 Bantam Ed.].
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Strict Construction
It may only be granted when necessary and as
a last resort on concrete and specific grounds
[2 Riano 14, 2016 Bantam Ed.].
Grounds for Issuance [Sec. 1, Rule 57]
a. For the recovery of a specified amount of
money or damages, other than moral and
exemplary, on a cause of action arising
from law, contract, quasi-contract, delict or
quasi-delict against a party who is about
to depart from the Philippines with
intent to defraud his creditors.
● It is not sufficient to show that the party
against whom the writ is sought to be
issued is about to depart from the
country. It must be shown that such
departure was with “intent to defraud
his creditors” [2 Riano 20, 2016
Bantam Ed.].
b. For money or property embezzled or
fraudulently misapplied or converted to
his own use by a public officer, or an
officer of a corporation, or an attorney,
factor, broker, agent, or clerk, in the course
of his employment as such, or by any
other person in a fiduciary capacity, or
for a willful violation of duty.
● A fiduciary duty is one “founded in trust
and confidence” [2 Riano 21, 2016
Bantam Ed.].
c. To recover the possession of property
unjustly or fraudulently taken, detained,
or converted, when the property, or any
part thereof, has been concealed,
removed, or disposed of to prevent its
being found or taken by the applicant or an
authorized person.
d. Against a party who has been guilty of
fraud in contracting the debt or incurring
the obligation upon which the action is
brought, or in the performance thereof.
e. Against a party who has removed or
disposed of his property, or is about to
do so, with intent to defraud his creditors.
f. Against a party who does not reside and
is not found in the Philippines, or on
whom summons may be served by
publication.
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Note: The aforementioned grounds are
exclusive in nature. No other ground can
serve as the basis of a preliminary attachment
[PCIB v. Alejandro, G.R. No. 175587 (2007)].
Three stages in the grant of
preliminary attachment
a. Court issues the order granting the
application,
b. Writ of attachment issues pursuant to the
order granting the writ, and
c. The writ is implemented [1 Regalado 692,
2010 Ed.].
● In this stage, the court must have
already acquired jurisdiction over the
person of the defendant because the
court has no power over the property of
the defendant without such jurisdiction.
Hence, the rule on
prior/contemporaneous service of
summons (to be discussed below) [2
Riano 33, 2016 Bantam Ed.].
Requisites for Issuance of Order of
Preliminary Attachment
In order for the court to issue an order of
preliminary attachment, the applicant must file
a motion with notice and hearing by the court
in which the action is pending.
However, the court may nonetheless issue an
order of attachment ex parte [Sec. 2, Rule 57].
Requisites
Regardless of whether the order was granted
through motion or ex parte, the following are
the requisites for the issuance of an order of
preliminary attachment, to wit:
a. The applicant, or some other who
personally knows the facts, must file a
motion supported by an affidavit.
b. Applicant must post a bond which is:
• executed to the adverse party in the
amount fixed by the court in its order
granting the issuance of the writ; and,
• conditioned that applicant will pay all
the costs which may be adjudged to the
adverse party and all damages which
the latter may sustain by reason of the
attachment, if the court shall finally
adjudge that the applicant was not
entitled thereto [Secs. 3-4, Rule 57].
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Issuance and Contents of Order of
Attachment; Affidavit and Bond
Contents of the order of attachment
It must:
a. Require the sheriff of the court to attach
so much of the property in the Philippines
of the party against whom it is issued, not
exempt from execution, as may be
sufficient to satisfy the applicant’s demand
b. Fix the amount of deposit or bond, which
may be the
1. Amount sufficient to satisfy the
applicant’s demand or
2. Value of the property to be attached as
stated by the applicant, exclusive of
costs [Sec. 2, Rule 57].
First requisite of an order of attachment -
Affidavit
An order of attachment shall be granted only
when the affidavit of the applicant, or of some
other person who personally knows the facts,
alleges that:
a. A sufficient cause of action exists,
b. The case is one of those mentioned in Rule
57, Sec. 1
c. There is no other sufficient security for the
claim sought to be enforced by the action,
and
● Therefore, if a mortgage exists to
secure the obligation, a writ of
preliminary attachment cannot be
granted [2 Riano 30, 2016 Bantam
Ed.].
d. the amount due to the applicant, or the
value of the property the possession of
which he is entitled to recover, is as much
as the sum for which the order is granted
above all legal counterclaims [Sec. 3, Rule
57].
Second requisite of an order of attachment
- Bond
The party applying for the order of attachment
must likewise give a bond executed to the
adverse party. The amount of such bond is the
amount fixed by the court in the order of
attachment [Sec. 4, Rule 57].
Conditions of applicant’s bond
The party applying for the order will pay all the
costs which may be adjudged to the adverse
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party and all damages which he may sustain
by reason of the attachment, if the court shall
finally adjudge that the applicant was not
entitled thereto [Sec. 4, Rule 57].
Note: The bond shall only be applied to all
damages and costs sustained due to the
attachment [Excellent Quality Apparel v.
Visayan Surety & Insurance Corp., G.R. No.
21205 (2015)].
1. Rule on Prior or Contemporaneous
Service of Summons
General rule: The sheriff is not allowed to
make a levy on attachment if such levy is not
made with prior or contemporaneous
service of the following:
a. Service of summons
b. Copy of the complaint
c. Application for attachment
d. Applicant’s affidavit and bond, and
e. Order for writ of attachment [Sec. 5, Rule
57].
Exceptions: Levy on attachment would be
justified even without prior or
contemporaneous summons under the
following circumstances:
a. Summons could not be served personally
or by substituted service despite diligent
efforts, or
b. Defendant is a resident of the Philippines
temporarily absent therefrom, or
c. Defendant is a non-resident of the
Philippines, or
d. The action is in rem or quasi in rem [Sec.
5, Rule 57].
Manner of Attaching Real and
Personal Property; When Property
Attached is Claimed by Third Person
General rule: The sheriff enforcing the writ
shall without delay and with all reasonable
diligence attach, to await judgment and
execution in the action, only so much of the
property in the Philippines of the party against
whom the writ is issued, not exempt from
execution, as may be sufficient to satisfy the
applicant’s demand.
● The sheriff is precluded from attaching
any property exempt from execution,
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such as those enumerated in Sec. 13,
Rule 39 [2 Riano 35, 2016 Bantam Ed.].
Exception: The sheriff shall not enforce the
writ if the adverse party makes a deposit with
the court from which the writ is issued, or gives
a counter-bond executed to the applicant, in
an amount equal to the bond fixed by the court
in the order of attachment or to the value of the
property to be attached, exclusive of costs
[Sec. 5, Rule 57].
Sheriff’s return
After enforcing the writ, the sheriff must without
delay, make a return to the court issuing the
writ, with:
a. A full statement of his proceedings,
b. A complete inventory of the property
attached, ang
c. Any counter-bond given by the party
against whom attachment is issued [Sec.
6, Rule 57].
ATTACHMENT OF SPECIFIC KINDS OF
PROPERTY
a. Real property, or growing crops
thereon, or any interest therein, standing
upon the record of the registry of deeds of
the province in the name of the party
against whom attachment is issued, or not
appearing at all upon such records, or
belonging to the party against whom
attachment is issued and held by any other
person, or standing on the records of the
registry of deeds in the name of any other
person,
1. By filing with the registry of deeds a
copy of the order, together with a
description of the property attached,
and a notice that it is attached, or that
such real property and any interest
therein held by or standing in the name
of such other person are attached, and
by leaving a copy of such order,
description, and notice with the
occupant of the property, if any, or with
such other person or his agent if found
within the province
● Where the property has been
brought under the operation of
either the Land Registration Act
or the Property Registration
Decree, the notice shall contain a
reference to the number of the
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certificate of title, the volume and
page in the registration book where
the certificate is registered, and the
registered owner or owners
thereof.
2. The registrar of deeds must index
attachments filed under this section in
the names of the applicant, the adverse
party, or the person by whom the
property is held or in whose name it
stands in the records. If the attachment
is not claimed on the entire area of the
land covered by the certificate of title, a
description sufficiently accurate for the
identification of the land or interest to
be affected shall be included in the
registration of such attachment.
b. Personal property capable of manual
delivery,
● By taking and safely keeping it in his
custody, after issuing the corresponding
receipt therefor.
c. Stocks or shares, or an interest in
stocks or shares, of any corporation or
company,
● By leaving with the president or
managing agent thereof, a copy of the
writ, and a notice stating that the stock
or interest of the party against whom the
attachment is issued is attached in
pursuance of such writ.
d. Debts and credits, including bank
deposits, financial interest, royalties,
commissions and other personal property
not capable of manual delivery,
● By leaving with the person owing
such debts (garnishee), or having in
their possession or under their control,
such credits or other personal property,
or with his agent, a copy of the writ,
and notice that the debts owing by him
to the party against whom attachment is
issued, and the credits and other
personal property in his possession, or
under his control, belonging to said
party, are attached in pursuance of such
writ.
e. The interest of the party against whom
attachment is issued in property
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belonging to the estate of the decedent,
whether as heir, legatee, or devisee,
• By serving the executor or
administrator or other personal
representative of the decedent with a
copy of the writ and notice that said
interest is attached.
• A copy of said writ of attachment and
of said notice shall also be filed in the
office of the clerk of the court in
which said estate is being settled and
served upon the heir, legatee or
devisee concerned.
[Sec. 7, Rule 57]
Note: The attachment of the interest of an
heir, legatee, or devisee in the property
belonging to the estate of a decedent shall
not impair the powers of the executor,
administrator, or other personal
representative of the decedent over such
property for the purposes of administration
[Sec. 9, Rule 57].
Attachment of property in custodia legis
a. A copy of the writ of attachment shall be
filed with the proper court or quasi-judicial
agency, and
b. Notice of the attachment served upon the
custodian of such property [Sec. 7, Rule
57].
A previously attached property may also be
subsequently attached. What will arise in this
event will be a priority in the liens, where the
first attachment shall have priority over
subsequent attachments [2 Riano 38, 2016
Bantam Ed.].
Examination of party whose property
whose property is attached or of persons
indebted to him
The Rules of Court empower the court to
examine under oath the party whose property
is attached for the purpose of giving
information respecting his property. Also, all
other persons in possession of property or
credit belonging to the person whose property
is attached may also be required to appear and
be examined under oath [Sec. 10, Rule 57].
When property attached is being claimed by
third persons (Terceria, et al.)
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A third person who has a claim to the property
attached may avail of the following remedies:
a. File terceria or third-party claim
1. By making an affidavit of his title
thereto, or right to the possession
thereof, stating the grounds of such
right or title, and
2. Serving such affidavit upon the
sheriff while the latter has possession
of the attached property, and a copy
thereof upon the attaching party [Sec.
14, Rule 57].
b. File an independent action to recover
property [Imani v. Metropolitan Bank &
Trust Company, G.R. No.187023 (2010)];
or
c. File motion for intervention (available only
before judgment is rendered) [Sec. 1, Rule
19]
Note: The last method was allowed in the
case of [Gopiao v. Metropolitan Bank &
Trust Co.,G.R. No. 188931 (2014)]
Discharge of Attachment and the
Counter-bond
Discharge of attachment and Counter-bond
After a writ of attachment has been enforced,
the party whose property has been attached, or
the person appearing on his behalf, may move
for the discharge of the attachment wholly or in
part on the security given [Sec. 12, Rule 57].
Ways of discharging attachment
a. Counter-bond [Sec. 12, Rule 57]
b. Motion for discharge [Sec. 13, Rule 57]
Grounds for discharge
a. Debtor has posted a counter-bond or has
made the requisite cash deposit [Sec. 12,
Rule 57].
● The mere posting of a counter-bond
does not automatically discharge the
writ of attachment. It is only after due
notice and hearing and after the judge
orders the discharge of the attachment
that the same is properly discharged [2
Riano 42, 2016 Bantam Ed.].
b. Attachment was improperly or irregularly
issued [Sec. 13, Rule 57]
1. As where there was no ground for
attachment, or
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2. The affidavit and/or bond filed are
defective or insufficient.
c. Judgment is rendered against attaching
creditor [Sec. 19, Rule 57].
d. Attachment is excessive; but the discharge
shall be limited to the excess [Sec. 13, Rule
57].
e. Property attached is exempt from
execution.
[1 Regalado 709, 2010 Ed.]
Bond for issuance vs bond for lifting
a. Bond for issuance of writ [Sec. 4, Rule
57] – This is for damages by reason of the
issuance of the writ.
b. Bond for lifting of writ [Secs. 5 and 12,
Rule 57] – This is to secure the payment of
the judgment to be recovered.
[1 Regalado 709, 2010 Ed.]
Only the defendant or party whose property is
attached may move for its lifting. If the
attachment is proper, the discharge should be
by counter-bond under Sec. 12 [KO Glass v.
Valenzuela, G.R. No. L-48756 (1982)].
Effect of discharge of the attachment
Upon the discharge of the attachment, the
property attached shall be delivered to the
party making the deposit or giving the
counterbond or the person appearing on his
behalf [2 Riano 44, 2016 Bantam Ed.].
Obviously, such is also the effect when the
discharge was made through a motion alleging
the grounds in Sec. 13, Rule 57.
Effect of dissolution of preliminary
attachment on plaintiff’s attachment bond
a. Dissolution of preliminary attachment upon
security given, or a showing if its irregular
issuance, does not operate to discharge
the sureties on the attachment bond
[Davao Light and Power Co. v. CA, G.R.
No. 93262 (1991)].
● The bond is conditioned that the
applicant will pay all the costs which
may be adjudged to the adverse party
and all damages which he may sustain
by reason of the attachment, if the court
shall finally adjudge that applicant was
not entitled thereto [Sec. 4, Rule 57].
● Until that determination is made, as to
applicant’s entitlement to attachment,
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his bond must stand and cannot be
withdrawn [Mindanao Savings & Loan
Association Inc v. CA, G.R. No. 84481
(1989)].
Claim for damages on account of improper,
irregular, or excessive attachment
a. When to be filed
1. Before trial, or
2. Before appeal is perfected, or
3. Before the judgment becomes
executory
b. Requirements for damages to be awarded
1. Due notice to the attaching party and
his surety or sureties,
2. Setting forth the facts showing the right
of the party to damages and the
amount thereof.
Note: Damages may be awarded only
after the proper hearing, and shall be
included in the judgment on the main
case.
[Sec. 20, Rule 57]
Satisfaction of Judgment Out of
Property Attached
If judgment be in favor of the attaching
party
General rule: If judgment be recovered by the
attaching party and execution issue thereon,
the sheriff may cause the judgment to be
satisfied out of the property attached, if it be
sufficient for that purpose, in the following
manner:
a. By paying to the judgment obligee the
proceeds of all sales of perishable or other
property sold in pursuance of the order of
the court, or so much as shall be necessary
to satisfy the judgment
b. If any balance remains due, by selling so
much of the property, real or personal, as
may be necessary to satisfy the balance, if
enough for that purpose remain in the
sheriff’s hands, or in those of the clerk of
the court
c. By collecting from all persons having in
their possession credits belonging to the
judgment obligor, or owing debts to the
latter at the time of the attachment of such
credits or debts, the amount of such credits
and debts as determined by the court in the
action, and stated in the judgment, and
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paying the proceeds of such collection over
to the judgment obligee.
The sheriff shall forthwith make a return in
writing to the court of his proceedings under
this section and furnish the parties with copies
thereof [Sec. 15, Rule 57].
Exception: Even before judgment is entered
in favor of the attaching party, the court
may order such property to be sold at public
auction in such manner as the court may direct,
and the proceeds of such sale to be deposited
in court to abide the judgment in the action
whenever it shall be made to appear to the
court in which the action is pending, upon
hearing with notice to both parties, that the:
a. Property attached is perishable, or
b. Interests of all the parties to the action will
be subserved by the sale thereof.
[Sec. 11, Rule 57]
If judgment be against the attaching party
All the proceeds of sales and money collected
by the sheriff under the order of attachment,
and all property attached remaining in any such
sheriff’s hands, shall be delivered to the party
against whom attachment was issued [Sec.
19, Rule 57].
If proceeds from realization of all property
attached are not enough to satisfy
judgement
If such a scenario happens, the Rules of Court
instruct that any balance shall be collected
by the sheriff as upon ordinary execution.
Whenever the judgement shall have been paid,
the sheriff must return to the judgement debtor
any attached property remaining in his hands
[Sec. 16, Rule 57].
Duration of an attachment lien
While the provisions of Rule 57 are silent on
the length of time within which an attachment
lien shall continue to subsist after the rendition
of a final judgment. The lien continues until:
a. The debt is paid, or
b. The sale is had under execution issued on
the judgment, or
c. Until the judgment is satisfied, or
d. The attachment discharged or vacated in
the same manner provided by law [Lim v.
Sps. Lazaro, G.R. No. 185734 (2013)].
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2. Compared with Garnishment and
Levy on Execution
Kinds of attachment as to availability and
effects
1. Preliminary attachment - one issued at
the commencement of the action or at any
time before entry of the judgment as
security for the satisfaction of any judgment
that may be recovered in the cases
provided for by the rules [Sec. 1, Rule 57];
2. Levy on execution - writ issued by the
court after judgment by which the property
of the judgment obligor is taken into
custody of the court before the sale of the
property on execution before the
satisfaction of a final judgment [Sec. 8,
Rule 39] [1 Regalado 691, 2010 Ed.].
Kinds of attachment as to form and
procedure of attachment:
1. Regular form of attachment – attachment
which refers to attachment of corporeal
property in possession of the party involved
[1 Regalado 691, 2010 Ed.].
2. Garnishment - A kind of attachment in
which the plaintiff seeks to subject either
the property of the defendant in the hands
of a third person called garnishee, to his
claim or the money which said third person
owes the defendant [Virata v. Aquino, G.R.
L-35027 (1973)].
C. Preliminary Injunction (Rule
58)
Definitions and Differences:
Preliminary Injunction, Temporary
Restraining Order, And Status Quo
Ante Order
Preliminary Injunction
Two Kinds:
1. Preliminary Prohibitory Injunction -
commands one to refrain from performing
a particular act or acts.
2. Preliminary Mandatory Injunction -
commands the performance of some
positive act to correct a wrong made in the
past [Dela Rosa v. Heirs of Valdez, 654
SCRA 467 (2015)].
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In both cases, such orders are granted at any
stage of an action prior to the judgement or
final order of the court [Sec. 1, Rule 58].
Purpose
A writ of preliminary injunction is issued by the
court to prevent threatened or continuous
irreparable injury to parties before their
claims can be thoroughly studied and
adjudicated and during the pendency of an
action [Manila International v. Rivera, 471
SCRA 358 (2005)].
Nature
A preliminary injunction is an equitable
remedy, and one who comes to claim for
equity must do so with clean hands. It is to be
resorted to by a litigant to prevent or preserve
a right where there is a pressing necessity to
avoid injurious consequences which cannot be
remedied under any standard of compensation
[Sps. Nisce v. Equitable PCI, G.R. No. 170038
(2012)].
Moreover, an injunctive writ is not a judgment
on the merits of the case. A writ of preliminary
injunction is generally based solely on initial
and incomplete evidence. Thus, the issuance
of a writ of preliminary injunction is
interlocutory in nature [Recto v. Escaler, 634
SCRA 180 (2010)].
It may be granted at any stage of the action or
proceeding prior to the judgment or final
order, requiring a party or a court, agency or a
person to perform or to refrain from performing
a particular act or acts [Bicol Medical Center v.
Botor, et al., G.R. No. 214073 (2017)].
A writ of preliminary injunction would become a
prejudgment of a case only when it grants
the main prayer in the complaint or
responsive pleading, so much so that there is
nothing left in the trial court to try except merely
incidental matters [Borlongan v. BDO, G.R. No.
217617 (2017)].
Lastly, the grant or denial of a writ of
preliminary injunction is discretionary
because the assessment and evaluation of
evidence involve findings of fact left to the
court’s discretion. Hence, the exercise of
judicial discretion in injunctive matters must not
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be interfered with except when there is
manifest abuse [2 Riano 53-54, 2016 Bantam
Ed.].
Temporary Restraining Order (TRO)
An order issued to preserve the status quo
until the hearing of the application for a writ
of preliminary injunction because the
injunction cannot be issued ex parte [Bacolod
Water v. Labayen, 446 SCRA 110 (2004)]. By
its nature, it could be considered as a
“provisional remedy within a provisional
remedy” because it is issued to preserve the
status quo for a limited period until the court
decides to issue a writ of preliminary injunction
[2 Riano 67, 2016 Bantam Ed.].
Status Quo Ante Order (SQAO)
Unlike a TRO or a preliminary injunction, a
SQAO is more in the nature of a cease-and-
desist order since it neither directs the
undoing or doing of acts as in the case of
prohibitory or mandatory injunctive relief. A
SQAO seeks to only maintain the last, actual,
peaceable, and uncontested state of things
which immediately preceded the controversy
[Oca v. Custodio, G.R. No. 174996 (2014)].
Requisites
Formal requisite for issuance of a writ of
preliminary injunction or a TRO
A preliminary injunction or temporary
restraining order may be granted only:
a. Upon verified application, showing facts
entitling the applicant to the relief
demanded, and
b. Unless exempted by the court, the
applicant files with the court where the
action or proceeding is pending, a bond
executed to the party or person enjoined, in
an amount to be fixed by the court, to the
effect that the applicant will pay to such
party or person all damages which he may
sustain by reason of the injunction or
temporary restraining order if the court
should finally decide that the applicant was
not entitled thereto. Upon approval of the
requisite bond, a writ of preliminary
injunction shall be issued.
● If the person enjoined takes exception
to the sufficiency of the bond, and there
is a showing that the applicant’s bond
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is insufficient in amount, the injunction
shall be dissolved [2 Riano 65, 2016
Bantam Ed.].
c. When an application for a writ of
preliminary injunction or a temporary
restraining order is included in a complaint
or any initiatory pleading, the case, if filed
in a multiple-sala court, shall be raffled only
after notice to and in the presence of the
adverse party or the person to be enjoined.
In any event, such notice shall be
preceded, or contemporaneously
accompanied by service of summons,
together with a copy of the complaint or
initiatory pleading and the applicant’s
affidavit and bond, upon the adverse party
in the Philippines. However, where the
summons could not be served personally
or by substituted service despite diligent
efforts, or the adverse party is a resident of
the Philippines temporarily absent
therefrom or is a nonresident thereof, the
requirement of prior or contem­poraneous
service of summons shall not apply.
d. The application for a temporary
restraining order shall thereafter be acted
upon only after all parties are heard in a
summary hearing which shall be
conducted within twenty-four (24) hours
after the sheriff’s return of service and/or
the records are received by the branch
selected by raffle and to which the records
shall be transmitted immediately [Sec. 4,
Rule 58].
e. As to a writ of preliminary injunction, the
court must conduct a hearing. A writ of
preliminary injunction cannot be issued
without a prior notice and hearing [Sec. 5,
Rule 58].
● Note: On the other hand, a TRO can be
issued ex parte pursuant to Sec. 5,
Rule 58 [2 Riano 65, 2016 Bantam
Ed.].
The applicant must establish:
a. The existence of a clear and unmistakable
right that must be protected; that is, right in
esse
b. This right in esse is directly threatened by
an act sought to be enjoined
c. A material and substantial invasion of such
right; and
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d. An urgent and paramount necessity for the
writ to prevent serious damage.
[Dulnuan v. Metrobank, G.R. No. 196864
(2015)]
Right in esse
The applicant's right must be clear or
unmistakable, that is, that the right is actual,
clear and positive especially calling for judicial
protection. An injunction will not issue to
protect a right not in esse and which may never
arise or to restrain an act which does not give
rise to a cause of action [Marquez v. Sanchez,
G.R. No. 141849 (2007)].
Irreparable injury
Does not have reference to the amount of
damages that may be caused but rather to the
difficulty of measuring the damages
inflicted. This includes:
a. That degree of wrong of a repeated and
continuing kind which produces hurt,
inconvenience, or damage that can be
estimated only by conjecture, and not by
any accurate standard of measurement.
b. Damage where there is no standard by
which their amount can be measured with
reasonable accuracy
c. A serious charge of, or is destructive to, the
property it affects, either physically or in the
character in which it has been held and
enjoined, or when the property has some
peculiar quality or use, so that its pecuniary
value will not fairly recompense the owner
of the loss thereof.
If full compensation can be obtained, by way of
damages, equity will not favor the remedy of
injunction [Social Security Commission v.
Bayona, G.R. No. L-13555 (1962)].
Kinds of Injunctions; Kinds of
Temporary Restraining Orders
Kinds of Preliminary injunctions
a. Preliminary injunction – an order granted
at any stage of an action or proceeding
prior to the judgment or final order,
requiring a party or a court, agency or a
person to refrain from a particular act or
acts.
b. Preliminary mandatory injunction –
requires the performance of a particular act
or acts [Sec. 1, Rule 58].
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A preliminary mandatory injunction may also
issue in cases where the relative
inconvenience bears strongly in the requesting
party’s favor, and where the effect of the
mandatory injunction is to re-establish and
maintain a pre-existing continuing relation
between the parties, which was recently and
arbitrarily interrupted by another party, rather
than to establish a new relationship between
and among the parties [WT Construction, Inc.
v. DPWH, G.R. No. 163352 (2007)].
Kinds of Temporary Restraining Orders
1. 20-day TRO
If it appears from the facts that great or
irreparable injury would result to the applicant
before the matter can be heard, the court in
which the application for preliminary injunction
was made may issue ex parte for a period not
exceeding 20 days from service to the party
sought to be enjoined [2 Riano 67, 2016
Bantam Ed.].
2. 72-hour TRO
If the matter is of extreme urgency and the
applicant will suffer grave injustice and
irreparable injury, the executive judge of a
multi-sala court or the presiding judge of a
single-sala court may issue ex parte a TRO
effective for only 72 hours from issuance, not
from service (the latter being the reckoning
point for the 20-day TRO).
Within this period, a summary hearing to
determine whether to extend the TRO to 20
days must be conducted. The 72-hour period
shall be included in the maximum 20-day
period set by the Rules [2 Riano 68, 2016
Bantam Ed.].
Note: Unlike a TRO, a WPI has no duration for
effectivity. But if the WPI is issued by the RTC,
CA, SB, or CTA against a lower court, board,
officer, of quasi-judicial agency, the issuing
court shall decide the main case or petition
within 6 months from the issuance of the writ.
When Writ May Be Issued, When Writ
May Not Be Issued
When: At any stage of an action or proceeding
prior to the judgment or final order [Sec. 1, Rule
58].
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By whom: By the court where the action or
proceeding is pending. If the action or
proceeding is pending in the CA or in the SC, it
may be issued by said court or any member
thereof [Sec. 2, Rule 58].
Note: Being preliminary, an order granting a
preliminary injunction need not clearly and
distinctly state the findings of fact and
conclusions of law on which it is based [UCPB
v. United Alloy Phils. Corp., G.R. No. 152238
(2005)].
Quantum of Proof: Mere prima facie evidence
is needed to establish the [applicant’s] clear
and unmistakeable right, and the substantial
and material invasion thereof; complete and
conclusive proof is not needed [Bureau of
Customs v. CA, G.R. No. 192809 (2021)].
When not allowed
1. Under RA 8975 (An Act to Ensure the
Expeditious Implementation and
Completion of Government Infrastructure
Projects);
Rationale: Injunctions and restraining
orders tend to derail the implementation
and completion of government
infrastructure projects [2 Riano 72-73,
2016 Bantam Ed.].
2. Under the Rule of Procedure in
Environmental Cases, no court can issue
a TRO or a preliminary injunction against
lawful actions of government agencies that
enforce environmental laws [Sec. 10, Rule
2, Part II, AM No. 09-6-8-SC].
3. No TRO or injunction in any case
involving or growing out of a labor
dispute shall be issued by any court
except as otherwise provided in Arts. 218
and 264 of the Labor Code. It is the NLRC
which may grant injunctive relief
[Ravago v. Esso, 453 SCRA 381 (2005)].
4. No court shall have the authority to grant
injunction to restrain the collection of any
national internal revenue tax except
when special circumstances warrant
[Sarasola v. Trinidad, 40 Phil. 252 (1919)].
5. An injunction cannot be issued against
consummated acts. The established
principle is that when the events sought to
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be prevented have already happened,
nothing more could be enjoined [Ramos Sr.
v. CA, 173 SCRA 550 (1989)].
Grounds for Issuance of Preliminary
Injunction
A preliminary injunction may be granted when
it is established that:
a. The applicant is entitled to the relief
demanded, and the whole or part of such
relief consists in restraining the
commission or continuance of the act or
acts complained of, or in requiring the
performance of an act or acts, either for a
limited period or perpetually
b. The commission, continuance or non-
performance of the act or acts complained
of during the litigation would probably work
injustice to the applicant, or
c. A party, court, agency or a person is doing,
threatening, or is attempting to do, or is
procuring or suffering to be done, some act
or acts probably in violation of the rights of
the applicant respecting the subject of the
action or proceeding, and tending to render
the judgment ineffectual [Sec. 3, Rule 58].
Grounds for Objection To, or for the
Dissolution of Injunction or
Restraining Order
a. Upon a showing of its insufficiency
● An application for injunction may be
considered insufficient if it is not
verified and supported by any of the
grounds for its issuance under Sec. 3
of Rule 58 OR if it is not supported by
the required bond under Sec. 4 of Rule
58 [2 Riano 82, 2016 Bantam Ed.].
b. Other grounds upon affidavits of the
party or person enjoined, which may be
opposed by the applicant also by affidavits.
c. If it appears after hearing that although the
applicant is entitled to the injunction or
restraining order, the issuance or
continuance thereof, as the case may
be, would cause irreparable damage to
the party or person enjoined while the
applicant can be fully compensated for
such damages as he may suffer, and the
former files a bond in an amount fixed by
the court conditioned that he will pay all
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damages which the applicant may suffer by
the denial or the dissolution of the
injunction or restraining order.
● If the bond of the adverse party is found
to be insufficient, the injunction shall be
granted or restored [2 Riano 65, 2016
Bantam Ed.].
Note: If it appears that the extent of the
preliminary injunction or restraining order
granted is too great, it may be modified [Sec.
6, Rule 58].
Duration of Temporary Restraining
Orders
Rule on non-extendibility
In the event that the application for
preliminary injunction is denied or not
resolved within the said period, the TRO is
deemed automatically vacated.
The effectivity of a TRO is not extendible
without need of any judicial declaration to that
effect, and no court shall have authority to
extend or renew the same on the same ground
for which it was issued [Sec. 5, Rule 58].
Duration differs as per court issuing the
TRO
1. If issued by the RTC - The rule against
non-extendibility of the 20-day
effectiveness of a TRO is absolute [2
Riano 68, 2016 Bantam Ed.].
2. If issued by the CA - A TRO may be
issued by the CA or any member thereof. If
so issued, it shall be effective for 60 days
from service on the party or person sought
to be enjoined. A TRO issued by the CA
has a non-extendible lifetime of 60 days
and automatically expires on the 60th day
without need of judicial declaration [2
Riano 70, 2016 Bantam Ed.].
3. If issued by the SC - A TRO issued by the
SC shall be effective until further orders
[2 Riano 71, 2016 Bantam Ed.].
When main case to be decided
The trial court, the CA, the Sandiganbayan, or
the CTA that issued the preliminary injunction
against a lower court, board, officer, or quasi-
judicial agency shall decide the main case or
petition within 6 months from the issuance
of the writ [Sec. 5, Rule 58].
 FOR UP CANDIDATES ONLY
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Rule on Prior or Contemporaneous
Service of Summons in Relation to
Attachment
General rule: When an application for a writ
of preliminary injunction or a temporary
restraining order is included in a complaint or
any initiatory pleading, the case, if filed in a
multiple-sala court, shall be raffled only after
notice to and in the presence of the adverse
party or the person to be enjoined. In any
event, such notice shall be preceded, or
contemporaneously accompanied by
service of summons, together with a copy of
the complaint or initiatory pleading and the
applicant’s affidavit and bond, upon the
adverse party in the Philippines.
Exceptions: The requirement of prior or
contemporaneous service of summons
shall not apply:
a. The summons could not be served
personally or by substituted service despite
diligent efforts, or
b. The adverse party is a resident of the
Philippines temporarily absent therefrom or
is a nonresident thereof.
[Sec. 4, Rule 58]
Grant of final injunction
If after the trial of the action it appears that the
applicant is entitled to have the act or acts
complained of permanently enjoined, the
court shall grant a final injunction perpetually
restraining the party or person enjoined from
the commission or continuance of the act or
acts or confirming the preliminary mandatory
injunction [Sec. 9, Rule 58].
The final injunction is part of the judgment on
the merits and can only be ordered on final
judgment.
Remedies to assail WPI and final injunction
• WPI – MR, then Rule 65 petition if
issued with grave abuse of discretion
amounting to lack or excess of
jurisdiction.
• Final injunction – MR, then appeal
since it forms part of the final judgment.
[Zuneca Pharmaceutical v. Natrapharm, G.R.
No. 197802 (2020)]
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D. Receivership (Rule 59)
Receiver
A person appointed by the court on behalf of
all the parties to the action for the purpose of
preserving and conserving the property in
litigation and preventing its possible
destruction or dissipation if it were left in the
possession of any of the parties [Normandy v.
Duque, G.R. No. L-25407 (1969)].
A receiver is not an agent of any party to the
action. He is an officer of the court exercising
his functions in the interest of neither plaintiff
nor defendant but for the common benefit of all
the parties in interest [2 Riano 87-88, 2016
Bantam Ed.].
Purpose
Receivership, like injunction, may be the
principal action itself or just an ancillary
remedy [1 Regalado 745, 2010 Ed.].
The purpose of a receivership as a provisional
remedy is to protect and preserve the rights
of the parties during the pendency of the main
action, during the pendency of an appeal, or as
an aid in the execution of a judgment when the
writ of execution has been returned unsatisfied
[Ysasi v. Fernandez, G.R. L-28593 (1968); 2
Riano 129, 2012 Ed.].
Unlike the other provisional remedies which
can be availed of only before final judgment,
receivership may be resorted to even after
the judgment has become final and
executory, under Sec. 1(c), Rule 59 in relation
to Sec. 41, Rule 39 [1 Regalado 747, 2010
Ed.].
The receivership under Rule 59 is directed to
the property which is the subject of the
action and does not refer to the receivership
authorized under banking laws and other rules
or laws. Rule 59 presupposes that there is an
action and that the property subject of the
action requires its preservation [2 Riano 128,
2012 Ed.].
If an action by its nature does not require such
protection or preservation, said remedy cannot
be applied for and granted [Commodities
Storage v. CA, G.R. No. 125008 (1997)].
 FOR UP CANDIDATES ONLY
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Cases When Receiver May Be
Appointed
a. When it appears from the verified
application, and such other proof as the
court may require, that the party applying
for the appointment of a receiver has an
interest in the property or fund which is the
subject of the action or proceeding, and
that such property or fund is in danger of
being lost, removed, or materially
injured unless a receiver be appointed to
administer and preserve it;
b. When it appears in an action by the
mortgagee for the foreclosure of a
mortgage that the property is in danger of
being wasted or dissipated or materially
injured, and that its value is probably
insufficient to discharge the mortgage debt,
or that the parties have so stipulated in the
contract of mortgage;
c. After judgment, to preserve the property
during the pendency of an appeal, or to
dispose of it according to the judg­ment, or
to aid execution when the execution has
been returned unsatisfied or the judgment
obligor refuses to apply his property in
satisfaction of the judgment, or otherwise
to carry the judgment into effect;
d. Whenever in other cases it appears that
the appointment of a receiver is the most
convenient and feasible means of
preserving, administering, or disposing
of the property in litigation [Sec. 1, Rule
59].
Specific cases
a. If a spouse without just cause abandons
the other or fails to comply with his/her
obligations to the family, the aggrieved
spouse may petition the court for
receivership [Art. 101, FC]
b. The court may appoint a receiver of the
property of the judgment obligor; and it may
also forbid a transfer or other disposition of,
or any interference with, the property of the
judgment obligor not exempt from
execution [Sec. 41, Rule 39]
c. After the trial court loses jurisdiction over
the case (in appeals by notice of appeal) or
only over the subject matter (in appeals by
record on appeal), and prior to the
transmittal of the original record or the
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record on appeal, the court may issue
orders for the protection and preservation
of the rights of the parties [Sec. 9, Rule 41],
including necessarily the authority to
appoint a receiver who has the power to
take and keep possession of the property
in controversy [Acuña v. Calauag, G.R. No.
L-10736 (1957)]
d. After final judgment, a receiver may be
appointed as an aid to the execution of
judgment [Philippine Trust Company v.
Santamaria, G.R. 31951 (1929)]
e. Appointment of a receiver over the property
in custodia legis may be allowed when it is
justified by special circumstances, as when
it is reasonably necessary to secure and
protect the rights of the real owner [Dolar v.
Sundiam, G.R. No. 27361 (1971)].
Who appoints a receiver
a. Court where the action is pending
b. CA
c. SC
d. During the pendency of an appeal, the
appellate court may allow an application for
the appointment of a receiver to be filed in
and decided by the court of origin
[Sec. 1, Rule 59]
Requisites
Requisites for appointment of a receiver
a. Verified application filed by the party
requesting for the appointment of the
receiver [Sec. 1, Rule 59]
b. The grounds stated in Sec. 1, Rule 59
enumerated in Part D.1 of this (Provisional
Remedies) reviewer.
c. Application must be with notice and must
be set for hearing;
d. Before appointing a receiver, the court
shall require the applicant to post a bond
executed to the party against whom the
application is presented, in an amount to
be fixed by the court [Sec. 2, Rule 59].
e. Before entering upon his duties, the
receiver must be sworn to perform his
duties faithfully and shall file a bond,
executed to such person and in such sum
as the court may direct [Sec. 4, Rule 59].
 FOR UP CANDIDATES ONLY
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Requirements Before Issuance of an
Order
Oath and bond of receiver
Before entering his duties, the receiver shall
be sworn to perform them faithfully, and
shall file a bond, executed to such person and
in such sum as the court may direct, to the
effect that he will faithfully discharge his duties.
General Powers of a Receiver
Powers of a receiver
Subject to the control of the court in which the
action or proceeding is pending, a receiver
shall have the power to
a. Bring and defend, in such capacity, actions
in his own name
b. Take and keep possession of the property
in controversy
c. Receive rents
d. Collect debts due to himself as receiver or
to the fund, property, estate, person, or
corporation of which he is the receiver
e. Compound for and compromise the same
f. Make transfers
g. Pay outstanding debts
h. Divide the money and other property that
shall remain among the persons legally
entitled to receive the same
i. Generally to do such acts respecting the
property as the court may authorize
j. Invest funds in his hands, only by order of
the court upon the written consent of all the
parties
[Sec. 6, Rule 59]
Liability for refusal or neglect to deliver
property to receiver
a. May be punished for contempt, and
b. Shall be liable to the receiver for the money
or the value of the property and other things
so refused or neglected to be surrendered,
together with all damages that may have
been sustained by the party or parties
entitled thereto as a consequence of such
refusal or neglect
[Sec. 7, Rule 59]
Remedies against the receiver
An aggrieved party may:
1. Take the matter into the court which
appointed the receiver and ask either for an
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accounting or take some other proceeding,
and ask for consequent judgment on the
acts complained of; or
2. Ask for leave of court to bring him an action
directly
Note: Any action filed against a receiver
without the required judicial authority may
be dismissed through the allegation of
failure to comply with a condition precedent
as an affirmative defense to the action [2
Riano 92, 2016 Bantam Ed.].
[De la Riva v. Molina Salvador, G.R. L-10106
(1915)]
Two Kinds of Bonds
a. Applicant’s bond
1. Executed to the party against whom
the application is presented
2. In an amount to be fixed by the court
3. To the effect that the applicant will pay
such party all damages he may sustain
by reason of the appointment in case
the applicant shall have procured such
without sufficient cause the court may,
in its discretion, at any time after the
appointment, require an additional
bond as further security for such
damages [Sec. 2, Rule 59].
b. Receiver’s bond
1. Before entering upon his duties
2. Executed to such person and
3. In such sum as the court may direct
4. To the effect that he will faithfully
discharge his duties in the action or
proceeding and obey the orders of the
court [Sec. 4, Rule 59].
Counterbond on opposition for
appointment of a receiver
The party against whom the application for
appointment of a receiver may oppose the
application or ask for the discharge of a
receiver already appointed. To make a
successful opposition, such party should file a
bond:
a. Executed to the applicant,
b. In an amount to be fixed by the court,
c. To the effect that such party will pay the
applicant all damages he may suffer by
 FOR UP CANDIDATES ONLY
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reason of acts, omissions, or other matters Preliminary
Replevin
specified in the application as ground for attachment
such appointment [Sec. 3, Rule 59]. property capable of put in the custody of
manual delivery from the court to secure
Termination of Receivership the defendant [1 the satisfaction of
Regalado 753, 2010 the judgment that
Ground Ed.] may be rendered in
The necessity for a receiver no longer exists favor of the plaintiff
[Sec. 8, Rule 59]. [Sec. 1, Rule 57]
The property either
The property does
Procedure belongs to the
not belong to the
1. The court shall determine that the plaintiff or one over
plaintiff but to the
necessity for a receiver no longer exists which the plaintiff
defendant [1
a. Motu proprio or has a right of
Regalado 753, 2010
b. On motion of either party possession [Sec. 2,
Ed.]
2. Due notice should be given to all interested Rule 60]
parties May be sought only Available even if
3. Hearing shall be conducted when the principal recovery of property
4. After due notice and hearing, the court action is for the is only incidental to
shall recovery of personal the relief sought [1
a. Settle the accounts of the receiver property [1 Regalado Regalado 753, 2010
b. Direct the delivery of the funds and 753, 2010 Ed.] Ed.]
other property in his possession to the Can be sought only
person adjudged to be entitled to when the defendant May be resorted to
receive them, and is in actual or even if property is in
c. Order the discharge of the receiver constructive possession of a third
from further duty as such possession of the person [1 Regalado
d. Allow the receiver such reasonable property [1 Regalado 753, 2010 Ed.]
compensation as the circumstances of 753, 2010 Ed.]
the case warrant, to be taxed as costs Cannot be availed of
against the defeated party, or when property is in Can be availed of
apportioned, as justice requires [Sec. custodia legis when property is in
8, Rule 59]. [Montesa v. Manila custodia legis [Sec.
Cordage. G.R. L- 7, Rule 57]
E. Replevin (Rule 60) 44537 (1978)]
Available from
Replevin is the provisional remedy seeking for Available before commencement but
the possession of the property prior to the defendant answers before entry of
determination of the main action for [Sec. 1, Rule 60] judgment [Sec. 1,
replevin [BA Finance Corp. v. CA, G.R. No. Rule 57]
102998 (1996)]. Bond is double the Bond is fixed by the
value of the property court [Sec. 4, Rule
Replevin may also be a main action with the [Sec. 2(d), Rule 60] 57]
ultimate goal of recovering personal property
capable of manual delivery wrongfully detained When May Writ Be Issued
by a person. In this sense, it is a suit in itself
[BA Finance Corp. v. CA, G.R. No. 102998 A party praying for the recovery of possession
(1996)]. of personal property may, at the
commencement of the action or at any time
Preliminary before answer, apply for an order for the
Replevin delivery of such property to him [Sec. 1, Rule
attachment
The purpose is to The purpose is to 60].
recover personal have the property
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CIVIL PROCEDURE
Scope of Title of Applicant
An applicant need not be the holder of legal
title to the property in question. It is in the
nature of a possessory action. It is sufficient
that at the time he applied for a writ of replevin
he is found to be entitled to a possession
thereof [Chiao Liong v. CA, G.R. No. 106251
(1993)].
In a complaint for replevin, the claimant
convincingly show that they are either the
owner, or clearly entitled to the possession of
the object sought to be recovered, and that the
defendant in actual or legal possession thereof
wrongly detains it [Police Sr. Supt. Uy v.
Sergio, G.R. No. 232814 (2021)].
General rule: Primarily, the action of replevin
determines nothing more than the right of
possession.
Exception: When the title to the property is
distinctly put in issue by the defendant's plea,
the question of ownership may be resolved in
the same proceeding [Chiao Liong v. CA, G.R.
No. 106251 (1993)].
Where replevin writ was improperly
implemented
The proper remedy to an improperly
implemented writ of replevin is to file a motion
to quash [Siy v. Tomlin, G.R. No. 205998
(2017)].
But failure of a party to file a motion to quash
does not prevent a party from assailing the
improper service via a petition for certiorari.
The trial court is deemed to have acted without
or in excess of its jurisdiction if improperly
served. It must restore the parties to their
former positions by returning the seized
property and by discharging the replevin bond
[Rivera v. Vargas, G.R. No. 165895 (2009)].
Requisites
a. The applicant must show by his own
affidavit or that of some other person who
personally knows the facts the items stated
in Part F.3 (Affidavit and bond; redelivery
bond)
b. The applicant must also give a bond,
called a replevin bond.
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[Sec. 2, Rule 60]
Upon the filing of such affidavit and approval of
the bond, the court shall issue an order and the
corresponding writ of replevin describing the
personal property alleged to be wrongfully
detained and requiring the sheriff forthwith to
take such property into his custody [Sec. 3,
Rule 60].
Affidavit and Bond; Redelivery Bond
Contents of the affidavit:
The affidavit shall show
a. That the applicant is the owner of the
property claimed, particularly describing it,
or is entitled to the possession thereof;
b. That the property is wrongfully detained
by the adverse party, alleging the cause of
detention thereof according to the best of
his knowledge, information, and belief;
c. That the property has not been distrained
or taken for a tax assessment or a fine
pursuant to law, or seized under a writ of
execution or preliminary attachment, or
otherwise placed under custodia legis, or
if so seized, that it is exempt from such
seizure or custody; and
d. The actual market value of the property.
[Sec. 2, Rule 60]
Applicant’s bond (Replevin Bond)
a. Executed to the adverse party
b. Double the value of the property as stated
in the affidavit
c. Conditions:
1. The return to of property to adverse
party if such return be adjudged, and
2. The payment to adverse party of such
sum as he may recover from the
applicant in the action.
[Sec. 2, Rule 60]
Return of property
If the adverse party objects to the sufficiency
of the
a. Applicant’s bond, or
b. Surety or sureties thereon,
he cannot immediately require the return of
the property, but he may, at any time before the
delivery of the property to the applicant, require
the return thereof [Sec. 5, Rule 60].
 FOR UP CANDIDATES ONLY
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How return of property may be required;
Redelivery bond
File a bond with the court where the action is
pending. Such shall be:
a. Executed to the applicant,
b. In double the value of the property as
stated in the applicant’s affidavit
c. Conditions
1. The delivery thereof to the applicant, if
such delivery be adjudged, and
2. The payment of such sum to him as
may be recovered against the adverse
party, and by serving a copy of such
bond on the applicant.
[Sec. 5, Rule 60]
Sheriff’s Duty in Implementation
1. Upon receiving the order, the sheriff must
a. Serve a copy thereof on the adverse
party, together with a copy of the
application, affidavit and bond, and
b. Forthwith take the property, if it be in
the possession of the adverse party, or
his agent, and retain it in his custody.
2. If the property or any part thereof be
concealed in a building or enclosure,
the sheriff must
a. Demand its delivery, and
b. If it be not delivered, he must cause the
building or enclosure to be broken
open and take the property into his
possession.
3. After the sheriff has taken possession of
the property, he must
a. Keep it in a secure place and
b. Shall be responsible for its delivery to
the party entitled thereto upon
receiving his fees and necessary
expenses for taking and keeping the
same.
[Sec. 4, Rule 60]
Delivery of the property
The property shall be delivered to the
applicant,
1. If within 5 days after the taking of the
property by the sheriff, the adverse party
does not object to the sufficiency of
a. the bond, or
b. of the surety or sureties thereon; or
2. If the adverse party so objects and the
court affirms its approval of the
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applicant’s bond or approves a new bond,
or
3. If the adverse party requires the return of
the property but his bond (redelivery
bond) is objected to and found
insufficient and he does not forthwith file
an approved bond,
If for any reason the property is not delivered
to the applicant, the sheriff must return it to
the adverse party [Sec. 6, Rule 60].
When Property Claimed by Third Party
If the property taken is claimed by any person
other than the party against whom the writ of
replevin had been issued or his agent, the
sheriff shall not be bound to keep the
property under replevin or deliver it to the
applicant if:
1. The third party makes an affidavit of his
title or right to the possession
2. Stating the grounds therefor, and
3. Serves such affidavit upon the sheriff while
he has possession of the property and a
copy thereof upon the applicant.
Unless 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 the value of the property
under replevin as provided in Sec. 2, Rule 60.
● No claim for damages for the taking or
keeping of the property may be enforced
against the bond unless the action therefor
is filed within 120 days from the date of the
filing of the bond.
Note: In case of disagreement as to such value,
the court shall determine the same [Sec. 7,
Rule 60].
Judgment
After trial of the issues, the court shall
determine who has the right of possession to
and the value of the property and shall render
judgment for the delivery of:
a. The property itself to the party entitled to
the same, or
b. Its value in case delivery cannot be made,
and
c. For such damages as either party may
prove, with costs [Sec 9, Rule 60]
 FOR UP CANDIDATES ONLY
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Recovering damages on an applicant’s
bond
Requirements
a. The defendant­ claimant has secured a
favorable judgment the main action,
meaning that the plaintiff has no cause of
action and was not entitled to the
replevin;
b. The application for damages, showing
claimant’s right thereto and the amount
thereof, be filed in the same action before
trial or before appeal is perfected or before
the judgment becomes executory;
c. Due notice be given to the other party and
his surety or sureties, notice to the principal
not being sufficient;
d. A proper hearing and the award for
damages should be included in the final
judgment.
REMEDIAL LAW
[DBP v. Carpio, G.R. No. 195450 (2017)]
Note: DBP v. Carpio states that the same
requirements apply when recovering
damages under other provisional remedies,
as provided in Sec. 20, Rule 57; Sec. 8, Rule
58 and Sec. 9, Rule 59.
Even where the judgment is that the defendant
is entitled to the property, but no order was
made requiring the plaintiff to return it or
assessing damages in default of return, there
could be no liability on the part of the sureties
until judgment was entered that the property
should be restored [Sapugay et. al. v. CA, G.R.
No. 86792 (1990)].

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SPECIAL CIVIL ACTIONS

REMEDIAL LAW

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Ordinary
Special
Civil
V. SPECIAL CIVIL Action Civil Action
It may be filed initially Some special civil
ACTIONS either in the MTC or actions can only be
the RTC. filedin the MTC (e.g.
Nature of Special Civil Actions forcible entry and
A special civil action is governed by the rules unlawful detainer)
for ordinary civil actions, subject to the special while there are
rules prescribed for a special civil action [Sec. some which can
3 (a), Rule 1]. NOT be commenced
in the MTC (e.g.
Ordinary certiorari) [1
Special Regalado 771, 2010
Civil
Civil Action Ed.].
Action
A party sues another A party also files
for the enforcement
the action for the A. Jurisdiction and Venue
or protection of a
enforcement or
right or prevention or Jurisdiction over special civil actions is
protection of a right
redress of a wrong determined by the Constitution (e.g. Sec. 5,
[Sec. 3 (a), Rule 1]. or prevention or
Art. VIII, for the Supreme Court) and statutes
redress of a wrong (e.g. B.P. 129).
[1 Riano 495,2007
Ed.]. Venue is a procedural matter and generally set
Governed by the Also governed by by the Rules of Court. Hence, the venue of civil
ordinary rules [Sec. ordinary rules but actions is determined by the general rules on
3, Rule 1]. subject to specific venue, unless otherwise subject to special
rules prescribed rules for special civil actions (e.g. quo
[Sec. 3, Rule 1]. warranto) [1 Regalado 771, 2010 Ed.].
Must be based on a Some special civil
cause of action actions do not
which means that
B. Interpleader
have to be based
there must have
on a cause of Definition
been a violation of
An interpleader is a special civil action filed by
plaintiff’s rights [Sec. action (e.g.
interpleader) [1 a person against whom two conflicting claims
1, Rule 2].
Regalado 771, are made upon the same subject matter and
2010 Ed.]. over which he claims no interest whatsoever, or
Venue is determined Venue is generally if he has an interest, it is one which, in wholeor
by either the governed by the in part, is not disputed by the claimants [Sec.1,
residence of the Rule 62].
general rules on
parties when action
venue, except as Purpose of the Remedy
is personal or by the
location of the otherwise a. To compel the conflicting claimants to
property when the indicated by interplead and litigate their several claims
action is real [Secs. special rules [1 among themselves [Sec. 1, Rule 62].
1-2, Rule 4]. Regalado 771, b. Not to protect a person against double
2016 Ed.]. liability but to protect him from double
vexation in respect of one liability [Beltran v.
Initiated by Initiated by
PHHC, G.R. No. L-25138 (1969)].
complaint [Sec. complaint or
5, Rule 1]. petition [1
Regalado 770,
2010 Ed.].
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Interpleader vs. Intervention
Interpleader Intervention
Original action Ancillary action, i.e.
there is a pending
action
Plaintiff either has Intervenor claims
• No interest or; an interest that is
• An interest in the adverse to at least
subject matter one of the existing
undisputed by parties, or will be
the other parties adversely affected
by judgment in
favor of either of the
existing parties
Defendants are Defendants to a
sued to be complaint-in-
impleaded intervention are
parties to a pending
suit
REMEDIAL LAW
Procedure
Filing of an action against the conflicting
claimants to compel them to interplead and
litigate their several claims among
themselves [Sec. 1, Rule 62].
↓
Court order upon the filing of the complaint
requiring the conflicting claimants to
interplead with one another. If the interests
of justice so require, the court may direct in
such order that the subject matter be paid or
delivered to the court [Sec. 2, Rule 62].
↓
Answer of each claimant setting forth his
claim within 15 days from service of the
summons upon him, serving a copy thereof
upon each of the other conflicting claimants
who may file their reply thereto as provided
by the ROC.

Requisites for Interpleader Counterclaims, cross-claims, third-party

a. There must be 2 or more claimants with
adverse or conflicting interest;
b. The conflicting claims involves the same
subject matter;
c. The conflicting claims are made against the
same person; and
d. The plaintiff has no claim upon the subject
matter of the adverse claims orif he has an
interest at all, such interestis not disputed by
the claimants [Sec. 1, Rule 62].
When to File
General Rule: An action for Interpleader
should be filed within a reasonable time after a
dispute has arisen without waiting to be sued
by either of the contending parties. Otherwise,
it may be barred by laches [Wack Wack Golf &
Country Club v. Lee Won, G.R. No. L-23851
(1976)].
Exception: Where the stakeholder acts with
reasonable diligence in view of environmental
circumstances, the remedy is not barred [Wack
Wack Golf & Country Club v. Lee Won, G.R.
No. L-23851 (1976)].
Who May File
The person against whom the conflictingclaims
are made and claims no interest in the subject
matter [Sec. 1, Rule 62].
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complaints and responsive pleadings
thereto, as provided by the ROC, may be
filed by the parties in an interpleader action
[Sec. 5, Rule 62].
OR
Motion to dismiss filed by each claimant
within the time for filing an answer on the
ground of impropriety of the interpleader
action or on other appropriate grounds
specified in Rule 16. The period to file the
answer shall be tolled and if the motion is
denied, the movant may file his answer
within the remaining period, but which shall
not be less than 5 days in any event,
reckoned from notice of denial [Sec. 4, Rule
62].
Note: Even if a motion to dismiss is now a
prohibited pleading under the Amended
Rules, it is submitted that a motion to dismiss
can still be filed on the basis of the
impropriety of an interpleader, even if such
ground is not among those listed for an
allowable motion to dismiss under Sec. 12,
Rule 15. This is because the rules of
ordinary civil actions are subject to the
special rules prescribed for a special civil
action [Sec. 3(c), Rule 1]. In light of Sec. 3(c),
Rule 1 as well, the grounds for an allowable
motion to dismiss should likewise be allowed
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as proper grounds for a motion to dismiss an
interpleader [See Sec. 12(a) (1-3), Rule 15].
↓ validity of provisions in an instrument or
Pre-trial [Sec. 6, Rule 62].
↓ an action must be justified, as no other
Determination of the claimants’ respective
rights and adjudicate their several claims
[Sec. 6, Rule 62].
Effect of Failure to Answer
If any claimant fails to plead within the time
therein fixed, the court may, on motion,
1. Declare him in default; and
2. Render judgment barring him from anyclaim
in respect to the subject matter [Sec. 5,
Rule 62].
Dismissal
Proper Grounds to Dismiss an Interpleader
a. Impropriety of Interpleader [Sec. 4, Rule
62]
b. Allowable grounds for a motion to dismiss,
namely:
1. Lack of jurisdiction over the subject
matter
2. Litis pendentia
3. Res judicata
4. Prescription [Sec. 12 (a), Rule 15]
C. Declaratory Reliefs and
Similar Remedies
Two Types of Actions Under Rule 63
1. Petition for declaratory relief; and
2. Similar remedies
a. Action for reformation of an instrument;
b. Action to quiet title or remove clouds
therefrom; and
c. Action to consolidate ownership under
Art. 1607, CC [Sec. 1, Rule 63]
Definition
Declaratory relief is an action by any person
interested in a deed, will, contract or other
written instrument, executive order or
resolution, to determine any question of
construction or validity arising from the
instrument, executive order or regulation, or
statute, and for a declaration of his rights and
duties thereunder [Sec. 1, Rule 63].
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The only issue that can be raised in such a
petition is the question of construction or
statute. Corollary is the general rule that such
adequate relief is available [2 Riano 142, 2016
Bantam Ed.].
Purpose
To secure an authoritative statement of the
rights and obligations of the parties under a
statute, deed, contract, etc. for their guidance
in its enforcement or compliance and not to
settle issues arising from its alleged breach
[Tambunting v. Sumabat and Baello, G.R. No.
144101 (2005)].
Subject Matter of Petition for Declaratory
Relief
The subject matter in a petition for declaratory
relief is any of the following:
1. Deed
2. Will
3. Contract or other written instrument
4. Statute
5. Executive order or regulation
6. Ordinance
7. Any other government regulation [Sec. 1,
Rule 63].
Note: The enumeration is exclusive [Mangahas
v. Paredes, G.R. No. 157866 (2007)].
Where to File Declaratory Relief
Jurisdiction
General Rule: Exclusive and original
jurisdiction is with the RTC since the subject in
a petition for declaratory relief is incapable of
pecuniary estimation [Sec. 19, B.P.129, as
amended by R.A. 7691].
Exception: Where the action is a proceeding
similar to declaratory relief (e.g. quieting of title
to real property), jurisdiction will depend on the
assessed value of the property [Malana v.
Tappa, G.R. No. 181303 (2009)].
Venue: General rule on venue applies, see
Rule 4.
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Who May File Action
Any person:
1. Interested under a deed, will, contract, or
other written instrument;
2. Whose rights are affected by a statute,
executive order or regulation, ordinance, or
any other governmental regulation; and
3. Who files before the breach or violation
thereof [Sec. 1, Rule 63].
2.
Parties to the Action
1. All persons who have or claim any interest
which would be affected by thedeclaration
[Sec. 2, Rule 63].
2. In any action which involves the validityof a
statute, executive order or regulation, or any
other governmental regulation, the Solicitor
General shall be notified by the party
assailing the same and shall be entitled to
be heard upon such question [Sec. 3, Rule
63].
3. In any action involving the validity of a local
government ordinance, the corresponding
prosecutor or attorney of the local
government unit involved shall be similarly
notified and entitled to be heard. If such
ordinance is alleged to be unconstitutional,
the Solicitor General shall also be notified
and entitled to be heard [Sec. 4, Rule 63].
Note: Non-joinder of interested persons is not
a jurisdictional defect; but persons not joined
shall not be prejudiced in their interests unless
provided by the Rules [Sec. 2, Rule 63].
Requisites
a. The subject matter of the controversy must
be a deed, will, contract, or other written
instrument, statute, executive order or
regulation, or ordinance;
b. The terms of said documents and the
validity thereof are doubtful and require
judicial construction;
c. There must have been no breach of the
documents in question;
d. There must be an actual justiciable
controversy or the “ripening seeds” of one
between persons whose interests are
adverse;
e. The issue must be ripe for judicial
determination; and
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f. Adequate relief is not available through
other means or other forms of action or
proceeding [Dupasquier v. Ascendas
Philippines Corp., G.R. No. 211044 (2019)].
A justiciable controversy refers to an existing
case or controversy appropriate or ripe for
judicial determination, not one that is
conjectural or merely anticipatory [Velarde v.
Social Justice Society, G.R. No. 159357
(2004)]
When Court May Refuse to Make a Judicial
Determination
General Rule: The court, motu proprio or upon
motion, may refuse to exercise the power to
declare rights and to construe instruments in
any case where a decision would not terminate
the uncertainty or controversy which gave rise
to the action, or in any case where the
declaration or construction is not necessaryand
proper under the circumstances.
Exception: Actions falling under the 2nd par of
Sec. 1, Rule 63
1. An action for the reformation of an
instrument, recognized under Articles 1359
to 1369 of the Civil Code;
2. An action to quiet title, authorized by Articles
476 to 481 of the Civil Code; and
3. An action to consolidate ownership required
by Article 1607 of the Civil Code in a sale
with a right to repurchase [Sec. 5, Rule 63].
Conversion to Ordinary Action
The action may be converted into an ordinary
action if:
1. Before the final termination of the case
2. A breach or violation of an instrument or a
statute, executive order, regulation,
ordinance, or any other governmental
regulation should take place.
Note: The parties shall be allowed to file such
pleadings as may be necessary or proper
[Sec. 6, Rule 63].
A petition for declaratory relief is filed before
the occurrence of any breach or violation of the
deed, contract, statute, ordinance or executive
order or regulation. It will not prosper when
brought after a contract or a statute has already
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been breached or violated. If there has already
been a breach, the appropriate ordinary civil
action and not declaratory relief should be filed
[City of Lapu-Lapu v. PEZA, G.R. No. 184203
(2014)].
Proceedings Considered as Similar
Remedies
These remedies are considered similar to
declaratory relief because they also result in
the adjudication of legal rights of the litigants,
often without the need of execution to carry the
judgment into effect:
1. An action for the reformation of an
instrument, recognized under Articles 1359
to 1369 of the Civil Code;
2. An action to quiet title, authorized by Articles
476 to 481 of the Civil Code; and
3. An action to consolidate ownership required
by Article 1607 of the Civil Code in a sale
with a right to repurchase [Malana v. Tappa,
G.R. No.181303 (2009)].
However, a distinction must be made between
these proceedings and an action for
declaratory relief because of Sec. 5, Rule 63 on
when the court’s action on such a petition is
discretionary.
a. Reformation of an Instrument
Definition
Reformation is a remedy in equity, whereby a
written instrument is made or construed so as
to express or conform to the real intention of
the parties, where some error or mistake has
been committed [Multi-Ventures Capital v.
Stalwart Management Services Corp., G.R.
No. 157439 (2007)].
Nature: In personam
Jurisdiction: RTC has exclusive original
jurisdiction.
What Are the Requisites for Reformation?
1. There must have been a meeting of the
minds of the parties to the contract;
2. The instrument does not express the true
intention of the parties; and
3. Failure of the instrument to express thetrue
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intention of the parties is due to mistake,
fraud, inequitable conduct, or accident
[Multi-Ventures Capital v. Stalwart
Management Services Corp., G.R. No.
157439 (2007)].
Burden of Proof
The onus probandi is upon the party who
insists that the contract should be reformed
[Multi-Ventures Capital v. Stalwart
Management Services Corp, G.R. No. 157439
(2007)].
Prescriptive Period
In an action for reformation, the plaintiff has 10
years within which to bring it from the time the
right of action accrued [Veluz v. Veluz, G.R.
No. L-23261 (1968)].
CIVIL CODE PROVISIONS ON THE
REFORMATION OF AN INSTRUMENT
When the Remedy is Reformation of the
Instrument
1. When, there having been a meeting of the
minds of the parties to a contract, their true
intention is not expressed in the instrument
by reason of mistake, fraud, inequitable
conduct or accident [Art. 1359, Civil Code]
2. When a mutual mistake of the parties
causes the failure of the instrument to
disclose their real agreement [Art. 1361,
Civil Code]
3. If one party was mistaken and the other
acted fraudulently or inequitably in such a
way that the instrument does not show their
true intention [Art. 1362,Civil Code]
4. When one party was mistaken and theother
knew or believed that the instrument did not
state their real agreement, but concealed
that fact from the former, the instrument may
bereformed [Art. 1363, Civil Code]
5. When through the ignorance, lack of skill,
negligence or bad faith on the part of the
person drafting the instrument orof the clerk
or typist, the instrument does not express
the true intention of the parties [Art. 1364,
Civil Code]
6. If two parties agree upon the mortgage or
pledge of real or personal property, but the
instrument states that the property is sold
absolutely or with a right of repurchase [Art.
1365, Civil Code]
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7. At the instance of either party or his
successors in interest, if the mistake was
mutual; otherwise, upon petition of the
injured party, or his heirs and assigns [Art.
1368, Civil Code]
When the Remedy Is for Annulment of the
Contract
If mistake, fraud, inequitable conduct, or
accident has prevented a meeting of the minds
of the parties, the proper remedy is not
reformation of the instrument but annulment of
the contract [Art. 1359, Civil Code].
REMEDIAL LAW
property.
Requisites
1. The plaintiff or complainant has a legal or an
equitable title to or interest in the real
property subject of the action, and
2. The deed, claim, encumbrance, or
proceeding claimed to be casting cloud on
his title must be shown to be in fact invalid
or inoperative despite its prima facie
appearance of validity or legal efficacy
[Mananquil v. Moico, G.R. No. 180076
(2012)].

When Reformation Not Applicable c. Consolidation of Ownership

There shall be no reformation in the following
cases: In case of real property, the consolidation of
a. Simple donations inter vivos wherein no ownership in the vendee by virtue of the failure
condition is imposed, of the vendor to comply with the provisions of
b. Wills, or Art. 1616 shall not be recorded in the Registry
c. When the real agreement is void [Art. 1366, of Property without a judicial order, after the
Civil Code]. vendor has been duly heard [Art. 1607, Civil
Code].
When one of the parties has brought an action
to enforce the instrument, he cannot The vendor cannot avail himself of the right of
subsequently ask for its reformation [Art. 1367, repurchase without returning to the vendee the
Civil Code]. price of the sale, and in addition:
a. The expenses of the contract, and anyother
b. Quieting of Title to Real Property legitimate payments made by reason of the
sale;
Whenever there is a cloud on title to real b. The necessary and useful expenses made
property or any interest therein, by reason of on the thing sold [Art. 1616, CC].
any instrument, record, claim, encumbrance or
proceeding which is apparently valid or Applicability: It applies only to conventional
effective but is in truth and in fact invalid, redemption under Article 1607, in relation to
ineffective, voidable, or unenforceable, and Article 1616, of the Civil Code.
may be prejudicial to said title, an action may
be brought to remove such cloud or to quiet the Jurisdiction: MeTC/MCTC/MTC or RTC,
title. depending on the assessed value of the
property.
An action may also be brought to prevent a
cloud from being cast upon title to real property D. Certiorari, Prohibition,
or any interest therein [Art. 476, Civil Code].
and Mandamus
The plaintiff must have legal or equitable title
to, or interest in the real property which is the 1. Definitions and Distinctions
subject-matter of the action. He need not be in
possession of said property [Art. 477, Civil Certiorari is a writ emanating from the proper
Code]. court directed against any tribunal, board or
officer exercising judicial or quasi-judicial
Nature: Quasi in rem functions, the purpose of which is to correct
Jurisdiction: MeTC/MCTC/MTC or RTC, errors of jurisdiction - i.e. without or in excess
depending on the assessed value of the of jurisdiction, or with grave abuse of discretion
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amounting to the same [Sec. 1, Rule 65]. Certiorari as a Certiorari as a
Mode of Appeal Special Civil
Prohibition is a writ issued by the proper court [Rule 45] Action [Rule 65]
and directed against any tribunal, corporation, judgment or final of judgment, order,
board, officer or person, whether exercising order appealed from, or resolution sought
judicial, quasi-judicial or ministerial functions, or of the denial of to be assailed.
commanding the respondent to desist from petitioner’s motion
further proceedings in the action or matter for reconsideration
specified therein [Sec. 2, Rule 65]. or new trial.
Extension of 30 days Extension granted
Mandamus is a writ to compel a tribunal, may be granted for only under
corporation, board, officer or person to do the justifiable reasons. exceptional cases
act required to be done to protect the rights of (infra).
the petitioner when the respondent unlawfully Does not require a Motion for
neglects the performance of an act which the prior motion for reconsideration is a
law specifically enjoins as a duty resulting from reconsideration condition precedent,
an office, trust, or station, or excludes another subject to exceptions
from the use and enjoyment of a right or office Stays the judgment Does not stay the
to which such other is entitled, and there is no appealed from judgment or order
other plain, speedy and adequate remedy in subject of the
the ordinary course of law [Sec. 3, Rule 65]. petition, unless
enjoined or
Certiorari as a Certiorari as a restrained
Mode of Appeal Special Civil Parties are the The tribunal, board,
[Rule 45] Action [Rule 65] original parties with or officer, exercising
A continuation of the An original action the appealing party judicial or quasi-
appellate process and not a mode of as the petitioner and judicial functions is
over the original appeal the adverse party as impleaded as
case the respondent, respondent
Seeks to review final May be directed without impleading
judgment or final against an the lower court or its
orders interlocutory order of judge
the court or where no Review by the SC is If the order is
appeal or plain or discretionary and will sufficientin form and
speedy remedy is be granted only substance, the RTC
available in the when there are shall:
ordinary course of special or important Order respondents
law reasons[Sec. 6, Rule to comment, then
Raises only Raises questions of 45] 1. (a) hear the case or
questions of law jurisdiction, i.e. (b) require the
whether a tribunal, parties
board or officer to file memoranda.
exercising judicial or
quasi-judicial But the SC/CA may
functions has acted require a comment
without jurisdiction or before giving the
in excess of petition due course.
jurisdiction or with [1 Regalado 612, 2010 Ed.]
grave abuse of
discretion amounting Note: The remedies of appeal and certiorari are
to lack of jurisdiction mutually exclusive and not alternative or
Filed within 15 days Filed not later than successive. Thus, a petitioner must show valid
from notice of 60 days from notice reasons why the issues raised in his petition for
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certiorari could not have been raised on appeal Expanded Scope of Certiorari
[Villamar-Sandoval v. Cailipan, G.R. No. The sole office of the writ of certiorari is the
200727 (2013)]. correction of errors of jurisdiction, which
includes the commission of grave abuse of
Injunction Prohibition discretion amounting to lack of jurisdiction. In
Ordinary civil action Special civil action this regard, mere abuse of discretion is not
Directed to the court enough to warrant the issuance of the writ. The
Directed only to the abuse of discretion must be grave, which
itself, commanding it
partylitigants, means either that the judicial or quasi-judicial
to cease from the
without in any power was exercised in an arbitrary or despotic
exercise of a
manner interfering manner by reason of passion or personal
jurisdiction to which
with the court hostility, or that the respondent judge, tribunal
ithas no legal claim
It is based on the or board evaded a positive duty, or virtually
ground that the court refused to perform the duty enjoined or to act
Does not involve the in contemplation of law, such as when such
against whom the
jurisdiction of the judge, tribunal or board exercising judicial or
writ is sought had
court quasi-judicial powers acted in a capricious or
acted without or in
excess of jurisdiction whimsical manner as to be equivalent to lack of
Main action or jurisdiction.
Main action
provisional remedy
[2 Riano 58, 2016 Bantam Ed.] The remedies of certiorari and prohibition are
necessarily broader in scope and reach, and
the writ of certiorari or prohibition may be
Injunction Mandamus
issued to correct errors of jurisdiction
Ordinary civil action Special civil action
committed not only by a tribunal, corporation,
Directed against a Directed against a
board or officer exercising judicial, quasi-
litigant tribunal, corporation,
judicial or ministerial functions but also to set
board, or officer
right, undo and restrain any act of grave abuse
Purpose is to either Purpose is for the
of discretion amounting to lack or excess of
refrain the tribunal, corporation, jurisdiction by any branch or instrumentality of
defendantfrom board, or officer, to
the Government, even if the latter does not
performing an act or perform a ministerial
exercise judicial, quasi-judicial or ministerial
to perform not and legal duty
functions [Araullo v. Aquino, G.R. No. 209287
necessarily a legal
(2014)].
andministerial duty
[2 Riano 59, 2016 Bantam Ed.] The acts that may be the object of the petition
are:
2. Requisites a. Acts without jurisdiction – denotes that
the tribunal, board, or officers acted with
a. Certiorari absolute lack of authority
b. Excess of jurisdiction – when the
respondent exceeds its power or acts
Requisites: without any statutory authority
1. Respondent (which may be any tribunal, c. Grave abuse of discretion – connotes
board, or officer) is exercising judicial or capricious and whimsical exercise of
quasi-judicial functions; judgment as to be equivalent to lack or
2. Respondent acted without or in excess of its excess of jurisdiction [2 Riano 205, 2016
jurisdiction or acted with grave abuse of Bantam Ed.]
discretion amounting to lack of jurisdiction;
and Certiorari is a corrective remedy used to
3. There must be no appeal or no other plain, correct errors of jurisdiction, not errors of
speedy, and adequate remedy [Sec. 1, Rule judgment.
65; Barbers v. COMELEC, G.R. No. 165691
(2005)]. Note: Errors of judgement are those errors
arising from erroneous conclusions of law.
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They are reviewable by appeal, not by
certiorari [Heirs of Valientes v. Ramas, 638
SCRA 444 (2010)].
Questions of fact cannot be raised in an original
action for certiorari. Only established or
admitted facts may be considered [Suarez v.
NLRC, G.R. No. 124723 (1998)].
General Rule: Where an appeal is available,
certiorari will not lie [Jose v. Zulueta, G.R. No.
L-16598 (1961)].
Exceptions:
a. Where appeal does not constitute a speedy
and adequate remedy;
b. Where orders were also issued either in
excess of or without jurisdiction;
c. For certain special considerations, as
public welfare or public policy;
d. Where, in criminal actions, the court rejects
the rebuttal evidence for the prosecution as,
in the case of acquittal, there could be no
remedy;
e. Where the order is a patent nullity; and
f. Where the decision in the certiorari case will
avoid future litigations [Villarica Pawnshop
v. Gernale, G.R. No. 163344 (2009)].
b. Prohibition
Requisites:
1. Respondent (which may be any tribunal,
board, or officer) is exercising judicial or
quasi-judicial functions;
2. Respondent acted without or in excess of its
jurisdiction or acted with grave abuse of
discretion amounting to lack of jurisdiction;
and
3. There must be no appeal or no other plain,
speedy, and adequate remedy. [Sec. 2,Rule
65; Barbers v. COMELEC, G.R. No. 165691
(2005)]
Prohibition is a preventive remedy.
However, to prevent the respondent from
performing the act sought to be prevented
during the pendency of the proceedings for the
writ, the petitioner should obtain a restraining
order and/or a writ of preliminary injunction [1
Regalado 801, 2010 Ed.].
The office of prohibition is not to correct errors
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of judgment but to prevent or restrain
usurpation by inferior tribunals and to compel
them to observe the limitation of their
jurisdictions [3 Herrera 321, 2006 Ed.].
General Rule: Prohibition, as a rule, does NOT
lie to restrain an act which is already fait
accompli (one that has already been done)
[Cabañero and Mangornong v. Torres, G.R.
No. L-43352 (1935)].
Exception: A writ of prohibition will lie to
prevent the unlawful creation of a new province
by those in the corridors of power who could
avoid judicial intervention and review by merely
speedily and stealthily completing the
commission of such illegality [Tan v.
COMELEC, G.R. No. 73155 (1986)].
c. Mandamus
Requisites:
1. Respondent unlawfully
a. Neglects the performance of anact which
the law specifically enjoins as a duty
resulting from an office, trust, or station;
or
b. Excludes another from the use and
enjoyment of a right or office to which
such other isentitled; and
2. There is no other plain, speedy, and
adequate remedy in the ordinary course of
law [Sec. 3, Rule 65].
There must be a well-defined, clear legal right
or duty [Valmonte v. Belmonte, G.R. No. 74930
(1989)] which is enjoined by law; hence, a
contractual duty cannot be enforced by
mandamus. [COMELEC v. Quijano-Padilla,
G.R. No. 151992 (2002]
The respondent must be exercising a
ministerial duty [Roble Arrastre, Inc. v. Villaflor,
G.R. No. 128509 (2006)]. As such, mandamus
“will lie to compel discharge of the discretionary
duty itself but not to control the discretion to be
exercised. In other words, a mandamus can be
issued to require action, but not specific action”
[Association of Small Landowners in the
Philippines, Inc. v. Sec. of Agrarian Reform,
G.R. No. 78742 (1989)].
However, in extreme situations generally in
criminal cases, mandamus lies to compel the
performance by the fiscal of discretionary
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functions where his actuations are tantamount
to a willful refusal to perform a required duty [1
Regalado 804, 2010 Ed.].
Grounds
When any tribunal, corporation, board, officer
or person unlawfully
1. NEGLECTS the performance of an act
which the law specifically enjoins as a duty
resulting from an office, trust, or station, or
2. EXCLUDES another from the use and
enjoyment of a right or office to which such
other is entitled [Sec. 3, Rule 65].
Mandamus is the proper remedy when the
respondent unlawfully excludes the petitioner
from a public office, position or franchise to
which the latter is entitled without usurping,
intruding into or unlawfully holding the office.
However, if the respondent claims any right to
the office and usurps, intrudes into or
unlawfully holds it against the petitioner, quo
warranto is the proper remedy [Sec. 1, Rule
66].
Note: The common requisite among certiorari,
prohibition, and mandamus is that there is no
other plain, speedy, or adequate remedy in
the ordinary course of law [Secs. 1, 2, 3, Rule
65].
3. When and Where to File
Petition
a. Petition and Contents
A verified petition is:
1. Filed in the proper court
a. Alleging the facts with certainty
b. Praying for the proper
judgment; and
2. Accompanied by:
a. A certified true copy of the judgment,
order, resolutionsubject thereof
b. Copies of all pleadings and relevant and
pertinent documents
c. A sworn certification of non- forum
shopping [Secs. 1-3,Rule 65].
b. When to File
Not later than 60 days from notice of judgment,
order, or resolution. If a motion for
reconsideration or new trial is filed, the 60-day
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period shall be counted from notice of denial of
motion [Sec. 4, Rule 65].
Rule on Extension of Time for Filing
General Rule: The 60-day period within which
to file a petition for certiorari under Rule 65 is
non-extendible.
Exceptions: Under the following exceptional
circumstances, the Court may extend the
period according to its sound discretion:
a. Most persuasive and weighty reasons;
b. To relieve a litigant from an injustice not
commensurate with his failure to comply
with the prescribed procedure;
c. Good faith of the defaulting party by
immediately paying within a reasonable
time from the time of the default;
d. The existence of special or compelling
circumstances;
e. The merits of the case;
f. A cause not entirely attributable to the fault
or negligence of the party favored by the
suspension of the rules;
g. A lack of any showing that the review sought
is merely frivolous and dilatory;
h. The other party will not be unjustly
prejudiced thereby;
i. Fraud, accident, mistake or excusable
negligence without appellant’s fault;
j. Peculiar legal and equitable circumstances
attendant to each case;
k. In the name of substantial justice and fair
play;
l. Importance of the issues involved; and
m. Exercise of sound discretion by the judge
guided by all the attendant circumstances
[Thenamaris Philippines, Inc. v. CA, G.R.
No. 191215 (2014)].
c. Where to File
Subject to the
doctrine of hierarchy
of courts and only
when compelling
reasons exist for not
Supreme Court
filing the same with
the lower courts [Uy
v.
Contreras, G.R. No.
111416-17 (1994)].
RTC If the petition relates to
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an act or an omission of specified; or
an MTC, corporation, b. Otherwise granting such incidental reliefs
board, officer or person as law and justice may require [Sec. 2, Rule
[Sec. 4, Rule 65, as 65].
amended by A.M. No.
07-7-12-SC]. Mandamus
If the petition involvesan a. That the judgment be rendered
act or an omission of a commanding the respondent, immediately
quasi-judicial agency, or at some other time to be specified by the
Court of unless otherwise court, to do the act required to be done to
Appeals only provided bylaw or rules protect the rights of the petitioner; and
[Sec. 4, Rule 65, as b. To pay the damages sustained by the
amended by A.M. No. petitioner by reason of the wrongful acts of
07-7-12- SC]. the respondent [Sec. 3, Rule 65].
Whether or not in aid of
Court of
appellate jurisdiction 5. Effects of Filing of an
Appeals or
[Sec. 4, A.M. No. 07-7-
Sandiganbayan Unmeritorious Petition
12-SC]
In election cases
involving an act or an The court may dismiss the petition if:
Commission 1. It finds the same patently without merit or
omission of an MTC or
on Elections prosecuted manifestly for delay; or
RTC [Sec. 4, A.M. No.
07-7-12-SC] 2. If the questions raised therein are too
insubstantial to require consideration.
4. Reliefs Petitioner is Entitled to Effect of Dismissal
The Court may: The court may award in favor of the respondent
1. Issue orders expediting the proceedings, treble costs solidarily against the petitioner and
counsel, in addition to subjecting counsel to
and it may also grant a temporary
restraining order or a writof preliminary administrative sanctions under Rules 139 and
139-B.
injunction for thepreservation of the rights
of the parties[Sec. 7, Rule 65].
The Court may impose motu proprio, based on
2. Incidental reliefs as law and justice may
res ipsa loquitur, other disciplinary measures
require [Secs. 1-2, Rule 65].
on erring lawyers for patently dilatory and
3. Other reliefs prayed to which the petitioner
unmeritorious petitioner for certiorari [Sec. 8,
is entitled [Sec. 8, Rule 65].
Rule 65].
4. Disciplinary sanctions for erring lawyers
for patently dilatory and unmeritorious
petitions for certiorari [Sec. 8, Rule 65]. 6. Filing of MR before filing of
petition
a. Prayers
General Rule: A Motion for Reconsideration is
Certiorari
a condition sine qua non for the filing of a
a. That the judgment be rendered annulling or
Petition for Certiorari.
modifying the proceedings of such tribunal,
board or officer; and
Exceptions:
b. Granting such incidental reliefs as law and
a. The order is a patent nullity, as where the
justice may require [Sec. 1, Rule 65].
court a quo has no jurisdiction;
b. The questions raised in the certiorari
Prohibition proceeding have been duly raised and
a. That the judgment be rendered passed upon by the lower court or are the
commanding the respondent to desist from same as those raised and passed upon in
further proceedings in the action or matter the lower court;
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c. There is an urgent necessity for the
resolution of the question and any further
delay would prejudice the interests of the
government or of the petitioner;
d. The subject matter of the action is
perishable;
e. Under the circumstances, a motion for
reconsideration would be useless;
f. Petitioner was deprived of due process and
there is an extreme urgency for relief;
g. In a criminal case, relief from order of arrest
is urgent and the granting of such relied by
the court if improbable;
h. The proceedings were done ex parte or in
which the petitioner had no opportunity to
object;
i. Where the issue raised is one purely of law;
or
j. Where public interest is involved [Republic
v. Bayao, G.R. No. 179492
E. Quo Warranto
A quo warranto proceeding is the properlegal
remedy to determine the right or title to the
contested public office and to oust the holder
from its enjoyment [Defensor-Santiago v.
Guingona, Jr., G.R. No. 134577 (1998)].
Subject matter
An action for the usurpation of a public office,
position or franchise [Sec. 1, Rule 66].
1. Against Whom May the Action
Be Brought
a. A PERSON who usurps, intrudes into, or
unlawfully holds or exercises a public office,
position, or franchise;
o Note: Sec. 2, Article XI of the Constitution
allows the institution of a quo warranto
action against an impeachable officer.
After all, a quo warranto petition is
predicated on grounds distinct from
those of impeachment. The former
questions the validity of a public officer’s
appointment while the latter indicts him
for so-called impeachable offenses
without questioning his title to the office
he holds [Republic v. Sereno, G.R. No.
237428 (2018)].
b. A PUBLIC OFFICER who does or suffers an
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act, which, by the provision of law, constitutes
a ground for forfeiture of office; or
c. An ASSOCIATION which acts as a
corporation within the Philippineswithout being
legally incorporated or without lawful authority
so to act [Sec. 1, Rule 66].
2. When Not Proper
1. Against persons who usurp an office in a
private corporation [Calleja v. Panday, G.R.
No. 168696 (2006)]
2. If the dispute is as to the counting of votes
or on matters connected with theconduct of
the election, a quo warrantois not the proper
remedy but an election protest [Cesar v.
Garrido, G.R. No. 30705 (1929)]
3. Acts or omissions, even if it relates to the
qualification of integrity, being a continuing
requirement but nonetheless committed
during the incumbency of a validly
appointed and/or validly elected official,
cannot be the subject of a quo warranto
proceeding [Republic v. Sereno, G.R. No.
237428 (2018)]
Jurisdiction
1. Original jurisdiction to issue the writ of
quowarranto is vested in the SC, CA, and
RTC [Sec. 5(1), Art. VIII, Constitution;
Secs. 9 and 21, B.P. 129].
2. Quo warranto actions against
corporationswith regard to franchises and
rights granted to them, as well as the
dissolution of corporations now fall under
the jurisdictionof the RTC [Sec. 5.2, RA
No. 8799 in relation to P.D. 902-A;
Unilongo v. CA,G.R. No. 123910 (1999)].
3. The usurpation of an office in a private
corporation falls under the jurisdiction of
the RTC [Sec. 5.2, R.A. 8799 in relation
to P.D. 902-A; Calleja v. Panday, G.R.
No. 168696 (2006)]
Quo Warranto Under the Rules of Court and
Quo Warranto Under the Omnibus Election
Code
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Quo warranto in Quo warranto in
Quo warranto electoral Quo warranto electoral
under Rule 66 proceedings under Rule 66 proceedings
[Sec. 253, [Sec. 253,
Omnibus Omnibus
Election Code] Election Code]
Filed by Whom Issue is legality of Issue is eligibility of
The OSG, either Any voter theoccupancy of the the person elected.
mandatory or office by virtue of a
discretionary, as legal appointment.
discussed below. Grounds
(against occupants of public offices)
OR A person who Ineligibility, or
usurps, intrudes Disloyalty to the
A person claiming to into, or unlawfully Republic of the
be entitled to a holds or exercises Philippines
publicoffice or a public office,
position usurped or position or
unlawfullyheld or franchise; or
exercised by A public officer
another in his own who does or
name [Sec. 5, Rule suffers an act
66]. which, by the
Where Filed provision of law,
When If against the constitutes a
commenced by election of a ground for the
Solicitor Member of forfeiture of his
General: RTC Congress, office
Manila, CA, or regional, [Sec. 1, Rule 66]
SC provincial or city Effects
officer, file in the When the The occupant
Otherwise: COMELEC respondentis found who was
RTC with guilty of usurping, declared
jurisdiction over If against a intruding into, or ineligible or
the territorial municipal or unlawfully holding or disloyal will be
area where barangay officer, file exercising a public unseated but the
respondent or in the appropriate office, position or petitioner may be
any of the RTC orMTC, franchise, judgment declared the
respondents respectively. shall be rendered
rightful occupant
resides, that such
of the office if the
CA, or SC [Sec. respondent be
oustedand
respondent is
7, Rule 66] disqualified and
altogether excluded
Period of Filing the petitioner
therefrom, and that
Within one year after Within 10 days after received the
the petitioneror
the cause of such proclamation of second number
relator, as the case
ouster, or the right of results of votes
may be, recover his
the petitioner to hold
costs [Sec. 9, Rule [Maquiling
such office or
66]. v. COMELEC, G.R.
position, arose [Sec.
No. 195649 (2013)].
11, Rule 66]
Issue

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When Government Commences an Action
Against Individuals or Associations
The Solicitor General or a public prosecutor,
a. Must bring the action (MANDATORY)
either:
1. When directed by the President; or
2. Upon complaint, where the OSG has
good reason to believe that any of the
causes in Sec. 1, Rule 66 exists [Sec. 2,
Rule 66].
b. May bring the action (DISCRETIONARY)
1. At the request of another person; and
2. With the permission of the court [Sec. 3,
Rule 66].
When Individual May Commence an
Action
An individual may commence the action if he
claims to be entitled to the office or position
usurped or unlawfully held or exercised by
another [Sec. 5, Rule 66]. He must aver and be
able to show that he is entitled to the office in
dispute, otherwise the action may be dismissed
at any stage [General v. Urro, G.R. No.191560
(2011)].
A public utility may bring a quo warranto
action against another public utility which has
usurped the rights of the former granted under
a franchise [Cui v. Cui, G.R. No. 39773 (1934)].
3. Contents of a Quo Warranto
Petition
The petition shall set forth:
a. The name of the person who claims to be
entitled thereto, if any,
b. With an averment of his right to the same
and that the respondent is unlawfully in
possession thereof [Sec. 6, Rule 66].
When Quo Warranto Filed
General Rule: Within 1 year after the cause of
such ouster, or the right of the petitioner to hold
such office or position, arose [Sec. 11, Rule
66].
Exception: The prescriptive period does not
apply if the failure to file the action can be
attributed to acts of a responsible government
officer and not of the dismissed employee
[Romualdez-Yap v. CSC, et. al., G.R. No.
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104226 (1993)].
The pendency of administrative remedies does
not operate to suspend the period of 1 year
within which a petition for quo warranto should
be filed [Torres v. Quintos, G.R. No. L-3304
(1951)].
Reduction of Period
The court may reduce the period provided by
the ROC for filing pleadings and for all other
proceedings in the action in order to secure the
most expeditious determination of the matters
involved therein consistent with the rights of the
parties. Such action may be given precedence
over any other civil matter pending in the court
[Sec. 8, Rule 66].
4. Judgment in Quo Warranto
Action
When respondent is found guilty of usurping
into, intruding into, or unlawfully holding or
exercising a public office, position, or franchise,
judgment shall be rendered that:
1. Such respondent is ousted and altogether
excluded therefrom; and
2. Petitioner, as the case may be, recovers his
costs.
Note: Further judgment may be rendered
determining the respective rights in and to the
public office, position, or franchise of all parties
to the action as justice requires [Sec. 9, Rule
66].
5. Rights of A Person Adjudged
Entitled to Public Office
When judgment is rendered in favor of a person
averred in the complaint to be entitled to the
public office, such person may take upon
himself:
1. The execution of the office after taking the
oath of office and executing any official
bond required by the law;
2. Demand of the respondent all the books and
papers in the respondent’s custody or
control appertaining to the office to which
judgment relates.
o If the respondent refuses or neglects to
deliver any book or paper pursuant to
such demand, he may be punished for
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contempt as having disobeyed a lawful
order of thecourt [Sec. 10, Rule 66].
6. Limitations
Rule 66 does not:
1. Authorize an action against a public officer
or employee for his ouster from office unless
the same be commencedwithin 1 year after
the cause of such ouster, or the right of the
petitioner to hold office arose; nor
2. Allow the person entitled to the office to file
for damages unless the action is
commenced within 1 year after the entry of
judgment establishing the petitioner’s right
to the office in question [Sec. 11, Rule 66].
F. Expropriation
The power of eminent domain is an inherent
and indispensable power of the State.
Requisites [EMAPO]:
1. The expropriator must Enter a private
property;
2. The entrance into private property must be
for more than a Momentary period;
3. The entry into the property should be under
warrant or color of legal Authority;
4. The property must be devoted to a Public
use or otherwise informally appropriated or
injuriously affected; and
5. The utilization of the property for public use
must be in such a way to Oust the owner
and deprive him of all beneficial enjoyment
of the property [NPC v. Spouses Asoque,
G.R. No. 172507 (2016)].
There is taking when the expropriator enters
private property not only for a momentary
period but for a more permanent duration for
the purpose of devoting the property to a public
use in such a manner as to oust the owner and
deprive him of all the beneficial enjoyment
thereof [Republic v. Sarabia, G.R. No. 157847
(2005)].
Public use means public usefulness, utility, or
advantage, or what is productive of the general
benefit, so that any appropriation of private
property by the State under its right of eminent
domain, for purposes of great advantage to the
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community, is a taking for public use [Reyes v.
National Housing Authority, G.R. No. 147511
(2003)].
Just compensation is the full and fair
equivalent of the property taken from its owner
by the expropriator. It is considered to be a sum
equivalent to the market value of the property,
which is defined as the price fixed by the seller
in the open market in the usual and ordinary
course of legal action and competition [2 Riano
284-285, 2016 Bantam Ed.].
When market value should be fixed:
a. If plaintiff takes possession before the
institution of proceedings: value is fixed asof
the time of taking; or
b. If taking coincides with or is subsequent to
the commencement of proceedings: valueis
fixed as of date of filing of the complaint
[Republic v. Philippine National Bank, G.R.
No. L-14158 (1961)].
Note: Zonal valuation, although one of the
indices of the fair market value of real estate,
cannot be the sole basis of just compensation
in expropriation cases. The zonal value may
not be truly reflective of the property's real
value. The same is true for the value indicated
in the property's tax declaration [Leca Realty
Corp. v. Republic, 534 Phil. 692, 708-709
(2006)].
Where to File
File the complaint for expropriation in the RTC
where property is located. The MTC has no
jurisdiction since an action for expropriation is
incapable of pecuniary estimation [Barangay
San Roque v. Heirs of Pastor, G.R. No. 138816
(2000)].
1. Two Stages in Every Action for
Expropriation
First Stage: Propriety of Expropriation
1. The determination of the authority of the
plaintiff to exercise the power of eminent
domain and the propriety of its exercise in
the context of the facts involved in the suit.
2. Ends with an order of dismissal or order of
condemnation declaring that the plaintiffhas
a lawful right to take the property sought to
be condemned upon the payment of just
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compensation to be determined as of the
date of the filing of the complaint [National If personal property:
Power Corporation v. Posada, G.R. No. Its value shall be
191945 (2015)]. provisionally ascertained
and the amount to be
Note: A final order sustaining the right to deposited shall be promptly
expropriate the property may be appealed by fixed by the court.
any party aggrieved thereby. Such appeal, With the authorized
however, shall not prevent the court from Where to government depository to be
determining the just compensation to be paid Deposit held by such bank subject to
[Sec. 4, Rule 67]. the orders of thecourt.
General Rule: In money.
Second Stage: Just Compensation
1. The determination by the Court of “the just
Exception: In lieu of money,
compensation for the property sought to be
the court authorizes the
taken” with the assistanceof not more than Form of deposit of a certificate of
three (3) commissioners. Deposit deposit of a government
2. The order fixing the just compensation on
bank of the Republic of the
the basis of the evidence before, and the
Philippines payable on
findings of, the commissioners would be
demand to the authorized
final [Id].
government depository.
The court shall order the
2. Propriety of Expropriation sheriff or other proper officer
to forthwith place the plaintiff
After
Matters to Allege in Complaint for in possession of the property
Deposit is
Expropriation involved and promptly
Made
The verified complaint shall submit areport thereof to the
1. State with certainty the right and purpose of court with service of copies
expropriation; to the parties.
2. Describe the real or personal property [Sec. 2, Rule 67]
sought to be expropriated; and
3. Join as defendants all persons owning or Defenses and Objections
claiming to own, or occupying, any part With
No Objection
thereof or interest therein, showing, so far Objection to
to Taking
as practicable, the separate interest of each Taking
defendant. What to Notice of Answer
File and appearance and
When Plaintiff Can Immediately Enter Into Serve a manifestation
Possession of Real Property Period to Within the time stated in the
The plaintiff shall have the right to take or enter File summons
upon possession of the real property upon: 1. Manifestation 1. Specifical-
1. Filing of complaint or at any time on to the ly
thereafter; effect that he designate
2. After due notice to defendant; and has no or identify
3. Making a preliminary deposit [Sec. 2,Rule objection or the
67].
defense; and property
Contents
Specifically in which
If real property:
designating/ he claims
An amount equivalent to
identifying to have an
Value the assessed value of the
the property interest;
property for purposes of
in which he 2. State the
taxation.
nature
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With the property or the filing of the complaint,
No Objection
Objection to whichever came first [Sec. 4, Rule 67].
to Taking
Taking
claims to be and extent Remedy of Defendant
interested of the A final order sustaining the right to expropriate
interest the property may be appealed by any party
claimed; aggrieved thereby.
and
Note: Such appeal, however, shall not prevent
Adduce the court from determining the just
all his compensation to be paid [Sec. 4, Rule 67].
objection
and 3. Ascertainment of Just
defenses Compensation
to the
taking of Upon the rendition of the order of expropriation,
this the court shall appoint not more than three (3)
property. competent and disinterested persons as
Counterclaim, commissioners to ascertain and report to the
cross-claim or court the just compensation for the property
third-party sought to be taken [Sec. 5, Rule 67].
complaint in
Prohibited
the answer or The determination of just compensation in
any expropriation cases, after all, is a judicial
subsequent function by constitutional mandate. As such,
pleading any legislative enactment or executive
issuance that aims to fix or provide a strict
Effect of Failure to File Answer method of computing just compensation would
The failure to file an answer does not produce be tantamount to an impermissible
the consequences of default in ordinary civil encroachment on judicial prerogatives
actions. The defendant may still present [Spouses Buot v. National Transmission Corp.,
evidence as to just compensation [Robern G.R. No. 240720, (2021)].
Development Corp. v. Quitain, G.R. No.
135042 (1999)]. 4. Appointment of
Order of Expropriation Commissioners

When Issued Qualifications

1. If the objections to and the defenses against 1. Competent; and
the right of the plaintiff to expropriate the 2. Disinterested [Sec. 5, Rule 67].
property are overruled, or
2. When no party appears to defend as Objection to the Appointment
required by this Rule [Sec. 3, Rule 67]. Objections to the appointment of any of the
commissioners shall be:
Contents of Order 1. Filed with the court within 10 days from
The court may issue an order of expropriation service, and
declaring that: 2. Resolved within 30 days after all the
a. The plaintiff has a lawful right to take the commissioners shall have received copies
property sought to be expropriated, of the objections [Sec. 5, Rule 67].
b. For the public use or purpose described in
the complaint, Duties of Commissioners
c. Upon the payment of just compensation to The commissioners shall:
be determined as of the date of the taking of a. After due notice to the parties to attend,view
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and examine the property sought to be
expropriated and its surroundings, and may
measure the same, after which either party
may, by himself or counsel, argue the case,
unless the parties consent to the contrary.
b. Assess the consequential damages to the
property not taken and deduct from such
consequential damages the consequential
benefits to be derived bythe owner from the
public use or purpose of the property taken,
the operation of its franchise by the
corporation or the carrying on of the
business of the corporation or person taking
the property.
o In no case shall the consequential
benefits assessed exceed the
consequential damages assessed, or
the owner be deprived of the actual value
of his property so taken [Sec. 6, Rule 67].
Action by the Court
The court may:
1. Order the commissioners to report whenany
particular portion of the real estate shallhave
been passed upon by them, and
2. Render judgment upon such partial report,
and
3. Direct the commissioners to proceed with
their work as to subsequent portions of the
property sought to be expropriated, and
may from time to time so deal with such
property [Sec. 7, Rule 67].
Commissioners’ Report
The commissioners shall make a full and
accurate report to the court of all their
proceedings.
• Except as otherwise expressly ordered by
the court, such reports shall be filedwithin
60 days from the date the commissioners
were notified of theirappointment.
• Time for submission of the report may be
extended at the discretion of thecourt.
• Upon the filing the report, the COC shall
serve copies on all interested parties, with
notice that they are allowed 10 days within
which to fileobjections to the findings of the
report, if they so desire.
Note: The commissioners ’proceedings shall
not be effectual until the court shall have
accepted their report and rendered judgment in
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accordance with their recommendations [Sec.
7, Rule 67].
Action Upon Commissioner’s Report
a. Upon the expiration of the period of 10 days
for the filing of objections to the
commissioner’s report, or
b. Before the expiration of such period but
after all the interested parties have filed their
objections to the report or their statement of
agreement
The court may:
1. After hearing, accept the report and render
judgment in accordance therewith, or
2. For cause shown, recommit the same to the
commissioners for further report of facts, or
3. Set aside the report and appoint new
commissioners, or
4. Accept the report in part and reject it in part.
The court may make such order or render such
judgment as shall secure to the
a. Plaintiff – the property essential to the
exercise of his right of expropriation, and to
the
b. Defendant – just compensation for the
property so taken [Sec. 8, Rule 67].
The appointment of commissioners to
ascertain just compensation for the property
sought to be taken is a mandatory
requirement in expropriation cases [2 Riano
301, 2016 Bantam Ed.].
3. Rights of Plaintiff Upon Judgment and
Payment
The plaintiff shall have the right to:
a. Enter upon the property expropriated and to
appropriate it for the public use or purpose
defined in the judgment, or
b. Retain it should he have taken immediate
possession thereof under the provisions of
Sec. 2, Rule 67 [Sec. 10, Rule 67].
Note: Such rights of the plaintiff are not delayed
by an appeal from the judgment [Sec. 11, Rule
67].
When the Rights Arise
a. Upon payment by the plaintiff to the
defendant of the compensation fixed by the
judgment, with legal interest thereon from
the taking of the possession of the property,
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or DAR issuance and the initial provisional
b. After tender to him of the amount so fixed deposit made by the government [Evergreen v.
and payment of the costs [Sec. 10, Rule 67]. Republic, 817 Phil. 1048, 1069 (2017)].

When Payment Is to the Court

If the ownership as to the property is uncertain
5. Effect of Recording Judgment
or there are conflicting claims, the court may
order that the payment be made to the court for Contents of the Judgment
the benefit of the person adjudged to be The judgment rendered shall state definitely:
entitled thereto. This is to enable the plaintiff to 1. By an adequate description, the particular
enter the property or retain it [Sec. 9, Rule 67]. property or interest therein expropriated,
If the defendant and his counsel absent and
themselves from the court, or decline to receive 2. The nature of the public use or purpose for
the amount tendered, the same shall be which it is expropriated [Sec. 13, Rule 67].
ordered to be deposited in court and such
deposit shall have the same effect as actual When Title to Property Vests
payment thereof to the defendant or the person 1. Personal property – upon payment of just
ultimately adjudged entitled thereto [Sec. 10, compensation [Sec. 10, Rule 67].
2. Real property – Upon
Rule 67].
a. Payment of just compensation;and
b. Registration of property (by recording of
Effect of Non-payment of Just
the judgment in the registry of deeds
Compensation
where theproperty is situated) [Sec. 13,
Non-payment of just compensation does not
Rule 67]
entitle the private landowner to recover
possession of the expropriated lots. However,
in cases where the government failed to pay 6. Guidelines for Expropriation
just compensation within 5 years from the Proceedings of the National
finality of judgment in the expropriation
proceedings, the owners concerned shall have
Government
the right to recover possession of their property
R.A. 8974 (For national government
[Yujuico v. Atienza, G.R. No. 164282 (2005)].
infrastructure projects)
Republic Act 8974 ensures that owners of real
Effect of Absence of Prompt and Full
property acquired for national government
Payment
infrastructure projects are promptly paid just
The Court has upheld the imposition of legal
compensation.
interest in expropriation cases where there is
delay in the payment since the just
However, R.A. 8974 has been repealed by
compensation due to the landowners was
R.A. 10752, which substantially maintained in
deemed to be an effective forbearance on the
Section 6 thereof the requirement of “deposit”
part of the State. It is intended to eradicate the
of 100% of the value of the land based on the
issue of the constant variability of the value of
current relevant BIR zonal valuation issued not
the currency over time, and to limit the
more than three (3) years prior to the filing of
opportunity loss of the owner from non-
the expropriation complaint [Felisa Agricultural
payment of just compensation that can drag
Corporation v. NTC, G.R. Nos. 231655 and
from days to decades [Land Bank of the
231670 (2018)].
Philippines v. Paliza, Sr., G.R. Nos. 236772-73
(2021)].
R.A. 10752
Republic Act 10752, also known as “The Right
The award of interest shall be computed only
of Way Act” follows a similar declaration of
on the unpaid balance of the just
policy as RA 8974 for the expeditious
compensation, which pertains to the difference
acquisition of the required right-of-way for the
between the final amount as properly adjudged
projects.
by the court in accordance with the applicable

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Whenever it is necessary to acquire real
property for the right-of-way sit or location for
any national government infrastructure through
expropriation, the appropriate implementing
agency, through the Office of the Solicitor
General, the Office of the Government
Corporate Counsel, or their deputize
government or private legal counsel, shall
immediately initiate the expropriation
proceedings before the proper court.
Upon the filing of the complaint or at any time
thereafter, and after due notice to the
defendant, the implementing agency shall
immediately deposit to the court in favor of the
owner the amount equivalent to the sum of
1. 100% of the value of the land based onthe
current relevant zonal valuation of the BIR
issued not more than 3 years prior to the
filing of the expropriation complaint.
2. The replacement cost at current market
value of the improvements and structures
as determined by
a. The implementing agency
b. A government financial institution with
adequate experience in property
appraisal, and
c. An independent property appraiser
accredited by theBSP.
3. The current market value of crops and trees
located within the property as determined
by a government financial institution or an
independent property appraiser to be
selected as indicated inSec. 5(a).
Upon compliance with the guidelines above
mentioned, the court shall immediately issue to
the implementing agency an order to take
possession of the property and start the
implementation of the project.
If, within 7 working days after the deposit to the
court, it has not issued to the implementing
agency a writ of possession for the affected
party, counsel of the implementing agency
shall immediately seek its issuance. The court
shall release the amount to the person
adjudged the same expropriation proceeding
as entitled thereto.
In provinces, cities, municipalities, and other
areas where there is no land classification, the
city or municipal assessor is hereby mandated,
within the period of 60 days from the date of
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filing of the expropriation case, to come up with
the required land classification and the
corresponding declaration of real property and
improvement for the area.
In case the completion of a government
infrastructure project is of utmost urgency and
importance, and there is no land classification
or no existing zonal valuation of the area
concerned or the zonal valuation has been in
force for more than three (3) years, the
implementing agency shall use the BIR zonal
value and land classification of similar lands
within the adjacent vicinity as the basis for the
valuation.
In the event that the owner of the property
contests the implementing agency’s proffered
value, the court shall determine the just
compensation to be paid the owner within 60
days from the date of filing of the expropriation
case [Sec. 6, R.A. 10752].
Infrastructure Projects [Sec. 4, RA 8974]
Whenever it is necessary to acquire real
property for the right-of-way or location for any
national government infrastructure project
through expropriation, the appropriate
implementing agency shall initiate the
expropriation proceedings before the proper
court under the following guidelines:
1. The implementing agency shall immediately
pay the owner of the property the amount
equivalent to the sum of 100% the value of
the real property based on the current
relevant zonal valuation of the BIR + value
of the improvements and/or structures
When: Upon filing of the complaint for
expropriation and after due notice to the
defendant.
2. BIR is mandated to come up with a zonal
valuation for the provinces, municipalities,
and other areas with no zonal valuation.
When: Within 60 days from the date of
expropriation case;
3. Implementing agency shall immediately pay
the owner of the property its proferred value,
taking into consideration the standards
under RA 8974.
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Applicability: In case the completion of the
infrastructure is of utmost urgency and
importance + no existing valuation of the
concerned area.
Court action: Upon compliance with the above
guidelines, the court shall immediately issue to
the implementing agency an order to take
possession of the property and start the
implementation of the project.
Condition precedent to Writ of Possession:
Implementing agency shall present a certificate
of availability of funds to the court, issued by
the proper official concerned.
If the property owner contests the value: The
court shall determine the just compensation to
be paid to the owner within sixty (60) days from
the date of filing of the expropriation case.
When the decision of the court becomes final
and executory, the implementing agency shall
pay the owner the difference between the
amount already paid and the just
compensation as determined by the court.
For Non-government Infrastructure
Projects
If expropriation is engaged in by the national
government for purposes other than national
infrastructure projects, the assessed value
standard and deposit mode prescribed in Rule
67 continues to apply. In such a case, the
government is required only to make an initial
deposit with an authorized government
depository [2 Riano 297-298, 2016 Bantam
Ed.].
Note that Section 16 of RA 10752 expressly
repealed RA 8974. However, RA 8974 is still
included under the 2023 Bar Syllabus for
Remedial law, Legal and Judicial ethics,
with Practical Exercises.
G. Foreclosure of Real
Estate Mortgage
Foreclosure is the necessary consequence of
non-payment of mortgage indebtedness. The
mortgage can be foreclosed only when:
1. The debt remains unpaid at the time it is due
[Producers Bank v. CA, G.R. No. 111584
(2001)], or
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2. In case of default in the payment of
obligation [PNB v. CA, G.R. No. 126908
(2003)]
The cause of action in a foreclosure suit is
generally the non-payment of the mortgage
loan, but it may be on other grounds which
under the contract warrant the foreclosure,
such as the violation of the other conditions
therein [1 Regalado 852, 2010 Ed.].
1. Kinds of Foreclosure
a. Judicial Foreclosure [Rule 68]
Judicial foreclosure is a mode of foreclosure
that is done pursuant to Rule 68 of the Rules of
Court [2 Riano 313, 2016 Bantam Ed.].
Nature of the Action
An action to foreclose a real estate mortgage
may be rightly considered as an action
involving interest in real property, hence a real
action [2 Riano 312-313, 2016 Bantam Ed.].
Jurisdiction
Under BP 129, where the action is one
involving title to, or possession of, real
property, the determination of jurisdiction shall
be made by inquiring into the assessed value
of the property. From this point of view,
exclusive original jurisdiction would fall either in
the MTC or the RTC depending on the
assessed value [2 Riano 312-313, 2016
Bantam Ed.].
Form
The complaint shall set forth:
1. The date and due execution of the
mortgage;
2. Its assignments, if any;
3. The names and residences of the
mortgagor and the mortgagee;
4. A description of the mortgaged property;
5. A statement of the date of the note or other
documentary evidence of the obligation
secured by the mortgage;
6. The amount claimed to be unpaid; and
7. The names and residences of all persons
having or claiming an interest in the property
subordinate in right to the holder of the
mortgage.
8. Such persons shall be made defendants in
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the action [Sec. 1, Rule 68].
Where to File
Venue
A foreclosure action must be brought in the
RTC of the province where the land or any part
thereof is situated. If a mortgage contract
covers several distinct parcels of land situated
in different provinces, the action may be
brought in the RTC of any of the provinces and
the judgment will be enforceable against any of
the parcels of land involved [Monte de Piedad
v. Rodrigo, G.R. No. L-42928 (1936)].
Where to Sell
In Judicial Foreclosure
When the defendant fails to pay the amount of
the judgment ascertaining the amount due to
the plaintiff upon the mortgage debt, the court,
upon motion, shall order the property to be sold
in the manner and under the provisions of Rule
39 and other regulations governing sales of
real estate under execution [Sec. 3, Rule 68].
Under Rule 39, the notice of sale shall specify
the place, date, and exact time of the sale. The
place of the sale may be agreed upon by the
parties.
In the absence of such agreement, the sale of
real property shall be held in the office of the
clerk of court in the RTC or MTC which issued
the writ, or which was designated by the
appellate court [Sec. 15, Rule 39].
Posting Requirement
Before the sale of real property, it is required
that there be posting for 20 days in 3 public
places, preferably in conspicuous areas of the
municipal or city hall, post office, and public
market in the municipality or city where the sale
is to take place. Such notice must particularly
describe the property and state where the
property is to be sold [Sec 15(c), Rule 39].
Effect of Failure to Post Notice
The failure to post a notice is not per se a
ground for invalidating the sale provided that
the notice thereof is duly published in a
newspaper of general circulation [DBP v.
Aguirre, G.R. No. 144877 (2001)].
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Publication
If the assessed value of the property exceeds
P50,000, one must also publish a copy of the
notice once a week for 2 consecutive weeks in
one newspaper having general circulation in
the province or city [Sec. 15 (c), Rule 39].
Personal Notice to Mortgagor
The mortgagor is notified through the service of
summons [Sec. 1, Rule 68].
Possession of Property
General Rule: Upon the finality of the order of
confirmation or upon the expiration of the
period of redemption, the purchaser at the
auction sale or last redemptioner, if any, shall
be entitled to the possession of the property.
• Order of confirmation; After the
foreclosure sale, the mortgagee shouldfile a
motion for the confirmation of the sale. Such
requires notice and hearing. During the
hearing, the mortgagor will be allowed to
show why the sale shouldnot be confirmed.
If, after such, the court finds ground to
confirm, it shall issue the order of
confirmation [2 Riano 318-319, 2016
Bantam Ed.].
• Such order removes from the parties the
right to the property, and grants such right
to the purchaser, subject to redemption [2
Riano 319, 2016 BantamEd.].
• Such order of confirmation is appealable [2
Riano 320, 2016 BantamEd.].
Exception: When a third party is actually
holding the same adversely to the judgment
obligor. In such a case, the purchaser or the
last redemptioner may secure a writ of
possession, upon motion, from the court [Sec.
3, Rule 68].
Remedy of Debtor if Foreclosure Not Proper
The debtor-mortgagor is allowed the
opportunity to show why the sale should not be
confirmed during the hearing on the motion of
confirmation of the sale [2 Riano 318, 2016
Bantam Ed.].
A failure to give notice of the hearing for motion
of confirmation is good cause for setting aside
the sale [Grimalt v. Velasquez, 36 Phil 936
(1917)].
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Redemption equity to be able to extinguish the mortgage
There is no right of redemption in a judicial and retain ownership of the property [2 Riano
foreclosure under Rule 68. 316, 2016 edition].

In judicial foreclosure, there is only an equity Amount

of redemption which can be exercised prior to In equity of redemption, the price that needs to
the order of confirmation of the foreclosure be paid in order to retain ownership of the
sale. This means that after the foreclosure sale property and extinguish the mortgage would be
but before its confirmation, the mortgagor may the debt amount [2 Riano 317, 2016 Bantam
exercise his right to pay the proceeds of the Ed.].
sale and prevent the confirmation of the sale.
• Exception: There is a right of redemption in b. Extrajudicial Foreclosure
a judicial foreclosure if the foreclosure is in
favor of banks, as provided for in the Extrajudicial foreclosure is a mode of
General BankingLaw [Sec. 47]. foreclosure that is done pursuant to Act 3135,
as amended by Act 4118 [2 Riano 313, 2016
Equity of Redemption vs. Right of Bantam Ed.].
Redemption
Equity of Right of Need for Special Power of Attorney
Redemption Redemption Extrajudicial foreclosure is the mode to be used
Right of defendant Right of the debtor, if there is a special power inserted in the real
mortgagor to his successor in estate mortgage contract allowing an
extinguish the interest, or any extrajudicial foreclosure sale. Where there is
mortgage and retain judicial creditor of no such special power, the foreclosure shall be
ownership of the said debtor or any done judicially following Rule 68 [2 Riano 313,
property by paying person having a lien 2016 Bantam Ed.].
the secured debt on the property
within the 90 to 120- subsequent to the Without the required authority, extrajudicial
day period after mortgage. foreclosure proceedings cannot be inititated
entry of judgment or under Act No. 3135. It may only enforce its lien
even after the through an ordinary collection suit or judicial
foreclosure sale but foreclosure proceedings as provided under
prior to its Rule 68 of the Rules of Court [Sps. Baysa v.
confirmation Sps. Plantilla, 763 Phil. 562, 570 (2015).]
Governed by Rule Governed by Secs.
68 29-31, Rule 39 Where to Sell
Period is 90-120 Period is 1 year from
days after entry of date of registration of Said sale cannot be made legally outside of the
judgment or even certificate of sale. province in which the property sold is situated;
after foreclosure sale and in case the place within said province in
but prior to which the sale is to be made is subject to
confirmation. stipulation, such sale shall be made in said
place or in the municipal building of the
Note: What Secs. 2-3, Rule 68 provide for is municipality in which the property or part
the mortgagor’s equity of redemption. This may thereof is situated [Sec. 2, Act 3135].
be exercised by him even beyond the period to
pay the judgment obligation (i.e. 90-120 days) Notice
and even after the foreclosure sale itself, Notice shall be given by posting notices of the
provided it be before the order of the sale for not less than 20 days in at least 3 public
confirmation of sale [Rosales v. Alfonso, G.R. places of the municipality or city where the
No. 137792 (2003)]. property is situated [Sec. 3, Act 3135].

The equity of redemption is the mortgagor’s

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Publication
If such property is worth more than P400, such
notice shall also be published once a week for
at least three consecutive weeks in a
newspaper of general circulation in the
municipality or city [Sec. 3, Act 3135].
Republication
During extrajudicial foreclosure proceedings
under Act 3135, republication as well as
reposting of the notice of sale is required if the
foreclosure does not proceed on the date
originally intended. The lack of republication of
the notice of the foreclosure sale renders it void
[Metrobank v. Nikko, G.R. No. 178479 (2009)].
Personal Notice to Mortgagor
General Rule: Personal notice to the
mortgagor in extrajudicial foreclosure
proceedings is not necessary, and posting
and publication will suffice.
Exception: When the parties stipulate that
personal notice is additionally required to be
given the mortgagor. Failure to abide by the
general rule, or its exception, renders the
foreclosure proceedings null and void
[Paradigm v. BPI, G.R. No. 191174 (2017)].
Possession of Property
The purchaser may petition the RTC of the
province or place where the property or any
part thereof is situated, to give him possession
thereof during the redemption period,
furnishing bond in an amount equivalent to the
use of the property for a period of twelve
months, to indemnify the debtor in case it be
shown that the sale was made without violating
the mortgage or without complying with the
requirements of this Act [Sec. 7, Act 3135].
However, it is settled rule that a buyer in a
foreclosure sale becomes the absolute owner
of the property purchased if no redemption is
made within one year from registration of the
sale. Being the absolute owner, he or she is
entitled to all the rights of ownership over the
property including the right of possession. In
such case, the bond required in Sec. 7 of Act
3135 is no longer necessary. Upon proper
application and proof of title, the issuance of
the writ of possession becomes a ministerial
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duty of the court. [Spouses Reyes v. Spouses
Chung, 818 Phil. 225, 236 (2017)].
Remedy of Debtor if Foreclosure Not Proper
The debtor may, in the proceedings in which
possession was requested, but not later than
30 days after the purchaser was given
possession, petition that the sale be set aside
and the writ of possession cancelled,
specifying the damages suffered by him,
because the mortgage was not violated or the
sale was not made in accordance with the
provisions hereof [Sec. 8, Act 3135].
Redemption
This right exists only in extrajudicial
foreclosure where there is always a right of
redemption within one year from the date of
sale, but interpreted by the court to mean one
year from the registration of the sale.
Who May Redeem
The debtor, his successors in interest or any
judicial creditor or judgment creditor of said
debtor, or any person having a lien on the
property subsequent to the mortgage or deed
of trust under which the property is sold, may
redeem the same [Sec. 6, Act 3135].
Note: The period for redemption in extrajudicial
foreclosure is shortened when the mortgagor is
a juridical person. The period of redemption is
“until but not after” the registration of certificate
of sale with the Register of Deeds, “which in no
case shall be more than 3 months after
foreclosure, whichever is earlier” [2 Riano 317,
2016 Bantam Ed.].
Amount
With respect to the right of redemption, the
amount of the purchase price differs depending
on whether the entity redeeming is a bank or
not.
1. Bank redemptioner – The redemption
price shall be:
a. The amount due under the mortgage
deed,
b. Interest rate specified in the mortgage,
and
c. Expenses incurred by the bankfrom the
sale of the property.
2. Non-bank redemptioner –The
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redemption price shall be Judicial Extrajudicial
a. Full amount paid by thepurchaser, Foreclosure Foreclosure
b. 1% interest per month on the purchase granted by a bank with the Register of
price, up to the time of redemption, [Sec. 47, R.A. Deeds which in no
c. Taxes assessed that purchaserpaid, and 8791]. case shall be more
Interest of 1% on the taxes assessed [De than 3 months after
Leon 557, Comments and Cases on
foreclosure,
Credit Transactions, 2016 Ed.]
whichever is earlier
[Sec. 47, R.A.
Judicial Foreclosure vs. Extrajudicial
Foreclosure 8791].
Judicial Extrajudicial
Foreclosure Foreclosure 2. Foreclosure of REM Under the
Requires court No court intervention General Banking Law
intervention necessary
There is only an Right of redemption In foreclosure (whether judicial or extrajudicial)
equity of exists; mortgagor of any mortgage on real estate which is security
redemption [Huerta has a right to for any loan or other credit accommodation
Alba Resort, Inc. v. redeem the granted, the mortgagor or debtor whose real
CA, G.R. No. property within one property has been sold for the full or partial
128567 (2000)] year from payment of his obligation shall have the right to
registration of the redeem the property by paying the amount due
deed of sale under the mortgage deed, with interest thereon
[Huerta Alba at rate specified in the mortgage, and all the
Resort, Inc. v. CA, costs and expenses incurred by the bank or
G.R. No. 128567 institution from the sale and custody of said
(2000), citing Act property less the income derived therefrom,
3135] within 1 year after the sale of the real estate.
Governed by Rule Governed by Act
However, the purchaser at the auction sale
68 3135
shall have the right to enter upon and take
There could be a No deficiency
possession of such property immediately after
deficiency judgment judgment because
the date of the confirmation of the auction sale
[Sec. 6, Rule 68] there is no judicial and administer the same in accordance with
proceeding in the law.
foreclosure of the
mortgage itself [1 Any petition in court to enjoin or restrain the
Regalado 859, conduct of foreclosure proceedings instituted
2010 Ed.] pursuant to this provision shall be given due
Deficiencyjudgment Recovery of course only upon the filing by the petitioner of
shall be rendered, deficiency is a bond in an amount fixed by the court
on motion [1 through an conditioned that he would pay all the damages
Regalado 859, independent action which the bank may suffer by the enjoining or
2010 Ed.] [1 Regalado 859, the restraint of the foreclosure proceeding.
2010 Ed.]
Exception: Exception: Juridical persons whose property is being
Mortgagor may Juridical persons sold pursuant to an extrajudicial
exercise right of shall have the right foreclosure, shall have the right to redeem
redemption within to redeem until, but the property until the registration of the
certificate of foreclosure sale with the
one year after the not after, the
applicable Register of Deeds, which in no case
sale, when the loan registration of the
shall be more than 3 months after foreclosure,
or credit certificate of
whichever is earlier.
accommodation is foreclosure sale
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Owners of property that has been sold in a
foreclosure sale prior to the effectivity of this
Act shall retain their redemption rights untiltheir
expiration [Sec. 47, RA 8791].
Effect of Pendency of Action for Annulment
of Sale
The pendency of a suit for annulment of the
foreclosure proceedings does not defeat the
right of the purchaser to a writ of possession to
which the purchaser becomes entitled to as a
matter of right.
Note: An injunction to prohibit the enforcement
of the writ is entirely out of place [Carpo v.
Chua, 471 SCRA 471 (2005)].
Writ of Possession
The writ of possession is a means of
recognizing and enforcing the rights of the
purchaser, since the confirmation of the
foreclosure sale operates to divest all parties to
the action of their rights in the property and
vests them in the purchaser [2 Riano 320, 2016
Bantam Ed.].
The general rule is that in extra-judicial
foreclosures, a writ of possession may be
issued to the purchaser in two different
instances, and based on two different sources:
(1) within the redemption period, in accordance
with Act No. 3135, particularly Section 7, as
amended; and (2) after the lapse of the
redemption period, based on the purchaser's
right of ownership [PCI Leasing and Finance,
Inc. v. Sps. Gutierrez, G.R. Nos. 182842 and
199393 (2014)].
A petition for the issuance of a writ of
possession is not a judicial process that
involves an ordinary suit based on a cause of
action. The action is non- litigious and
summary in nature, and does not even require
notification to the adverse party [The Parents-
Teachers Association of St. Mathew Christian
Academy v. Metropolitan Bank and Trust Co.,
627 Phil. 669, 687 (2010)].
a. Ministerial Duty of the Court
The purchaser shall be entitled to a writ of
possession upon:
1. Finality of the order of confirmation, or
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2. Expiration of the period for redemption.
Such writ shall be issued upon motion. Hence
the purchaser or last redemptioner must file a
motion for the issuance of a writ of possession
[2 Riano 320, 2016 Bantam Ed.].
However, there are exceptions to the rule that
the trial court's duty to issue the writ of
possession in favor of the purchaser is
ministerial. "In Nagtalon v. United Coconut
Planters Bank, the Court enumerated the
following jurisprudential exceptions: (a) gross
inadequacy of the purchase price; (b) third
party claiming right adverse to the
mortgagor/debtor, and; (c) failure to pay the
surplus proceeds of the sale to the mortgagor."
The first and third exceptions cannot apply to
this case since there are no allegations
referring to either the purchase price or surplus
proceeds of the sale, if any [Chavez v.
Maybank Philippines, Inc., G.R. No. 242852,
(2019)].
b. Enforcement Against Third Parties
The obligation of a court to issue a writ of
possession ceases to be ministerial when a
third-party in possession of the property claims
a right that is adverse to that of the debtor-
mortgagor.
Remedy
Where such third-party claim and possession
exist, the trial court should conduct a hearing to
determine the nature of the adverse
possession [Barican v. IAC, G.R. No. 79906
(1988)]. Such is the case because a third party
cannot be dispossessed on the strength of a
mere possessory writ [De Leon 589,
Comments and Cases on Credit Transactions,
2016 Ed.].
c. Pendency of Action for Annulment of
Sale
A pending suit for annulment of the mortgage
or annulment of the foreclosure proceedings
does not defeat the right of the purchaser to a
writ of possession to which the purchaser is
entitled to as a matter of right. An injunction to
prohibit the issuance or enforcement of the writ
is entirely out of place [Carpo v. Chua, G.R. No.
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150773 (2005)].
H. Partition
Definition
Partition is the separation, division and
assignment of a thing held in common among
those to whom it may belong. Every act which
is intended to put an end to indivision among
co-heirs and legatees or devisees is deemed to
be a partition [Marcos v. Heirs of Isidro Bangi,
G.R. No. 185745 (2014)].
Partition may be:
a. Judicial – Procedure is Rule 69
b. Extrajudicial – No court intervention is
required
Nothing in Rule 69 contained shall be
construed to restrict or prevent persons holding
real estate jointly or in common from making an
amicable partition by agreement and suitable
instruments of conveyance without recourse to
an action [Sec. 12, Rule 69].
Nature
Quasi in rem [Valmonte v. CA, G.R. No.
108538 (1996)].
When Partition Can Be Done
General Rule: Prescription does not run in
favor of a co-owner or co-heirs as long as there
is a recognition of the co-ownership, expressly
or impliedly [2 Riano 416, 2012 Bantam Ed.].
Exception: If a co-owner asserts adverse title
to the property, in which case, the prescription
period runs from such time of assertion of the
adverse title [De Castro v. Echarri, G.R. No.
5609 (1911)].
1. Parties
Who May File
A person having the right to compel the
partition of real estate [Sec. 1, Rule 69].
Who Should Be Made Defendants
All other persons interested in the property
[Sec. 1, Rule 69].
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Jurisdiction
The courts with jurisdiction over the action for
partition are the MTC or the RTC depending on
the value of the property.
If the value of the property is below such
threshold, then the MTC has jurisdiction. If the
value is greater, then the RTC has jurisdiction.
2. Matters to Allege in the Complaint
for Partition
1. The nature and extent of his title;
2. Adequate description of the real estate of
which partition is demanded; and
3. Join as defendants all other persons
interested in the property [Sec. 1, Rule69].
4. Demand for accounting of the rents, profits,
and other income from the property to which
he may be entitled to as his share [Sec. 8,
Rule 69] since these cannot be demanded
in another action (because they are part of
the cause of action for partition), they are
barred if not set up [2 Riano 420, 2012
Bantam Ed.].
3. Two Stages in Every Action for
Partition
a. First Stage - Determination of the
Propriety of Partition
This involves a determination of whether the
subject property is owned in common and
whether all the co-owners are made parties in
the case [Lacbayan v. Samoy, G.R. No.
165427 (2011)].
Remedy
A final order decreeing partition and accounting
may be appealed by any party aggrieved
thereby [Sec. 2, Rule 69].
If not appealed, then the parties may partition
the common property in the way they want. If
they cannot agree, then the case goes into the
second stage. However, the order of
accounting may in the meantime be executed
[De Mesa v. CA, G.R. No.109387 (1994)].
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b. Second Stage - Actual Partitioning
of the Subject Property
Partition, in general, is the separation, division
and assignment of a thing held in common
among those to whom it may belong. [Noceda
v. CA, G.R. No. 119730 (1999)].
The action for partition is subject to multiple
appeals and would require a record on appeal
[Roman Catholic Archbishop of Manila v. CA,
G.R. No. 77425 (1991)].
4. Order of Partition and Partition
Agreement
Order of Partition
If after the trial the court finds that the plaintiff
has the right thereto, it shall order the partition
of the real estate among all the parties in
interest [Sec. 2, Rule 69].
Partition by Agreement
1. The parties may, if they are able to agree,
make the partition among themselves by
proper instruments of conveyance,
2. The court shall confirm the partition so
agreed upon by all the parties, and
3. Such partition, together with the order of the
court confirming the same, shall be
recorded in the registry of deeds of the
place in which the property is situated [Sec.
2, Rule 69].
5. Partition by Commissioners
When Proper
When the parties are unable to agree upon the
partition [Sec. 3, Rule 69].
Action of the Court
1. The court shall appoint not more than 3
competent and disinterested persons as
commissioners to make the partition,
2. Commanding them to set off to the plaintiff
and to each party in interest such part and
proportion of the property as the court shall
direct [Sec. 3, Rule 69].
Duties of Commissioners
a. View and examine the real estate, after due
notice to the parties to attend at such view
and examination,
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b. Hear the parties as to their preference in the
portion of the property to be set apart tothem
and the comparative value thereof, and
c. Set apart the same to the parties in lots or
parcels as will be most advantageous and
equitable, having due regard to the
improvements, situation and quality of the
different parts thereof [Sec. 4, Rule 69].
Note: The provision authorizes the
commissioners merely to make or effect the
partition. It does not grant them the authority to
adjudicate on questions of title or ownership [1
Riano 424, 2012 Bantam Ed.].
Assignment of Real Estate to One Party
General Rule: When it is made to appear to
the commissioners that the real estate, or a
portion thereof, cannot be divided without
prejudice to the interests of the parties, the
court may order it assigned to one of the parties
willing to take the same, provided he pays to
the other parties such amounts as the
commissioners deem equitable.
Exception: If one of the interested parties asks
that the property be sold instead of being so
assigned, in which case the court shall order
the commissioners to sell the real estate at
public sale under such conditions and within
such time as the court may determine [Sec. 5,
Rule 69].
Commissioner’s Report
1. The commissioners shall make a full and
accurate report to the court of all their
proceedings as to the partition, or the
assignment of real estate to one of the
parties, or the sale of the same.
2. Upon the filing of such a report, the COC
shall serve copies thereof on all the
interested parties with notice that they are
allowed 10 days within which to file
objections to the findings of the report, if
they so desire.
Note: No proceeding had before or conducted
by the commissioners shall pass the title to the
property or bind the parties until the court shall
have accepted the report of the commissioners
and rendered judgment thereon [Sec. 6, Rule
69].
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Hearing on the Report Contents of Effects of
a. Upon the expiration of the period of 10 days Judgment Judgment
to file objections, or definite description the payment or
b. Even before the expiration of such periodbut of the parcels of real payments, free from
after the interested parties have filed their estate sold to each the claims of any of
objections to the report or their statement of purchaser the parties to the
agreement therewith, the court may action
a. Upon hearing, accept the report and [Sec. 11, Rule 69]
render judgment in accordance
therewith, or, A certified copy of the judgment shall in either
b. For cause shown, recommit the same to case be recorded in the registry of deeds of the
the commissioners for further report of place in which the real estate is situated, and
facts, or the expenses of such recording shall be taxed
c. Set aside the report and appoint new as part of the costs of the action [Sec. 11, Rule
commissioners, or 69].
d. Accept the report in part and reject it in
part. 7. Partition of Personal Property
The court may order a fair and just partition of The provisions of Rule 69 shall apply to
the real estate, or of its value, if assigned or partitions of estates composed of personal
sold as above provided, between the several property, or both real and personal property, in
owners thereof [Sec. 7, Rule 69]. so far as the same may be applicable [Sec. 13,
Rule 69].
6. Judgment and Its Effects
8. Prescription of Action
Contents of Effects of
Judgment Judgment
General Rule: The right of action to demand
If Actual Partition is Properly Made partition does not prescribe [Bautista v.
Judgment shall state Judgment shall vest Grino-Aquino, G.R. No. 79958 (1988)].
definitely, by metes in each party to the
and bounds and action in severalty Exception: Where one of the interested parties
adequate the portion of the real openly and adversely occupies the property
description, the estate assigned to without recognizing the co-ownership [Cordova
particular portion of him v. Cordova, G.R. No. L-9936 (1958)].
the real estate
assigned to each Note: If a co-owner repudiates the co-
party ownership and makes known such repudiation
If the Whole Property is Assigned to One to the other co- owners, then partition is no
of the Parties after Payment longer a proper remedy of the aggrieved co-
Judgment shall state Judgment shall vest owner. He must file an accion reivindicatoria,
the fact of such in the party making which is prescriptible [Roque v. IAC, G.R. No.
payment and of the the payment the 75886 (1988)].
assignment of the whole of the real
real estate to the estate free from any 9. When Partition is Not Allowed
party making the interest on the part of
payment the other parties to The following instances are cases when a co-
the action owner cannot demand partition, to wit:
If the Property is Sold and the Sale 1. There is an agreement among the co-
Confirmed by the Court owners to keep the property undivided for a
Judgment shall state Judgment shall vest certain period of time not exceeding 10
the name of the the real estate in the years. The term may however be extended
purchaser or purchaser or by a new agreement [Art. 494, Civil Code].
purchasers and a purchasers making 2. When partition is prohibited by the donor or
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testator for a period not exceeding 20 years Forcible Entry Unlawful Detainer
[Art. 494, Civil Code]. (Detentacion) (Desahucio)
3. When a partition is prohibited by law [Art Militante, G.R. No.
494, Civil Code]. 16096 (1921)]
4. When the property is not subject to a
Plaintiff must prove Plaintiff need not
physical division and to do so would render
that he was in prior have been in prior
it unserviceable for the use for which it is
physical physical
intended [Art. 495, Civil Code].
5. When the condition imposed upon voluntary possession of the possession
heirs before they can demand partition has premises until he [Pharma Industries,
not yet been fulfilled [Art. 1084, Civil Code]. was deprived Inc. v.
thereof by Pajarillaga, G.R. No.
defendant [Pharma 53788 (1980)]
I. Forcible Entry and Industries, Inc. v.
Unlawful Detainer Pajarillaga, G.R. No.
53788 (1980)]
Ejectment cases are summary proceedings The 1-year period Period is counted
intended to provide an expeditious means of is generally from the date of last
protecting actual possession of property counted from the demand [Sarona v.
[Tubiano v. Razo, G.R. No. 132598 (2000)]. date of actual entry Villegas, G.R. No.
on land L- 22984 (1968)] or
The actions for forcible entry and unlawful last letter of
detainer belong to the class of actions known demand [DBP v.
by the generic name accion interdictal Canonoy, G.R. No.
(ejectment) where the issue is the right of L-29422 (1970)]
physical or material possession of the [1 Regalado 873, 2010 Ed.].
subject real property independent of any claim
of ownership by the parties involved [A. In order to constitute force, the act of going to
Francisco Realty and Development Corp. v. the property and excluding the lawful
CA, G.R. No. 125055 (1988)]. possessor necessarily implies the exertion of
force over the property which is all that is
1. Definitions and Distinction necessary and sufficient to show that the action
Forcible Entry Unlawful Detainer is based on Sec. 1, Rule 70 [Bunyi v. Factor,
(Detentacion) (Desahucio) G.R. No. 172547 (2009)].
Possession of land Possession is
initially lawful but it Three (3) Kinds of Action for Recovery of
by the defendant is
becomes illegal by Possession
unlawful from the Accion
reason of the Accion Accion
beginning as he Reivindicato
termination of his Interdictal Publiciana
acquires ria
right to possession
possession by of the property under Summary Plenary An action for
force, intimidation, his contract (express action for action recovery of
strategy, threat, or or implied) with the recovery of for recovery possession
stealth (FISTS) plaintiff [Dikit v. physical of based on
[Dikit Ycasiano, G.R. No. possession real right of ownership
v. Ycasiano, G.R. L-3621 (1951)] where the possession [1 Regalado
No.L-3621 (1951)]
dispossessi when 872, 2010
No previous demand Demand is
on dispossessi Ed.]
for the defendant to jurisdictional [Sec.
has not on
vacate the premises
2, Rule 70; Medel v. lasted has lasted
is necessary [Sec. 2,
Militante, G.R. No. for more for
Rule 70; Medel v.
16096 (1921)] than more than

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Accion unlawfully withheld; or
Accion Accion
Reivindicato 2. His legal representatives or assigns [Sec. 1,
Interdictal Publiciana
ria Rule 70].
one year [1 one
Regalado year [1 Period of Filing
871- Regalado Within 1 year after the unlawful deprivation or
872, 2010 872, 2010 withholding of possession [Sec. 1, Rule 70].
Ed.] Ed.]
MTC has RTC has jurisdiction if the Reckoning Points:
jurisdiction value of the property
For Forcible Entry
[Sec. 33(2), exceeds P400,000
B.P. 129, as
General Rule: It is counted from the date of
amended] MTC has jurisdiction if value
of the property does not actual entry on the land [1 Regalado 873, 2010
exceed the above amount Ed.]
[R.A. 11576 (2021)]
Exception: In case of stealth or strategy, from
Jurisdiction in Accion Publiciana and the time plaintiff learned of entry [Vda. de Prieto
Accion Reivindicatoria v. Reyes, G.R. No. L-21740 (1965)].
Pre-RA 11576 RA 11576
For Unlawful Detainer
RTC has jurisdiction RTC has jurisdiction
It is counted from the date of last demand
where the assessed where the assessed
[Sarona v. Villegas, G.R. No. L-22984 (1968)].
value of the property value of the property
exceeds PHP exceeds PHP
Against Whom May the Action Be
20,000 or, in Metro 400,000
Maintained
Manila, PHP 50,000
Person or persons unlawfully withholding or
MTC has jurisdiction MTC has jurisdiction
depriving of possession, or any person/s
ifthe assessed value ifthe assessed value
claiming under them [Sec. 1, Rule 70].
does not exceed does not exceed
above amounts said amount
3. Pleadings Allowed
R.A. 11576 (2021)
Where the basic issue is not possession but The only pleadings allowed to be filed are the
interpretation, enforcement and/or rescission 1. Complaint
of the contract, it is no longer an ejectment suit 2. Compulsory counterclaim pleaded in the
[Villena v. Chavez, G.R. No. 148126 (2003)]. answer
3. Cross-claim pleaded in the answer,and
Accion Interdictal 4. Answers thereto [Sec. 4, Rule 70]
Exclusive original jurisdiction over forcible
entry and unlawful detainer suits is with the Note: Pleadings must be verified [Sec. 4, Rule
MTC [Sec. 33(2), B.P. 129]. 70].
What Must Be Alleged in the Complaints
Forcible Entry Unlawful Detainer
2. Filing of an action
1. Plaintiff had prior 1. Initially,
In Forcible Entry physical possession of
A person deprived of possession of any land or possession of the property by the
building by force, intimidation, strategy, threat, property defendant was
or stealth. 2. The defendant by contract with
deprived him of or by tolerance
In Unlawful Detainer such possession of the plaintiff
1. Lessor, vendor, vendee, or other person by means of 2. Eventually, such
against whom any land or building is FISTS [Abad v. possession

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Forcible Entry Unlawful Detainer complaint and serve a copy thereof on the
Farrales, G.R. became illegal plaintiff.
No. 178635 upon notice by o Affirmative and negative defenses not
(2011), citing plaintiff to pleaded thereinshall be deemed waived,
Sec. 1, Rule 70] defendant of the except lack of jurisdiction over the
3. That the termination of subject matter.
complaint was the latter's right o Cross-claims and compulsory
filed within 1 year of possession counterclaims not asserted in the answer
shall be consideredbarred.
from 3. Thereafter, the
b. The answer to counterclaims or cross-
dispossession defendant
claims shall be served and filed within 10
[Sec. 1, Rule 70; remained in
days from service of the answer in which
1 Regalado 533, possession of
they are pleaded [Sec. 6, Rule 70].
2010 Ed.] the property and
deprived the Effect of Failure to Answer
Note: First two plaintiff of the The court, motu proprio or on motion of the
requirements are enjoyment plaintiff, shall render judgment as may be
jurisdictional [Abad thereof, and warranted by the facts alleged in the complaint
v.Farrales, G.R. 4. Within one year and limited to what is prayed for therein.
No. 178635 (2011)] from the last
demand on The court may in its discretion reduce the
defendant to amount of damages and attorney’s fees
vacate the claimed for being excessive or otherwise
property, the unconscionable, without prejudice to the
plaintiff instituted applicability of Sec. 3(c), Rule 9 if there are two
the complaint for or more defendants [Sec. 7, Rule 70].
ejectment
Preliminary Conference
[French v. CA, G.R. A preliminary conference shall be held not later
No. 220057 (2017)] than 30 days after the last answer is filed. The
provisions of Rule 18 on pre-trial shall be
Note: Mere failure to pay rent does not ipso applicable to the preliminary conference unless
facto make unlawful the tenant’s possession. It inconsistent with theprovisions of Rule 70.
is the demand to vacate and refusal to vacate 1. The failure of the plaintiff to appear in the
which makes unlawful the withholding of preliminary conference shall be cause for
possession [Canaynay v. Sarmiento, G.R. No. the dismissal of his complaint.
L-1246 (1947)]. 2. The defendant who appears in the absence
of the plaintiff shall be entitled to judgment
on his counterclaim in accordance with the
4. Action on the Complaint next preceding section.
3. All cross-claims shall be dismissed.
Motu Proprio Dismissal
4. If a sole defendant shall fail to appear, the
The court may dismiss the case outright on any
plaintiff shall likewise be entitled to
of the grounds for the dismissal of a civil
judgment in accordance with the next
action which are apparent therein [Sec. 5,
preceding section.
Rule 70]
This procedure shall not apply where one of
Issuance of Summons
two or more defendants sued under a common
If no ground for dismissal is found, it shall
cause of action who had pleaded a common
forthwith issue summons [Sec. 5, Rule 70].
defense shall appear at the preliminary
conference.
Answer
No postponement of the preliminary
a. Within 10 days from service of summons,
conference shall be granted except for highly
the defendant shall file his answer to the
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meritorious grounds and without prejudice to Period to Comply with Demand
such sanctions as the court in the exercise of The defendant should comply with the demand
sound discretion may impose on the movant within
[Sec. 8, Rule 70]. 1. 15 days in the case of lands, or
2. 5 days in the case of buildings [Sec. 2,Rule
Submission of Affidavits and Position 70]
Papers
Within 10 days from receipt of the order When Demand Not Required:
mentioned in the next preceding section, the 1. When parties stipulate that demand shall
parties shall submit: not be necessary [Sec. 2, Rule 70]; or
1. The affidavits of their witnesses, 2. When action is predicated on the expiration
2. Other evidence on the factual issues of the lease [Labastida v. CA, G.R. No.
defined in the order, and 110174 (1998)].
3. Position papers setting forth the lawand the
facts relied upon by them [Sec.10, Rule 70]. When Possession Unlawful
It is only when the defendant fails to comply
Judgment with the demand within the periods provided
The court shall render judgment: by Sec. 2 that his possession becomes
a. Within 30 days after receipt of the affidavits unlawful [Quevada v. Garcia, G.R. No. 140798
and position papers, or (2006)].
b. After the expiration of the period for filing
the same. A person who occupies the land of another at
the latter's tolerance or permission, without any
However, should the court find it necessary to contract between them is necessarily bound by
clarify certain material facts, it may, during the an implied promise that he will vacate upon
said period, issue an order: demand, failing which, an action for unlawful
1. Specifying the matters to be clarified, and detainer may be instituted against him
2. Requiring the parties to submit affidavits or [Dakudao v. Consolacion, G.R. No. L-54753
other evidence on the saidmatters within 10 (1983)].
days from receipt of said order.
Note: Demand is not required in forcible entry
When rendered: Within 15 days after the suits [Dela Cruz v. CA, G.R. No. 139442
receipt of the last affidavit or the expiration of (2006)].
the period for filing the same [Sec. 11, Rule 70].
6. Preliminary Injunction and
5. When Demand is Necessary Preliminary Mandatory
Unless otherwise stipulated, such action by the Injunction
lessor shall be commenced only after demand
[Sec. 2, Rule 70]. The court may grant preliminary injunction,
to prevent the defendant from committing
Contents
further acts of dispossession against the
Demand made upon the lessee to
plaintiff [Sec. 15, Rule 70].
a. Pay or comply with the conditions of the
lease, and
Preliminary Mandatory Injunction
b. Vacate [Sec. 2, Rule 70].
A possessor deprived of his possession
1. By service of written notice of such
through forcible entry or unlawful detainer may,
demand upon the person found on the
within 5 days from the filing of the complaint,
premises, or
present a motion in the action for forcible entry
2. By posting of the written notice on the
or unlawful detainer for the issuance of a writ of
premises if no person be found thereon,
preliminary mandatory injunction to restore him
or [Sec. 2, Rule 70]
in his possession. The court shall decide the
3. Orally [Jakihaca v. Aquino, G.R. No.
motion within 30 days from the filing thereof
83982 (1990)].
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[Sec. 15, Rule 70].
When Available
1. Within 5 days from the filing of the complaint
[Sec. 15, Rule 70]
2. On appeal to the RTC upon motion of the
plaintiff within 10 days from perfection of
appeal [Sec. 20, Rule 70]
Note: The injunction on appeal is to restore to
plaintiff in possession if the court is satisfied
that:
1. Defendant’s appeal is frivolous or dilatory,
or
2. The appeal of plaintiff is prima facie
meritorious [Sec. 20, Rule 70].
MTC can also issue a preliminary mandatory
injunction in an unlawful detainer case [Day v.
RTC of Zamboanga, G.R. No. 71119 (1990)].
Preliminary Preventive Injunction
Preliminary preventive injunction is available in
either case. Note that Sec. 15 makes the
provisions of Rule 58 applicable to Rule 70 [1
Regalado 891, 2010 Ed.].
7. Resolving Defense of
Ownership
When the defendant raises the questions of
ownership in his pleadings and the question of
possession cannot be resolved without
deciding the issue of ownership, the issue of
ownership shall be resolved only to determine
the issue of possession [Sec. 33(2), B.P. 129,
as amended by R.A. 7691].
Refugia Guidelines
1. The primal rule is that the principal issue
must be that of possession, and that
ownership is merely ancillary thereto, in
which case the issue of ownership may be
resolved but only for the purpose of
determining the issue ofpossession.
2. It must sufficiently appear from the
allegations in the complaint that what the
plaintiff really and primarily seeks is the
restoration of possession.
3. The inferior court cannot adjudicate onthe
nature of ownership where the relationship
of lessor and lessee has been sufficiently
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established in the ejectment case, unless it
is sufficiently established that there has
been a subsequent change in or termination
ofthat relationship between the parties.
This is because under Sec. 2(b), Rule 131,
the tenant is notpermitted to deny the title of
his landlord at the time of the
commencement of the relation of landlord
and tenant between them.
4. The rule in forcible entry cases, but not in
those for unlawful detainer, is that a party
whocan prove prior possession canrecover
such possession even against the owner
himself. Regardless of the actual condition
of the title to the property and whatever may
be the character of his prior possession, if
he has in his favor priority in time, he has the
security that entitles him to remain on the
property until he is lawfully ejected by a
person having a better right through an
accion publiciana or accion reivindicatoria.
Corollarily, if prior possession may be
ascertained in some other way, then the
inferior court cannot dwell upon or intrude
into the issue ofownership.
5. Where the question of who has prior
possession hinges on the question of who
the real owner of the disputed portion is, the
inferior court may resolve the issue of
ownership and make adeclaration as to who
among the contending parties is the real
owner. In the same vein, where the
resolution of the issue of possession hinges
on a determination of the validity and
interpretation of the document of title or any
other contract on which the claim of
possession is premised, the inferior court
may likewise pass upon these issues. This
is because, and it must be so understood,
that any such pronouncement made
affectingownership of the disputed portion is
to be regarded merely as provisional,
hence, does not bar nor prejudice an action
between the same parties involving title to
the land [Refugia v. CA, G.R. No. 118284
(1996)].
Judgment for ejectment cannot be enforced
against a co-owner who was not made a party
to the action [Cruzcosa v. Concepcion, G.R.
No. L-11146 (1957)].
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8. How to Stay the Immediate
Execution of Judgment
Judgment of MTC
General Rule: Judgment of the MTC against
defendant in ejectment cases is immediately
executory upon motion.
Exceptions:
1. An appeal has been perfected and
2. The defendant who seeks to stay execution
files a sufficient supersedeas bond,
approved by the MTC and executed in favor
of the plaintiff to pay the rents, damages,
and costs accruing down to the time of the
judgment appealed from, and
3. During the pendency of the appeal, he
deposits with the appellate court the
amount of rent due from time to time under
the contract, if any, as determined by the
judgment of the MTC. In the absence of a
contract, he shall deposit with the RTC the
reasonable value of the use and occupation
of the premises for the preceding month or
period at the rate determined by the
judgment of the lower court on or before the
10 th day of each succeeding month or
period [Sec.19, Rule 70].
Note: All these requisites must concur.
Judgment of the RTC
The judgment of RTC against the defendant
shall be immediately executory, without
prejudice to further appeal that may be taken
therefrom [Sec. 21, Rule 70].
Summary Procedure
General Rule: All actions for forcible entry and
unlawful detainer shall be governed by the
summary procedure of Rule 70, irrespective of
the amount of damages or unpaid rentals
sought to be recovered.
Exceptions:
1. In cases covered by agricultural tenancy
laws; or
2. When the law otherwise expressly provides
[Sec. 3, Rule 70].
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9. Prohibited Pleadings and
Motions
1. Motion to dismiss the complaint except on
the ground of lack of jurisdiction over the
subject matter, or failure to comply with Sec.
12, Rule 70 (referral for conciliation)
2. Motion for a bill of particulars
3. Motion for new trial, or for reconsideration of
a judgment, or for reopening of trial
4. Petition for relief from judgment
5. Motion for extension of time to file
pleadings, affidavits or any other paper
6. Memoranda
7. Petition for certiorari, mandamus, or
prohibition against any interlocutory order
issued by the court
8. Motion to declare the defendant in default
9. Dilatory motions for postponement
10.Reply
11.Third-party complaints
12.Interventions
[Sec. 13, Rule 70]
J. Contempt
Definition
Contempt of court is disobedience to the
court by acting in opposition to its authority,
justice, and dignity. It signifies not only a willful
disregard ordisobedience to the court’s orders
but also conduct tending to bring theauthority
of the court and administration of law into
disrepute, or, in some manner, to impede the
due administration of justice [Siy v. NLRC,
G.R. No. 158971 (2012)].
Nature
The power to declare a person in contempt of
court and in dealing with him accordingly is an
inherent power of the court. It is used as a
means to protect and preserve the dignity of
the court, the solemnity of the proceedings,
and administration of justice. [Sison v.
Caoibes, A.M. No. RTJ-03-1771 (2004].
1. Kinds of Contempt
Contempt, whether direct or indirect, may be
civil or criminal depending on the nature and
effect of contemptuous act [Montenegro v.
Montenegro, G.R. No. 156829 (2004)].
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Criminal Contempt Civil Contempt Direct Contempt Indirect Contempt
Punitive in nature Remedial in nature not exceeding 10 not exceeding 6
Purpose is to Purpose is to provide days or both months or both
preserve the court’s a remedy for an If committed against If committed against
authority and to injured suitor and to the MTC: Fine not MTC: Fine not
punish for coerce compliance exceeding PHP exceeding PHP
disobedience of its with an order; for the 200 and or 5,000 and/or
orders preservation of the imprisonment not imprisonment not
rights of private exceeding 1 day exceeding 1
persons or both month or both
Intent is necessary Intent is not Remedy is certiorari Remedy is appeal
necessary or prohibition
State is the real Instituted by the Otherwise known as Otherwise known as
prosecutor aggrieved party, or Contempt in Facie Constructive
his successor, or Curiae Contempt
someone who has a
pecuniary interest in The real character of the proceedings in
the right to be contempt cases is to be determined by the
protected relief sought or by the dominant purpose.
Proof required is Proof required is The proceedings are to be regarded as criminal
proof beyond more than mere when the purpose is primarily punishment, and
reasonable doubt preponderance of civil when the purpose is primarily
evidence compensatory or remedial [Montenegro v.
If accused is If judgment is for Montenegro, G.R. No. 156829 (2004)].
acquitted, there can respondent, there
be no appeal canbe an appeal a. DIRECT CONTEMPT
[1 Regalado 909, 2010 Ed.]
For a person to be adjudged guilty of direct
Direct Contempt Indirect Contempt contempt, he must commit a misbehavior in the
Act committed in the One not committed presence of or so near a judge as to interrupt
presence of or so in the presence of the administration of justice [SBMA v.
near the court or the court. It is an Rodriguez, G.R. No. 160270 (2010)].
judge as to obstruct act done at a
or interrupt the distance which Grounds
proceedings before tends to belittle, Misbehavior in the presence of or so near a
the same. degrade, obstruct, court as to obstruct or interrupt the proceedings
or embarrass the before the same, including
court and justice. 1. Disrespect toward the court
[Lorenzo Shipping v. 2. Offensive personalities toward others, or
Distribution 3. Refusal to be sword or to answer as
Management, G.R. witness, or to subscribe to an affidavit or
No. 155849 (2011)] deposition when lawfully required to do so
Summary in nature There is charge and [Sec. 1, Rule 71].
hearing
Punishment Punishment Other examples:
1. If committed 1. If committed 1. Willful and deliberate forum shopping [Sec.
against the RTC: against RTC: 5, Rule 7]
2. Submission of pleadings containing
Fine of not Fine not
derogatory, offensive, and malicious
exceeding PHP exceeding PHP
statements submitted to the court [Re:
2,000 and/or 30,000 and/or
Letter of Atty. Noel Sorreda, A.M. No. 05-3-
imprisonment imprisonment
4-SC (2005)]

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By Whom Initiated: including the act of a personwho, after being
a. Generally, civil contempt proceedings dispossessed or ejected from any real
should be instituted by an aggrieved party, property by the judgment or process of any
or his successor, or someone who has court of competent jurisdiction, enters or
pecuniary interest in the right to be attempts or induces another to enter into or
protected. upon such real property, for the purpose of
b. In criminal contempt proceedings, it is executing acts of ownership or possession,
generally held that the State is the real or in any manner disturbs the possession
prosecutor [People v. Godoy, G.R. Nos. given to the person adjudged to be entitled
115908-09 (1995)]. thereto
3. Any abuse of or any unlawful interference
Procedure with the processes orproceedings of a court
Summarily adjudged in contempt by such court not constituting direct contempt
[Sec. 1, Rule 71]. 4. Any improper conduct tending, directly or
indirectly, to impede, obstruct, or degrade
Remedy Against Direct Contempt the administration of justice
The person adjudged in direct contempt by any 5. Assuming to be an attorney or an officer of
court may not appeal therefrom, but may avail a court, and acting as such without authority
himself of the remedies of certiorari or 6. Failure to obey a subpoena duly served
prohibition [Sec. 2, Rule 71] 7. The rescue, or attempted rescue, of a
person or property in the custody of an
Effect of petition for certiorari or officer by virtue of an order or process of a
prohibition court held by him [Sec. 3, Rule 71]
The execution of the judgment shall be
suspended pending resolution of such Other examples
petition, provided such person file a bond fixed 1. Submission, of a false certification of non-
by the court which rendered the judgment and forum shopping or non-compliance with any
conditioned that he will abide by and perform of the undertakings [Sec. 5, Rule 7].
the judgment should the petition be decided 2. Upon a judgment obligor’s failure topay any
against him [Sec. 2, Rule 71]. such installment when due without good
excuse, if the court orders him to pay the
Penalties judgment in fixed monthly installments [Sec.
Offense Penalty 40, Rule 39].
Fine not exceeding
If RTC or a courtof PHP 2,000 or Procedure
equivalent or imprisonment not Unlike direct contempt, court cannot
higher rank exceeding 10 days summarily adjudge a person guilty of indirect
or both contempt. There has to be a charge filed in
Fine not exceeding writing, with opportunity on the part of the
PHP 200 or respondent to be heard via comment within
If lower court imprisonment not such period as fixed by the court. Respondent
exceeding 1 day or may be heard by himself or counsel. [Sec. 3,
both Rule 71]
[Sec. 1, Rule 71]
Two Modes of Commencing a Proceeding
b. INDIRECT CONTEMPT 1. Motu proprio by the court against which the
contempt was committed by an order or any
Grounds other formal charge requiring the
1. Misbehavior of an officer of a court in the respondent to show cause why he should
performance of his official duties or in his not be punished for contempt.
official transactions 2. By a verified petition with supporting
2. Disobedience of or resistance to a lawful particulars and certified true copies of
writ, process, order, or judgmentof a court, documents or papers involved therein, and

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upon full compliance with the requirements Offense Penalty
for filing initiatory pleadings for civil actions writ of violation of the property
in the court concerned. injunction, involved or such amount
TRO, or status as may be alleged and
If the contempt charges arose out of or are quo order proved [Sec. 7, Rule 71]
related to a principal action pending in the
court, the petition for contempt shall allege that If there is nothing more to
fact but said petition shall be docketed, heard return, offender is
and decided separately, unless the court in its personally liable for the
discretion orders the consolidation of the restitution of the money
contempt charge and the principal action for equivalent to the lost thing
joint hearing and decision [Sec. 4, Rule 71]. [Rosario Textile Mills v.
CA, G.R. No. 137326
Remedy Against Indirect Contempt (2003)]
The judgment or final order of a court in a case If committed Penalty shall depend
of indirect contempt may be appealed to the against a upon the provisions of the
proper court as in criminal cases. [Sec. 11, person or law which authorizes
Rule 71] entity penalty for contempt
exercising against such persons or
Effect of Appeal quasi- judicial entities [Sec. 12, Rule 71]
Execution of the judgment or final order functions
shall not be suspended until a bond is filed
by the person adjudged in contempt, in an Where to File Charge
amount fixed by the court front which the a. Where committed against a RTC or a court
appeal is taken, conditioned that if the appeal of equivalent or higher rank, or against an
be decided against him he will abide by and officer appointed by it – the charge may be
perform the judgment or final order [Sec. 11, filed with such court.
Rule 71]. b. Where committed against a lower court – the
charge may be filed with the RTC of the
A contempt proceeding, whether civil or place in which the lower court is sitting; but
criminal, is still a criminal proceeding, hence, the proceedings may also be instituted in
acquittal is a bar to a second prosecution. such lower court subject to appeal to the
The distinction is only for the purpose of RTC of such place in the same manner as
determining the character of the punishment to provided in Sec. 11 of Rule 71
be administered [Santiago v. Anunciacion, c. Where committed against persons or entities
G.R. No. 89318 (1990)]. exercising quasi-judicial functions – the
charge shall be filed in the RTC of the place
Penalties wherein contempt was committed [Sec. 12,
Rule 71]
Offense Penalty
If committed Fine not exceeding PHP When Party Released on Bail Fails to
against RTC, 30,000 or imprisonment Answer
or acourt of not exceeding 6 months, The court may issue another order of arrest or
equivalent or or both [Sec. 7, Rule 71] may order the bond for his appearance to be
higher rank forfeited and confiscated, or both.
Fine not exceeding PHP
If committed
5,000 or imprisonment not If the bond be proceeded against, the measure
against lower
exceeding 1 month, or of damages shall be the extent of the loss or
court
both [Sec. 7, Rule 71] injury sustained by the aggrieved party by
If the Offender may also be reason of the misconduct for which the
contempt ordered to make contempt charge was prosecuted, with the
consists in the complete restitution to costs of the proceedings, and such recovery
violation of a the party injured by such shall be for the benefit of the party injured. If
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there is no aggrieved party, the bond shall be
liable and disposed of as in criminal cases.
[Sec. 9, Rule 71]
When Imprisonment Shall Be Imposed
When the contempt consists in the refusal or
omission to do an act which is yet in the power
of the respondent to perform, he may be
imprisoned by order of the court concerned
until he performs it [Sec. 8, Rule 71].
When Court May Release Respondent
The court which issued the order imprisoning a
person for contempt may discharge him from
imprisonment when it appears that public
interest will not be prejudiced by his release.
[Sec. 9, Rule 71] Only the judge who ordered
the confinement of the person for contempt of
court can issue the Order of Release [Inoturan
v. Limsiaco, Jr., AM No. MTJ-01-1362 (2005)].
Contempt Against Quasi-Judicial Bodies
Unless otherwise provided by law, the rules
governing direct and indirect contempt shall
apply to contempt committed against persons,
entities, bodies or agencies exercising quasi-
judicial functions, or shall have suppletory
effect to such rules as they may have adopted
pursuant to authority granted to them by law to
punish for contempt [Sec. 12, Rule 71].
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It is not within the jurisdiction and competence
of quasi-judicial bodies to decide indirect
contempt cases. (e.g. DARAB has no power to
decide the contempt charge filed before it)
[Land Bank v. Listana, G.R. No. 152611
(2003)].
Examples of acts or violations against quasi-
judicial bodies punishable as contempt:
• Where a person, without lawful excuse, fails
to appear, make oath, give testimony or
produce documents when required to do so
by the official or body exercising such
powers
Other acts or violations cannot be punished as
contempt unless specifically defined in the
governing law as contempt of court or if it
authorizes the quasi-judicial body to punish for
contempt, and providing the corresponding
penalty [1 Regalado 921-922, 2010 Ed., citing
People v. Mendoza, G.R. No. L-5059-60
(1953), see Sec. 13, Chapter 3, Book VII,
Admin Code].
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VI. SPECIAL
PROCEEDINGS AND
SPECIAL WRITS
Jurisdiction of probate courts – Metropolitan
Trial Courts, Municipal Trial Courts in Cities,
Municipal Trial Courts, and Municipal Circuit
Trial Courts shall exercise exclusive original
jurisdiction over civil actions and probate
proceedings, testate and intestate, including
the grant of provisional remedies in proper
cases, where the value of the personal
property, estate, or amount of demand does
not exceed Two Million Pesos
(P2,000,000.00). Regional Trial Courts shall
exercise exclusive original jurisdiction in all
matters of probate, both testate and intestate,
where the gross value of the estate exceeds
Two Million Pesos (P2,000,000.00). [BP Blg.
129, as amended by R.A. No. 11576]
A. Settlement of Estate of
Deceased Persons
1. Venue and Process (Rule 73)
a. Extent of Jurisdiction of Probate
Court
The probate jurisdiction relates only to matters
having to do with the settlement of the estate
and probate of wills of deceased persons, and
the appointment and removal of administrators,
executors, guardians, and trustees [Ramos v.
CA, G.R. No. 42108 (1989)]
General Rule: A probate court cannot
adjudicate or determine title to properties
claimed to be a part of the estate and which are
claimed to belong to outside parties [Ignacio v.
Reyes, G.R. No. 213192 (2017)]
Exceptions:
1. In a provisional manner to determine
whether said property should be included or
excluded in the inventory, without prejudice
to final determination of title in a separate
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action [Cuizon v. Ramolete, G.R. No. L-
51291 (1984)].
2. With consent of all the parties, without
prejudice to the rights of third persons
[Trinidad v. CA, G.R. No. 75579 (1991)].
3. If the question is one of collation or
advancement [Coca v. Borromeo, G.R. No.
L-27082 (1978)].
4. When the estate consists of only one
property [Portugal v. Portugal-Beltran, G.R.
No. 155555 (2005)].
The court first taking cognizance of the
settlement of estate of a decedent shall
exercise jurisdiction to the exclusion of all other
courts [Sec. 1, Rule 73].
The jurisdiction assumed by a court, so far as
it depends on the place of residence of the
decedent, or of the location of his estate, shall
not be contested in a suit or proceeding, except
in an appeal from that court, in the original
case, or when the want of jurisdiction appears
on the record. [Sec. 1, Rule 73]
Prior Declaration of Heirship in a Separate
Special Proceeding
Note: De Leon cites Heirs of Ypon v. Ricaforte
[G.R. No. 198680 (2013)] under “Extent of
jurisdiction of the probate court.” (pp. 15-18).
This ruling has been expressly abandoned in
Treyes v. Larlar [G.R. No. 232579 (2020)].
Unless there is a pending special proceeding
for the settlement of the decedent's estate or
for the determination of heirship, the
compulsory or intestate heirs may commence
an ordinary civil action to declare the nullity of
a deed or instrument, and for recovery of
property, or any other action in the
enforcement of their ownership rights acquired
by virtue of succession, without the necessity
of a prior and separate judicial declaration of
their status as such [Treyes v. Larlar, supra].
Jurisdictional Facts
Jurisdictional facts refer to the fact of death of
the decedent, his residence at the time of his
death in the province where the court is sitting,
or if he is an inhabitant of a foreign country, the
estate he left in such province [Palaganas v.
Palaganas, G.R. No. 169144 (2011)].
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Where estate is settled upon dissolution of
marriage
Sec. 2, Rule 73 provides that when the
marriage is dissolved by the death of the
husband or the wife, the community property
shall be inventoried, administered, and
liquidated, and the debts thereof paid, in the
testate or the intestate proceedings of the
deceased spouse, and if both spouses have
died, the conjugal partnership shall be
liquidated in the testate or intestate
proceedings of either. In these settlement
proceedings, the probate court has the
authority to determine if the property is
conjugal or community in nature, for purposes
of liquidation [Agtarap v. Agtarap, G.R. Nos.
177099 and 177192 (2011)].
Presumption of Death
Sec. 4, Rule 73 is merely one of evidence
which permits the court to presume that a
person is dead after the fact that such person
had been unheard from for the periods fixed in
the Civil Code. This presumption may arise and
be invoked and made in a case, either in an
action or in a special proceeding, which is tried
or heard by, and submitted for decision to, a
competent court. Independently of such an
action or special proceeding, the presumption
of death cannot be invoked, nor can it be made
the subject of an action or special proceeding
[Valdez v. People, G.R. No. 180863 (2009),
citing In re: Szatraw, G.R. No. L-1780 (1948)].
b. Powers and Duties of Probate Court
It is the duty of courts of probate jurisdiction to
guard jealously the estates of the deceased
person by intervening in the administration
thereof in order to remedy or repair any injury
that may be done thereto [Dariano v.
Fernandez Fidalgo, G.R. No. 4918 (1909)].
Ancillary Powers of a Probate Court
1. Issue warrants and processes to compel
attendance of a witness and to carry into
effect their orders and judgments
2. Issue warrant for apprehension and
imprisonment of a person who refuses to
perform an order or judgment
3. All other powers granted to them by law
[Sec. 3, Rule 73].
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2. Summary Settlement of Estates
(Rule 74)
General Rule: The estate of the decedent
should be judicially administered through an
administrator or executor.
Exceptions:
Law allows heirs to resort to
a. Extrajudicial settlement of estate (decedent
died intestate and left no debts) [Sec. 1,
Rule 74].
b. Summary settlement of estate (for estates
of small value, when gross estate does not
exceed P10,000) [Sec. 2, Rule 74].
Recourse to an administration proceeding
even if the estate has no debts is sanctioned
only if the heirs have good reasons for not
resorting to an action for partition. Where
partition is possible, either in or out of court, the
estate should not be burdened with an
administration proceeding without good and
compelling reasons [Sps. Villafria v. Plazo,
G.R. No. 187524 (2015)].
a. Extrajudicial Settlement by
Agreement Between Heirs
Requisites:
1. Decedent died intestate,
2. Left no debts,
3. Heirs are all of age, or minors are
represented by their legal or judicial
representatives, and
4. All heirs agree [Sec. 1, Rule 74]
Modes
1. If sole heir – Affidavit of Self-adjudication (of
the whole estate)
2. If more than one heir –
a. Deed of Extrajudicial Settlement is
resorted to if there is no disagreement
among all the heirs as to how to divide the
estate
b. If there is a disagreement, then they may
resort to an action for partition (judicial)
Note: Both the Affidavit and the Deed are public
instruments [Sec. 1, Rule 74].
General Rule: When a person dies intestate,
or, if testate, failed to name an executor in his
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will or the executor so named is incompetent,
or refuses the trust, or fails to furnish the bond
required by the Rules, then the decedent’s
estate shall be judicially administered and the
competent court shall appoint a qualified
administrator in the order established in Sec. 6,
Rule 78. An exception to this rule is found in
Sec. 1, Rule 74 wherein the heirs of a
decedent, who left no will and no debts due
from his estate, may divide the estate either
extrajudicially or in an ordinary action for
partition without submitting the same for
judicial administration nor applying for the
appointment of an administrator by the court
[Sps. Villafria v. Plazo, supra].
Where, in the extrajudicial settlement of the
estate, heirs were excluded and minor heirs
were not properly represented, the settlement
was not valid and binding upon them [Neri v.
Heirs of Spouses Yusop, G.R. No. 194366
(2012)].
Requirement of Public Instrument
No law requires partition among heirs to be in
writing and be registered in order to be valid.
The requirement in Sec. 1, Rule 74 that a
partition be put in a public document and
registered, has for its purpose the protection of
creditors and the heirs themselves against
tardy claims. The requirement of Art. 1358 of
the Civil Code is only for convenience, non-
compliance with which does not affect the
validity or enforceability of the acts of the
parties as among themselves [Kilario v. CA,
G.R. No. 134329 (2000)].
Note: The last sentence of the cited doctrine
from Kilario implies that non-compliance with
Sec. 1, Rule 74 will be binding only as to the
parties to the partition but not to non-parties
(e.g., creditors who did not know of the
partition).
Procedure
Division of estate in a public instrument or affidavit of
adjudication
↓ death of the decedent [Sec. 1, Rule 74].
Publication of notice of the fact of extrajudicial
settlement once a week for 3 consecutive weeks in a
newspaper of general circulation in the province, and
after such other notice to interested persons as the
court may direct
↓ when the affiant is the sole heir of the
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Filing of public instrument/affidavit with the proper
Registry of Deeds and posting of a bond if the estate
has personal property (bond equivalent to amount of
personal property)
The procedure outlined in Sec. 1 of Rule 74 is
an ex parte proceeding. The rule plainly states,
however, that persons who do not participate
or had no notice of an extrajudicial settlement
will not be bound thereby.
The requirement of publication is geared for the
protection of creditors and was never intended
to deprive heirs of their lawful participation in
the decedent's estate [Benatiro v. Heirs of
Cuyos, G.R. No. 161220 (2008), citing Cua v.
Vargas, G.R. No. 156536 (2006)].
Validity of Compromise Agreement
Such is valid, binding upon the parties as
individuals, upon the perfection of the contract,
even without previous authority of the court to
enter into such agreement [Borja v. Vda. De
Borja, G.R. No. L-28040 (1972)].
b. Two-Year Prescriptive Period
Heirs or other persons deprived of lawful
participation in the estate may compel judicial
settlement of estate within 2 years from
settlement and distribution [Sec. 1, in relation
to Sec 4, Rule 74].
A lien shall be constituted on the real property
of the estate and together with the bond, it shall
be liable to creditors, heirs or other persons for
a full period of 2 years after such distribution.
Such lien will not be cancelled before the lapse
of two years even if a distributee offers to post
bond to answer for contingent claims [Rebong
v. Ibañez, G.R. No. L-1578 (1947)].
Disputable Presumption of No Debt
It shall be presumed that the decedent left no
debts if no creditor files a petition for letters of
administration within two (2) years after the
c. Affidavit of Adjudication by Sole Heir
An Affidavit of Self-Adjudication is only proper
decedent. This is clear from the second
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sentence of Sec. 1, Rule 74 [Rebusquillo v. Publication of notice once a week for 3 consecutive
Sps. Galvez, G.R. No. 204029 (2014)]. weeks in a newspaper of general circulation in the
province
↓
d. Summary Settlement of Estates of
Giving of such other notice to interested persons as
Small Value; When Allowed the court may direct
↓
Allowed whenever the gross value of estate of Hearing held not less than 1 month nor more than 3
the decedent does not exceed P10,000 months from the date of the last publication of notice
↓
Procedural Requirements: Court to proceed summarily, without appointing an
1. Petition by an interested person alleging executor/administrator, and to:
fact that estate does exceed P10,000 (1) Grant allowance of will, if any
(2) Determine persons entitled to estate
2. Notice (3) Pay debts of estate which are due
a. Published once a week for 3 consecutive ↓
weeks Filing of bond when required by the court [Sec. 3,
b. In a newspaper of general circulation in Rule 74]
the province ↓
3. Other notice to interested persons as the Partition/distribution of estate
court may direct
4. Hearing
a. Held not less than 1 month nor more than Extrajudicial Summary
3 months Settlement Settlement
b. Counted from the date of the last
Court intervention not Summary judicial
publication of notice [Sec. 2, Rule 74]
required adjudication needed
5. Bond in an amount to be fixed by court if
personal property is to be distributed [Sec. Decedent left no will Decedent may or
3, Rule 74] (allowed only in may not have left a
intestate succession) will (died
Upon fulfillment of the requisites, the court may intestate/testate)
proceed summarily without the appointment of
an executor/administrator and without delay – Decedent left no Decedent may have
1. to grant, if proper, allowance of the will, if debts left debts
there be any;
2. to determine who are persons legally Heirs are all of age or No such requirement
entitled to participate in the estate; and minors are
3. to apportion and divide the estate among represented
them after the payment of such debts of the
estate Instituted only at the May be instituted by
instance and by any interested party
The persons legally entitled to participate in the agreement of all heirs even by a creditor
estate (1) in their own right, if of lawful age; or without consent of
(2) if otherwise, by their guardians or trustees the heirs
legally appointed and qualified, will be entitled
to receive and enter into possession of the Value of the estate is Gross value of the
portions of the estate so awarded to them immaterial estate must not
respectively [Sec. 2, Rule 74]. exceed P10,000

Bond filed with the Bond filed with and

Procedure
Register of Deeds in amount to be
Death of the decedent
an amount equal to determined by the
↓
the value of the court
Petition for summary settlement with allegation that
the gross value of the estate does not exceed personal property of
P10,000 the estate
↓
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Where the contention that the decedent’s
estate is less than P5,000 rests on a
controversial basis and no evidence was
adduced to ascertain the actual value of the
estate, the probate court is not precluded from
proceeding with the intestate proceedings
[Intestate Estate of Sebial v. Sebial, G.R. No.
L-23419 (1975)].
e. Remedies of Aggrieved Parties After
Extrajudicial Settlement of Estate
Within Reglementary Period of TWO YEARS
1. Claim on the bond for personal properties
[Sec. 4, Rule 74]
2. Claim on lien on real property,
notwithstanding any transfers of real
property that may have been made [Sec. 4,
Rule 74]
3. Judicial settlement of estate [Sec. 4, Rule
74]
4. Action to annul settlement (fraud — 4 years
or implied trust — 10 years)
When applicable
If it shall appear at any time within 2 years after
the settlement and distribution of an estate that
an heir or other person
a. Has been unduly deprived of his lawful
participation in the estate
1. He shall have a right to compel the
settlement of the estate in the courts for
the purpose of satisfying such lawful
participation
2. If annulment on the ground of fraud, an
action for reconveyance based on an
implied or constructive trust must be filed
within 10 years from accrual of the cause
of action [Amerol v. Bagumbaran, G.R.
No. L-33261 (1987); Zuniga-Santos v.
Santos-Gran, G.R. No. 197380 (2014)]
b. Has been unduly deprived of his lawful
participation payable in money, the court
having jurisdiction of the estate may, by
order for that purpose, after hearing
1. settle the amount of such debts or lawful
participation, and
2. may issue execution against the bond or
against the real estate belonging to the
deceased, or both [Sec. 4, Rule 74]
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When not applicable
1. To persons who have participated or taken
part or had notice of the extrajudicial
partition
2. When the provisions of Sec. 1 of Rule 74
have been strictly complied with (all persons
or heirs of the decedent have taken part in
the extrajudicial settlement or are
represented by themselves or through
guardians)
The buyer of real property, the title of which
contains an annotation pursuant to Sec. 4,
Rule 74, cannot be considered innocent
purchasers for value [David v. Malay, G.R. No.
132644 (1999)].
The foregoing rule clearly covers transfers of
real property to any person, as long as the
deprived heir or creditor vindicates his rights
within two years from the date of the settlement
and distribution of estate. The effects of this
provision are not limited to the heirs or original
distributees of the estate properties, but shall
affect any transferee of the properties [Sps.
Domingo v. Roces, G.R. No. 147468 (2003)].
Additional Period for Claim of Minor or
Incapacitated Person
If on the date of the expiration of the period of
2 years after the settlement or distribution of an
estate, the person authorized to file a claim is
1. a minor or mentally incapacitated;
2. in prison; or
3. outside Philippines, he may present his
claim within 1 year after such disability is
removed [Sec. 5, Rule 74].
Within the reglementary period, the judge of a
probate court has the power to reopen estate
proceedings even after the issuance of an
order approving a project of partition and
closing the proceedings. Rather than requiring
an allegedly preterited party to air his
grievances in a separate and independent
proceeding, he may, within the reglementary
period, claim his relief sought in the same case
by reopening the same even after a project of
partition and final accounting had been
approved [Jerez v. Nietes, G.R. No. L-26876
(1969)].
Even if the original motion did not afford legal
standing to the three legitimate minor children,
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under Sec. 5, Rule 74, such motion may be
lodged with the court within one year after the
minors have reached majority [In Re: Francisco
v. Carreon, G.R. No. L-5033 (1954)].
Other Remedies
1. Action for reconveyance of real property –
based on an implied trust, reckoned 10
years from issuance of title [Marquez v. CA,
G.R. No. 125715 (1998)]
2. Rescission – in case of preterition of
compulsory heir in partition tainted with bad
faith [Art. 1104, NCC]
3. Petition for relief – on ground of fraud,
accident, mistake, or excusable negligence.
Within 60 days after petitioner learns of
judgment or final order, or other proceedings to
be set aside, and not more than 6 months after
such judgment or order is entered or taken
[Rule 38].
3. Allowance or Disallowance of Wills
(Rule 76)
Probate or allowance of wills is the act of
proving in court a document purporting to be
the last will and testament of the deceased for
the purpose of its official recognition,
registration and carrying out its provision in so
far as they are in accordance with law [Festin
40, 2011 Ed.].
General Rule: A probate proceeding only
looks at extrinsic validity.
Exception: The probate of a will might become
an idle ceremony if on its face it appears to be
intrinsically void. Where practical
considerations demand that the intrinsic
validity of the will be passed upon even before
it is probated, the court should meet the issue
[Nepomuceno v. CA, G.R. No. L-62952
(1985)].
Extrinsic validity - due execution of the will
which means:
a. That the will was executed strictly in
accordance with the formalities required by
law
b. That the testator was of sound and
disposing mind when the will was executed
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c. That there was no vitiation of consent
through duress, fear or threats
d. That it was not procured by undue and
improper pressure or influence on part of
beneficiary or other person for his benefit
e. That the testator’s signature is genuine (not
procured through fraud nor trick), and that
the testator intended that what he executed
was his last will and testament [Sec. 9, Rule
76]
The very existence of the will is in itself prima
facie proof that the supposed testatrix has
willed that her estate be distributed in the
manner provided for in the will and it is
incumbent upon the State that, if legally
tenable, such desire be given full effect
independent of the attitude of the parties
affected thereby. What is decisive is that the
court is convinced by evidence before it, not
necessarily from the attesting witnesses,
although they must testify, that that will was or
was not duly executed in the manner required
by law [Baltazar v. Laxa, G.R. No. 174489
(2012)].
Contents of Petition for Allowance of Will
1. Jurisdictional facts – refer to the fact of
death of the decedent, his residence at the
time of his death in the province where the
court is sitting, or if he is an inhabitant of a
foreign country, the estate he left in such
province [Palaganas v. Palaganas, G.R.
No. 169144 (2011)].
2. Names, ages, and residences of the heirs,
legatees, and devisees of the testator or
decedent
3. Probable value and character of the
property of the estate
4. Name of the person for whom letters are
prayed
5. If the will has not been delivered to the
court, the name of the person having
custody of it [Sec. 2, Rule 76].
Effects of Defect in Petition
No defect in petition shall render void the
allowance of will, or the issuance of letters
testamentary or of administration with the will
annexed [Sec. 2, Rule 76].
Jurisdiction, how acquired
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Publication of the notice of hearing brings in the
whole world as a party in the case for probate
and vests the court with jurisdiction to hear and
decide it. Thus, parties not mentioned in the
petition for probate eventually became parties
as a consequence of publication [Alaban v. CA,
G.R. No. 156021 (2005)].
To reiterate, the court has the obligation to
serve personal notices to petitioners under
Sec. 4 of Rule 76 because they are known
heirs and their places of residence were made
known in the petition for probate. Verily, it was
erroneous of the RTC to rule that petitioners
had been sufficiently notified by the publication
of the notice under Sec. 3. The trial court
cannot simply abdicate the mandatory duty
under Sec. 4 by indiscriminately applying the
rule on publication. To do so would render
nugatory the procedure laid down in Sec. 4 and
the purpose for which the Court had intended
it. [Racca v. Echague, G.R. No. 237133 (2021)]
The notice must be published 3 weeks
successively, previous to the time set for
hearing, in a newspaper of general circulation
in the province [Sec. 3, Rule 76], except in an
antemortem petition for probate filed by the
testator herself (no publication required).
a. Evidence Required in Support of a
Will
Uncontested Will
Notarial Will – Testimony of at least one
subscribing witness that the will was executed
as required by law [Sec. 5, Rule 76].
1. If all subscribing witnesses reside outside of
the province but their deposition can be
taken elsewhere, the court may, on motion,
order that it be taken and may authorize
making of photocopy of the will to be
presented to the witness [Sec. 7, Rule 76].
2. If all subscribing witnesses are dead,
insane, or do not reside in the Philippines,
other witnesses not subscribing may be
presented [Sec. 8, Rule 76].
Holographic Will
1. At least one witness who knows the
handwriting and signature of the testator
who explicitly declares that the will and
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signature are in the handwriting of the
testator, or
2. In the absence of such competent witness
and the court deems it necessary, expert
testimony may be resorted to [Sec. 5, Rule
76].
If the testator himself petitions for probate of
holographic will and it is not contested, the fact
that he affirms that the holographic will and the
signature are in his own handwriting shall be
sufficient evidence of genuineness and due
execution thereof [Sec. 12, Rule 76].
It is not mandatory that witnesses be presented
first before expert testimony maybe resorted to
unlike in notarial wills wherein attesting
witnesses must first be presented [Azaola v.
Singson, G.R. No. L-14003 (1960)].
Contested Will
Anyone appearing to contest the will must state
in writing his grounds for opposing its
allowance and serve a copy to petitioner and
other interested parties [Sec. 10, Rule 76].
Notarial Will
1. All subscribing witnesses and the notary if
present in the Philippines and not insane
must be presented
2. If any or all witnesses and/or the notary is
dead, insane or absent –fact of death must
be satisfactorily shown in court
3. If present in the Philippines but outside the
province – deposition must be taken [Sec.
11, Rule 76; Baltazar v. Laxa, G.R. No.
174489 (2012)]
Can testimony of the subscribing witnesses be
dispensed with in a contested will? YES. If any
or all of the subscribing witness:
1. Testify against the due execution of the will;
2. Do not remember having attested to it; or
3. Are otherwise of doubtful credibility.
The court may allow the will if it is satisfied from
testimony of other witnesses and all evidence
presented that the will was executed and
attested in the manner required by law [Sec.11,
Rule 76].
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Holographic Will
1. At least three witnesses who know the
handwriting and signature of the testator
who explicitly declare that the will and
signature are in the handwriting of the
testator.
2. In the absence of such competent
witnesses and the court deems it
necessary, expert testimony may be
resorted to [Sec. 11, Rule 76].
If the testator himself petitions for probate of
holographic will and it is contested, the
contestant has the burden of disproving
genuineness. Testator may present additional
proof to rebut contestant’s evidence [Sec. 12,
Rule 76].
Lost Will
Notarial Wills – Even if lost, may be proved by
presenting evidence on the following facts:
1. Execution and validity of the will,
2. Its existence at the time of testator’s death
or that it has been fraudulently or
accidentally destroyed during testator’s
lifetime without his knowledge, and
3. Provisions of the will clearly and distinctly
proved by at least two credible witnesses
If lost will is proved, its provisions must be
distinctly stated and certified by the judge,
under seal of court, and the certificate must be
filed and recorded as other wills are filed and
recorded [Sec. 6, Rule 76].
Holographic Wills
General Rule: If a holographic will has been
lost or destroyed and no other copy is
available, the will cannot be probated because
the best and only evidence is the handwriting
of the testator in said will.
Exceptions: A photostatic copy or xerox of the
holographic will may be allowed because
comparison can be made with the standard
writings of the testator [Rodelas v. Aranza,
G.R. No. L-58509 (1982)].
b. Grounds for Disallowing a Will
The will shall be disallowed if:
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1. Not executed and attested as required by
law;
2. Testator was insane, or otherwise mentally
incapable to make a will, at the time of its
execution;
3. Executed under duress, or the influence of
fear, or threats;
4. Procured by undue and improper pressure
and influence, on the part of the beneficiary,
or of some other person for his benefit; or
5. Signature of the testator was procured by
fraud or trick, and he did not intend that the
instrument should be his will at the time of
fixing his signature thereto [Sec. 9, Rule 76
cf. Art. 839, CC].
The list is exclusive. Thus, in a petition to admit
a holographic will to probate, the only issues to
be resolved are:
1. Whether the instrument submitted is,
indeed, the decedent’s last will and
testament;
2. Whether said will was executed in
accordance with the formalities prescribed
by law;
3. Whether the decedent had the necessary
testamentary capacity at the time the will
was executed; and
4. Whether the execution of the will and its
signing were the voluntary acts of the
descendants [Sps. Ajero v. CA, G.R. No.
106720 (1994)].
c. Reprobate; Requisites Before Will
Proved Outside Allowed in the
Philippines; Effects of Probate
Effect of Probate of Will
Decree of probate is conclusive as to its due
execution, subject to the right of appeal [Sec.
1, Rule 75]
If a decision admitting a will to probate
becomes final, there can no longer be any
challenge to its due execution and authenticity.
Thus, a criminal action will not lie against an
alleged forger of a will which had been duly
admitted to probate by a court of competent
jurisdiction [Mercado v. Santos, G.R. No.
45629 (1938)].
Order allowing or disallowing a will may be the
subject of an appeal [Sec. 1, Rule 109].
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Reprobate
Wills proved and allowed in a foreign country,
according to the laws of such country, may be
allowed, filed, and recorded by the proper court
in Philippines [Sec. 1, Rule 77].
Requisites before a Will Proved Abroad
Would be Allowed in Philippines:
1. Duly authenticated copy of will
2. Duly authenticated order or decree of its
allowance in foreign country, and
3. Petition for allowance in Philippines filed by
the executor or other person interested
[Sec. 5, Rule 76]
The court having jurisdiction shall fix a time and
place for the hearing and cause notice thereof
to be given as in case of an original will
presented for allowance [Sec. 2, Rule 77].
The nationality principle is not applied when
determining the extrinsic validity of an alien’s
last will and testament. When it comes to the
probate of an alien’s will, whether executed
here or abroad, the alien’s national law may be
pleaded and proved before the probate court.
Otherwise, Philippine law will govern by
default. Philippine courts have jurisdiciton to
take cognizance of an alien’s will executed in
the Philippines, even if it had not yet been
probated before the alien decedent’s national
court. [Gaspi vs. Hon. Pacis-Trinidad, G.R. No.
229010 (2020)]
Evidence Necessary for Reprobate
1. Due execution of the will in accordance with
the foreign laws;
2. Testator has his domicile in the foreign
country and not in Philippines ;
3. Will has been admitted to probate in such
country;
4. Fact that the foreign tribunal is a probate
court; and
5. Laws of a foreign country on procedure and
allowance of wills [Vda. De Perez v. Tolete,
G.R. No. 76714 (1994)]
Our laws do not prohibit the probate of wills
executed by foreigners abroad although the
same have not as yet been probated and
allowed in the countries of their execution. A
foreign will can be given legal effect in our
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jurisdiction [Palaganas v. Palaganas, G.R. No.
169144 (2011)].
Effect of Reprobate
1. Will shall have the same effect as if
originally proved and allowed in Philippine
court [Sec. 3, Rule 77].
2. The grant of letters testamentary or of
administration shall extend to all estate of
the testator in Philippines.
3. Payment of just debts and expenses of
administration, estate shall be disposed of
according to the will.
4. Residue disposed of in accordance with law
[Sec. 4, Rule 77].
Questions as to Title of Property
General Rule: The probate court, whether in a
testate or intestate proceeding, can only pass
upon questions of title provisionally. The
reason is that the probate court’s limited
jurisdiction and the principle that questions of
title or ownership, which result in exclusion or
inclusion from the inventory of the property,
can only be settled in a separate action [Aranas
v. Mercado, G.R. No. 156407 (2014), citing De
Leon v. CA, G.R. 128781 (2002); Jimenez v.
CA, G.R. No. 75773 (1990); Agtarap v.
Agtarap, G.R. Nos. 177099 and 177192
(2011)].
Exception: If the interested parties are all
heirs, or the question is one of collation or
advancement, or the parties consent to the
assumption of jurisdiction by the probate court
and the rights of third parties are not impaired,
the probate court is competent to decide the
question of ownership [Cora v. Vda. De
Pangilinan, G.R. Nos. L-27082 and L-29545
(1978); Agtarap v. Agtarap, supra]
Antemortem Probate
Testator himself may, during his lifetime,
petition the court for the allowance of his will.
[Sec. 1, Rule 76]
No newspaper publication is required where
the petition for probate is filed by the testator
himself. [Sec. 3, Rule 76]
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If the testator asks for the allowance of his own
will, notice shall be sent only to his compulsory
heirs. [Sec. 4, Rule 76]
Proof required in antemortem probate of
holographic will – if uncontested, the fact that
REMEDIAL LAW
testor affirms that the holographic will and
signature are in his own handwriting shall be
sufficient evidence of the genuineness and due
execution ; if contestaed, the burden of
disproving genuineness and due execution
shall fall on the contestant

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Flowchart: Judicial Settlement Proceedings [De Leon and Wilwayco, Special Proceedings
(2020)]
Petition for Probate of Will
Section 1, Rule 76
Petitioner/s : Executor/Legatees/Devisees Named
in the Will/Interested Person/Creditor/Testator Himself

When to file :
Post-mortem : Anytime
Ante-mortem : During testator’s lifetime

Court Order
Section 3, Rule 76
• Fix time and place of hearing
• Fix publication and notice
Hearing Publication and Notice
• Proof of notice and hearing
• Evidence of Petitioner
1. Death of decedent Sections 3 and 4, Rule 76
2. Residence at time of death
NOTICE : PUBLICATION :
• Mail : 20 days • Once a week for 3
before scheduled consecutive weeks
hearing in a newspaper of
IF TESTATE : Section 5, Rule 76 IF INTESTATE : Section 5, Rule 80 • Personal service : general circulation
• Testimonies of subscribing • Decedent left no will or 10 days before
witnesses ; there is no competent hearing
• Proof when testator is executor ; • To known heirs,
petitioner ; • Petitioner is qualified for legatees, devisees,
• Proof of lost or destroyed appointment
will executor, creditors,
other interested
persons
Certificate of Allowance
• If petitioner is
Section 1, Rule 76 testator : Notice is
• Issued by the judge only given to
• Signed by the judge compulsory heirs
• Attested by seal of the court

File and Record

Section 1, Rule 76
• By COC : Will and certificate
of allowance
• ROD : Attested copies of the
will and certificate of allowance
Issuance of Letters
Testamentary
Grant of Letters of
Administration
• No executor
• Executor named in the will who accepts
the trust and gives a bond

• i
n
c
o
m

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4. Claims Against the Estate (Rule 86)
Estate Burdened with Lien of Creditors
Upon the death of the person, all his property
is burdened with all his debts, his debts
creating an equitable lien thereon for the
benefit of the creditors. And such lien continues
until the debts are extinguished either by the
payment, prescription, or satisfaction in one of
the modes recognized by law [Suiliong & Co. v.
Chio-Taysan, G.R. No. 4777 (1908)].
Purpose of Presentation of Claims Against
Estate
1. To protect the estate of the deceased
2. Executor/administrator will be able to
examine each claim, determine whether it is
a proper one which should be allowed
3. To appraise the administrator and the
probate court of the existence of the claim
so that a proper and timely arrangement
may be made for its payment in full or by pro
rata portion in the due course of the
administration [Estate of Olave v. Reyes,
G.R. No. L-29407 (1983)]
a. Time Within Which Claims Shall Be
Filed; Exceptions
Immediately after granting letters testamentary
or of adminstration, the court shall issue a
notice requiring all persons having money
claims against the decedent to file them in the
office of the clerk of said court. [Sec. 1, Rule
86]
General Rule: Claims must be filed within the
time specified by the court in its notice which
shall not be less than 6 months nor more than
12 months from the date of the first publication
of the notice [Sec. 2, Rule 86].
Exception: Tardy Claims
At any time before an order of distribution is
entered, on application of a creditor who has
failed to file his claim within the time previously
limited, the court may, for cause shown and on
such terms as are equitable, allow such claim
to be filed within a time not exceeding one (1)
month. [Sec. 2, Rule 86].
Note: The one-month extension does not
commence from expiration of the original
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period for filing claims but from the date of the
order of the court allowing said filing [Barredo
v. CA, G.R. No. L-17863 (1962)].
Notice to Creditors to be Published;
Affidavit of Publication
Executor/administrator shall, immediately after
the notice to creditors is issued, cause
publication of notice for 3 weeks successively
in a newspaper of general circulation in the
province, and its posting in 4 public places in
the province, and in 2 public places in the
municipality, where the decedent last resided
[Sec. 3, Rule 86].
Printed copy of the published notice shall be
filed in court within 10 days after its publication
accompanied with affidavit setting forth the
dates of first and last publication and name of
newspaper where it was printed [Sec. 4, Rule
86].
Significance of Notice
Publication of notice is constructive notice to
creditors and, thus, a creditor would not be
permitted to file a claim beyond the period fixed
in the notice on the bare ground that he had no
knowledge of the administration proceedings
[Villanueva v. PNB, G.R. No. L-18403 (1963)].
b. Statute of Non-Claims
General Rule: Claim must be filed within the
time limited in the notice; otherwise they are
barred forever [Sec. 5, Rule 86].
Exceptions:
1. When set forth as counterclaims in any
action that the executor/administrator may
bring against the claimants [Sec. 5, Rule 86]
2. Belated/tardy claims [Sec. 2, Rule 86]
Purpose: To settle the estate with dispatch, so
that the residue may be delivered to the
persons entitled thereto without their being
afterwards called upon to respond in actions for
claims [Rio y Compania v. Maslog, G.R. No. L-
12302 (1959), citing Tan Se Guan v. Ga Siu
San, 47 Phil. 96]
The filing of a money claim against the
decedent’s estate is mandatory. The
requirement is for the purpose of protecting the
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estate of the deceased by informing the
executor or administrator of the claims against
it, enabling him to examine each claim and to
determine whether it is a proper one which
should be allowed. The plain and obvious
design of the rule is the speedy settlement of
the affairs of the deceased and the early
delivery of the property to the distributees,
legatees, or heirs [Union Bank of the
Philippines v. Santibañez, G.R. No. 149926
(2005) citing Py Eng Chong v. Herrera, G.R.
No. L-31229 (1976)].
Claims Covered (exclusive)
1. Claims for money against the decedent :
(a) Arising from contract, express or
implied ;
(b) Due or not ;
(c) Contigent or not
2. Claims for funeral expenses and expenses
for the last sickness of decedent
3. Judgments for money against decedent
[Sec. 5, Rule 86]
Statute of non-claims supersedes statute of
limitations when it comes to debts of deceased
persons [Sikat v. Vda. De Villanueva, G.R. No.
L-35925 (1932)].
Quasi-contracts and contingent claims are
included in claims that should be filed under
Sec. 5, Rule 86 [Metropolitan Bank & Trust Co.
v. Absolute Management Corp., G.R. No.
170498 (2013)].
Contingent Claim
One which by its nature, is necessarily
dependent upon an uncertain event for
existence or validity, which may or may not
develop into an enforceable claim [Buan v.
Laya, G.R. No. L-7593 (1957)]
When allowed
1. When it becomes absolute;
2. Presented to the court or
executor/administrator within 2 years from
the time limited for other creditors to present
their claims; and
3. Not disputed by executor/administrator
[Sec. 5, Rule 88].
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If disputed, it may be proved and allowed or
disallowed by the court as the facts may
warrant [Sec. 5, Rule 88].
Where an executor/administrator commences
action, or prosecutes an action already
commenced by deceased in his lifetime, the
debtor may set forth by answer the claims he
has against decedent, instead of presenting
them independently to the settlement court,
and mutual claims may be set off against each
other in such action. If the debtor obtains a
favorable judgment, the amount shall be
considered the true balance against the estate,
as though the claim had been presented
directly before the court in the administration
proceedings [Sec. 5, Rule 86].
In a labor case where the deceased was found
to have illegally dismissed the plaintiff, the
money claims of the plaintiff who was adjudged
entitled thereto must be filed against the estate
of the deceased [Gabriel v. Bilon, G.R. No.
146989 (2007); Rule 3, Sec. 20 in relation to
Sec. 5, Rule 86].
Quasi-contracts are included in claims that
should be filed under Rule 86, Section 5 of the
Rules of Court. Metrobank’s fourth-party
complaint is based on quasi-contract, and as a
contingent claim, falls within claims that should
be filed under Section 5. The specific
provisions of Sec. 5, Rule 86 prevails over the
general provisions of Section 11, Rule 6 of the
same. The settlement of the estate of the
decedent is governed by the rules on special
proceedings, while the rules provided for
ordinary claims including Section 11, Rule 6
merely apply suppletorily [Metropolitan Bank &
Trust Co. v. Absolute Management Corp., G.R.
No. 170498 (2013)].
Section 5 Rule 86 provides that a judgment for
money against the decedent must be filed with
the court in the proceeding for the settlement of
the estate. Section 7 of Rule 39 states that
where a party dies after entry of judgment,
execution thereon may issue where death of
judgment debtor after execution is actually
levied upon any of his property. In other words,
the cut-off date is the date of actual levy of
execution. If the judgment debtor dies after
such levy, the property levied may be sold ; if
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before, the money judgment must be
presented as a claim against the estate,
although of course the same need no longer be
proved, the judgment itself being conclusive.
But the judgment creditor will share the estate
with other creditors, subject only to such
preferences as are provided by law.
[Evangelista v. La Proveedora, Inc., G.R. No.
L-32824 (1971)]
The presentation of a money claim may be
waived [Ignacio v. Pampanga Bus Co., Inc.,
G.R. No. L-18936 (1967)].
If obligation solidary - file claim against
decedent as if he is the only debtor
If obligation joint - claim confined to the
portion belonging to the decedent [Sec. 6, Rule
86]
Where the obligation assumed by the decedent
with his wife is a solidary one, a collection case
can proceed and the demands of the creditor
may be satisfied by the widow only, even
without impleading the estate of her deceased
husband. Thus, under Article 1216 of the Civil
Code, the creditor has the right to proceed
against anyone of the solidary debtors or some
or all of them simultaneously. To require the
creditor to proceed only as against the estate
would deprive him of his substantive rights
under the Civil Code [Boston Equity
Resources, Inc. v. CA, G.R. No. 173946
(2013)]. However, this must be differentiated
as against a situation where the debt is
chargeable to the conjugal partnership and it is
the partnership which is primarily bound. In
which case, the remedy is to a claim in the
settlement of the estate of the decedent
spouse [Alipio v. CA, G.R. No. 134100 (2000)].
Alternative Remedies of a Mortgage
Creditor upon Death of Debtor
1. Abandon the security and prosecute
hisclaim from the estate as an ordinary
claim – creditor is deemed to have
abandoned the mortgage and he cannot
thereafter file a foreclosure suit if he fails to
recover his money claim against the estate.
2. Foreclose mortgage judicially and prove any
deficiency as an ordinary claim – suit should
be against the executor or administrator as
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party defendant; creditor may obtain
deficiency judgment if he fails to fully
recover his claim.
3. Rely solely on the mortgage and foreclose it
before it is barred by prescription without
right to claim for deficiency – includes
extrajudicial foreclosure of sale and its
exercise precludes one from recovery of
any balance of debt against the estate and
frees the estate from further liability [Sec. 7,
Rule 86].
It must, however, be emphasized that these
remedies are distinct, independent, and
mutually exclusive from each other, thus, the
election of one effectively bars the exercise of
the others [Heirs of Maglasang v. Manila
Banking Corp., G.R. No. 171206 (2013);
Philippine National Bank v. CA, G.R. No.
121597 (2001); Festin 79, 2011 Ed.]
c. Claim of Executor or Administrator
Against the Estate
Procedure to follow if the
executor/administrator has a claim against
the estate he represents
1. Executor/Administrator shall give notice
thereof, in writing, to the court
2. The court shall appoint a special
administrator who shall have the same
power and liability as the general
executor/administrator in the adjustment of
such claim
3. The court may order the
executor/administrator to pay to the special
administrator necessary funds to defend
such claim [Sec. 8, Rule 86]
How to file for claim
1. Deliver the claim with the necessary
vouchers to the clerk of court, and
2. Serve a copy thereof on the
executor/administrator [Sec. 9, Rule 86].
Additional Requirements
1. If the claim be founded on a bond, bill, note,
or any other instrument – the original need
not be filed, but a copy thereof with all
indorsements shall be attached to the claim.
On demand, however, of
executor/administrator, or by order of court
or judge, the original shall be exhibited,
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unless it be lost or destroyed, in which case
the claimant must accompany his claim with
an affidavit or affidavits containing a copy or
particular description of the instrument and
stating its loss or destruction.
2. When the claim is due – it must be
supported by an affidavit which states
a. the amount justly due;
b. that no payments have been made
thereon which are not credited; and
c. that there are no offsets to the same, to the
knowledge of the affiant.
3. If the claim is not due, or is contingent, when
filed – it must also be supported by affidavits
stating the particulars thereof.
4. When the affidavit is made by a person
other than the claimant – he must set forth
therein the reason why it is not made by the
claimant [Sec. 9, Rule 86].

Answer by Executor/Administrator
Shall be filed within 15 days after a copy of the
claim has been served upon him. The
executor/administrator may interpose any
counterclaim. Said counterclaim is regarded as
compulsory, as the failure to file the same shall
bar the claim forever [Sec. 10, Rule 86].

Executor/Administrator Entirely Admits

Claim
The claim shall be submitted by the clerk to the
court who may approve the same without
hearing, but the court in its discretion before
approving the claim, may order that known
heirs, legatees, or devisees be notified and
heard. If the latter oppose upon hearing, the
court may allow 15 days to file an answer [Sec.
11, Rule 86].

Executor/Administrator Disputes Claim OR

Fails to File Answer
Clerk of court shall set the claim for trial with
notice to both parties [Sec. 12, Rule 86].

Judgment of court approving or disapproving a

claim shall be appealable as in ordinary cases
[Sec. 13, Rule 86].

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Flowchart: Claims against the Estate [De Leon and Wilwayco, Special Proceedings
(2020)]

Granting of Letters Testamentary or Administration

Rule 78

Court to issue a notice requiring all persons having money claims against the
decedent to file them in the office of the Clerk of Court [Sec. 1, Rule 86]

Publication of Notice to Creditors

[Sec. 3, Rule 86]

Creditors to deliver the claim with the necessary vouchers to the clerk of court and
serve copies thereof on the executor/administrator [Sec. 9, Rule 86]

Claim is DUE Claim is not DUE

Affidavit stating Affidavit stating the particulars of the

1. The amount due; claim [Sec. 9, Rule 86]
2. That no payments have been made
thereon and that there are no offsets
to the same [Sec. 9, Rule 86]

Within 15 days after service of the copy of the claim

Answer of Executor or Administrator
[Sec. 10, Rule 86]

Disposition of Admitted Claim Trial of Contested Claim

[Sec. 11, Rule 86] [Sec. 12, Rule 86]

Filing of Answer to the Claim

COURT APPROVAL Court may order known
WITHOUT HEARING. heirs to be notified and [Sec. 10, Rule 86]
[Sec. 11, Rule 86] heard [Sec. 11, Rule 86]

Opposition Claim referred to Commissioner

[Sec. 11, Rule 86] [Sec. 12, Rule 86]

[Sec. 12, Rule 86]

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5. Payment of the Debts of the Estate
(Rule 88)
Debts Paid in Full if Estate Sufficient
1. After all money claims heard and their
amount ascertained; and
2. It appears there are sufficient assets to pay
the debts [Sec. 1, Rule 88].
The executor/administrator shall pay the same
within the time limited for that purpose [Sec. 1,
Rule 88].
The heirs of the estate may not demand the
closing of an intestate proceeding at any time
where there is a pending case against the
administrator of the estate. The court can
rightfully hold the proceeding in abeyance until
the civil case is settled [Dinglasan v. Chia, G.R.
No. L-3342 (1951)].
Order of Preference for Payment of Debts
1. Portion of property designated in the will
a. If testator makes provision by will, or
designates the estate for the payment of
debts, expenses of administration, or
family expenses, they shall be paid
according to such provisions
b. If not sufficient – part of the estate not
disposed of by will shall be appropriated
[Sec. 2, Rule 88].
2. Personal property [Sec. 3, Rule 88].
3. Real property [Sec. 2, Rule 89].
If there is still a deficiency, the debt shall be
satisfied through the contributive shares of the
devisees, legatees, or heirs who have been in
possession of portions of the estate before
debts and expenses have been settled and
paid [Sec. 6, Rule 88].
General Rule: Personal estate not disposed of
by will shall be first chargeable.
Exceptions (when realty charged first):
1. When the sale of personal property is
insufficient [Sec. 3, Rule 88]
2. When its sale will redound to the detriment
of the participants for the estate [Id.]
3. When its sale may injure the business or
other interests of those interested in the
estate [Sec. 2, Rule 89]
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4. When the testator has not made sufficient
provision for payment of such debts,
expenses, and legacies [Id.]
5. When the decedent was, in his lifetime,
under contract, binding in law, to deed real
property, or an interest therein, to
beneficiary [Id., Sec. 8]
6. When the decedent during his lifetime held
real property in trust for another [Id., Sec. 9]
Requisites before any of the exceptions
apply:
1. The executor or administrator makes an
application with the court
2. Written notice is given to the persons
interested
3. Hearing by the court
Note: However, Sec. 8 should be differentiated
from Secs. 2 and 4 of Rule 89, specifically
requiring only the executor or administrator to
file the application for authority to sell,
mortgage or otherwise encumber real estate
for the purpose of paying debts, expenses and
legacies (Sec. 2); or for authority to sell real or
personal estate beneficial to the heirs,
devisees or legatees and other interested
persons, although such authority is not
necessary to pay debts, legacies or expenses
of administration (Sec. 4). Sec. 8, Rule 89
mentions only an application to authorize the
conveyance of realty under a contract that the
deceased entered into while still alive. The
proper party is one who is to be benefited or
injured by the judgment, or one who is to be
entitled to the avails of the suit [Heirs of
Sandejas v. Lina, G.R. No. 141634 (2001)].
The disposal of estate property requires judicial
approval before it could be executed. Implicit in
the requirement for judicial approval was that
the probate court could rescind or nullify the
disposition of a property under administration
that was effected without its authority [Sps.
Lebin v. Mirasol, G.R. No. 164255 (2011)].
6. Sales, Mortgages, and Other
Encumbrances of Property of
Decedent (Rule 89)
Sale Beneficial to Interested Persons
Upon application of the executor or
administrator and on written notice to the heirs,
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devisees, and legatees, the court may
authorize the sale of the whole or a part of the
real or personal estate when beneficial to the
heirs, although not necessary to pay debts,
legacies, or expenses of administration.
Proceeds derived from the sale shall be
assigned to the persons entitled to estate in the
proper proportions.
BUT the authority will not be granted if
inconsistent with the provisions of a will [Sec.
4, Rule 89]
Sale, Mortgage, or Other Encumbrance of
Realty Acquired on Execution or
Foreclosure
The court may authorize an executor or
administrator to sale, mortgage, or otherwise
encumber real estate acquired by him on
execution or foreclosure sale, under the same
circumstances and under the same regulations
as prescribed in this rule [Sec. 6, Rule 89].
Deed of Sale, Mortgage or Encumbrance
The deed executed by the executor or
administrator shall be valid as if executed by
the deceased in his lifetime [Secs. 7-8, Rule
89].
For sales contracted by the decedent during
his lifetime, Sec. 8, Rule 89 applies. In such
cases, the court having jurisdiction of the
estate may, on application for that purpose,
authorize the executor or administrator to
convey such property according to such
contract, or with such modifications as are
agreed upon by the parties and approved by
the court [Liu v. Loy, G.R. No. 145982 (2003)].
Court approval is required in any disposition of
the decedent’s estate per Rule 89. Reference
to judicial approval, however, cannot adversely
affect the substantive rights of heirs to dispose
of their own pro indiviso shares in the co-
heirship or co-ownership. In other words, they
can sell their rights, interests or participation in
the property under administration [Heirs of Sps.
Sandejas v. Lina, supra].
Oppositor may prevent sale by giving bond
The authority to sell, mortgage, or otherwise
encumber real or personal estate shall not be
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granted if any person interested in the estate
gives a bond, in a sum fixed by the court [Sec.
3, Rule 89].
Conditions of Bond
To pay debts, expenses of administration, and
legacies within such time as court directs [Id.]
Who may claim on the bond
Such bond shall be for security of creditors, as
well as of executor/administrator, and may be
prosecuted for the benefit of either [Id.]
Regulation for Granting Authority to Sell,
Mortgage, or Otherwise Encumber Estate
1. The executor/administrator shall file a
written petition setting forth
a. Debts due from deceased, expenses for
administration, legacies,
b. Value of personal estate,
c. Situation of estate to be sold, mortgaged,
encumbered, and
d. Such other facts showing that sale etc., is
necessary or beneficial
2. The court will fix the time and place for
hearing such petition and cause notice to be
given personally or by mail to persons
interested, and by publication if deemed
proper
3. The court may require the
executor/administrator to give additional
bond conditioned on an accounting for
proceeds of sale, etc.
4. The court may authorize sale to be public or
private
5. If estate is to be sold at auction, mode of
giving notice shall be governed by
provisions concerning notice of execution
sale
6. Certified copy of the order of the court, plus
deed of executor/administrator for real
estate sold, mortgaged, or encumbered
shall be registered in registry of deeds
where property is located [Sec. 7, Rule 89]
Under Sec. 7, Rule 89, only the executor or
administrator of the estate may be authorized
by the intestate court to mortgage real estate
belonging to the estate. Thus, the order of the
estate court authorizing the heirs to mortgage
the realty of the estate is a nullity [Orola, et al.
v. The Rural Bank of Pontevedra, G.R. No.
158566 (2005)].
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Settled is the rule that when an order
authorizing the sale or encumbrance of real
property was issued by the testate or intestate
court without previous notice to the heirs,
devisees, and legatees as required by the
Rules, it is not only the contract itself which is
null and void but also the order of the court
authorizing the same [Pahamotang v. PNB,
G.R. No. 156403 (2005)].
Insolvent Resident with Foreign Creditors
and Foreign Claims Proven in Another
Country
If executor/administrator in Philippines had
1. knowledge of presentation of such claims in
such country, and
2. opportunity to contest such allowance
The court shall
1. Receive a certified list of such claims, when
perfected in such country
2. Add the same to the list of claims proved
against the deceased person in the
Philippines so that a just distribution of the
whole estate may be made equally among
all its creditors according to their respective
claims [Sec. 10, Rule 88].
Principle of Reciprocity
The benefit of this and preceding sections shall
not be extended to creditors in another country
if property of the deceased there found is not
equally apportioned to creditors residing in
Philippines and other creditors, according to
their respective claims [Sec. 10, Rule 88].
Order for Payment of Debts
Before expiration of time limited for payment of
the debts, court shall order
1. Payment; and
2. Distribution of assets received by the
executor/administrator for that purpose
among the creditors, as the circumstances
of the estate require and in accordance with
the provisions of this rule [Sec. 11, Rule 88].
If appeal taken from a decision of the court
concerning a claim
The court may :
1. Suspend order for payment, or
2. Order distribution among creditors whose
claims are definitely allowed, leaving in the
hands of executor/administrator sufficient
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assets to pay the claim disputed and
appealed
When a disputed claim is finally settled, the
court shall order the claim to be paid out of
assets retained to the same extent and in the
same proportion with the claims of other
creditors [Sec. 12, Rule 88].
Instances When Court May Make Further
Orders for Distribution of Assets
1. If whole of debts not paid on first
distribution, and
2. If:
a. Whole assets not distributed, or
b. Other assets afterwards come to hands of
executor/administrator [Sec. 13, Rule 88].
Creditors to be paid in accordance with
terms of order
When an order is made for distribution of
assets among creditors, executor/
administrator shall, as soon as the time of
payment arrives, pay creditors the amounts of
their claims, or the dividend thereon, in
accordance with the terms of such order [Sec.
14, Rule 88]
Time for Paying Debts and Legacies
General Rule: Not exceeding 1 year in the first
instance
Exception: Court may extend the period, on
application of the executor/administrator after
hearing on notice to all interested persons, on
the following conditions
1. Extension must not exceed 6 months for a
single extension, and
2. The whole period allowed shall not exceed
2 years [Sec. 15, Rule 88]
Extension of Time for Paying Debts and
Legacies
When executor/administrator dies, and a new
administrator of same estate is appointed,
court may extend time
1. Not exceeding 6 months at a time, and
2. Not exceeding 6 months beyond the time
which court might have allowed to original
executor/administrator, and notice shall be
given of time and place for hearing such
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application, as required in the last preceding
section [Sec. 16, Rule 88].
Writ of Execution
General Rule: The probate court does not
have the power to issue writs of execution. A
writ of execution is not the proper procedure for
the payment of debts and expenses of
administration. The proper procedure is for the
court to order the sale of personal estate or the
sale of mortgaged real property of the
deceased and all debts or expenses of
administration should be paid out of the
proceeds of the sale or mortgage [Aldamiz v.
Judge of CFI-Mindoro, G.R. No. L-2360
(1949)].
Exceptions:
1. To satisfy the distributive share of devisees,
legatees, and heirs in possession of the
decedent’s assets, or
2. To enforce payment of expenses of the
partition, or
3. To satisfy the costs when a person is cited
for examination in probate proceedings
[Festin 86, 2011 Ed.]
7. Distribution and Partition (Rule 90)
Before there could be a distribution of the
estate, the following stages must be
followed:
1. Liquidation of estate (i.e., payment of
obligations of deceased)
2. Declaration of heirs - to determine to whom
the residue of the estate should be
distributed
a. Determination of the right of a natural child
b. Determination of proportionate shares of
distributees
Afterwards, the residue may be distributed and
delivered to the heirs [3-A Herrera 173, 1996
Ed.]
The courts may make a declaration of heirs at
any stage of the proceedings before the order
of distribution [De Leon 178, 2015 Ed.].
Payment of the inheritance tax, per se, does
not settle the estate of a deceased person
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[Agtarap v. Agtarap, G.R. Nos. 177099 and
177192 (2011)].
a. Liquidation
General Rule: Before an order of distribution
or assignment, it must be shown that the debts,
funeral expenses, and expenses of
administration, allowance to widow, and
inheritance tax chargeable to the estate have
been paid.
Exception: If the distributees give a bond
conditioned for the payment of said obligations
[Sec. 1, Rule 90; Estate of Ruiz v. CA, G.R. No.
118671 (1996)]
The part distributed must not be subject to any
controversy or appeal [Sec. 2, Rule 109].
b. Project of Partition
A project of partition is merely a proposal for
the distribution of the hereditary estate which
the court may accept or reject [Reyes v.
Barretto-Datu, G.R. No. L-17818 (1967); Vda.
De Kilayko v. Tengco, G.R. Nos. 45425 and
45965 (1992)].
The executor/administrator has no duty to
prepare and present the same under the Rules.
The court may, however, require him to present
such project to better inform itself of the
condition of the estate [3 Moran 541, 1980 Ed.].
When order for distribution of residue made
Court makes that distribution of the estate and
determines the persons entitled thereto
a. On application of executor/administrator or
of person interested in estate.
b. Hearing upon notice.
Court shall assign the residue of the estate to
the persons entitled to the same, naming them
and the proportions, or parts, to which each is
entitled.
Such persons may demand and recover their
respective shares from the executor/
administrator, or any other person having the
same in his possession.
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If there is a controversy as to who are lawful
heirs, such shall be heard and decided as in
ordinary cases [Sec. 1, Rule 90].
On the contrary, under Section 87 of the NIRC,
it is the probate or settlement court which is
bidden not to authorize the executor or judicial
administrator of the decedent’s estate to
deliver any distributive share to any party
interested in the estate, unless it is shown a
Certification by the Commissioner of Internal
Revenue that estate taxes have been paid.
This provision disproves petitioner’s contention
that it is the probate court which approves the
assessment and collection of the estate tax.
[Marcos II v. Court of Appeals, G.R. No.
120880 (1997)]
The order of a probate court approving the
compromise had the effect of directing the
delivery of the residue of the estate to the
persons entitled thereto under the compromise
agreement. As such, it brought to a close the
intestate proceedings and the probate court
lost jurisdiction over the case, except only as
regards the compliance and the fulfillment of
the parties of their respective obligations under
the compromise agreement [Reyes-Mesugas
v. Reyes, G.R. No. 174835 (2010)].
Court may determine questions as to
advancement made by decedent
[Sec. 2, Rule 90]
Although it is within the jurisdiction of the court
whether or not to permit the advance
distribution of the estate, its exercise should be
qualified by the following:
1. Only part of the estate that is not affected by
any pending controversy or appeal may be
subject of advance distribution (Sec. 2, Rule
109); and
2. The distributees must post a bond, fixed by
the court, conditioned for the payment of
outstanding obligations of the estate [par. 2,
Sec. 1, Rule 90, Quasha Ancheta Peña &
Nolasco Law Office v. LCN Construction
Corp., G.R. No. 174873 (2008)]
Effect of Final Decree of Distribution
Title to the property of the estate vests in the
distributees [De Kilayko v. Tengco, G.R. No.
45425 (1992)].
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The only instance where a party interested in a
probate proceeding may have a final liquidation
set aside is when he is left out by reason of
circumstances beyond his control or through
mistake or inadvertence not imputable to
negligence [Vda. De Alberto v. CA, G.R. No. L-
29759 (1989)].
c. Remedy of an Heir Entitled to
Residue But Not Given His Share
The better practice for the heir who has not
received his share is to
1. Demand his share through a proper motion
in the same probate or administrative
proceedings, or
2. Motion for reopening of the probate or
administrative proceedings if it had already
been closed, and not through an
independent action [Guilas v. Judge of CFI
of Pampanga, G.R. No. L-26695 (1972)].
BUT where special proceedings had been
instituted but had been finally closed and
terminated, however, or if a putative heir has
lost the right to have himself declared in the
special proceeding as a co-heir and he can no
longer ask for its re-opening, then an ordinary
civil action can be filed for his declaration as
heir in order to bring about the annulment of the
partition or distribution or adjudication of a
property or properties belonging to the estate
of the deceased [Portugal v. Portugal-Beltran,
G.R. No. 155555 (2005)].
d. Instances When Probate Court May
Issue Writ of Execution
General Rule: Writ of execution is not allowed
in probate proceedings [Vda de. Valera v.
Ofilada, G.R. No. L-27526 (1974)].
Exceptions:
1. To satisfy the contributive shares of
devisees, legatees and heirs in possession
of the decedent’s assets [Sec. 6, Rule 88]
2. To enforce payment of expenses of partition
[Sec. 3, Rule 90]
3. To satisfy the costs when a person is cited
for examination in probate proceedings
[Sec. 13, Rule 142]
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When does a probate court lose jurisdiction
of an estate under administration?
The probate court loses jurisdiction of an estate
under administration only after payment of all
debts, and the remaining estate delivered to
the heirs entitled to receive the same [Guilas v.
Judge of CFI of Pampanga, supra].
B. Guardianship
Guardianship
The power of protective authority given by law
and imposed on an individual who is free and
in the enjoyment of his rights, over one whose
weakness on account of his age or other
infirmity renders him unable to protect himself
[3-A Herrera 193, 1996 Ed.]
Guardian
A person lawfully vested with power and
charged with the duty of taking care of a person
who, for some peculiarity or status or defect of
age, understanding, or self-control, is
considered incapable of administering his own
affairs [3-A Herrera 194, 1996 Ed.]
Basis: Parens Patriae
It is the State’s duty to protect the rights of
persons who because of age/incapacity are in
an unfavorable position vis-à-vis other parties.
Unable as they are to take due care of what
concerns them, they have the political
community to look after their welfare [Nery v.
Lorenzo, G.R. No. L-23096 (1972)].
Kinds of Guardians
1. Legal Guardian – deemed as guardian by
provision of law, without need of court
appointment [Art. 225, FC]
2. Guardian ad Litem – appointed by court to
prosecute or defend a minor, insane or
person declared to be incompetent in a
court action
3. Judicial Guardian – appointed by the court
in pursuance to law, as guardians for insane
persons, prodigals, minor heirs of deceased
war veterans and other incompetent
persons
a. Guardian over the person
b. Guardian of the property
c. General guardian (both person and
property) [2 Regalado 118, 2004 Ed.]
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Note: Rules 92-97 are now only applicable to
guardianship over incompetent persons who
are not minors. Guardianship over minors is
governed by A.M. No. 03-02-05 SC or Rule on
Guardianship of Minors.
Who are incompetent persons
1. Those suffering from the penalty of civil
interdiction
2. Hospitalized lepers
3. Prodigals
4. Deaf and dumb people who are unable to
read and write
5. Those of unsound mind even though they
have lucid intervals
6. Persons by reason of age, disease, weak
mind, and other similar causes, cannot,
without outside aid, take care of themselves
and manage their property, thereby
becoming an easy prey for deceit and
exploitation [Sec. 2, Rule 92]
A finding that a person is incompetent should
be anchored on clear, positive and definitive
evidence. Where the sanity of a person is at
issue, expert opinion is not necessary and that
the observations of the trial judge coupled with
evidence establishing the person’s state of
mental sanity will suffice [Oropesa v. Oropesa,
G.R. No. 184528 (2012)].
1. Venue (Rule 92)
Resident Incompetent – MTC/RTC where the
incompetent resides, depending on the value
of the estate [Sec. 1, Rule 92]
Non-Resident Incompetent – MTC/RTC
where the incompetent’s property of a part
thereof is situated, depending on the value of
the estate [Sec. 1, Rule 92]
Resident Minor – Family Court of the province
or city where the minor actually resides [Sec. 3,
A.M. No. 03-02-05-SC]
Non-Resident Minor – Family Court of the
province or city where his property or any part
thereof is situated [Sec. 3, A.M. No. 03-02-05-
SC].
2. Appointment of Guardians (Rule 93)
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Who may file
Any
a. Relative;
b. Friend;
c. Other person on behalf of a resident
incompetent who has no parent or lawful
guardian;
d. Officer of the Federal Administration of the
US in the Philippines in favor of a ward; or
e. Director of Health in favor of an insane
person who should be hospitalized, or of an
isolated leper [Sec. 1, Rule 93]
Procedure
Filing of petition [Sec. 1, Rule 93]
↓ compound for the same and give
Court issues order setting time for hearing [Sec. 3,
Rule 93]
↓ Rule 96]
Reasonable notice to the incompetent and persons
mentioned in the petition
Notice by publication or otherwise if incompetent is a
nonresident [Sec. 3, Rule 93]
↓ 5. To manage property of ward frugally and
Filing of written opposition [Sec. 4, Rule 93]
↓ thereon, insofar as may be necessary, to
Hearing where the alleged incompetent must be
present if able to attend [Sec. 5, Rule 93]
↓ profits be insufficient for that purpose, to sell
If person in question is incompetent, court appoints a
suitable guardian of his person or estate, or both
[Sec. 6, Rule 93]
The objectives of a hearing on a petition for
appointment of a guardian under Rule 93 is for
the court to determine: (a) whether a person is
indeed a minor or an incompetent who has no
capacity to care for himself and/or his
properties; and (b) who is most qualified to be
appointed as his guardian. Thus, creditors of
the minor or the incompetent need not be
identified or notified. This is because their
presence is not essential to the proceedings for
appointment of a guardian [Alamayri v. Pabale,
G.R. No. 151243 (2008)].
C. General Powers and Duties of
Guardians (Rule 96)
General Duties
1. Care and custody of person of his ward and
management of his estate, or
2. Management of estate only, or
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3. Management of property within Philippines
(in case of non-resident ward) [Sec. 1, Rule
96].
Specific Duties
1. To pay just debts of ward out of
a. Personal estate and income of his real
estate of the ward;
b. If (a) is not sufficient, real property of ward
upon obtaining an order for its sale or
encumbrance [Sec. 2, Rule 96]
2. To settle all accounts of his ward [Sec. 3,
Rule 96]
3. To demand, sue for, and receive all debts
due him, or, with the approval of the court,
discharges to debtor, on receiving a fair and
just dividend of estate and effects [Sec. 3,
4. To appear for and represent ward in all
actions and special proceedings, unless
another person is appointed for that
purpose [Sec. 3, Rule 96]
without waste, and apply income and profits
comfortable and suitable maintenance of
ward and his family. If such income and
or encumber the real estate, upon being
authorized by the court to do so, and apply
proceeds to such maintenance [Sec. 4, Rule
96]
6. To join in an assent to partition of real or
personal property owned by the ward jointly
or in common with others, upon authority
granted by the court,
a. After hearing,
b. Notice to relatives of ward, and
c. Careful investigation as to the necessity
and propriety of proposed action [Sec. 5,
Rule 96]
7. To submit to court a verified sworn inventory
of property within 3 months after
appointment, and annually thereafter
a. Rendition of which may be compelled
upon application of an interested person
[Sec. 7, Rule 96]
8. To report to court any property not included
in inventory within 3 months after such
discovery, succession, or acquisition [Sec.
7, Rule 96]
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9. To render sworn account to court for
settlement and allowance
a. Upon expiration of a year from time of
appointment, and
b. As often as may be required [Sec. 8, Rule
96]
Expenses and Compensation Allowed
Guardian, other than a parent, shall be allowed
1. his reasonable expenses incurred in
execution of his trust, and
2. compensation for his services as court
deems just, not exceeding 15 per centum of
net income of ward [Sec. 8, Rule 96]
Embezzlement, Concealment, or
Conveyance of Ward’s Properties
Upon complaint of
1. Guardian or ward, or
2. Any person having actual or prospective
interest in property of ward as creditor, heir,
or otherwise
The court may cite anyone suspected of having
embezzled, concealed, or conveyed away any
1. Money, goods, or interest, or
2. Written instrument,
to appear for examination touching such
money, goods, interest, or instrument and
make such orders to secure estate [Sec. 6,
Rule 96]
General Rule: Purpose of the proceeding is to
secure evidence from persons suspected of
embezzling, concealing or conveying any
property of the ward so as to enable the
guardian to institute the appropriate action to
obtain the possession of and secure title to said
property. The court can neither determine
ownership of the property claimed to belong to
the ward nor order its delivery.
Exception: Court may direct delivery of
property to the guardian only in extreme cases,
where the right or title of the ward is clear and
indisputable or where his title thereto has
already been judicially decided [Cui v. Piccio,
G.R. No. L-5131 (1952)]
Conditions of the Bond
1. To make and return to court, within 3
months after issuance of letters of
guardianship, true and complete inventory
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of all real and personal estate of his ward
which shall come to his possession or
knowledge, or to possession or knowledge
of any other person from him
2. To faithfully execute duties of his trust, to
manage and dispose of estate according to
the Rules for best interests of ward, and to
provide for his proper care, custody, and
education
3. To render a true and just account of all
property of the ward in his hands, and of all
proceeds or interest derived from them, and
of management and disposition of the
same, at the time designated by this rule
and such other times as court directs and at
the expiration of his trust, to settle his
accounts with the court and deliver and pay
over all estate, effects, and moneys
remaining in his hands, or due from him on
such settlement, to person lawfully entitled
thereto
4. To perform all orders of court and such
other duties as may be required by law [Sec.
1, Rule 94; Sec. 14, A.M. No. 03-02-05- SC]
Where to file the bond
The bond posted by guardian shall be filed in
the Family Court. In case of breach of any of its
conditions, the guardian may be prosecuted in
the same proceeding for the benefit of the ward
or any other person legally interested in the
property [Sec. 15, A.M. No. 03-02-05- SC].
When new bond may be required and old
sureties discharged
When necessary, the court may require the
guardian to post a new bond and may
discharge the sureties on the old bond from
further liability, after due notice to interested
persons, when no injury can result therefrom to
those interested in the estate [Sec. 2, Rule 94;
Sec. 15, A.M. No. 03-02-05- SC].
4. Termination of Guardianship (Rule
97)
a. Petition that Competency of Ward be
Adjudged
The following persons may petition the court to
have his present competency judicially
determined:
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1. person who has been declared incompetent
for any reason; or
2. his guardian;
3. relative; or
4. friend
The petition shall be verified by oath. The court
shall fix a time for hearing and cause
reasonable notice thereof be given to the
guardian and the ward [Sec. 1, Rule 97].
1. Trial
The guardian or relatives of the ward, and, in
the court’s discretion, any other person, may
contest the right to the relief demanded, and
witnesses may be called and examined by the
parties or by the court on its own motion. If it be
found that the person is no longer incompetent,
his competency shall be adjudged and the
guardianship shall cease [Sec. 1, Rule 97].
2. Removal
When a guardian becomes
a. insane;
b. otherwise incapable of discharging his trust;
c. unsuitable to discharge the trust;
d. has wasted or mismanaged the estate; or
e. failed for 30 days after it is due to render an
account or make a return
The court may, upon
a. reasonable notice to the guardian, remove
him and
b. compel him to surrender the estate of the
ward to the person found lawfully entitled
thereto and may appoint another in his
place [Sec. 2, Rule 97]
3. Resignation
A guardian may resign when it appears proper
to allow the same; and upon his resignation,
the court may appoint another in his place [Sec.
2, Rule 97].
4. Discharge
The guardian of any person may be discharged
by the court when it appears, upon application
of the ward or otherwise, that the guardianship
is no longer necessary [Sec. 3, Rule 97].
D. Writ of Habeas Corpus (Rule
102)
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Coverage
Extends to all cases of illegal confinement or
detention by which any person is deprived of
his liberty, or by which the rightful custody of
any person is withheld from the person entitled
thereto [Sec. 1, Rule 102]
The foregoing jurisprudential precepts
considered, this Court holds that the writ of
habeas corpus extends to all cases of illegal
confinement or detention by which any person
is deprived of his or her liberty, or by which
rightful custody of any person is withheld from
the person entitled thereto. While the writ is
generally not available to a person whose
liberty is under custody of an officer under
process issued by a court or judge, when such
custody becomes vexatious, capricious, and
oppressive amounting to an infringement on
the constitutional right to speedy trial of an
accused, the writ of habeas corpus may be
provisionally availed of. Otherwise stated,
when the custody of a person becomes illegal
due to the grave abuse of his or her
constitutional rights, the person deprived of
liberty may avail the writ of habeas corpus.
[Jessica Lucila G. Reyes v. Director or
Whoever is in-charge of Camp Bagong Diwa,
G.R. No. 254838 (2023)]
Note: The privilege of the writ of habeas corpus
can only be suspended in cases of rebellion or
invasion and when public interest requires it
[Sec. 15, Art. III, Constitution].
Rationale
The underlying rationale is not the illegality of
the restraint but the right of custody [Tijing v.
CA, G.R. No. 125901 (2001)].
Purpose
The purpose of the writ is to inquire into all
manner of involuntary restraint, and to relieve
a person therefrom if such restraint is illegal
1. To obtain immediate relief from illegal
confinement
2. To liberate those who may be imprisoned
without sufficient cause
3. To deliver them from unlawful custody
[Velasco v. CA, G.R. No. 118644 (1995)]
The purpose of the writ is to determine whether
a person is being illegally deprived of his
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liberty. If the inquiry reveals that the detention
is illegal, the court orders the release of the
person. If, however the detention is proven
lawful, then the habeas corpus proceedings
terminate. The use of habeas corpus is thus
very limited. It is not a writ of error. Neither can
it substitute for an appeal.
Nonetheless, case law has expanded the writ’s
application to circumstances where there is
deprivation of a person’s constitutional rights.
The writ is available where a person continues
to be unlawfully denied of one or more of his
constitutional freedoms, where there is denial
of due process, where the restraints are not
merely involuntary but are also unnecessary,
and where a deprivation of freedom originally
valid has later become arbitrary.
However, a mere allegation of a violation of
one’s constitutional right is not sufficient. The
courts will extend the scope of the writ only if
any of the following circumstances is present:
(a) there is a deprivation of a constitutional right
resulting in the unlawful restraint of a person;
(b) the court had no jurisdiction to impose the
sentence; or (c) an excessive penalty is
imposed and such sentence is void as to the
excess. Whatever situation the petitioner
invokes, the threshold remains high. The
violation of constitutional right must be
sufficient to void the entire proceedings.
[Adaza and Pulido v. Gen. Cabuay, G.R. No.
160792 (2005)]
Concept of Restraint
Actual and effective and not merely nominal or
moral restraint is required [Zagala v. Illustre,
G.R. No. 23999 (1926)]. Restrictive custody is,
at best, nominal restraint which is beyond the
ambit of habeas corpus. It is neither actual nor
effective restraint that would call for the grant
of the remedy prayed for. It is a permissible
precautionary measure to assure the PNP
authorities that the police officers concerned
are always accounted for [Ampatuan v. Judge
Macaraig, G.R. No. 182497 (2010)].
However, actual physical restraint is not always
required; any restraint which will prejudice
freedom of action is sufficient [Moncupa v.
Enrile, G.R. No. L-63345 (1986)].
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Strict compliance with the technical
requirements for a habeas corpus petition as
provided in the Rules of Court may be
dispensed with where the allegations in the
application are sufficient to make out a case for
habeas corpus. Indeed, in the landmark case
of Villavicencio v. Lukban [G.R. No. L-14639
(1919)], the Supreme Court declared that it is
the duty of a court to issue the writ if there is
evidence that a person is unjustly restrained of
his liberty within its jurisdiction even if there is
no application therefor. A petition which is
deficient in form, such as a petition-letter, may
be entertained so long as its allegations
sufficiently make out a case for habeas corpus
[Fletcher v. Director of BuCor, UDK- 14071
(2009)].
Temporary release may constitute restraint
1. Where a person continued to be unlawfully
denied one or more of his constitutional
rights
2. Where there is present denial of due
process
3. Where the restraint is not merely involuntary
but appear to be unnecessary
4. Where a deprivation of freedom originally
valid has in light of subsequent
developments become arbitrary [Moncupa
v. Enrile, supra].
Who may issue the writ
1. The SC, CA, and RTC have concurrent
jurisdiction to issue WHC [Sec. 2, Rule 102]
2. Family courts have jurisdiction to hear
petitions for custody of minors and the
issuance of the writ in relation to custody of
minors [Sec. 20, A.M. No. 03-04-04-SC, Re
Proposed Rule on Custody of Minors and
Writ of Habeas corpus in Relation to
Custody of Minors]
Writs issued by the Supreme Court and the
Court of Appeals are enforceable anywhere in
the Philippines. Those issued by the RTC and
MTC are enforceable only within the judicial
region to which they belong.
Even though the writ of habeas corpus was
issued by the CA, but it designated the RTC as
the court to which the writ is made returnable,
the decision of the RTC is its own and not that
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of the CA [In re Datukan Malang Salibo v.
Warden, G.R. No. 197597 (2015)].
Peremptory Writ vs Preliminary Citation
In a habeas corpus petition, the order to
present an individual before the court is a
preliminary step in the hearing of the petition.
The respondent must produce the person and
explain the cause of his detention. However,
this order is not a ruling on the propriety of the
remedy or on the substantive matters covered
by the remedy. For obvious reasons, the duty
to hear the petition for habeas corpus
necessarily includes the determination of the
propriety of the remedy. If a court finds the
alleged cause of the detention unlawful, then it
should issue the writ and release the
detainees. [Adaza and Pulido v. Gen. Cabuay,
G.R. No. 160792 (2005)]
When detained person released
General Rule: Release of detained person,
whether permanent or temporary, makes the
petition for habeas corpus moot
Exception: Doctrine of Constructive
Restraint – Restraints attached to release
which precludes freedom of action, in which
case the court can still inquire into the nature of
the involuntary restraint
Nature
Not a suit between private parties, but an
inquisition by the government, at the
suggestion and instance of an individual, but
still in the name and capacity of the sovereign.
There can be no judgment entered against
anybody since there is no real plaintiff and
defendant [Alimpoos v. CA, G.R. No. L-27331
(1981)].
Proceedings in habeas corpus are separate
and distinct from the main case from which the
proceedings spring [Ching v. Insular Collector
of Customs, G.R. No. 10972 (1916)].
The question whether one shall be imprisoned
is always distinct from the question of whether
the individual shall be convicted or acquitted of
the charge on which he is tried, and therefore
these questions are separate, and may be
decided in different courts [Herrera, citing 4
Cranch, 75, 101].
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The writ of habeas corpus is not designed to
interrupt the orderly administration of the laws
by a competent court acting within the limits of
its jurisdiction, but is available only for the
purpose of relieving from illegal restraint
[People v. Valte, G.R. No. L-18760 (1922)].
Proceedings on habeas corpus to obtain
release from custody under final judgment
being in the nature of a collateral attack, the
writ deals only with such radical defects as to
render the proceeding or judgment absolutely
void, and cannot have the effect of appeal, writ
of error or certiorari, for the purpose of
reviewing mere error and irregularities in the
proceedings [People v. Valte, supra].
WHC may be used with writ of certiorari for
purposes of review
The two writs may be ancillary to each other
where necessary to give effect to the
supervisory powers of higher courts [Galvez v.
CA, G.R. No. 114046 (1994)]
WHC reaches the body and the jurisdictional
matters, but not the record. Writ of certiorari
reaches the record, but not the body [Galvez v.
CA, supra]
While generally, the WHC will not be granted
when there is an adequate remedy like writ of
error, appeal, or certiorari, it may still be
available in exceptional cases [Herrera, citing
39 C.J.S. Habeas corpus §13, 486-488].
Overview of Procedure
Application for the writ by petition [Sec. 3, Rule 102]
↓
Grant or disallowance of writ and issuance by court
or judge [Secs. 4-5, Rule 102]
↓
Clerk of court issues the writ under the seal of court
(in case of emergency, by the judge himself)
[Sec. 5, Rule 102]
Note: ROC (Secs. 5 and 12) does not fix the periods
but uses “forthwith”. The special rules for WHC
relating to minors designates periods. However, in
practice and in jurisprudence, the writ must be
issued within 24 hours.
↓
Service
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By whom: sheriff or other proper officer BUT in case
of emergency where the judge himself issues the
writ, the judge may depute any person to serve the
writ [Sec. 5, Rule 102]
How: leaving the original with the person to whom it
is directed and preserving a copy on which to make
return
To whom: officer in custody or any officer (when in
custody of person other than an officer) [Sec. 7,
Rule 102]
↓ members, the writ shall be enforceable
Writ executed and returned [Sec. 8, Rule 102]
↓
Hearing by the court (upon return) [Sec. 12, Rule
102]
↓
Execution of the writ
Officer brings the person before the judge, and
Officer makes the due return [Sec. 8, Rule 102]
↓ shall refer the case to the Family Court as soon
Filing of written opposition [Sec. 4, Rule 93]
1. Writ of Habeas Corpus in Relation
to Custody of Minors (A.M. No. 03-04-
04-SC)
Applicability
Rule applies to petitions for custody of minors
and writs of habeas corpus in relation thereto.
The Rules of Court applies suppletorily [Sec. 1]
In custody cases involving minors, the writ of
habeas corpus is prosecuted for the purpose of
determining the right of custody over a child.
The grant of the writ depends on the
concurrence of the following requisites:
a. that the petitioner has the right of custody
over the minor;
b. that the rightful custody over the minor is
being withheld from the petitioner by the
respondents; and
c. that it is to the best interest of the minor
concerned to be in the custody of petitioner
and not that of the respondents [Masbate v.
Relucio, G.R. No. 235498 (2018)]
Who may file
Any person claiming rightful custody of a minor
[Sec. 2]
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Where filed; where enforceable
A verified petition shall be filed with the Family
Court of the province or city where the
petitioner resides or where the minor may be
found, or with the CA or the SC.
If filed with the Family Court where the
petitioner resides, or where the minor may be
found, the writ is enforceable within the judicial
region where the Family Court belongs.
If filed with the CA or the SC, or with any of its
anywhere in the Philippines. Upon issuance of
the writ by the SC or CA, it may be made
returnable to a Family Court or to any regular
court within the region where the petitioner
resides or where the minor may be found.
If the presiding judge of the Family Court is
absent, then the petition may be filed with a
regular court, provided that the regular court
as the presiding judge returns to duty.
If there are no Family Courts in the area, then
the petition may be filed with the regular courts.
The writ is returnable to the Family Court, or to
any regular court within the judicial region
where the petitioner resides or where the minor
may be found, for hearing and decision on the
merits.
Upon return of the writ, the court shall decide
the issue on custody of minors [Sec. 20].
Considering that the writ is made enforceable
within a judicial region, petitions for the
issuance of the writ of habeas corpus, whether
they be filed under Rule 102 or pursuant to
Section 20 of A.M. No. 03-04-04-SC, may
therefore be filed with any of the proper RTCs
within the judicial region where enforcement
thereof is sought [Tujan-Militante v. Cada
Deapera, G.R. No. 210636 (2014)].
Procedure
A verified petition is filed alleging:
a. The personal circumstances of the petitioner and
of the respondent;
b. The name, age and present whereabouts of the
minor and his or her relationship to the petitioner
and the respondent;
c. The material operative facts constituting
deprivation of custody; and
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d. Such other matters which are relevant to the
custody of the minor
The verified petition shall be accompanied by a
certificate against forum shopping, which the
petitioner must sign personally [Sec. 4]
↓
If sufficient in form and substance, court shall direct
the clerk of court to issue summons, which shall be
issued together with a copy of the petition personally
on respondent [Sec. 5]
↓
Within 5 days the respondent shall file a verified
answer [Sec. 7]
Note: A motion to dismiss is not allowed except on
the ground of lack of jurisdiction over the subject
matter or over the parties. Any other ground that
might warrant dismissal of the petition may be raised
as an affirmative defense in the answer [Sec. 6]
↓
Upon filing of answer or expiration of period to file it,
court may order a social worker to make a case study
of the minor and the parties and to submit a report
and recommendation at least 3 days before the
scheduled pre-trial [Sec. 8]
The court may also issue a provisional order
awarding custody of the minor. As far as practicable,
the following order of preference shall be observed:
a. Both parents jointly;
b. Either parent, taking into account all relevant
considerations, especially the choice of the minor
over seven years of age and of sufficient
discernment, unless the parent chosen is unfit;
c. The grandparent, or if there are several
grandparents, the grandparent chosen by the
minor over seven years of age and of sufficient
discernment, unless the grandparent chosen is
unfit or disqualified;
d. The eldest brother or sister over twenty-one years
of age, unless he or she is unfit or disqualified;
e. The actual custodian of the minor over twenty-one
years of age, unless the former is unfit or
disqualified; or
f. Any other person or institution the court may
deem suitable to provide proper care and
guidance for the minor [Sec. 13]
The court shall provide in its order awarding
provisional custody appropriate visitation rights to the
non-custodial parent/s, unless the court finds said
parent/s unfit or disqualified [Sec. 15]
↓
Within 15 days after filing of answer or expiration of
period to file it, the court shall issue an order
1. Fixing a date for the pre-trial conference;
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2. Directing the parties to file and serve their
respective pre-trial briefs in such manner as
shall ensure receipt thereof by the adverse
party at least 3 days before the date of pre-trial;
and
3. Requiring the respondent to present the minor
before the court
Notice of order shall be served separately to the
parties and their counsels. Pre-trial is mandatory
[Sec. 9]
↓
Filing of pre-trial brief which shall contain the
following:
a. A statement of the willingness of the parties to
enter into agreements that may be allowed by
law, indicating its terms;
b. A concise statement of their respective claims
together with the applicable laws and authorities;
c. Admitted facts and proposed stipulations of facts;
d. The disputed factual and legal issues;
e. All the evidence to be presented, briefly stating or
describing its nature and purpose;
f. The number and names of the witnesses and their
respective affidavits which shall serve as the
affiant's testimony on direct examination; and
g. Such other matters as the court may require to be
included in the pre-trial brief
Failure to file it or to comply with its required contents
shall have the same effect as failure to appear at the
pre-trial [Sec. 10]
↓
Pre-trial where the parties may agree on the custody
of the minor. If parties disagree, court may refer to a
mediator who has 5 days to effect an agreement
between the parties.
If still not settled, court to proceed with pre-trial
conference
Failure to appear at pre-trial
a. If petitioner fails to appear personally, the case
shall be dismissed, unless his counsel or a duly
authorized representative appears in court and
proves a valid excuse for the non-appearance
b. If respondent has filed his answer but fails to
appear at the pre-trial, the petitioner shall be
allowed to present his evidence ex parte. The
court shall then render judgment on the basis of
the pleadings and the evidence thus presented
[Secs. 11-12]
↓
Court renders judgment awarding custody of the
minor to the proper party considering the best
interests of the minor
If it appears both parties are unfit, court may
designate
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a. either paternal/maternal grandparent of the
minor;
b. his older brother or sister; or
c. any reputable person
to take charge of such minor or commit him to any
suitable home for children
Court may order either or both parents to give an
amount necessary for the support, maintenance and
education of the minor, irrespective of who may be its
custodian
Court may also issue any order that is just and
reasonable permitting the parent who is deprived of
custody to visit or have temporary custody [Sec. 18]
↓
No appeal from the decisions shall be allowed unless
the appellant has filed a motion for reconsideration or
new trial within 15 days from notice of judgment
Any aggrieved party may appeal by filing a Notice of
Appeal within 15 days from notice of the denial of the
motion for reconsideration or new trial and serving a
copy thereof on the adverse parties [Sec. 19]
Hold Departure Order
The minor child shall not be brought out of the
country without prior order from the court while
the petition is pending.
The court, motu proprio or upon application
under oath, may issue ex parte a hold
departure order, addressed to the Bureau of
Immigration and Deportation (BID), directing it
not to allow the departure of the minor from the
Philippines. A copy shall be furnished to the
Department of Foreign Affairs, BID, and
Department of Justice within 24 hours from its
issuance.
Contents of the Hold Departure Order
a. The complete name (including the middle
name), the date and place of birth, the
nationality and the place of last residence of
the person against whom a hold departure
order has been issued or whose departure
from the country has been enjoined;
b. The complete title and docket number of the
case in which the hold departure order was
issued;
c. The specific nature of the case;
d. The date of the hold departure order; and
e. A recent photograph, if available, of the
party against whom a hold departure order
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has been issued or whose departure from
the country has been enjoined.
Recall
The court may recall the hold departure order
motu proprio, or upon verified motion of any of
the parties after summary hearing, subject to
such terms and conditions as may be
necessary for the best interests of the minor
[Sec. 16].
Protection Order
The court may issue such order requiring any
person
a. To stay away from the home, school,
business, or place of employment of the
minor, other parent or any other party, or
from any other specific place designated by
the court;
b. To cease and desist from harassing,
intimidating, or threatening such minor or
the other parent or any person to whom
custody of the minor is awarded;
c. To refrain from acts of commission or
omission that create an unreasonable risk to
the health, safety, or welfare of the minor;
d. To permit a parent, or a party entitled to
visitation by a court order or a separation
agreement, to visit the minor at stated
periods;
e. To permit a designated party to enter the
residence during a specified period of time
in order to take personal belongings not
contested in a proceeding pending with the
Family Court; and
f. To comply with such other orders as are
necessary for the protection of the minor
Habeas corpus may be resorted to in cases
where rightful custody is withheld from a
person entitled thereto. Under Art. 211 of the
Family Code, husband and wife have joint
parental authority over their son and
consequently, joint custody. And although the
couple is separated de facto, the issue of
custody has yet to be adjudicated by the court.
In the absence of judicial grant of custody to
one parent, both parents are still entitled to the
custody of their child. Thus, where the
husband’s cause of action is the deprivation of
his right to see his child, the remedy of habeas
corpus is available to him [Salientes v.
Abanilla, G.R. No. 162734 (2006)].
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E. Change of Name (Rule 103)
1. Differences Under Rule 103, R.A. No. 9048, and Rule 108
Rule 103 R.A. 9048, as amended Rule 108

Change of first name or nickname, day

Change of given name Correction of substantial errors
or month (not year) of birthdate,
Scope or surname (substantial or cancellation of entries in Civil
gender, and correction of clerical
corrections) Registry
errors of entries in Civil Registry

Judicial: Hearing necessary;

Nature of Judicial: Hearing Adversarial since it involves
Administrative: No hearing required
proceedings necessary substantial changes and affects
the status of individuals

Any person interested in any

Any person having direct and personal
act, event, order or decree
Who may A person desiring to interest in correction of a clerical or
concerning civil status of
file change one’s name typographical error in an entry and/or
persons which has been
change of first name or nickname
recorded in civil register

Initiatory Signed and verified

Sworn affidavit Verified petition
pleading petition

Local civil registry office of city or

RTC of province where
petitioner has been
Where to file
residing for 3 years prior
to filing
municipality where record being
sought to be corrected or changed is
kept If already migrated to another
place within the Philippines: Local civil RTC of city or province where
registrar of place where interested corresponding civil registry is
party is presently residing or domiciled located
Filipino citizens presently residing or
domiciled in foreign countries:
Philippine Consulate

a. Births
b. Marriage
c. Deaths
d. Legal separation
e. Judgments of annulments
of marriage
a. Correction of clerical and f. Judgments declaring
Correction of clerical or typographical errors, and marriages void from the
typographical errors in b. Change of: beginning
any entry in civil registry 1. First name or nickname g. Legitimations
documents, except 2. Day and month in date of birth, h. Adoptions
Coverage
corrections involving or i. Acknowledgments of
change in sex, age, 3. Sex of a person where it is natural children
nationality and status of patently clear that there was a j. Naturalization
a person clerical or typographical error or k. Election, loss or recovery
mistake in the entry. of citizenship
l. Civil interdiction
m. Judicial determination of
filiation
n. Voluntary emancipation of
a minor
o. Changes of name

Where to Court of Appeals, under Court of Appeals, under Rule

Civil Registrar General
appeal Rule 109 109

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Procedure Contents of Petition

Filing of a signed and verified petition for change of That the petitioner has been a bona
name [Sec. 2] fide resident of the province where the petition
is filed for at least three (3) years prior to the
↓
date of such filing;
Court issues order fixing the date and place of The cause for which the change of the
hearing [Sec. 3].
petitioner's name is sought;
↓ The name asked for [Sec. 2, Rule 103]
Publication of court order fixing date and place of
hearing, at least once a week for 3 consecutive Jurisdictional Requirements
weeks in a newspaper of general circulation in the An alien may petition for change of name but
province [Sec. 3] he must be domiciled in the Philippines [Ong
↓ Huan Tin v. Republic, G.R. No. L-20997
Hearing on the petition. Any person may appear and (1967)].
oppose [Sec. 4]
↓
Verification is a formal, not a jurisdictional,
requirement. The lack of verification is not a
Judgment granting/denying change of name [Sec. 5] ground for dismissing the petition. However,
↓ before setting the petition for hearing, the court
Furnishing of judgment on the civil registrar, who should have required the petitioner to have the
shall forthwith enter the same [Sec. 6] petition verified [Oshita v. Republic, G.R. No.
L-21180 (1967)].
What is changed
All aliases of the applicant must be set forth in
The name that can be changed is the name
the petition’s title. Such defect is fatal, even if
that appears in the civil register, and not in the
said aliases are contained in the body of the
baptismal certificate or that which the person is
petition [Go Chiu Beng v. Republic, G.R. No. L-
known in the community [Ng Yao Siong v.
29574 (1972)].
Republic, G.R. No. L-20306 (1966)].
The wrong spelling of the petitioner’s name in
A change of name granted by the court affects
the petition and the order as a substantial
only a petitioner. A separate petition for change
defect in the petition and order, because it did
of name must be filed for his/her spouse and
not correctly identify the party to the said
children [Secan Kok v. Republic, G.R. No. L-
proceedings [Tan v. Republic, G.R. No. L-
27621 (1973)].
16384 (1962)].
Nature and Purpose
Failure to implead the local civil registrar as
Rule 103 procedurally governs judicial petitions
well as all persons who have or claim any
for change of given name or surname, or both,
interest did not render the petition fatally
pursuant to Art 376 of the Civil Code which
defective [Republic v. Cagandahan, G.R. No.
prohibits persons from changing one’s name or
166676 (2008)].
surname without judicial authority.
Change of name requires adversarial
Aims to prevent fraud and to ensure a record of
proceedings
the change by virtue of a court decree. The
In order to justify a request for change of name,
proceeding under Rule 103 is an action in rem
there must be a proper and compelling reason
which requires publication of the order issued
for the change and proof that the person
by the court to afford the State and all other
requesting will be prejudiced by the use of his
interested parties to oppose the petition.
official name. To assess the sufficiency of the
Decision is binding not only against the parties
grounds invoked therefor, there must be
but the whole world [Republic v Mercadera,
adversarial proceedings [Republic v.
G.R. No. 186027 (2010)].
Mercadera, G.R. No. 186027 (2010)].

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Grounds for Change of Name
a. The name is ridiculous, tainted with
dishonor or extremely difficult to write or
pronounce
b. Change results as a legal consequence of
legitimation
c. The change will avoid confusion
When it is to change the first name and to
remove the father's surname and instead use
the mother's maiden name as it was what he
has been using since childhood and indicated
in his school records. The petition for change
of name may be granted to avoid confusion
[Alanis v. Court of Appeals, G.R. No. 216425
(2020)].
d. A sincere desire to adopt a Filipino name to
erase signs of former alienage [Ang Chay v.
Republic, G.R. No. L-28507 (1970)]
e. Having continuously used and been known
since childhood by a Filipino name, having
been unaware of alien parentage [Uy v.
Republic, G.R. No. L-22712 (1965)]
f. When the surname causes embarrassment
and there is no showing that the desired
change of name was for a fraudulent
purpose or that the change of name would
prejudice public interest [Republic v.
Coseteng-Magpayo, G.R. No. 189476
(2011)]
In the absence of prejudice to the state or any
individual, a sincere desire to adopt a Filipino
name to erase signs of a former alien
nationality which only hamper(s) social and
business life, is a proper and reasonable cause
for change of name [Que Liong Sian v
Republic, G.R. No. L-23167 (1967)]
g. Intersexuality is a valid ground for change
of name and change of entry of sex in the
civil registry. Where the person is
biologically or naturally intersex, the
determining factor in his gender
classification would be what the individual,
having reached the age of majority, with
good reason, thinks of his sex. Sexual
development in cases of intersex persons
makes the gender classification at birth
inconclusive. It is at maturity that the
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gender of such persons is fixed [Republic
v. Cagandahan, G.R. No. 166676 (2008)]
When not proper
When what is sought to be changed relates to
status
Rule 103 cannot be resorted to for expediency
if the petition substantially seeks to change
one’s status from legitimacy to illegitimacy.
When a petition for cancellation or correction of
an entry in the civil register involves substantial
and controversial alterations including those on
citizenship, legitimacy of paternity or filiation, or
legitimacy of marriage, a strict compliance with
the requirements of Rule 108 is mandated
[Republic v. Coseteng-Magpayo, supra;
Republic v. Cagandahan, supra].
Legal separation is not a ground for the female
spouse to apply for a change of name under
Rule 103 [Laperal v. Republic, G.R. No. L-
18008 (1962)].
A person’s first name cannot be changed on
the ground of sex reassignment [Silverio v.
Republic, G.R. No. 174689 (2007)].
A petition to correct an alleged erroneous entry
in one’s birth certificate pertaining to the date
of marriage of his parents, notwithstanding the
fact that it qualifies as a substantial correction,
may be filed under Rule 108 [Onde v. Office of
the Local Civil Registrar of Las Piñas, G.R. No.
197174 (2014)].
It is undoubtedly true that if the subject matter
of a petition is not for the correction of clerical
errors of a harmless and innocuous nature, but
one involving nationality or citizenship, which is
indisputably substantial as well as
controverted, affirmative relief cannot be
granted in a proceeding which is summary in
nature [Republic v. Kho, G.R. No. 170340
(2007), citing Republic v. Valencia, G.R. No. L-
32181 (1986)].
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E. Cancellation Correction of as authorized by law [Republic v Mercadera,
G.R. No. 186027 (2010)].
Entries in the Civil Registry
(Rule 108) One where the trial court has conducted
proceedings where all relevant facts have been
1. Entries Subject to Cancellation or fully and properly developed, where opposing
Correction under Rule 108, in relation counsel have been given opportunity to
to R.A. No. 9048 demolish the opposite party’s case, and where
a. Births the evidence has been thoroughly weighed and
considered [Eleosida v. Local Civil Registrar of
b. Marriage
c. Deaths Quezon City, G.R. No. 130277 (2002)]
d. Legal separations
e. Judgments of annulments of marriage When the initiatory pleading before the RTC is
a Petition for Correction of Entries in the
f. Judgments declaring marriages void from
the beginning Certificate of Live Birth but what the petitioners
g. Legitimations want is for respondent to use her mother's
surname, instead of their father’s, claiming that
h. Adoptions
i. Acknowledgments of natural children she was not an acknowledged illegitimate
child, what petitioners seek is not a mere
j. Naturalization
k. Election, loss or recovery of citizenship clerical change. It is not a simple matter of
correcting a single letter in private respondent's
l. Civil interdiction
m. Judicial determination of filiation surname due to a misspelling. Rather, the
respondent's filiation will be gravely affected,
n. Voluntary emancipation of a minor
o. Changes of name [Sec. 2, Rule 108] as changing her surname also change her
status. This cannot be done not through
Cancellation or correction of entries in the collateral attack. This will affect not only her
identity, but her successional rights as well.
civil registry requires adversarial
proceedings Certainly, this change is substantial [Miller v.
Miller, G.R. No. 200344 (2019)].
Corrections of entries in the civil register
including those on citizenship, legitimacy of
Rule 108 governs the proceedings for the
paternity or filiation, or legitimacy of marriage,
involve substantial alterations. Substantial cancellation or correction of entries in the civil
errors in a civil registry may be corrected and registry. The legitimacy and filiation of children
cannot be collaterally attacked in a petition for
the true facts established provided the parties
aggrieved by the error avail themselves of the correction of entries in the certificate of live
birth [Miller v. Miller, G.R. No. 200344 (2019)].
appropriate adversary proceedings [Onde v.
Office of the Local Civil Registrar of Las Piñas,
Parties to be impleaded
G.R. No. 197174 (2014)].
a. Civil registrar, and
b. All persons who have or claim any interest
Substantial Change
Change that affects the civil status, citizenship, which would be affected [Sec. 3, Rule 108]
or nationality of a party [Republic v. Bautista,
G.R. No. L-35316 (1987)] Notice and Publication of Order Fixing Time
and Place for Hearing
Upon the filing of the petition, the court shall,
Changes which may affect the civil status from
by an order, fix the time and place for the
legitimate to illegitimate, as well as sex, are
hearing of the same, and cause reasonable
substantial and controversial alterations which
notice thereof to be given to the persons
can only be allowed after appropriate
named in the petition [Sec. 4, Rule 108]
adversary proceedings. Where such a change
is ordered, the Court will not be establishing a
A reading of Sections 4 and 5 shows that the
substantive right but only correcting or
Rules mandate two sets of notices to different
rectifying an erroneous entry in the civil registry
potential oppositors, one given to the persons
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named in the petition and another given to
other persons who are not named in the
petition but nonetheless may be considered
interested or affected parties (i.e., creditors).
Summons must, therefore, be served not for
the purpose of vesting the courts with
jurisdiction but to comply with the requirements
of fair play and due process to afford the
person concerned the opportunity to protect his
interest if he so chooses [Republic v. Lugsanay
Uy, G.R. No. 198010 (2013)].
The fact that the notice of hearing was
published in a newspaper of general circulation
and notice thereof was served upon the State
will not change the nature of the proceedings
taken. A reading of Sections 4 and 5, Rule 108
of the Rules of Court shows that the Rules
mandate two sets of notices to different
potential oppositors: one given to the persons
named in the petition and another given to
other persons who are not named in the
petition but nonetheless may be considered
interested or affected parties.
While there may be cases where the Court held
that the failure to implead and notify the
affected or interested parties may be cured by
the publication of the notice of hearing, earnest
efforts were made by petitioners in bringing to
court all possible interested parties. Such
failure was likewise excused where the
interested parties themselves initiated the
corrections proceedings; when there is no
actual or presumptive awareness of the
existence of the interested parties, or when a
party is inadvertently left out. [Ramon Corpus
Tan v. Office of the Local Civil Registrar of
Manila, G.R. No. 211435, April 10, 2019].
Judgment
After hearing, the court may either dismiss the
petition or issue an order granting the
cancellation or correction prayed for. In either
case, a certified copy of the judgment shall be
served upon the civil registrar concerned who
shall annotated the same in his record [Sec. 7,
Rule 108]
2. Opposition
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Period to file
Within 15 days from notice of petition, or from
last date of publication of notice [Sec. 5, Rule
108]
May be filed by
a. Civil registrar, and
b. Any person having or claiming any interest
under entry whose cancellation or
correction is sought [Sec. 5, Rule 108]
Effect of Failure to Implead and Notify
the Affected or Interested Parties
A petition which seeks the correction of entries
in the birth certificate pertaining to first name,
surname and citizenship is not merely clerical.
When the corrections will result in changes in
the status from “legitimate” to “illegitimate” and
the citizenship from “Chinese” to “Filipino”, the
petitioner should have impleaded not only the
local civil registrar but also her parents and
siblings as they are affected by the changes or
corrections.
It is clear therefore that when the petition for
cancellation or correction of an entry in the civil
register involves substantial and controversial
alterations, including those on citizenship,
legitimacy or paternity or filiation, or legitimacy
of marriage, a strict compliance with the
requirements of Rule 108 is mandated, failing
in which the petition must be dismissed
[Republic v. Lugsanay Uy, G.R. No. 198010
(2013)].
Such failure, however, may be excused
a. where there is the publication of the notice
of hearing, and earnest efforts were made
by petitioners in bringing to court all possible
interested parties
b. where the interested parties themselves
initiated the corrections proceedings
c. when there is no actual or presumptive
awareness of the existence of the interested
parties, or
d. when a party is inadvertently left out
The procedure recited in Rule 103 regarding
change of name and in Rule 108 concerning
cancellation or correction of entries in civil
registry are separate and distinct. They may
not be substituted one for the other. If both
reliefs are to be sought in the same
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proceedings, all the requirements of Rule 103
and 108 must be complied with [Republic v.
Valencia, G.R. No. L-32181 (1986)].
A petition for judicial recognition of a foreign
divorce decree cannot be treated or considered
as a petition for cancellation or correction of
entries under Rule 108. The cancellation or
correction of petitioner’s civil status cannot be
done through a petition for recognition under
Article 26 (2) without complying with the
requirements of Rule 108. An individual
seeking the change of his or her civil status
must adhere to the requirements governing a
petition for cancellation or correction of entries
under Rule 108. There are underlying
objectives and interests that the State seeks to
protect in imposing the requirements in Rule
108, including inter alia the requirements on
venue (Sec. 1) and parties to implead (Sec. 3),
that the Court simply cannot disregard in favor
of expediency. Compliance with these
requirements is necessary because inherent in
the petition under Rule 108 is a prayer that the
trial court order the concerned civil registrar to
make the necessary correction or cancellation
in entries of documents in its custody.
[Ordaneza v. Republic, G.R. No. 254484
(2021)]
Grounds for Cancellation or Correction
Upon good and valid grounds [Sec. 2]
3. Effect of RA 9048
The intent and effect of the law is to exclude
the change of first name from the coverage of
Rules 103 (Change of Name) and 108
(Cancellation or Correction of Entries in the
Civil Registry) of the ROC, until and unless an
administrative petition for change of name is
first filed and subsequently denied. In sum, the
remedy and the proceedings regulating change
of first name are primarily administrative in
nature, not judicial [Silverio v. Republic, G.R.
No. 174689 (2007)].
Article 412 and Article 376 of the NCC were
amended in so far as clerical or
typographical errors are involved. The
correction or change of such matters can now
be made through administrative proceedings
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and without the need for a judicial order. In
effect, RA 9048 removed from the ambit of
Rule 108 of the Rules of Court the correction of
such errors. Rule 108 now applies only to
substantial changes and corrections in entries
in the civil register [Republic v. Cagandahan,
G.R. No. 166676 (2008)].
This does not mean, however, that the trial
courts are divested of its authority or
jurisdictions over petitions for correction of
entries and change of first name or nickname.
It only means that the local civil registrar has
primary, not exclusive, jurisdiction over such
petitions for correction of clerical errors and
change of first name or nickname. R.A. 9048
was enacted to give the people an option to
have the erroneous entries in their civil records
corrected via an administrative proceeding
before the local civil registrar that is less
expensive and more expeditious.
Nonetheless, it would be inappropriate to apply
the procedure prescribed in R.A. 9048 to
petitions for the correction of entries in the civil
registry before the courts. The promulgation of
rules of procedure for courts of justice is the
exclusive domain of the Supreme Court [Re
Final Report on the Judicial Audit Conducted at
The RTC, Br. 67, Paniqui, Tarlac, Adm. Matter
No. 06-7-414-RTC (2007)].
The remedy is R.A. 9048 if one wants to either:
a. Change one’s first name or nickname and
the ground therefor is one of those stated in
Sec. 4, R.A. 9048, or
b. Cancel and or correct any entries in the civil
registry that is clearly a clerical or
typographical error.
If application is denied, one can either
1. appeal the decision to the proper judicial
court, or
2. avail of Rule 103 or Rule 108, filing the
appropriate petition before the proper court
HOWEVER, if one wants to change one’s
name (first name, surname or both) and the
ground therefor is one of those allowed by law
and jurisprudence, the remedy is Rule 103.
AND, if one wants to cancel and or correct any
entries in the civil registry AND the correction
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and cancellation entails a modification or
increase in substantive rights, the remedy is
Rule 108.
F. Clerical Error Law (R.A. No.
9048 as amended by RA 10172)
Date of Effectivity
1. RA 9048 – April 22, 2001
2. RA 10172 – August 15, 2012
In addition to the change of the first name, the
day and month of birth, and the sex of a person
may now be changed without judicial
proceedings [RA 10172]
When Special Proceeding No. 2009-018 was
filed in 2009, the governing law was the
original, unamended RA 9048. There was no
provision then for the administrative correction
or change of clerical or typographical errors or
mistakes in the civil registry entries of the day
and month in the date of birth or sex of
individuals, but only clerical or typographical
errors and change of first names or nicknames.
Administrative corrections or changes relating
to the date of birth or sex of individuals was
authorized only with the passage in 2012 of RA
10172. Even then, the amendments under RA
10172 should still apply, the law being remedial
in nature. Moreover, under Section 11 of RA
9048, retroactive application is allowed “insofar
as it does not prejudice or impair vested or
acquired rights in accordance with the Civil
Code and other laws.” [Republic v. Unabia,
G.R. NO. 213346 (2019)]
Entries Subject to Change/Cancellation or
Correction
1. Clerical or typographical errors, and
2. Change of
a. First name or nickname,
b. Day and month in date of birth, or
c. Sex of a person where it is patently clear
that there was a clerical or typographical
error or mistake in the entry
can be corrected or changed by the concerned
city or municipal civil registrar or consul general
[Sec. 1, R.A. 9048, as amended]
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Meaning of Clerical or Typographical Error
A mistake committed in the performance of
clerical work in writing, copying, transcribing or
typing an entry in the civil register that
1. Is harmless and innocuous, such as
a. Misspelled name or place of birth
b. Mistake in entry of day and month in date
of birth or sex or the like
2. Is visible to the eyes or obvious to the
understanding
3. Can be corrected or changed only by
reference to other existing record or
records
4. Does not involve the change of nationality,
age, status or sex of the petitioner [Sec.
2(3), R.A. 9048]
Who may file
Any person having direct and personal interest
in the correction of a clerical or typographical
error in an entry and/or change of first name or
nickname in the civil register [Sec. 3, R.A.
9048]
Venue
General Rule: Local civil registry office of the
city or municipality where the record being
sought to be corrected or changed is kept
Exceptions:
1. Local civil registrar of the place where
the interested party is presently residing or
domiciled – In case the petitioner has already
migrated to another place in the country and it
would not be practical for such party, in terms
of transportation expenses, time and effort to
appear in person before the local civil registrar
keeping the documents to be corrected or
changed.
2. Nearest Philippine Consulates – For
citizens of the Philippines who are presently
residing or domiciled in foreign countries [Sec.
3, R.A. 9048].
Form
In the form of an affidavit, subscribed and
sworn to before any person authorized by the
law to administer oaths [Sec. 5, R.A. 9048].
Contents
The affidavit shall set forth:
1. Facts necessary to establish the merits of
the petition;
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2. Affirmatively that the petitioner is competent
to testify to the matters stated; and
3. The particular erroneous entry or entries,
which are sought to be corrected and/or the
change sought to be made [Sec. 5, R.A.
9048].
Attachments
1. A certified true machine copy of the
certificate or of the page of the registry book
containing the entry or entries sought to be
corrected or changed
2. At least 2 public or private documents
showing the correct entry or entries upon
which the correction or change shall be
based
3. Other documents which the petitioner or the
city or municipal civil registrar or the consul
general may consider relevant and
necessary for the approval of the petition
4. Certification from law enforcement agency
that there is no pending case or criminal
record [Sec. 5, R.A. 9048].
Additional Requirement by RA 10172
No petition for correction of erroneous entry
concerning the date of birth or the sex of a
person shall be entertained except if the
petition is accompanied by earliest school
record or earliest school documents such as,
but not limited to, medical records, baptismal
certificate and other documents issued by
religious authorities; nor shall any entry
involving change of gender corrected except if
the petition is accompanied by a certification
issued by an accredited government physician
attesting to the fact that the petitioner has not
undergone sex change or sex transplant.
The petition for change of first name or
nickname, or for correction of erroneous entry
concerning the day and month in the date of
birth or the sex of a person, as the case may
be, shall be published at least once a week for
two (2) consecutive weeks in a newspaper of
general circulation [Sec. 5, 9048 as amended
b Sec. 3, RA 10172]
Three Copies of Petition and Supporting
Documents
1. Copy to the concerned city or municipal civil
registrar, or the consul general;
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2. Copy to the Office of the Civil Registrar
General; and
3. Copy to the petitioner [Sec. 5, RA 9048]
If the petition is granted
The civil registrar general shall, within 10
working days from receipt of the decision
granting a petition, exercise the power to
impugn such decision by way of an objection
based on the following grounds
1. The error is not clerical or typographical,
2. The correction of an entry or entries in the
civil register is substantial or controversial
as it affects the civil status of a person, or
3. The basis used in changing the first name or
nickname of a person does not fall under
Section 4.
The civil registrar general shall immediately
notify the city or municipal civil registrar or the
consul general of the action taken on the
decision. Upon receipt of the notice thereof, the
city or municipal civil registrar or the consul
general shall notify the petitioner of such
action.
If the civil registrar general fails to exercise his
power to impugn the decision of the city or
municipal civil registrar or of the consul general
within the period prescribed herein, such
decision shall become final and executory.
The petitioner may seek reconsideration with
the civil registrar general or file the appropriate
petition with the proper court [Sec. 7, R.A.
9048].
If the petition is denied
The petitioner may either appeal the decision
to the civil registrar general or file the
appropriate petition with the proper court [Sec.
7, R.A. 9048].
R.A. 9048 Proceeding Merely a Summary
Proceeding
R.A. 9048 refers specifically to the
administrative summary proceeding before the
local civil registrar [Re Final Report on the
Judicial Audit Conducted at The RTC, Br. 67,
Paniqui, Tarlac, Adm. Matter No. 06-7-414-
RTC (2007)].
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Ground for Change of First Name or
Nickname
1. The petitioner finds the first name or
nickname to be ridiculous, tainted with
dishonor or extremely difficult to write or
pronounce
2. The new first name or nickname has been
habitually and continuously used by the
petitioner and he has been publicly known
by that by that first name or nickname in the
community, or
3. The change will avoid confusion [Sec. 4,
R.A. 9048]
Procedure
Filing of petition for the correction of a clerical or
typographical error in an entry and/or change of first
name or nickname in the civil register, with its
supporting documents [Sec. 5]
↓
The city or municipal civil registrar or the consul
general shall examine the petition and its supporting
documents [Sec. 6]
↓
If sufficient in form and substance, the examiner
shall post the petition in a conspicuous place for 10
consecutive days [Sec. 6]
REMEDIAL LAW
It is a remedy available to any person whose
right to life, liberty, and security has been
violated or is threatened with violation by a
public official or employee or a private
individual or a private individual or entity. The
writ covers extralegal killings and enforced
disappearances or threats thereof [Sec. 1].
The remedy of the writ of amparo is an
equitable and extraordinary remedy to
safeguard the right of the people to life, liberty
and security, as enshrined in the 1987
Constitution [De Lima v. Gatdula, G.R. No.
204528 (2013)].
The remedy of the writ of amparo serves both
preventive and curative roles in addressing the
problem of extralegal killings and enforced
disappearances.
a. Preventive - It breaks the expectation of
impunity in the commission of offenses.
b. Curative - It facilitates the subsequent
punishment of perpetrators by inevitably
leading to subsequent investigation and
action [Secretary of National Defense v.
Manalo, G.R. No. 180906 (2008)]

↓ Elements of Enforced Disappearance, as

In case of a petition for change of first name, the Statutorily Defined in R.A. 9851
petition has to be published once a week for 2 a. That there be an arrest, detention,
consecutive weeks in a newspaper of general abduction or any form of deprivation of
circulation, with the petitioner also submitting a
certification that he has no pending case or prior
liberty,
criminal record [Sec. 6] b. That it be carried out by, or with the
authorization, support or acquiescence of
↓
the State or a political organization,
Within 5 working days after the completion of the c. That it be followed by the State or political
posting and or publication requirement, the city or organization’s refusal to acknowledge or
municipal civil registrar or the consul general shall
render a decision [Sec. 6] give information on the fate or whereabouts
of the person subject of the amparo petition,
↓
and
Transmit a copy of decision with the records to the d. That the intention for such refusal is to
Office of the Civil Registrar General within 5 working remove subject person from the protection
days from the date of the decision [Sec. 6]
of the law for a prolonged period of time
[Caram v. Segui, G.R. No. 193652 (2014)]
G. Writ of Amparo (A.M. No. 07-
For the protective writ of amparo to issue,
9-12-SC) allegation and proof that the persons subject
thereof are missing are not enough. It must
1. Coverage also be shown and proved by substantial
evidence that the disappearance was carried
Amparo literally means “to protect” out by, or with the authorization, support or
acquiescence of, the State or a political
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organization, followed by a refusal to
acknowledge the same or give information on
the fate or whereabouts of said missing
persons, with the intention of removing them
from the protection of the law for a prolonged
period of time. Simply put, the petitioner in an
amparo case has the burden of proving by
substantial evidence the indispensable
element of government participation [Navia v.
Pardico, G.R. No. 184467 (2012)]
The writ applies only to the right to life, liberty
and security of persons. It does not envisage
the protection of concerns that are purely
property or commercial in nature [Pador v.
Arcayan, G.R. No. 183460 (2013), citing Tapuz
v. Del Rosario, G.R. No. 182484 (2007)].
“Right to security”, as a guarantee of protection
by the government, is violated by the apparent
threat to the life, liberty and security of their
person.
Right to security includes
a. Freedom from fear
b. Guarantee of bodily and psychological
integrity or security
c. Guarantee of protection of one’s rights by
the government
Protection includes conducting effective
investigations, organization of the government
apparatus to extend protection to victims of
extralegal killings or enforced disappearances
(or threats thereof) and/or their families, and
bringing offenders to the bar of justice
[Secretary of National Defense v. Manalo, G.R.
No. 180906 (2008)].
There is a violation of freedom from threat by
the apparent threat to life, liberty and security
of their person from the following facts:
a. Threat of killing their families if they tried to
escape
b. Failure of the military to protect them from
abduction
c. Failure of the military to conduct effective
investigation [Secretary of National
Defense v. Manalo, supra]
The writ of amparo does not protect the right to
travel. Where the petitioner failed to establish
that his right to travel was impaired in the
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manner and to the extent that it amounted to a
serious violation of his right to life, liberty and
security, the writ of amparo will not lie [Reyes
v. Gonzales, G.R. No. 182161 (2009)].
The threatened demolition of a dwelling by
virtue of a final and executory judgement is not
included among the enumeration of rights in
Section 1, Rule on the Writ of Amparo [Canlas
v. NAPICO, G.R. No. 182795 (2008)].
Nature
The writ of amparo is an extraordinary and
independent remedy that provides rapid
judicial relief, as it partakes of a summary
proceeding that requires only substantial
evidence to make the appropriate interim and
permanent reliefs available to the petitioner. It
is not an action to determine criminal guilt
requiring proof beyond reasonable doubt, or
liability for damages requiring preponderance
of evidence, or administrative responsibility
requiring substantial evidence that will require
full and exhaustive proceedings [Rodriguez v.
Macapagal-Arroyo, G.R. No. 191805 (2011)].
The writ cannot be availed of by an alien
detained by the Bureau of Immigration by virtue
of legal process [Mison v. Gallegos, G.R. No.
210759 (2015)].
Writ of amparo cannot be issued where the
alleged threat to life, liberty, and security has
subsequently ceased upon their subsequent
release from detention [Agcaoili v. Farinas,
G.R. No. 232395 (2018)].
Court may motu proprio dismiss a petition for
writ of amparo, regardless of the filing of a
motion to dismiss, if it is clear that the case falls
outside the purview of the Rules on the Writ of
Amparo [Santiago v. Tulfo, G.R. No. 205039
(2015)].
2. Differences Between Amparo and
Search Warrant
The production order under the Amparo Rule
Should not be confused with a search warrant
for law enforcement under Article III, Section 2
of the 1987 Constitution.
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The Constitutional provision is a protection of
the people from the unreasonable intrusion of
the government, not a protection of the
government from the demand of the people
such as respondents.
Instead, the Amparo production order may be
likened to the production of documents or
things under Section 1, Rule 27 of the Rules of
Civil Procedure, i.e., “Upon motion of any party
showing good cause therefor, the court in
which an action is pending may (a) order any
party to produce and permit the inspection and
copying or photographing, by or on behalf of
the moving party, of any designated
documents, papers, books of accounts, letters,
photographs, objects or tangible things, not
privileged, which constitute or contain evidence
material to any matter involved in the action
and which are in his possession, custody or
control.” [Secretary of National Defense v.
Manalo, G.R. No. 180906 (2008)].
3. Who May File
a. Aggrieved party, or
b. Qualified person or entity in the following
order
1. Any member of the immediate family,
namely the spouse, children and parents of
the aggrieved party,
2. Any ascendant, descendant or collateral
relative of the aggrieved party within the
fourth civil degree of consanguinity or
affinity, in default of those mentioned in the
preceding paragraph, or
3. Any concerned citizen, organization,
association or institution if there is no known
member of the immediate family or relative
of the aggrieved party.
The filing of a petition by the aggrieved party
suspends the right of all other authorized
parties to file similar petitions. Likewise, the
filling of the petition by an authorized party on
behalf of the aggrieved party suspends the
right of all others, observing the order
established herein [Sec. 2].
Ratio for Preference for Filing Party
a. Necessary for the prevention of
indiscriminate and groundless filing of
petitions for amparo which may even
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prejudice the right to life, liberty or security
of the aggrieved party [Boac v. Cadapan,
G.R. Nos. 184461-62 (2011)]
b. Untimely resort to the writ by a nonmember
of the family may endanger the life of the
aggrieved party [Phil. Judicial Academy
Journal, June-Dec. 2008, Vol. 10, Issue 30,
p. 243]
4. Where to File
a. RTC where the threat, act or omission was
committed or any of its element occurred, or
b. Sandiganbayan - unlike the writ of habeas
corpus, because public officials and
employees will be respondents in amparo
petitions, or
c. Court of Appeals, or
d. Supreme Court, or
e. Any justice of such courts [Sec. 3]
May be filed on any day, including Saturdays,
Sundays, and holidays, from morning until
evening
The writ shall be enforceable anywhere in the
Philippines [Sec. 3].
No Docket Fees
Petitioner shall be exempted from payment of
docket fees and other lawful fees when filing
the petition [Sec. 4]
5. Contents of the Petition
A signed and verified petition shall contain:
a. The personal circumstances of the
petitioner,
b. The name and personal circumstances of
the respondent responsible for the threat,
act or omission
c. If the name is unknown or uncertain, maybe
described by an assumed appellation
d. The right to life, liberty and security of the
aggrieved party violated or threatened with
violation by an unlawful act or omission of
the respondent
1. How such threat or violation is committed
2. With the attendant circumstances
detailed in supporting affidavits.
e. The investigation conducted, if any,
specifying
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1. Names, the personal circumstances and
addresses of the investigating authority
or individuals
2. Manner and conduct of the investigation
3. Together with any report
f. The actions and recourses taken by the
petitioner to determine the fate or
whereabouts of the aggrieved party and the
identity of the person responsible for the
threat, act or omission, and
g. The relief prayed for
It may include a general prayer for other just
and equitable reliefs [Sec. 5]
Issuance of Writ
Upon filing of petition, writ shall immediately
issue if on its face it ought to issue
Who shall issue
The clerk of court shall issue the writ; however,
in case of urgent necessity, the justice or the
judge may issue the writ under his or her own
hand, and may deputize any officer or person
to serve it.
Date and time for summary hearing of the
petition shall be set not later than 7 days from
date of issuance [Sec. 6]
The writ shall be served by a judicial officer or
by a person deputized by the court, justice or
judge. In case the writ cannot be served
personally on the respondent, the rules on
substituted service shall apply [Sec. 8]
President may not be impleaded as respondent
because of presidential immunity from suit
[Rubrico v. Macapagal-Arroyo, G.R. No.
183871 (2010); Burgos v. Macapagal-Arroyo,
G.R. No. 183711 (2010)]
May the AFP Chief of Staff and the PNP
director be included as respondents in a writ of
amparo case solely on the basis of command
responsibility? Yes, but not for the purpose of
attaching accountability and responsibility to
them for the enforced disappearance of
Lourdes but only to determine the author who,
at the first instance, is accountable for and has
the duty to address the disappearance and
harassments complaint of in order to enable
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the court to devise remedial measures [Rubrico
v. Macapagal-Arroyo, supra].
6. Contents of Return
When to file return
Respondent must file a verified written return
within 5 days after service of writ, together with
supporting affidavits [Sec. 9, Rule on Writ of
Amparo as amended by October 16 2007
Resolution of SC].
Contents of the Return
a. The lawful defenses to show that the
respondent did not violate or threaten with
violation the right to life, liberty and security
of the aggrieved party, through any act or
omission,
b. The steps or actions taken by the
respondent to determine the fate or
whereabouts of the aggrieved party and the
person responsible for the threat, act or
omission,
c. All relevant information in the possession of
the respondent pertaining to the threat, act
or omission against the aggrieved party,
and
d. If the respondent is a public official or
employee, the return shall further state the
actions that have been or will still be taken
1. to verify the identity of the aggrieved party
2. to recover and preserve evidence related
to the death or disappearance of the
person identified in the petition which may
aid in the prosecution of the person or
persons responsible
3. to identify witnesses and obtain
statements from them concerning the
death or disappearance
4. to determine the cause, manner, location
and time of death or disappearance as
well as any pattern or practice that may
have brought about the death or
disappearance
5. to identify and apprehend the person or
persons involved in the death or
disappearance, and
6. to bring the suspected offenders before a
competent court, and
a. The return shall also state matters
relevant to the investigation, its
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resolution and the prosecution of the To whom returnable
case a. If filed with RTC, returnable to RTC or any
judge
No general denial of the allegations allowed b. If filed with Sandiganbayan, CA or any
[Sec. 9] justice, returnable to such court or any
justice or the RTC where the threat, act or
Prohibited Pleadings and Motions omission was committed or any of its
a. Motion to dismiss elements occurred
b. Motion for extension of time to file return, c. If filed with the SC, returnable to the SC or
opposition, affidavit, position paper and any justice, or to the CA, SB or any of its
other pleadings justices, or the RTC where the threat, actor
c. Dilatory motion for postponement omission was committed or any of its
d. Motion for a bill of particulars elements occurred [Sec. 3].
e. Counterclaim or cross-claim
f. Third-party complaint 7. Effects of Failure to File Return
g. Reply
h. Motion to declare respondent in default In case the respondent fails to file a return, the
i. Intervention court, justice, or judge shall proceed to hear the
j. Memorandum petition ex parte [Sec. 12].
k. Motion for reconsideration of interlocutory
orders or interim relief orders, and 8. Omnibus Waiver Rule
l. Petition for certiorari, mandamus or
prohibition against any interlocutory order
All defenses shall be raised in the return,
[Sec. 11] otherwise, they shall be deemed waived
[Sec.10].
Prohibited Pleadings; Suppletory
Application of the Rules of Court
The pleadings and motions enumerated in Sec.
9. Procedure for Hearing
11 of A.M. No. 07-9-12-SC would
Summary Hearing
unnecessarily cause delays in the
Hearing on the petition shall be summary
proceedings; they are, thus, proscribed since
they would run counter to the summary nature
BUT the court, justice, or judge may call for a
of the rule on the writ of amparo. A motion
preliminary conference to simplify the issues
seeking reconsideration of a final judgment or
and determine the possibility of obtaining
order in such case, obviously, no longer affects
stipulations and admissions from the parties
the proceedings.
Hearing shall be from day to day until
completed and given the same priority as
Moreover, the ROC applies suppletorily to A.M.
petitions for habeas corpus [Sec. 13].
No. 07-9-12-SC insofar as it is not inconsistent
with the latter. Accordingly, there being no
Judgment
express prohibition to the contrary, the rules on
The court shall render judgment within 10 days
motions for reconsideration under the ROC
from the time of petition is submitted for
apply suppletorily to the Rule on the Writ of
decision. If the allegations in the petition are
Amparo [Mamba, et al. v. Bueno, G.R. No.
proven by substantial evidence, the court shall
191416 (2017)].
grant the privilege of the writ and such reliefs
as may be proper and appropriate; otherwise,
The RTC judge acted with grave abuse of
the privilege shall be denied [Sec. 18].
discretion in ordering the respondents De Lima
et al., to file an answer rather than a return. A
Appeal
Return is different and serves a different
Any party may appeal from the final judgment
function from an answer [De Lima v. Gatdula,
or order to the Supreme Court under Rule 45,
G.R. No. 204528 (2013)].

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5 working days from the date of notice of the
adverse judgment [Sec. 19]
Archiving and Revival of Cases
If the case cannot proceed for valid cause, the
court shall not dismiss the petition but shall
archive it. After the lapse of 2 years from the
notice of archiving, the petition shall be
dismissed with prejudice for failure to
prosecute [Sec. 20].
10. Institution of Separate Action
The Rule shall neither preclude the filing of
separate criminal, civil or administrative actions
[Sec. 21]
11. Effect of Filing a Criminal Action
When a criminal action has been commenced,
no separate petition for the writ shall be filed.
The reliefs under the writ shall be available by
motion in a criminal case. The procedure under
this Rule shall govern the disposition of the
reliefs available under the writ of amparo [Sec.
22].
12. Consolidation
When a criminal action is filed subsequent to
the filing of a petition for the writ, the latter shall
be consolidated with the criminal action. When
a criminal action and a separate civil action are
filed subsequent to a petition for writ of amparo,
the latter shall be consolidated with the criminal
action.
After consolidation, the procedure under this
Rule shall continue to apply to the disposition
of the reliefs on the petition [Sec. 23].
13. Interim Reliefs Available
Petitioner and Respondent
When available
Upon filing of the petition or at any time before
final judgment
a. Interim Reliefs Available to the Petitioner
1. Temporary Protection Order
a. Issued upon motion or motu proprio
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b. That the petitioner or the aggrieved party
and any member of the immediate family be
protected in a government agency or by an
accredited person or private institution
capable of keeping and securing their
safety. If the petitioner is an organization,
association or institution referred to in
Section 3(c) of this Rule, the protection may
be extended to the officers concerned [Sec.
14(a)]
c. Different from the inspection and production
order in that the temporary protection order
and the witness protection order do not
need verification and may be issued motu
proprio or ex parte
2. Inspection Order
d. Issued only upon verified motion and after
due hearing
b. Directed to any person in possession or
control of a designated land or other
property, to permit entry for the purpose of
inspecting, measuring, surveying, or
photographing the property or any relevant
object or operation thereon
c. The order shall expire five (5) days after the
day of its issuance, unless extended for
justifiable reasons [Sec.14(b)]
d. Requires hearing, may be availed of both
the petitioner and the respondent
e. If the court, justice or judge gravely abuses
his or her discretion in issuing the inspection
order, the aggrieved party is not precluded
from filing a petition for certiorari with the SC
3. Production Order
a. Issued only upon verified motion and after
due hearing
b. Directed to any person in possession,
custody or control of any designated
documents, papers, books, accounts,
letters, photographs, objects or tangible
to things, or objects in digitized or electronic
form which constitute or contain evidence
relevant to the petition or the return, to
produce and permit their inspection,
copying or photographing by or on behalf of
the movant
c. In case of opposition, the court, justice or
judge may conduct a hearing in chambers
to determine the merit of the opposition
[Sec. 14(c)] .
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Opposition maybe had on the following
grounds:
1. National security
2. Privileged nature of the information
4. Witness Protection Order
a. Issued upon motion or motu proprio
b. Order may refer the witnesses to
1. The Department of Justice for admission
to the Witness Protection, Security and
Benefit Program.
2. Other government agencies, or to
accredited persons or private institutions
capable of keeping and securing their
safety [Sec. 14(d)]
Interim Reliefs Available to the Respondent
a. Inspection Order
b. Production Order [Sec. 15]
Requisites:
a. Verified motion of the respondent
b. Due hearing
c. Affidavits or testimonies of witnesses having
personal knowledge of the defenses of the
respondent [Sec. 14(b)]
14. Quantum of Proof in Application
for Issuance of Writ of Amparo
The parties shall establish their claims by
substantial evidence.
Technical rules of evidence are not strictly
observed in writ of amparo case [Razon v.
Tagitis, G.R. No. 182498 (2009)].
The privilege of the writ of amparo may be
granted on the basis of the application of the
totality of evidence standard. Such application
may extend to the use of relevant
circumstantial evidence. Hearsay testimony
that is consistent with the admissible evidence
adduced may also be admitted and
appreciated. The flexibility in the admission of
evidence derives from the recognition of the
State’s often virtual monopoly of access to
pertinent evidence, as well as from the
recognition of the deliberate use of the State’s
power to destroy pertinent evidence being
inherent in the practice of enforced
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disappearances [Gen. Bautista v. Atty.
Dannug-Salucon, G.R. No. 221862 (2018)].
Hearsay evidence, which is generally
considered inadmissible under the rules of
evidence, may be considered in a writ of
amparo proceeding if required by the unique
circumstances of the case (“totality of the
obtaining circumstances”) [Sanchez v.
Darroca, G.R. No. 242257 (2019), citing Razon
v. Tagitis, supra].
Ladaga v. Mapagu further expounds: The writ
of amparo was promulgated by the Court
pursuant to its rule-makng powers in response
to the alarming rise in the number of cases of
enforced disappearances and extrajudicial
killings. It plays the preventive role of breaking
the expectation of impunity in the commission
of extralegal killings and enforced
disappearances, as well as the curative role of
facilitating the subsequent punishment of the
perpetrators. In Tapuz v. Del Rosario, the
Court has previously held that the writ of
amparo is an extraordinary remedy intended to
address violations of, or threats to, the rights to
life, liberty or security and that, being a remedy
of extraordinary character, it is not one to issue
on amorphous or uncertain grounds but only
upon reasonable certainty. For the court to
render judgment granting the privilege of the
writ the petitioner must be able to discharge the
burden of proving allegations in the petition by
the standard of proof required, that is,
substantial evidence. Substantial evidence is
such relevant evidence as a reasonable mind
might accept as adequate to support a
conclusion [Hernando, J. Dissenting in
Sanchez v. Darocca, supra.; Hernando voted
against the majority decision to grant the writ of
amparo, citing the petitioner’s failure to present
substantial evidence].
The failure to establish that the public official
observed extraordinary diligence in the
performance of duty does not result in the
automatic grant of the privilege of the amparo
writ. It does not relieve the petitioner from
establishing his or her claim by substantial
evidence. The omission or inaction on the part
of the public official provides, however, some
basis for the petitioner to move and for the
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court to grant certain interim reliefs [Yano v.
Sanchez, G.R. No. 186640 (2010)].
Before a concerned citizen may file a petition
for writ of amparo in behalf of a non-relative,
the petitioner must allege that there were no
known members of the immediate family or
relatives of the aggrieved party in line with
Sec.2(c) of the RWA. Compared with a habeas
corpus proceeding, any person may apply for
the writ on behalf of the aggrieved party [Boac
v. Cadapan, G.R. Nos. 184461-62 (2011)].
Contrary to the ruling of the appellate court,
there is no need to file a motion for execution
for an amparo or habeas corpus decision…
Summary proceedings, it bears emphasis, are
immediately executory without prejudice to
further appeals that may be taken therefrom
[Boac v. Cadapan, supra].
If respondent is a public official or
employee
Must prove that extraordinary diligence as
required by the applicable laws, rules and
regulations was observed in the performance
of duty
Cannot invoke the presumption that official
duty has been regularly performed to evade
responsibility or liability
If respondent is a private individual or entity
Must prove that ordinary diligence as required
by applicable laws, rules and regulations was
observed in the performance of duty [Sec. 17]
With the secret nature of an enforced
disappearance and the torture perpetrated on
the victim during detention, it logically holds
that much of the information and evidence of
the ordeal will come from the victims
themselves. Their statements can be
corroborated by other evidence such as
physical evidence left by the torture or
landmarks where detained [Secretary of
National Defense v. Manalo, G.R. No. 180906
(2008)].
The writ can only be issued upon reasonable
certainty. Substantial evidence is sufficient to
grant the writ because the respondent is the
State which has more resources than the
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petitioner [Ladaga v. Mapagu, G.R. No.
189689 (2012)].
H. Writ of Habeas Data (A.M. No.
08-1-16-SC)
1. Scope of Writ
The writ of habeas data is a remedy available
to any person whose right to privacy in life,
liberty or security is violated or threatened by
an unlawful act or omission of a public official
or employee, or of a private individual or entity
engaged in the gathering, collecting or storing
of data or information regarding the person,
family, home and correspondence of the
aggrieved party [Sec. 1].
Purpose
It is an independent and summary remedy
designed to protect the image, privacy, honor,
information, and freedom of information of an
individual, and to provide a forum to enforce
one’s right to the truth and to informational
privacy. It seeks to protect a person’s right to
control information regarding oneself,
particularly in instances in which such
information is being collected through unlawful
means in order to achieve unlawful ends
[Gamboa v. Chan, G.R. No. 193636 (2012)].
Note:
a. Writ of Habeas Data was not enacted solely
for the purpose of complementing the Writ
of Amparo in cases of extralegal killings and
enforced disappearances. It may be availed
of in cases outside of extralegal killings and
enforced disappearances. Habeas data, to
stress, was designed “to safeguard
individual freedom from abuse in the
information age.” It can be availed of as an
independent remedy to enforce one’s right
to privacy, more specifically the right to
informational privacy [Vivares v. St.
Theresa’s College, G.R. No. 202666 (2014)]
b. Nothing in the Rule suggests that the
habeas data protection shall be available
only against abuses of a person or entity
engaged in the business of gathering,
storing, and collecting of data [Vivares v. St.
Theresa’s College, supra].
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2. Availability of Writ
Where to file
1. RTC, at the option of the petitioner
a. Where petitioner resides, or
b. Where respondent resides, or
c. Which has jurisdiction over the place
where the data or information is gathered,
collected or stored
2. SC, CA, SB (when action concerns public
data files of government offices) [Sec. 3]
Writ is enforceable anywhere in Philippines
[Sec. 4]
No Fees for Indigent Petitioners
The petition of the indigent shall be docked and
acted upon immediately, without prejudice to
subsequent submission of proof of indigency
not later than fifteen (15) days from the filing of
the petition [Sec. 5]
Nexus between Right to Privacy, and Right
to Life, Liberty or Security
The writ, however, will not issue on the basis
merely of an alleged unauthorized access to
information about the person. Availment of the
writ requires the existence of a nexus between
the right to privacy on the one hand, and the
right to life, liberty or security on the other
[Vivares v. St. Theresa’s College, supra]
It will not issue to protect purely property or
commercial concerns nor when the grounds
invoked in support of the petition therefor are
vague and doubtful. Employment constitutes a
property right. [Manila Electric Company v.
Lim, G.R. No. 184769 (2010)].
Where the petitioner was not able to sufficiently
allege that his right to privacy in life, liberty or
security was or would be violated through the
supposed reproduction and threatened
dissemination of the subject sex video, the
petition is dismissible.
As the rules and existing jurisprudence on the
matter evoke, alleging and eventually proving
the nexus between one’s privacy rights to the
cogent rights to life, liberty or security are
crucial in habeas data cases, so much so that
a failure on either account certainly renders a
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habeas data petition dismissible [Lee v. Ilagan,
G.R. No. 203254 (2014)].
3. Who May File
Any aggrieved party may file a petition for the
writ of habeas data. However, in cases of
extralegal killings and enforced
disappearances, the petition may be filed by
a. Any member of the immediate family of the
aggrieved party, namely the spouse,
children and parents, or
b. Any ascendant, descendant or collateral
relative of the aggrieved party within the
fourth civil degree of consanguinity or
affinity, in default of those mentioned in the
preceding paragraph [Sec. 2]
4. Contents of the Petition
A verified written petition for a writ of habeas
data should contain
a. The personal circumstances of the
petitioner and the respondent,
b. The manner the right to privacy is violated
or threatened and how it affects the right to
life, liberty or security of the aggrieved party
city,
c. The actions and recourses taken by the
petitioner to secure the data or information,
d. The location of the files, registers of
databases, the government office, and the
person in charge, in possession or control of
the data or information, if known,
e. The reliefs prayed for, which may include
the updating, rectification, suppression or
destruction of the database or information or
files kept by the respondent,
f. In case of threats, the relief may include a
prayer for an order enjoining the act
complained of, and
g. Such other relevant reliefs as are just and
equitable [Sec. 6]
Issuance of Writ
Upon the filing of the petition, the court, justice
or judge shall immediately order the issuance
of the writ if on its face it ought to issue. The
clerk of court shall issue the writ under the seal
of the court and shall serve within 3 days from
the issuance; or, in case of urgent necessity,
the justice or judge may issue the writ under his
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or her own hand, and may deputize any officer
or person serve it.
The writ shall also set the date and time for
summary hearing of the petition which shall not
be later than 10 work days from the date of its
issuance [Sec. 7].
Service
Served upon the respondent by a judicial
officer or by a person deputized by the court. In
case the writ cannot be served personally on
the respondent, the rules on substituted
service shall apply [Sec. 9].
5. Contents of Return
The respondent shall file a verified written
return together with supporting affidavits. It
shall contain, among others, the following:
a. The lawful defenses such as national
security, state secrets, privileged
communication, confidentiality of the source
of information of media and others
b. In case of respondent in charge, in
possession or in control of the data or
information subject of the petition
i. Disclosure of the data or information about
the petitioner, the nature of such data or
information, and the purpose for its
collection,
ii. The steps or actions taken by the
respondent to ensure the security and
confidentiality of the data or information,
and
iii. The currency and accuracy of the data or
information held, and
c. Other allegations relevant to the resolution
of the proceeding
A general denial of the allegations in the
petition shall not be allowed [Sec. 10].
When to file return
Respondent must file a verified written return
within 5 working days from service of the writ,
together with supporting affidavits. The 5-day
period may be reasonably extended by the
Court for justifiable reasons [Sec. 10].
Contempt
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The court, justice or judge may punish with
imprisonment or fine a respondent who
commits contempt by making a false return, or
refusing to make a return; or any person who
otherwise disobeys or resist a lawful process or
order of the court [Sec. 11].
Prohibited Pleadings and Motions
a. Motion to dismiss
b. Motion for extension of time to file return,
opposition, affidavit, position paper and
other pleadings
c. Dilatory motion for postponement
d. Motion for a bill of particulars
e. Counterclaim or cross-claim
f. Third-party complaint
g. Reply
h. Motion to declare respondent in default
i. Intervention
j. Memorandum
k. Motion for reconsideration of interlocutory
orders or interim relief orders, and
l. petition for certiorari, mandamus or
prohibition against any interlocutory order
[Sec. 13]
To whom returnable
If issued by
a. SC or any of its justices - before such Court
Or any justice thereof, or CA/SB or any of its
justices, or the RTC of the place where the
petitioner or respondent resides/has
jurisdiction over the place where the data or
information is gathered, stored or collected
b. CA/SB or any of its justices - before such
court or any justice thereof, or RTC (same
with scenario SC issued and then returned
in RTC)
c. RTC - returnable before such court or judge
[Sec. 4]
Effect of Failure to File Return
The court, justice, or judge shall proceed to
hear the petition ex parte, granting the
petitioner such relief as the petition may
warrant [Sec. 14].
Procedure for Hearing
Hearing on the petition shall be summary. BUT
the court, justice, or judge may call for a
preliminary conference to simplify the issues
and determine the possibility of obtaining
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stipulations and admissions from the parties
[Sec. 15]
6. Instances When Defenses May Be
Heard in Chambers
a. Where the respondent invokes the defense
that the release of the data or information in
question shall compromise national security
or state secrets, or
b. When the data or information cannot be
divulged to the public due to its nature or
privileged character [Sec. 12]
Judgment
The court shall render judgment within 10 days
from the time of petition is submitted for
decision. Upon its finality, the judgement shall
be enforced by sheriff or any lawful officers
designated [Sec. 16]
Return of Service
The officer who executed the final judgment
shall make a verified return within 3 days from
enforcement. It shall contain:
1. full statement of the proceedings
2. complete inventory of the database or
information, or documents and articles
inspected, updated, rectified, or deleted
3. how the judgment was enforced and
complied with by the respondent
4. objections of the parties regarding the
manner and regularity of the service [Sec. 17]
The court shall set the return for hearing with
due notice to the parties [Sec18].
Appeal
Any party may appeal from the final judgment
or order to the Supreme Court under Rule 45,
5 working days from the date of notice of the
adverse judgment [Sec. 19]
7. Consolidation
When a criminal action is filed subsequent to
the filing of a petition for the writ, the latter shall
be consolidated with the criminal action
When a criminal action and a separate civil
action are filed subsequent to a petition for writ
of habeas data, the petition shall be
consolidated with the criminal action [Sec. 21]
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8. Effect of Filing Criminal Action
When a criminal action has been commenced,
no separate petition for the writ shall be filed.
The reliefs under the writ shall be available to
aggrieved party by motion in a criminal case
Procedure under this Rule shall govern the
disposition of the reliefs available under the writ
of habeas data [Sec. 22].
9. Institution of Separate Action
The filing of a petition for the writ of habeas
data shall not preclude the filing of separate
criminal, civil or administrative actions [Sec. 20]
10. Quantum of Proof in Application
for Issuance of Writ of Habeas Data
If the allegations in the petition are proven by
substantial evidence, the court shall (a) enjoin
the act complained of, or order the deletion,
destruction, or rectification of the erroneous
data or information AND (b) grant other
relevant reliefs as may be just and equitable;
otherwise, the privilege of the writ shall be
denied [Sec. 16]
An indispensable requirement before the
privilege of the writ may be extended is the
showing, at least by substantial evidence, of an
actual or threatened violation of the right to
privacy in life, liberty or security of the victim
[Roxas v. Arroyo, G.R. No. 189155 (2010)]
Not only direct evidence, but circumstantial
evidence, indicia, and presumptions may be
considered, so long as they lead to conclusions
consistent with the admissible evidence
adduced [Saez v. Arroyo, G.R. No. 183533
(2012)] HOWEVER, the right to informational
privacy may yield to an overriding legitimate
state interest especially when the collection
and forwarding by the PNP of information was
pursuant to a lawful mandate [Gamboa v.
Chan, G.R. No. 193636 (2012)].
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I. Rules of Procedure on
Environmental Cases (A.M. No.
09-6-8-SC)
1. Temporary Environmental
Protection Order (TEPO)
Ground for Issuance
If it appears from the verified complaint with a
prayer for the issuance of an EPO that
a. The matter is of extreme urgency and
b. The applicant will suffer grave injustice and
irreparable injury [Sec. 8, Rule 2]
Note: The applicant shall be exempted from the
posting of a bond for the issuance of a TEPO
[Sec. 8, Rule 2].
Period of Effectivity
72 hours from date of the receipt of the TEPO
by the party or person enjoined [Sec. 8, Rule
2]
Duty of Court
a. Within the 72-hour period, the court shall
conduct a summary hearing to determine
whether the TEPO may be extended until
the determination of the case
b. The court where the case is assigned, shall
periodically monitor the existence of acts
that are the subject matter of the TEPO
even if issued by the executive judge, and
may lift the same at any time as
circumstances may warrant [Sec. 8, Rule 2]
Ground to Dissolve TEPO
The TEPO may be dissolved if it appears after
hearing that its issuance or continuance would
cause irreparable damage to the party or
person enjoined while the applicant may be
fully compensated for such damages as he
may suffer and subject to the posting of a
sufficient bond by the party or person
enjoined.
Note: The grounds for a motion to dissolve a
TEPO shall be supported by affidavits of the
party or the person enjoined which the
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applicant may oppose, also by affidavits [Sec.
9, Rule 2].
2. Writ of Continuing Mandamus
When available
A person aggrieved may file a verified petition
when any agency or instrumentality of the
government or officer:
a. unlawfully neglects the performance of an
act which the law specifically enjoins as a
duty resulting from an office, trust or station
in connection with the enforcement or
violation of an environmental law rule or
regulation or a right therein, or
b. unlawfully excludes another from the use or
enjoyment of such right and there is no
other plain, speedy and adequate remedy in
the ordinary course of law [Sec. 1, Rule 8]
Contents of the Petition
The petition must:
a. allege facts with certainty,
b. attach supporting evidence
c. specify that the petition concerns an
environmental law, rule or regulation
d. contain a prayer that judgment be rendered:
a. commanding the respondent to do an act
or series of acts until the judgment is fully
satisfied, and
b. to pay damages sustained by the
petitioner by reason of the malicious
neglect to perform the duties
c. contain a sworn certification of non-forum
shopping [Sec. 1, Rule 8].
Petitioner shall be exempt from the payment of
docket fees [Sec. 3, Rule 8]
Where to file
a. RTC exercising jurisdiction over the territory
where the actionable neglect or omission
occurred or
b. CA or
c. SC [Sec. 2, Rule 8]
Issuance of the Writ
If the petition is sufficient in form and
substance, the court shall issue the writ and
require the respondent to comment on the
petition within 10 days from receipt of a copy
[Sec. 4, Rule 8]
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Court Action
In the judgment, the court may—
a. issue such orders to expedite the
proceedings and
b. grant a TEPO for the preservation of the
rights of the parties pending such
proceedings [Sec. 5, Rule 8]
Judgement
If warranted, the court shall:
a. grant the writ requiring respondent to
perform an act or series of acts until the
judgment is fully satisfied and
b. grant other reliefs as may be warranted
resulting from the wrongful or illegal acts of
the respondent.
c. require the respondent to submit periodic
reports detailing the progress and execution
of the judgment, and
d. by itself or through a commissioner or the
appropriate government agency, evaluate
and monitor compliance [Sec. 7, Rule 8]
Definition
Environmental Protection Order – An order
issued by the court directing or enjoining any
person or government agency to perform or
desist from performing an act in order to
protect, preserve, or rehabilitate the
environment [Sec. 4(d), Rule 1]
Writ of Continuing Mandamus – A writ issued
by a court in an environmental case directing
any agency or instrumentality of the
government or officer thereof to perform an act
or series of acts decreed by final judgment
which shall remain effective until judgment is
fully satisfied [Sec. 4(c), Rule 1]
3. Writ of Kalikasan
When available
It is a remedy available:
a. To a natural or juridical person, entity
authorized by law, people’s organization,
NGO, or any public interest group
accredited by or registered with any
government agency,
b. On behalf of persons whose constitutional
right to a balanced and healthful ecology is
violated or threatened with violation,
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c. By an unlawful act or omission of a public
official or employee, or private individual or
entity,
d. Involving environmental damage to such
magnitude as to prejudice the life, health, or
property of inhabitants in two or more cities
or provinces [Sec. 1, Rule 7]
Note: The filing of the petition shall not preclude
the filing or separate civil, criminal, or
administrative actions [Sec. 17, Rule 7].
Where to file
The petition shall be filed with the SC or any of
the stations of the CA [Sec. 3, Rule 7].
Form
The verified petition shall contain the
following:
a. The personal circumstances of the
petitioner;
b. The name and personal circumstances of
the respondent or if unknown/uncertain, an
assumed appellation of the respondent;
c. The environmental law, rule, or regulation
violated or threatened to be violated;
d. The act or omission complained of;
e. The environmental damage of such
magnitude as to prejudice the life, health, or
property of the inhabitants in 2 or more cities
or provinces;
f. All relevant and material evidence -
Affidavits, documentary evidence,
scientific/expert studies, object evidence
g. Certification of the petitioner under oath
that:
1. Petitioner has not commenced any action
or filed any claim involving the same
issues in any court, tribunal, or quasi-
judicial agency, and no such action is
pending;
2. If there is an action pending, the complete
statement of its present status;
3. If the petitioner shall learn that there is a
pending action, he shall report such to the
court within 5 days.
h. Reliefs prayed for which may include a
TEPO [Sec. 2, Rule 7]
Exemption from docket fees
The petitioner shall be exempt from the
payment of docket fees [Sec. 4, Rule 7].
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Procedure
Filing of verified Petition with Certificate Against
Forum Shopping [Sec. 2, Rule 7]
↓
Issuance of Writ of Kalikasan within 3 days from
filing of petition [Sec. 5, Rule 7]
↓ All defenses not raised in the return shall be
Service of the Writ [Sec. 6, Rule 7]
↓
Filing of a verified Return within a non-extendible
period of 10 days after service of the writ [Sec. 7,
Rule 7]
↓
Judgment [Sec. 15, Rule 7]
↓ shall be considered as an admission [Sec. 8
Hearing (court may call for preliminary
conference) [Sec. 11, Rule 7]
Issuance
If the petition is sufficient in form and
substance, the writ shall be issued within 3
days from the date of filing.
• The respondent shall be required to file a
verified return.
• The order shall include the issuance of a
cease and desist order and other temporary
reliefs effective until further order [Sec. 5,
Rule 7].
Service
The writ shall be served upon the respondent
by a court officer or any person deputized by
the court. In case the writ cannot be served
personally, the rule on substituted service shall
apply [Sec. 6 Rule 7]
A clerk of court who unduly delays or refuses
to issue the writ or a court officer or deputized
person who unduly delays or refuses to serve
the same shall be punished by the court for
contempt without prejudice to other civil,
criminal or administrative actions [Sec. 7 Rule
7]
Return of Respondent
Within a non-extendible period of 10 days after
service, the respondent shall file a verified
return which shall contain all defenses to show
that respondent did not violate or threaten to
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violate, or allow the violation of any
environmental law, rule or regulation or commit
any act resulting to environmental damage of
such magnitude as to prejudice the life, health
or property of inhabitants in two or more cities
or provinces.
deemed waived.
The return shall include affidavits of witnesses,
documentary evidence, scientific or other
expert studies, and if possible, object evidence,
in support of the defense of the respondent.
A general denial of allegations in the petition
Rule 7]
Prohibited Pleadings and Motions
a. Motion to dismiss
b. Motion for extension of time to file return
c. Motion for postponement
d. Motion for a bill of particulars
e. Counterclaim or cross-claim
f. Third-party complaint
g. Reply
h. Motion to declare respondent in default
[Sec. 9 Rule 7]
Effect of Failure to File Return
In case the respondent fails to file a return, the
court shall proceed to hear the petition ex parte
[Sec. 10, Rule 7].
Hearing
The hearing including the preliminary
conference shall not extend beyond sixty (60)
days and shall be given the same priority as
petitions for the writs of habeas corpus,
amparo and habeas data [Sec. 11, Rule 7]
Available Interim Reliefs
1. Ocular Inspection Order
a. motion must show it is necessary to
establish the magnitude of the violation or
the threat as to prejudice the life, health or
property of inhabitants
b. shall state in detail the place or places to
be inspected
c. shall be supported by affidavits of
witnesses having personal knowledge of
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the violation or threatened violation of
environmental law
2. Production or inspection order
a. same as 1(a)
b. court may order any person in possession,
custody or control of any designated
documents, papers, books, accounts,
letters, photographs, objects, to produce
and permit their inspection, copying or
photographing by or on behalf of the movant
[Sec. 12, Rule 7]
Judgment
Judgment shall be rendered granting or
denying the writ of kalikasan within 60 days
from the time the petition is submitted for
decision.
Reliefs that may be granted under the writ:
a. Directing the respondent to permanently
cease and desist from committing
acts/neglecting the performance of a duty in
violation of environmental laws resulting in
environmental destruction or damage;
b. Directing the respondent to protect,
preserve, rehabilitate, or restore the
environment;
c. Directing the respondent to monitor strict
compliance with the decisions and orders of
the court;
d. Directing the respondent to make periodic
reports on the execution of the final
judgment; and
e. Such other reliefs which relate to the right of
the people to a balance and healthful
ecology or to the protection, preservation,
rehabilitation, or restoration of the
environment.
Note: An award of damages to individual
petitioners is not allowed as a relief [Sec. 15,
Rule 7].
Appeal
Any party may appeal to the SC under Rule 45
of the ROC within 15 days from notice of the
adverse judgment or denial of MR.
Note: The appeal may raise questions of fact
[Sec. 16 Rule 7].
In this jurisdiction, the principle of precaution
appearing in the Rules of Procedure for
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Institution of Separate Actions
Filing of a petition for the issuance of the writ of
kalikasan shall not preclude the filing of
separate civil, criminal or administrative actions
[Sec. 17, Rule 7]
Cases
The need to give Resident Marine Mammals
(toothed whales, dolphins, porpoises, and
other cetacean species for whom relief is
sought) legal standing has been eliminated by
our Rules, which allow any Filipino citizen, as a
steward of nature, to bring a suit to enforce our
environmental laws. Moreover, even before the
Rules of Procedure for Environmental Cases
became effective, this Court had already taken
a permissive position on the issue of locus
standi in environtmental cases. In Oposa, we
allowed the suit to be brought in the name of
generations yet unborn “based on the concept
of intergenerational responsibility insofar as the
right to a balanced and healthful ecology is
concerned.” Furthermore, we said that the
right to a balanced and healthful ecology, a
right that does not even need to be stated in
our Constitution as it is assumed to exist from
the inception of humankind, carries with it the
correlative duty to refrain from impairing the
environment. [Resident Marine Mammals of
Tañon Strait v. Sec. Reyes, G.R. No. 180771
(2015)]
Section 1, Rule 20 of A.M. No. 09-6-8-SC or
the Rules of Procedure for Environmental
Cases, on the Precautionary Principle,
provides that “[w]hen there is lack of full
scientific certainty in establishing a causal link
between human activity and environmental
effect, the court shall apply the precautionary
principle in resolving the case before it.” The
precautionary principle only applies when the
link between the cause, that is, the human
activity sought to be inhibited, and the effect,
that is the damage to the environment, cannot
be established with full scientific certainty.
Here, however, such absence of a link is not an
issue. [West Tower Condominium Corporation
v. First Philippine Industrial Corporation, G.R.
194239 (2015)]
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Environmental Cases (A.M. No. 09-6-8-SC)
involves matters of evidence in cases where
there is lack of full scientific certainty in
establishing a causal link between human
activity and environmental effect. In such an
event, the courts may construe a set of facts as
warranting either judicial action or inaction with
the goal of preserving and protecting the
environment. It is notable, therefore, that the
precautionary principle shall only be relevant if
there is concurrence of three elements,
namely: uncertainty, threat of environmental
damage, and serious or irreversible harm. In
situations where the threat is relatively certain,
or that the casual link between an action and
environmental damage can be established, or
the probability of occurrence can be calculated,
only preventive, not precautionary measures
may be taken. Neither will the precautionary
principle apply if there is no indication of a
threat of environmental harm; or if the
threatened harm is trivial or easily reversible.
[Mosqueda v. Pilipino Banana Growers, G.R.
No. 189185 (2016)]
Likewise, the Court cannot issue a writ of
Kalikasan based on the petition. The writ is a
remedy to anyone whose constitutional right to
a balanced and healthful ecology is violated or
threated with violation by an unlawful act or
omission. However, the violation must involve
environmental damage of such magnitude as
to prejudice the life, health, or property of
inhabitants in two or more cities or provinces in
order to warrant issuance of the writ. [Braga v.
Hon. Abaya, G.R. No. 223076 (2016)]
The Writ of Kalikasan, categorized as a special
civil action and conceptualized as an
extraordinary remedy, covers environmental
damage of such magnitude that will prejudice
the life, health, or property of inhabitants in two
or more cities or provinces. The writ is available
against an unlawful act or omission of a public
official or employee, or private individual or
entity. The following requisites must be
present to avail of this remedy: (1) there is an
actual or threatened violation of the
constitutional right to a balanced and healthful
ecology; (2) the actual or threatened violation
arises from an unlawful act or omission of a
public official or employee, or private individual
or entity; and (3) the actual or threatened
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violation involves or will lead to an
environmental damage of such magnitude as
to prejudice the life, health, or property of
inhabitants in two or more cities or provinces.
The Rules are clear that in a Writ of Kalikasan
petitioner has the burden to prove the (1)
environmental law, rule, or regulation violated
or threatened to be violated; (2) act or omission
complained of; and (3) the environmental
damage of such magnitude as to prejudice the
life, health, or property of inhabitants in two or
more cities or provinces. Even the Annotation
to the Rules of Procedure for Environmental
Cases states that the magnitude of
environmental damage is a condition sine qua
non in a petition for the issuance of a Writ of
Kalikasan and must be contained in the verified
petition. [LNL Archipelago Minerals v. Agham
Party List, G.R. No. 209165 (2016)]
The new Rules of Procedure for Environmental
Cases, A.M. no. 09-6-8-SC, provides a relief
for petitioner under the writ of continuing
mandamus, which is a special civil action that
may be availed of “to compel the performance
of an act specifically enjoined by law” and
which provides for the issuance of a TEPO “as
an auxiliary remedy prior to the issuance of the
writ itself.” The Rationale of the said Rules
explains the writ in this wise: Environmental
law highlights the shift in the focal-point form
the initiation of regulation by Congress to the
implementation of regulatory programs by the
appropriate government agencies. Thus, a
government agency’s inaction, if any, has
serious implications on the future of
environmental law enforcement. Private
individuals, to the extent that they seek to
change the scope of the regulatory process,
will have to rely on such agencies to take the
initial incentives, which may require a judicial
component. Accordingly, questions regarding
the propriety of an agency’s action or inaction
will need to be analyzed. This point is
emphasized in the availability of the remedy of
the writ of mandamus, which allows for
enforcement of the conduct of the tasks to
which the writ pertains: the performance of a
legal duty. The writ of continuing mandamus
“permits the court to retain jurisdiction after
judgment in order to ensure the successful
implementation of the reliefs mandated under
the court’s decision” and, in order to do this,
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“the court may compel the submission of
compliance reports from the respondent
government agencies as well as avail of other
means to monitor compliance with its decision.”
[Boracay Foundation v. Province of Aklan, G.R.
No. 196870 (2012)].
Respondents also seek the dismissal of the
petition on the ground that the petitioners failed
to adhere to the doctrine of hierarchy of courts,
reasoning that since a petition for the issuance
of a writ of kalikasan must be filed with the
Supreme Court or with any of the stations of
the Court of Appeals, then the doctrine of
hierarchy of courts is applicable. The
respondents’ arguments does not persuade.
Under the RPEC, the writ of kalikasan is an
extraordinary remedy covering environmental
damage of such magnitude that it will prejudice
the life, health or property of inhabitants in two
or more cities or provinces. It is designed for a
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narrow but special purpose: to accord a
stronger protection for environmental rights,
aiming, among others, to provide a speedy and
effective resolution of a case involving the
violation of one’s constitutional right to a
healthful and balanced ecology that transcends
political and territorial boundaries, and to
address the potentially exponential nature of
large-scale ecological threats. At the very
least, the magnitude of the ecological problems
contemplated under the RPEC satisfies at least
one of the exceptions to the rule on hierarchy
of courts, as when direct resort is allowed
where it is dictated by public welfare. Given
that the RPEC allows direct resort to this Court,
it is ultimately within the Court’s discretion
whether or not to accept petitions brought
directly before it [Segovia v. Climate Change
Commission, G.R. No. 211010 (2017)].
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CRIMINAL PROCEDURE
VII. CRIMINAL
PROCEDURE
A. General Concepts
1. Criminal Jurisdiction; Concept and
Requisites for Exercise
Criminal Jurisdiction
The authority to hear and try a particular
offense and impose the punishment for it
[People v. Mariano, G.R. No. L-40527 (1976)].
Requisites for a Court to Exercise
Jurisdiction:
a. Subject Matter Jurisdiction: The offense
is one it is authorized by law to take
cognizance of.
b. Territorial Jurisdiction: The offense has
been committed within its territorial
jurisdiction.
c. Jurisdiction over the Person: The person
charged must have been brought before it
for trial, forcibly by arrest or upon his
voluntary submission to the court.
All three requisites must concur before a court
can acquire jurisdiction [Antiporda v.
Garchitorena, G.R. No. 133289 (1999), citing
Arula v. Espino, G.R. No. L-28949 (1969)].
REMEDIAL LAW
5. Where acts of the officer are without or in
excess of authority
6. When the prosecution is under an invalid
law, ordinance or regulation
7. When double jeopardy is clearly apparent
8. When the court has no jurisdiction over the
offense
9. When it is a case of persecution rather than
prosecution
10. Where the charges are manifestly false and
motivated by vengeance
11. Where there is no prima facie case and a
motion to quash on that ground has been
denied
12. Where preliminary injunction has been
issued by the SC to prevent the threatened
unlawful arrest of petitioners [Brocka v.
Enrile, G.R. No. 69863-65 (1990)]
13. To prevent the use of the strong arm of the
law in an oppressive and vindictive manner
[Hernandez v. Albano, G.R. No. L-19272
(1967)]
B. Prosecution of Offenses (Rule
110)
1. How Criminal Actions are
Instituted
The institution of a criminal action generally
depends upon whether the offense is one
which requires a preliminary investigation (PI)
or not:

2. When Injunction May be Filed

Offenses
Other Offenses
Requiring PI
General Rule: Criminal prosecution may NOT
be blocked by court prohibition or injunction
[Brocka v. Enrile, G.R. No. 69863-65 (1990)] Nature of Offenses
for the reason that public interest requires that
criminal acts be immediately investigated and Those where the Offenses where the
prosecuted for the protection of society penalty prescribed penalty prescribed by
[Domingo v. Sandiganbayan, G.R. No. 109376 by law is at least 4 law is less than 4
(2000)] years, 2 months years, 2 months, and
and 1 day [Sec. 1, 1 day
Exceptions: Rule 112, as
1. To afford adequate protection to the amended by A.M.
constitutional rights of the accused No. 05-8-26-SC]
2. For the orderly administration of justice
3. To avoid oppression or multiplicity of suits How Instituted
4. Where there is a prejudicial question which
is sub judice
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parties actually reside in the same city or
Offenses
Other Offenses municipality.
Requiring PI

By filing the a. Filed directly Exceptions, when [PGP-ODP]:

complaint with with the MTCs and 1. There is no Private offended party [Sec.
the appropriate MCTCs; or 408(d), LGC]
officer for PI [Sec. b. Filed with the office 2. One party is the Government or any
1(a), Rule 110] of the prosecutor subdivision thereof [Sec. 408(a), LGC];
[Sec. 1(b), Rule 3. One party is a Public officer or employee,
110] and the dispute relates to the performance
c. In Manila and of his Official functions [Sec. 408(b), LGC];
other chartered 4. Parties actually reside in Different cities or
cities, the complaint municipalities, EXCEPT where such
shall be filed with the barangays adjoin each other AND the
office of the parties agree to amicable settlement by an
prosecutor unless appropriate lupon [Sec. 408(f), LGC];
otherwise provided in 5. Accused is under Police custody or
their charters [Sec. detention
1(b), Rule 110]
2. Who May File (Crimes That Cannot
be Prosecuted De Officio)
Effect of Institution
The institution of a criminal action shall
General Rule: Complaint or Information may
interrupt the running of the prescription period
only be filed or dismissed if there is prior written
of the offense charged UNLESS otherwise
authority or approval of the provincial or city
provided in special laws [Sec. 1, Rule 110].
prosecutor or chief state prosecutor or the
Ombudsman or his deputy [Sec. 4, Rule 112,
Falling under the Authority of the Lupon
as amended by A.M. 05-8-26-SC] .
While the dispute is under mediation,
conciliation or arbitration, the prescriptive
Note: Secs. 3 and 4, Rule 110 discuss who
periods shall be interrupted upon the filing of
should subscribe (not file) the complaint or
the complaint with the Punong Barangay
information.
[Sec. 410, LGC].
Exceptions: Crimes that cannot be
Limitation: Interruption shall not exceed 60
prosecuted de oficio [ACSAAD]:
days from filing of complaint with the punong
1. Adultery
barangay [Sec. 410(c), LGC].
2. Concubinage
3. Seduction
The prescriptive periods shall resume upon
4. Abduction
receipt by the complainant:
5. Acts of Lasciviousness
1. of the complaint or
6. Defamation
2. the certificate of repudiation or
3. of the certification to file action issued by the
Rationale
Lupon or Pangkat Secretary
This was imposed out of consideration for the
aggrieved party who might prefer to suffer the
Criminal Cases Required to be Filed with
outrage in silence rather than go through with
Lupon
the scandal of a public trial [People v.
Offenses punishable by imprisonment not
Yparraguirre, G.R. No. 124391 (2000)].
exceeding one (1) year or a fine not exceeding
P5,000 [Sec. 408(c), LGC] and where the

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Seduction, Abduction, Acts of Defamation, which
Lasciviousness consists of imputation
Adultery and Concubinage
of any of the foregoing
offenses
Who Can File
Offended party, it includes:
a. Minors, even independently of those in
item b, except if incompetent or incapable
b. Parents, grandparents, guardian – right to
file shall be exclusive of all other persons
Offended Spouse and shall be exercised successively in this Offended Party
order
c. State – Only if the offended party dies or
becomes incapacitated before she can file
the complaint, and she has no known
parents, grandparents or guardian
Requirements
a. Must include both guilty
parties, if both alive
b. Must not have consented
to the offense or pardoned
The offender must not have been pardoned
the offenders None
by any of a and b in the preceding column
c. Marital relationship must
still be subsisting [Pilapil v.
Ibay-Somera, G.R. No.
80116, (1989)].

1. EVENTS THAT MAY OCCUR AFTER
THE FILING OF THE CASE
a. Death of Offended Party
Death after filing the complaint would not
deprive the court of jurisdiction. The death of
the offended party in private crimes is essential
solely for the initiation of the action. [People v.
Diego, G.R. No. 1626 (1937)].
It is not one of the causes for extinguishment of
criminal liability enumerated in Art. 89 of the
Revised Penal Code.
liability with regard to the interest of the injured
party is extinguished by his express waiver
[Art. 23, RPC]. If there is more than one
accused, the pardon must be extended to all
offenders.
Exception: Seduction, abduction and acts of
lasciviousness shall not be prosecuted if the
offender has been expressly pardoned by the
offended party or her parents, grandparents or
guardian [Art. 344, RPC] [Sec. 5, Rule 110]
When should pardon be done

b. Desistance by Offended Party General Rule: Pardon must be made before

Desistance does not bar the People of the
Philippines from prosecuting the criminal
action, but it operates as a waiver of the right
to pursue civil indemnity [People v. Amaca,
G.R. No. 110129 (1995)].
c. Pardon by Offended Party
General Rule: A pardon by the offended party
does not extinguish criminal action but civil
the filing of the criminal complaint in court
[People v. Bonaagua, G.R. No. 18897 (2011)]
Exception: In rape, marriage between the
offender and the offended party would be
effective as pardon even when the offender
has already commenced serving his sentence
[People v. de Guzman, [G.R. No. 185843
(2010)]

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Pardon Distinguished from Consent and accessories after the fact of the above-
Pardon Consent mentioned crimes [Art. 344, RPC].

Definition Exceptions:
1. Marriage was invalid or contracted in bad
Refers to past acts Refers to future acts
faith to escape criminal liability [People v.
In order to absolve the In order to absolve the Santiago, G.R. No. L-27972 (1927)]
accused from liability, accused from liability, 2. In multiple rape, insofar as the other
it must be extended to it is sufficient even if accused in the other acts of rape
both offenders granted only to the respectively committed by them are
offending spouse concerned [People v. Bernardo (38 O.G.
3479)]
When Given
Given after the Given before the 3. When Criminal Actions are Enjoined
commission of the commission of the
crime but before the crime See When Injunction May Be Issued To
institution of the Restrain Criminal Prosecution, supra.
criminal action
Remedies if the prosecutor refuses to file
In Adultery and Concubinage an information:
May be done Can only be done a. Action for mandamus to compel the
expressly or impliedly expressly prosecutor to charge the accused, in case
of grave abuse of discretion
There is implied b. Lodge a complaint before the court having
pardon when the jurisdiction over the offense;
offended party c. Take up the matter with the Department of
continued to live with Justice under the appropriate administrative
his spouse even after procedure;
the commission of the d. Institute an administrative charge against
offense. There is no the erring prosecutor; and
implied pardon when e. File criminal action against the prosecutor
the wife continues for negligence to prosecute or tolerance of
living in the conjugal the crime [Art 208, RPC] with the
home after her arrest corresponding civil action for damages for
only in order to take failure to render service by a public officer
care of their children [Art 27, NCC]
[Ligtas v. CA, G.R.
No. L-47498 (1987)]. 4. Control of Prosecution
In Seduction, Abduction and Acts of
General Rule: All criminal actions commenced
Lasciviousness
by a complaint or information shall be
Must be expressly Offended party cannot prosecuted under the direction and control
made consent to the crime of the prosecutor.

d. Subsequent Marriage Exception: A private prosecutor may be

authorized in writing by the Chief of the
Prosecution office or the Regional State
General Rule: In cases of seduction,
Prosecutor to prosecute the case subject to the
abduction, acts of lasciviousness and rape,
approval of the court [Sec. 5, Rule 110, as
the marriage of the offender with the offended
amended by A.M. No. 02-2-07-SC (2002)].
party shall extinguish the criminal action or
remit the penalty already imposed upon him,
together with the co-principals, accomplices,
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Conditions for a Private Prosecutor to Exceptions:
Prosecute a Criminal Action: a. When there is denial of due process of law
a. The public prosecutor has heavy work to the prosecution and the State or its
schedule or there is no public prosecutor agents refuse to act on the case to the
assigned in the province or the city prejudice of the State and the private
b. The private prosecutor is authorized in offended party [Cariño v. De Castro, G.R.
writing by the Chief of the Prosecutor office No. 176084 (2008)]; and
or the Regional State Prosecutor b. When the private offended party questions
c. The authority of the private prosecutor was the civil aspect of a decision of a lower court
approved by the Court [Heirs of Delgado v. Gonzalez, G.R. No.
d. The private prosecutor shall continue to 184337 (2009)]
prosecute the case up to the end of the trial
unless the authority is revoked or otherwise Cases Elevated to the Sandiganbayan and
withdrawn. [Sec. 5, Rule 110, A.M. No. 02- the Supreme Court
2-07-SC (2002)] The Office of the Ombudsman, through the
e. In case of withdrawal or revocation of Special Prosecutor, shall represent the People
authority, the same must be approved by of the Philippines, except in cases filed
the court [DOJ Memorandum Circular No. pursuant to EO Nos. 1,2, 14, 14-A as these are
25 (2002)] under the PCGG [Sec. 4, P.D. 1606, as
f. The prosecution of the civil liability has not amended by R.A. 10660].
been reserved or waived.
Extent of Prosecutor’s Control
Rule in Cases Filed before MTCs/MCTCs
Prior to Filing After Filing
When the prosecutor assigned thereto or to the
case is not available, the following may a. Matters which The following matters
prosecute the case: are within the are already within the
a. Offended party control of the control of the court and
b. Any peace officer; or prosecutor no longer within the
c. Public officer charged with the enforcement b. What case to file discretion of the
of the law violated may prosecute the case. c. Whom to prosecutor:
prosecute a. Suspension of
This authority shall cease upon actual d. Manner of arraignment [Sec
intervention of the prosecutor or upon elevation prosecution 1, Rule 116]
of the case to the RTC [OCA Circular No. 39- e. Right to withdraw b. Granting a
02, stating in toto Sec. 5, Rule 110, as information reinvestigation
amended by A.M. No. 02-2-07-SC] before [Levista v.
arraignment even Alameda, G.R. No.
Cases in the Court of Appeals and the without notice 182677 (2010)]
Supreme Court and hearing c. Dismissal of the
[Crespo v. Mogul, case [Crespo v.
General Rule: Only the Solicitor General may G.R. No. L-53373 Mogul, G.R. No. L-
bring or defend actions in behalf of the (1987)] 53373 (1987)]
Republic of the Philippines, or represent the d. Downgrading of
People of the Philippines or State in criminal the offense or
proceedings before the SC and the CA [Cariño dropping of
v. De Castro, G.R. No. 176084 (2008)] Appeals accused before
or petitions for certiorari filed by the private plea [Sec. 14(b),
offended parties, without the consent or Rule 110]
conformity of the OSG, will be dismissed for
lack of legal standing or personality [Austria v. Once a complaint or information is filed in court,
AAA, G.R. No. 205275 (2022)]. any disposition of the case as its dismissal or
the conviction or acquittal of the accused rests
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on the sound discretion of the court. A motion prosecutor or upon elevation of the case to the
to dismiss should be filed with the court, which RTC.
has the option to grant or deny it [Crespo v.
Mogul, G.R. No. L-53373 (1987)] 5. Sufficiency of Complaint or
Information
Limitations on the Court’s Control
a. The prosecution is entitled to notice of Note: The complaint contemplated under Sec.
hearing; 3 differs from the complaint filed in the
b. The court must suspend arraignment, upon prosecutor’s office for purposes of preliminary
motion by the proper party, when a petition investigation.
for review of the resolution of the prosecutor
is pending at either the DOJ, or the OP;
Complaint Information
provided, that the period of suspension shall
not exceed 60 days counted from the filing Definition
of the petition with the reviewing office [Sec.
11(c), Rule 116]; Sworn written statement Accusation in writing,
c. The court must make its own independent charging a person with an charging a person
evaluation or assessment of the merits of offense, subscribed by with an offense,
the case (e.g. on a motion to dismiss the offended party, any subscribed by the
[should be to quash]). Otherwise, there will peace officer or other prosecutor and filed
be a violation of private complainant’s right public officer charged with with the court [Sec.
to due process and erroneous exercise of the enforcement of the 4, Rule 110]
judicial discretion [Martinez v. CA, [G.R. No. law violated [Sec. 3, Rule
L-112387 (1994)]. 110]

Who Subscribes
Effect of Lack of Presence of the Fiscal
Although the private prosecutor had previously Subscribed by: Subscribed by the
been authorized to present the evidence for the a. offended party; prosecutor
prosecution, the absence of the City Fiscal at b. any peace officer; or
the hearing means that the prosecution of the c. other officer charged *Indispensable
case was NOT under the control of the City with the enforcement requirement.
Fiscal; thus, it follows that the evidence of the law violated.
presented by the private prosecutor at said
hearing could not be considered as Where Filed
evidence for the plaintiff [People v. Beriales,
G.R. No. L-39962 (1976)]. May be filed in court or the Filed with the court
prosecutor’s office [Sec.
1, Rule 110]
However, if prosecutor does appear however
intermittently during trial, then the evidence Oath Requirement
presented by the private prosecutor may be
considered [Bravo v. CA, G.R. No. L-48772, Must be “sworn,” hence Requires no oath
(1992)]. under oath
*Fiscal filing the
Note: OCA Circular No. 39-02 [stating in toto information is acting
Sec. 5, Rule 110, as amended by A.M. No. 02- under the oath of his
2-07-SC]: However, in MTCs or MCTCs when office
the prosecutor assigned thereto or to the
case is not available, the offended party,
any peace officer, or public officer charged
with the enforcement of the law violated CONTENT REQUIRED FOR VALIDITY OF
may prosecute the case. This authority shall AN INFORMATION
cease upon actual intervention of the

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A complaint or information is sufficient if it
states the [ADA-ODP]:
a. Name and surname of the Accused; or
any appellation or nickname by which he is
known or had been known
• When an offense is committed by more
than one person, all of them shall be
included in the complaint or information
[Sec. 6, Rule 110]
b. Designation of the offense given by the
statute
c. Acts or Omissions complained of as
constituting the offense
d. Name of the Offended party
e. Approximate Date of the commission of
the offense, and
f. Place where the offense was committed
FORM REQUIRED FOR VALIDITY
a. In writing
b. In the name of the People of the Philippines
c. Against all persons responsible for the
offense involved [Sec. 2, Rule 110]
Test for Sufficiency of the Information
Whether the crime is described in intelligible
terms with such particularity as to apprise the
accused with reasonable certainty of the
offense charged [Lazarte v. Sandiganbayan,
G.R. No. 180122 (2009)].
General Rule: A defective information cannot
support a judgment of conviction.
Exception: Where the defect in the information
was cured by evidence during the trial and no
objection appears to have been raised
[Abunado v. People, G.R. No. 159218 (2004)].
Waiver of Objection to Sufficiency
General Rule: An accused is deemed to have
waived his right to assail sufficiency of the
information when he voluntarily entered a plea
during arraignment and participated in the trial
[Frias v. People, G.R. No. 171437 (2007)].
Objections relating to the form of the complaint
or information cannot be made for the first time
on appeal. The accused should move for a bill
of particulars or for quashal of information
before arraignment, otherwise he is deemed to
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have waived his objections to such a defect
[People v. Teodoro, G.R. No. 172372 (2009)]
Exception: When the defect consists in the
lack of authority of the prosecutor who filed the
information, as such defect would be
jurisdictional. [Sec. 9, Rule 117]
a. Name of the Accused
The complaint or information must state the
name and surname of the accused or any
appellation or nickname by which he has been
or is known.
If his name cannot be ascertained, he must be
described under a fictitious name with a
statement that his true name is unknown.
If the true name of the accused is thereafter
disclosed by him or appears in some other
manner to the court, such name shall be
inserted in the complaint or information and
record. [Sec. 7, Rule 110]
John Doe Informations
When the information does not sufficiently
describe the accused and all are described as
“John Does,” the arrest warrants against them
are void. [Pangandaman v. Casar, G.R. No. L-
71782 (1988)]
Mistake in the Name of the Accused
Mistake does not necessarily amount to a
mistake in the identity of the accused
especially when sufficient evidence is adduced
to show that the accused is pointed to as one
of the perpetrators of the crime. [People v.
Amodia, G.R. No. 173791 (2009)]
b. Designation of Offense
The designation of the offense given by the
statute must be stated in the complaint or
information with the averment of acts or
omissions constituting the offense and the
attendant qualifying and aggravating
circumstances. If there is no designation of the
offense, reference shall be made to the section
or subsection of the statute punishing it. [Sec.
8, Rule 110]
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Enough to Describe with Sufficient
Particularity
Specific acts of accused do not have to be
described in detail in the information, as it is
enough that the offense be described with
sufficient particularity to make sure the
accused fully understands what he is being
charged with [Guy v. People, G.R. No. 166794-
96 (2009)].
Note: An accused cannot be tried/convicted
for estafa involving unfaithfulness/abuse of
confidence if the information does not allege
the fiduciary relationship between parties or
the transfer of juridical possession of property
to accused. The mere allegation in the
Information that accused is a subject to a motion to quash under
"secretary/collector" of the complainant does
not create the relationship of confidence and
intimacy required in qualified theft; abuse of
confidence for qualified theft must be grave
[Homol v. People, G.R. No. 191039, (2022)].
Allegations in the complaint prevail:
• Over the designation of the offense: The
facts, acts or omissions alleged and not its
title, determine the nature of the crime. The
designation is only the prosecutor’s
conclusion [People v. Magdowa, G.R. No.
48457 (1941)]
• Over reference to the section or
subsection of the statute punishing the
crime: What is controlling and determines
the nature and character of the crime
charged are the facts alleged in the
information. [Batulanon v. People, G.R. No.
139857 (2006)]
Conviction of a More Serious Crime than
Alleged
General Rule: Accused may be convicted of a
crime more serious than that named in the title
if such crime is covered by the facts alleged in
the body of the information and its commission
is established by evidence [Buhat v. CA, G.R.
No. 119601 (1996)].
Exception: Cannot be convicted under one act
when he is charged with the violation of another
if the change:
• Involves change in the theory of the trial
• Requires a different defense
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• Surprises the accused in any way [US v.
Panlilio, G.R. No. L-9876 (1914)]
Effect of Failure to Question Defect
Failure to question the defect or the
insufficiency of information filed against him
before he enters his plea or goes to trial
constitutes waiver of the constitutional right to
be informed of the nature and cause of charges
filed. [People v. Solar, G.R. No. 225595
(2019)].
1. Any Information which alleges that a
qualifying or aggravating circumstance
is present, must state the ultimate facts
relative to such circumstance.
Otherwise, the Information may be
Section 3 (e) (i.e., that it does not conform
substantially to the prescribed form), Rule
117 of the Revised Rules of Criminal
Procedure, or a motion for a bill of
particulars under the parameters set by
said Rules.
Failure of the accused to avail any of the
said remedies constitutes a waiver of his
right to question the defective statement
of the aggravating or qualifying
circumstance in the Information, and
consequently, the same may be
appreciated against him if proven during
trial.
Alternatively, prosecutors may sufficiently
aver the ultimate facts relative to a
qualifying or aggravating circumstance by
referencing the pertinent portions of the
resolution finding probable cause against
the accused, which resolution should be
attached to the Information in accordance
with the second guideline below.
2. Prosecutors must ensure compliance with
Section 8 (a), Rule 112 of the Revised Rules
on Criminal Procedure that mandates the
attachment to the Information the resolution
finding probable cause against the accused.
Trial courts must ensure that the accused is
furnished a copy of this Decision prior to the
arraignment.
3. Cases which have attained finality prior to
the promulgation of this Decision will remain
final by virtue of the principle of
conclusiveness of judgment.
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4. For cases which are still pending before the
trial court, the prosecution, when still able,
may file a motion to amend the Information
pursuant to the prevailing Rules in order to
properly allege the aggravating or qualifying
circumstance pursuant to this Decision.
5. For cases in which a judgment or decision
has already been rendered by the trial court
and is still pending appeal, the case shall be
judged by the appellate court depending on
whether the accused has already waived his
right to question the defective statement of
the aggravating or qualifying circumstance
in the Information, (i.e., whether he
previously filed either a motion to quash
under Section 3 (e), Rule 117, or a motion
for a bill of particulars) pursuant to this
Decision.
An information which lacks certain essential
allegations may still sustain a conviction when
an accused fails to object against its
insufficiency, and the deficiency is cured by
competent evidence [supra].
c. Cause of the Accusation
The acts or omissions complained of as
constituting the offense and the qualifying and
aggravating circumstances must be stated:
a. In ordinary and concise language; and
b. Not necessarily in the language used in the
statute; but
c. In terms sufficient to enable a person of
common understanding to know what
offense is being charged, as well as its
qualifying and aggravating circumstances
[Sec. 9, Rule 110]
Purposes of Requiring Allegation of Every
Element:
1. To enable the court to pronounce proper
judgment
2. To furnish the accused with information as
to enable him to make a defense
3. As a protection against further prosecution
for the same cause
Failure to allege:
• Any of the elements of the offense:
Accused cannot be convicted of the offense
charged, even if the missing elements have
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been proven during trial. Even a plea of
guilty will not cure such defect, nor justify
conviction.
• Qualifying and aggravating
circumstances: They are not considered
even if proven during trial [Viray v. People,
G.R. No. 205180 (2013)]
o If aggravating circumstances were not
alleged, they can still be the basis for
awarding exemplary damages under Art.
2229 (by way of example or correction
for public good) [People v. Dalisay, G.R.
No. 188106 (2009)]
Note: The failure to allege such cannot be
cured by an amendment of the information
after the accused entered his plea [People v.
Antonio, G.R. No. 142727 (2002)].
Rule on Negative Averments
General Rule: Whenever an accused claims to
be within the statutory exception, it is more
logical and convenient that he should aver and
prove the fact than that the prosecutor should
anticipate such defense, and deny it [Cabrera
v. Marcelo, G.R. Nos. 157419-20 (2004)]
Exception: Where the exemptions are so
incorporated in the language defining the crime
that the ingredients of the offense cannot be
accurately and clearly set forth if the exemption
were omitted, the indictment, to be sufficient,
must show that the person charged does not
fall within the exemptions [People v. San Juan,
G.R. No. L-22944 (1968)]
When habitual delinquency is alleged
The information must specify:
a. Date of the commission of the previous
crimes
b. The date of last conviction or release
[People v. Venus, G.R. No. 45141 (1936)]
Where complex crime is charged
Allegations do not necessarily have to charge
a complex crime as defined by law. It is
sufficient that the information contains
allegations which show that one offense was a
necessary means to commit the other [People
v. Alagao, G.R. No. L-20721 (1966)]
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Duplicity of the Offense
Duplicity of the offense is the joinder of two or
more separate and distinct offenses in one and
the same information or complaint [Loney v.
People, G.R. No. 152644 (2006)]
General Rule: A complaint or information must
charge only one offense.
Exception: Multiple offenses may be charged
when the law prescribes a single punishment
for various offenses [Sec. 13, Rule 110]:
a. Complex crimes - e.g., Acts committed in
furtherance of rebellion are crimes in
themselves but absorbed in the single crime
of rebellion [Enrile v. Salazar, G.R. No.
92163 (1990)]
Note: No more complexing of quasi-
offenses under Art. 365, RPC. [Ivler v. San-
Pedro, G.R. No. 172716 (2010)]
b. Special complex crimes
c. Continuous crimes (Requisites:)
1. Plurality of acts performed separately
during a period of time
2. Unity of penal provisions violated
3. Unity of criminal intent [People v.
Ledesma, G.R. No. L-41522 (1976)]
d. Crimes susceptible of being committed in
various modes
1. The allegations in the information would
be regarded as a description of only one
offense and information is not rendered
defective [Jurado v. Suy Yan, G.R. No.
L-20714 (1971)]
e. Crimes of which another offense is an
ingredient
f. When a single act violates different statutes
[Loney v. People, G.R. No. 152644 (2006)]
Remedy to Duplicity of Offense
Accused must move for the quashal of the
information before arraignment. [Sec. 1 and 3,
Rule 117]
Failure to File Motion to Quash
Accused is deemed to have waived the
objection and may be convicted of as many
offenses are charged and proved. [Sec. 3, Rule
120]
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d. Name of the Offended Party
The complaint or information must state the
name and surname of the person against
whom or against whose property the offense
was committed, or any appellation or nickname
by which such person has been or is known. If
there is no better way of identifying him, he
must be described under a fictitious name.
a. In crimes against property, if the name of
the offended party is unknown, the property
must be described with such particularity as
to properly identify the offense charged
b. If the true name of the person against whom
or against whose property the offense was
committed is thereafter disclosed or
ascertained, the court must cause such true
name to be inserted in the complaint or
information and the record
c. If the offended party is a juridical person, it
is sufficient to state its name, or any name
or designation by which it is known or may
be identified, without need of averring that it
is a juridical person. [Sec. 12, Rule 110]
e. Date of Commission
General Rule: It is not necessary to state the
precise date the offense was committed. The
offense may be alleged to have been
committed on a date as near as possible to
the actual date of the commission.
Exception: When it is an essential element of
the offense (e.g., abortion, bigamy) [Sec. 11,
Rule 110]
Variance in alleged date from proven in trial
General rule: Allegation in an information of a
date different from the one established during
trial is not fatal to the prosecution. It is just
deemed supplanted by evidence presented
during trial or may even be corrected by a
formal amendment of the information.
Exception: Fatal when discrepancy is so great
that it induces the perception that the
information and the evidence are no longer
pertaining to one and the same offense. The
defective allegation in the information is struck
down for violating the right of the accused to be
informed [People v. Delfin, G.R. No. 201572
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(2014)] While failure of an information to Formal Substantial
specify the exact date/time of the alleged rape Amendment Amendment
is not ipso facto defective, an information that
alleges that the rape occurred sometime and which, therefore [Teehankee v.
between a span of years (1995-1999 in this adds nothing Madayag, G.R. No.
case) is subject to quashal. [People v. XXX, essential for 103102 (1992)]
G.R. No. 231386, (2022)]. conviction for the
crime charged
f. Place of Commission [Gabionza v. CA,
G.R. No. 140311
General Rule: The complaint or information is (2001)]
sufficient if it can be understood from its When Amendment Should be Made
allegations that the offense was committed or
some of its essential ingredients occurred at Before Plea or Arraignment
some place within the jurisdiction of the court.
General Rule: Any formal or substantial
Exception: If the particular place where it was amendment, made before the accused
committed constitutes an essential element of enters his plea may be done without leave of
the offense charged or is necessary for its court [Sec. 14, Rule 110]
identification [Sec. 10, Rule 110].
Exception: If the amendment downgrades
the nature of the offense charged in, or
6. Amendment or Substitution of excludes any accused from, the
Complaint or Information complaint/information, it can be made only
a. Upon motion of the prosecutor
Amendment b. With notice to the offended party and
A change in either the form or substance of the c. With leave of court
same offense in the Information. It is not a new
charge; it just supersedes the original After plea and during trial
Information but relates back to the date at Amendment as to General Rule:
which the original information was filed form can only be a. Amendment as to
[Teehankee Jr. v. Madayag, G.R. No. 103102 made under two substance at this
(1992)] conditions: stage of the case is
a. With leave of proscribed [People
Not all defects in an information may be cured court; and v. Zulueta, G.R. No.
by an amendment. An Information which is void b. It does not cause L-4017 (1951)]
ab initio cannot be amended to obviate a prejudice to the since it violates the
ground for quashal. An amendment which rights of the right to be informed
operates to vest jurisdiction is impermissible accused [Sec 14, of the nature and
[Leviste v. Alameda G.R. No. 182677 (2010)] Rule 110] cause of the
accusation during
Kinds of Amendment his plea [Buhat v.
Formal Substantial People, G.R. No.
Amendment Amendment 119601 (1996)]
b. It violates the rule on
Definition double jeopardy.

This merely states This consists of the Exception:

with additional recital of facts Amendment may be
precision something constituting the offense allowed if it is beneficial
which is already charged and to the accused, [People
contained in the determinative of the v. Janairo, G.R. No.
original information, jurisdiction of the court 129254 (2007)]
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Test Whether an Amendment is Formal
Whether or not a defense under the original
information would be equally available after the
amendment and whether or not any evidence
the accused might have would be equally
applicable in one form as in the other [People
v. Degamo, G.R. No. 121211 (2003), citing
Teehankee v. Madayag, G.R. No. 103102
(1992)].
SUBSTITUTION OF INFORMATION
When it becomes manifest at any time before
judgment that a mistake has been made in
charging the proper offense and the accused
cannot be convicted of the offense charged or
any other offense necessarily included therein,
the accused shall not be discharged if there
REMEDIAL LAW
appears good cause to detain him. In such
case, the court shall commit the accused to
answer for the proper offense and dismiss the
original case upon the filing of the proper
information. [Sec. 19, Rule 119, ROC].
Limitations of Substitution
a. At any time before judgment [Sec. 14, Rule
110]
b. The accused cannot be convicted of the
offense charged or of any other offense
necessarily included therein [Sec. 19, Rule
119]
c. The accused would not be placed in double
jeopardy [Sec. 14, Rule 110]

Amendment and Substitution Distinguished

Amendment Substitution

The same attempted, frustrated,

Applicability Involves different offense
necessarily includes or included offense

Scope Formal or substantial changes Substantial changes

Amendment before plea has been

Necessity of
entered Can be effected without leave of Must be with leave of court
leave of court
court

Necessity of
When amendment is Only as to form, no Another PI is entailed and accused
new PI and
need for another PI and retaking of plea has to plead anew
plea

The amended information refers to the

Involves a different offense which
same offense charged in the original
Offense does not include those provided in the
information or to an offense which is
involved original charge; cannot invoke double
included in the original charge; can
jeopardy
invoke double jeopardy

Cannot be invoked. Substitution

Double Can be invoked only if the new presupposes that the new information
jeopardy as information is a substantial amendment involves a different offense which
Defense and it was done after the plea does not include or is not included in
the original charge.
[Teehankee Jr. v. Madayag, G.R. No. 103102, (1992)]

Variance between Allegation and Proof

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Variance Consequence Variance Consequence

When the offense The accused will be INCLUDED/INCLUDE [Sec. 14, Rule 110]
proved is LESS than convicted of the S the offense charged
the offense charged offense proved
[Sec. 4, Rule 120]
7. Venue of Criminal Actions
When the offense The accused will be
proved is GREATER convicted of the General Rule: Venue is criminal cases is
than the offense offense charged jurisdictional. In all criminal prosecutions, the
charged [Sec. 4, Rule 120] action must be instituted and tried in the courts
of the municipality or territory where:
When the offense The case should be a. The offense was committed, or
proved is dismissed and a new b. Any of its essential ingredients occurred
DIFFERENT and Information should be [Sec. 15(a), Rule 110].
NOT NECESSARILY filed, charging the
proper offense.

Exceptions to Venue of Criminal Actions:

Crime Venue

Felonies under Art. 2, RPC Proper court where criminal action was first filed [Sec. 15, Rule 110]

Those committed on a In the court of any municipality or territory where such train, aircraft,
railroad train, aircraft, or any or other vehicle passed during its trip, including place of departure
other public or private and arrival [Sec. 15, Rule 110]
vehicle in the court of its trip

Those committed on board a In the proper court of the first port of entry or of any municipality or
vessel in the course of its territory through which such vessel passed during its voyage, subject
voyage to the generally accepted principles of international law [Sec. 15,
Rule 110]

Piracy, which has no May be instituted anywhere [People v. Lol-lo and Saraw, G.R. No.
territorial limits 17958 (1922)]

Libel If one of the offended parties is a private individual:

a. Where the libelous article is printed and first published, or
b. Where said individual actually resides

If one of the offended parties is a public official:

a. Where the official holds office at the time of the commission of the
offense
1. If the office is in Manila, then CFI Manila
2. If the office is any other city or province, then file where he
holds office
b. Where the libelous article is printed and first published

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Crime Venue

Note: If the defamatory statement is alleged to have been made

through radio or TV broadcasts, the private offended may file the
criminal or civil action in the RTC of the province or city of:
a. Where the radio or television station where the broadcast of the
libelous statement originated
b. Where said individual resided at the time the radio or televised
broadcast was made [Tieng v. Palacio-Alaras, G.R. No. 164845
(2021)].

Note: The same measure cannot be reasonably expected when it

pertains to defamatory material appearing on a website on the
internet as there would be no way of determining the situs of its
printing and first publication. Chaos would ensue in situations
where the website's author or writer, a blogger or anyone who
posts messages therein could be sued for libel anywhere in the
Philippines that the private complainant may have allegedly
accessed the offending website [Bonifacio v. RTC of Makati, G.R.
No. 184800, (2010)]

Cases filed under B.P. 22 May be filed in the place where the check was dishonored or issued.
In the case of a cross-check, in the place of the depositary or
collecting bank [People v. Grospe, G.R. No. L-74053-54, (1988)]

Illegal recruitment cases The victim has the option to file the case in his place of residence or
(R.A. 8042 or Migrant in the place where the crime was committed [Sto Tomas v. Salac
Workers Act) G.R. No. 152642 (2012)]

Violations of RA 10175 RTCs have jurisdiction over any violation of the provisions of the Act,
(Cybercrime Prevention Act including any violation committed by a Filipino national regardless of
of 2012) the place of commission [Sec. 21]

In exceptional SC has the power to order a change of venue or place of trial to avoid
circumstances to ensure a miscarriage of justice [Sec. 5(4), Art. VII, Constitution]
fair trial and impartial inquiry

Transitory or continuing The courts of the territories where the essential ingredients of the
offenses crime took place have concurrent jurisdiction. The first court taking
cognizance of the case will exclude the others [People v. Grospe,
G.R. No. L-74053 (1988)]

False testimony and perjury When the crime is committed through false testimony under oath in
a proceeding that is neither criminal nor civil, venue is at the place
where the testimony under oath is given.

If the false statement is in the Certification Against Forum

Shopping, the venue is the place of execution.

If the false statement is in a verified pleading, the venue is the place

where pleading was submitted.

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Crime Venue

If the false statement is in an affidavit, generally the venue is the

place of execution.

If the affidavit were executed for purpose of giving testimony (such

as judicial affidavit), place where testimony under oath is given.

If in lieu of or as supplement to the actual testimony made in a

proceeding that is neither criminal nor civil, a written sworn statement
is submitted, venue may either be at the place where the sworn
statement is submitted or where the oath was taken as the taking of
the oath and the submission are both material ingredients of the
crime committed.

In all cases, determination of venue shall be based on the acts

alleged in the Information to be constitutive of the crime committed.
[Union Bank v. People, G.R. No. 192565 (2012)]

Perjury charges may lie in the place where the false statement is
made, under Sec. 10(a), Rule 110 in relation to Villanueva v.
Secretary of Justice. [Sy Tiong Shiou v. Sy Chim, G.R. No. 174168
(2009)]

8. Intervention of Offended Party 3. Already instituted such action

[Rodriguez v. Ponferrada, G.R. No.
General Rule: An offended party has the right 155531-34 (2005)]
to intervene in the prosecution of a crime,
where the civil action for recovery of civil B. Prosecution of Civil Action
liability is instituted in the criminal action [Sec.
16, Rule 110]
(Rule 111)

Note: Regardless of the intervention, the 1. Rule on Implied Institution of

prosecution of the case is still subject to the
control of the prosecutor [Ricarze v. People,
G.R. No. 160451 (2007)]
Exceptions:
a. Where, from the nature of the crime and the
law defining and punishing it, no civil
liability arises in favor of a private
offended party (e.g. treason, rebellion,
espionage and contempt) [Rodriguez v.
Ponferrada, G.R. No. 155531-34 (2005)]
b. Where, from the nature of the offense, the
private offended party is entitled to civil
indemnity arising therefrom but he has
1. Waived the same or
2. Expressly reserved his right to institute
a separate civil action or
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Civil Action with Criminal Action
General Rule: The civil action for the recovery
of civil liability arising from the offense charged
is deemed instituted with the criminal
action. [Sec. 3, Rule 111]
Exception: When the offended party:
a. Waives the civil action
b. Reserves the right to institute it separately
before the prosecution presents its
evidence
c. Institutes the civil action prior to the
criminal action; [Sec. 1, Rule 111]
d. All civil actions based on Articles 32, 33,
34 and 2176 of the Civil Code are NOT
"deemed instituted," and may be filed
separately and prosecuted
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independently even without any
reservation in the criminal action
[Casupanan v. Laroya, G.R. No. 145391,
(2002)]
Civil Liability of Employer in a Criminal
Action
At most, the employer can only be held
subsidiarily liable for the delict committed by
his employee. [Art. 102, 103, RPC] The
employer cannot be held vicariously liable,
under Art. 2180, in the criminal action.
[Maniago v. CA, G.R. No. 101809 (1996)]
2. When Civil Action May
Proceed Independently
a. Independent Civil Actions
Independent civil actions those that are
separate and distinct from and shall proceed
independently of the criminal action. Only a
preponderance of evidence shall be required in
such cases: [Sec. 3, Rule 111]
a. When the accused in a criminal prosecution
is acquitted on the ground that his guilt has
not been proved beyond reasonable doubt,
a civil action for damages for the same act
or omission may be instituted [Art 29, NCC]
b. Cases involving violation of constitutional
rights, defamation, fraud, physical injuries,
refusal or failure to render aid or protection
by the members of the police or the
prosecuting attorney, quasi-delict) [Sec. 3,
Rule 111] [Art. 32, 33, 34, 35 and 2176,
NCC]
Prohibition on Double Recovery
In no case may the offended party recover
damages TWICE for the same act or omission
charged in the criminal action. [Sec. 3, Rule
111]
Note: The judgment of the court must state the
civil liability or damages to be recovered by the
offended party from the accused, if any,
EXCEPT, when enforcement of civil liability by
a separate civil action has been reserved or
waived [Sec. 2, Rule 120, ROC].
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b. Reservation of Right to File Civil
Action
When Reservation Shall be Made
1. Before the prosecution starts to present its
evidence, and
2. Under circumstances affording the offended
party a reasonable opportunity to make
such reservation. [Sec. 1(2), Rule 111]
Note: Failure of the court to adjudge as to civil
liability amounts to the reservation of the right
to a separate civil action.
Effect of Reservation of Right
The prescriptive period of the civil action that
was reserved shall be tolled. [Sec. 2, Rule 111]
When Reservation to File Separately Not
Allowed
1. B.P. 22 cases [Sec. 1(b), Rule 111]
Note: Nothing in this rule prohibits the
reservation of a separate civil action against
the juridical person on whose behalf the check
was issued. What the rules prohibit is the
reservation of a separate civil action against
the natural person violation B.P. Blg. 22,
including such corporate officer who had
signed the bounced check. [Gosiaco v. Ching,
G.R. No. 173807 (2009)]
While the issuance of a bouncing check may
result in two separate and distinct crimes of
estafa and violation of BP 22, in prosecutions
for estafa, the offended party may reserve the
right to file a separate civil action, but this is
prohibited in claims arising from BP 22. [Heirs
of Simon v. Chan, G.R. No. 157547 (2011)]
2. Cases cognizable by the Sandiganbayan
[Sec. 4, P.D. 1606, as amended by R.A.
10660]
3. Tax cases [Sec. 7(b)(1), RA 9282]
Note: In such cases, only the civil liability
arising from the crime charged (cause of action
arising from the delict) is deemed instituted.
[Sarmiento v. CA, G.R. No. 122502 (2002)]
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c. Separate Action Filed by the
Accused
No counterclaim, cross-claim or third-party
complaint may be filed by the accused in the
criminal case, but any cause of action which
could have been the subject thereof may be
litigated in a separate civil action [Sec. 1, Rule
111].
3. When Separate Civil Action is
Suspended
When the Civil Action is Filed before the
Criminal Action
General Rule: If the civil action is instituted
before the institution of the criminal action,
such pending civil action, in whatever stage it
may be found, shall be suspended until final
judgment of the criminal action has been
rendered. [Sec. 1, Rule 111]
Exceptions:
a. In cases of independent civil actions
b. In cases where the civil action presents a
prejudicial question
c. Where the civil action is not one intended to
enforce the civil liability arising from the
offense
Note: Rules preclude a motu proprio
suspension by the judge of the civil action; it
must be by petition of the defendant [Yap v.
Paras, G.R. No. 101236 (1992)]
Consolidation of Civil with Criminal Action
Before judgment on the merits is rendered in
the civil action, such may be consolidated with
the criminal action in the court trying the
criminal action, upon motion of the offended
party. The evidence already adduced in the
civil action will be automatically reproduced in
the criminal action [Sec. 2, Rule 111].
Note: There can also be no motu proprio
consolidation. It must be upon motion of the
offended party.
When Criminal Action Filed before
After the criminal action has been commenced,
the separate civil action arising therefrom
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cannot be instituted until final judgment has
been entered in the criminal action [Sec. 1,
Rule 111].
4. Effect of Death of the Accused
or Convicted On Civil Action
Before Arraignment
The criminal case shall be dismissed
without prejudice to any civil action that the
offended party may file against the estate of
the deceased [Sec. 4, Rule 111]
After Arraignment and during Pendency
of the Criminal Action
The civil liability is extinguished. But,
a. An independent civil action enforcing
liabilities under Art. 32, 33, 34, 35 and 2176
may be continued against the estate or legal
representative of the accused, after proper
substitution.
b. If the civil action has been reserved and
subsequently filed, the civil action shall
proceed after substitution of parties. [Sec. 4,
Rule 111].
During Appeal
Civil and criminal liabilities are extinguished
[People v. Alison, G.R. No. L-30612 (1983)]
Note: Only civil liability ex delicto is
extinguished. A separate civil action may be
instituted based on other sources of civil
liability [People v. Culas, G.R. No. 211166
(2017)].
After Judgment
The civil liability is not extinguished. Claims
shall be filed against the estate of the
accused under Rule 86 of the ROC [Sec. 5,
Rule 86].
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5. Prejudicial Question
Definition
One which arises in a case, where the
resolution of which is a logical antecedent of
the issue involved therein and the
cognizance of which pertains to another
tribunal [People v. Consing, G.R. No.
148193 (2003)].
There is a prejudicial question only when the
matter that has to be priorly decided by
another authority is one where the
cognizance of which pertains to that
authority and should not, under the
circumstances, be passed upon by the court
trying the criminal case [Rojas v. People,
G.R. No. L-22237 (1974)].
It is a question based on a fact distinct and
separate from the crime but so intimately
connected with it that it determines the
guilt or innocence of the accused [Ras v.
Rasul, G.R. No. L-50411 (1980)].
Elements
a. The previously instituted civil action
involves an issue similar or intimately
related to the issue raised in the subsequent
criminal action.
b. The resolution of such issue determines
whether or not the criminal action may
proceed. [Sec. 7, Rule 111]
Effect
Suspension of the criminal action [Sec. 6,
Rule 111]
It does not prescribe the dismissal of the
criminal action [Yap v. Paras, G.R. No.
101236, (1992)]
Where Filed
A petition for suspension of criminal
action based upon the pendency of a
prejudicial question in a civil action is filed
in either:
a. Office of the prosecutor (in the PI stage);
b. Court conducting the PI; or
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c. Court where criminal action has been filed
for trial, at any time before the prosecution
rests. [Sec. 6, Rule 111]
Rationale
To avoid two conflicting decisions in the civil
case and in the criminal case [Sy Thiong
Shiou v. Sy Chim, G.R. No. 174168 (2009)].
Example
The nullity and forgery of the prior deed of
sale is based on the very same facts which
would be necessarily determinative of the
accused’s guilt or innocence in the case for
estafa. If the first alleged sale is void or
fictitious, then there would have been no
double sale and the accused would be
declared innocent [Ras v. Rasul, G.R. No.
50411 (1980)]
Prejudicial question where administrative
and criminal cases, but no civil case,
involved
In San Miguel Properties, Inc. v. Perez [G.R.
No. 166836 (2013)] the SC held that the
administrative case before the HLURB case
raises a prejudicial question that sufficed to
suspend the criminal proceedings since the
action before the HLURB was “civil in nature”
and could not be instituted elsewhere except in
the HLURB whose jurisdiction over the action
was exclusive and original.
6. Rule on Filing Fees in Civil
Action Deemed Instituted With
the Criminal Action
General Rule:
a. Actual Damages - no filing fees required
b. Moral, exemplary, nominal, temperate
damages:
1. If amount is specified in the
complaint/information - the
corresponding filing fees shall be paid by
the offended party upon the filing thereof
in court.
2. If amount is not specified in the
complaint/information, the filing fees
shall constitute a first lien on the
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judgment awarding such damages [Sec.
1, Rule 111]
Exceptions:
a. Violations for B.P.22
1. The offended party shall pay in full the
filing fees based on the amount of the
check involved, which shall be
considered as the actual damages
claimed.
2. Where the complaint or information also
seeks to recover liquidated, moral,
nominal, temperate or exemplary
damages, the offended party shall pay
additional filing fees based on the
amounts alleged therein.
3. If the amounts are not so alleged but any
of these damages are subsequently
awarded by the court, the filing fees
based on the amount awarded shall
constitute a first lien on the judgment.
[Sec. 1, Rule 111]
b. Estafa – offended party shall pay in full the
filing fees based on the amount involved
[See Sec. 20, Rule 141]
REMEDIAL LAW
2. This is a substantive Drilon, G.R. No.
right. To deny the 96080 (1991)].
accused’s claim to a PI
would be to deprive him
of the full measure of his
right to due process
[Duterte v.
Sandiganbayan, G.R.
No. 130191 (1998)].
Who Determines Probable Cause
This is an executive function that the courts
cannot interfere with in the absence of grave
abuse of discretion. [Salapuddin v. Court of
Appeals, G.R. No. 184681 (2013)]. A
prosecutor cannot then be compelled by
mandamus to file a case against an alleged
criminal, except when such prosecutor acted
with grave abuse of discretion amounting to
lack or excess of jurisdiction [Hegerty v. CA,
409 SCRA 285 (2003)].
Statutory Basis of the Right to
Preliminary Investigation

This is NOT a constitutional right; rather, the

D. Preliminary Investigation right thereto is of statutory character and
(Rule 112) may be invoked only when specifically
created by statute. It is not a fundamental
1. Nature of Right right and may be waived expressly or by
silence [Marinas v. Siochi, G.R. Nos. L-
Definition 25707 (1981)].
An inquiry or proceeding to determine
whether there is sufficient ground to Waiver of Right
engender a well-founded belief that a crime The right to PI is a personal right which the
has been committed and the respondent is accused may waive either expressly or by
probably guilty thereof, and should be held implication but at all times must be
for trial [Sec. 1, Rule 112, as amended by unequivocal. The waiver, whether express or
A.M. No. 05-8-26-SC]. implied, must be in a clear and unequivocal
manner [Larranaga v. CA. G.R. No. 130644
What it is What it is not (1998)].

1. Merely inquisitorial, and Not a trial of the Mere failure of a defendant and/or his counsel
it is often the only case on the to appear during PI cannot be construed as a
means of discovering merits” and does waiver [Larranaga v. CA, G.R. No. 130644
the persons who may not place the (1998)].
reasonably be charged persons against
with a crime, to enable whom it is taken When the accused waives his right to PI, the
the prosecutor to in jeopardy fiscal may forthwith file the corresponding
prepare his complaint or [Paderanga v. information with the proper court [People v.
information. Perez, G.R. No. L-15231 (1960)].

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An application for or admission to bail shall not
bar the accused from assailing the regularity or
questioning the absence of a PI of the charge
against him provided that he raises the
challenge before entering his plea [Sec. 26,
Rule 114]
When Right Deemed Waived [W-FI-ANG]
a. Express Waiver or by silence [Pilapil v.
Sandiganbayan, G.R. No. 101978 (1993)]
b. Failure to Invoke it during arraignment
[People v. De Asis, G.R. No. 105581
(1993)]; and
c. Consenting to be Arraigned and entering a
plea of Not Guilty without invoking the right
to PI [People v. Bulosan, G.R. No. L-58404
(1988)]
The right cannot be raised for the first time on
appeal [Pilapil v. Sandiganbayan, G.R. No.
101978 (1993)].
When Right Not Deemed Waived
a. Failure to appear before the prosecutor
during the clarificatory hearing or when
summoned, when the right was invoked at
the start of the proceeding [Larranaga v.
CA, G.R. No. 130644 (1998)]; or
b. When the accused filed an application for
bail and was arraigned over his objection
and the accused demanded that PI be
conducted [Go v. CA, G.R. No. 101837
(1992)]
2. Purposes of Preliminary
Investigation
The following are the specific purposes of
preliminary investigation [IPA]:
a. To Inquire concerning the commission of a
crime and the connection of the accused
with it. This is so that:
1. the accused may be informed of the
nature and character of the crime
charged against him, and,
2. if there is probable cause for believing
him guilty, that the State may take the
necessary steps to bring him to trial;
b. To Preserve the evidence and keep the
witnesses within the control of the State;
and
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c. To determine the Amount of bail, if the
offense is bailable. [Callo-Claridad v.
Esteban, G.R. No. 191567 (2013)]
3. Who May Conduct
Determination of Existence of
Probable Cause
Probable Cause
Probable cause pertains to facts and
circumstances sufficient to support a well-
founded belief that a crime has been
committed and the accused is probably guilty
thereof. [Shu v. Dee, G.R. No. 182573 (2014)]
Quantum of Evidence
The quantum of evidence now required in PI is
such evidence sufficient to “engender a well-
founded belief” as to the fact of the commission
of a crime and the respondent's probable guilt
thereof. A PI is not the occasion for the full and
exhaustive display of the parties’ evidence.
[Estrada v. Ombudsman, G.R. No. 212140
(2015)]
Prosecutors must ensure the existence of a
prima facie case and a reasonable certainty of
conviction based on available documents,
witness/es, real evidence and the like. Prima
facie evidence is such status of evidence
which on its own and if left uncontroverted, is
sufficient to establish all the elements of a
crime [Sec. 2, DOJ Circular No. 20, 31 March
2023].
Hearsay evidence is admissible during PI [De
Lima v. Guerrero, G.R. No. 229781 (2017),
citing Estrada v. Ombudsman, G.R. No.
212140 (2015)]
Who May Conduct Preliminary
Investigation
As Provided by As Provided by Law
the Rules of
Court
a. Provincial/city a. COMELEC: over all
prosecutors and election offenses
their assistants punishable under the
Omnibus Election
Code. [Sec. 2(6), Art.
 FOR UP CANDIDATES ONLY
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As Provided by As Provided by Law Executive Judicial

the Rules of Determinatio Determinatio
Court n n

b. National and IX-C, Constitution; Sec. Made by Prosecutor Judge

regional state 265, BP881 (Omnibus whom
prosecutors Election Code), as
c. Other officers amended by Sec. 43, Determination Determination
as may be RA 9369] of PC to hold a of PC for the
authorized by law b. Ombudsman over person for trial arrest of the
[Sec. 2, Rule 112, cases public officers [Sec. 1, Rule accused
Purpose
as amended by and employees [Sec. 112, as [Baltazar v.
A.M. No. 05-8-26- 15[1], RA 6770 amended by People, G.R.
SC] (Ombudsman Act of A.M. No. 05-8- No. 174016
1989)] 26-SC] (2008)]
c. Presidential
Commission on Good Sufficient Set of facts
Governance with ground to and
assistance of the OSG: engender a circumstances
over cases investigated well-founded which would
by it) [EO14, (1986)] belief that a lead a
crime has reasonably
been discreet and
Executive vs. Judicial Determination of committed, prudent man to
Probable Cause and that the believe that
Executive Judicial respondent is the offense
Determinatio Determinatio probably charged in
n n guilty thereof the
and should Information
Standard
Ascertains To ascertain be held for or any
whether a whether a trial [Sec. 1, offense
criminal case warrant of Rule 112, as included
must be filed arrest should amended by therein has
in court. The be issued A.M. No. 05-8- been
public against the 26-SC] committed by
prosecutor is accused [Sec. the person
given a broad 2, Art. III, sought to be
discretion to Constitution] arrested
determine [Baltazar v.
whether People, G.R.
Nature probable No. 174016
cause exists (2008)]
and to charge
those whom Determination of Probable Cause Made by
he believes to the Ombudsman
have The Ombudsman is authorized to conduct PI
committed the and to prosecute all criminal cases involving
crime. [People public officers and employees, not only those
v. Borje, Jr., within the jurisdiction of the Sandiganbayan,
G.R. No. but also those within the jurisdiction of regular
170046 courts as well [Uy v. Sandiganbayan, G.R. No.
(2014)] 105965-70 (2001)]
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A person under PI by the Ombudsman is
entitled to file a motion for reconsideration of
the adverse resolution, under Sec. 7 of the
Rules of Procedure of the Ombudsman. To
deny the accused of his right to file a motion for
reconsideration would also deprive him of his
right to a full preliminary investigation [Sales v.
Sandiganbayan, G.R. No. 143802 (2001)]
Procedure for Preliminary Investigation
Filing of the complaint, which
a. Shall state the address of the
respondent
b. Shall be accompanied by the
affidavits of the complainant and his
witnesses, and other supporting documents
to establish probable cause. The affidavits
shall be subscribed and sworn to before any
prosecutor or government official authorized
to administer oath or if absent or unavailable,
before a notary public, each of whom must
certify that he personally examined the
affiants and that he is satisfied that they
voluntarily executed and understood their
affidavits.
c. Shall be in such number of copies as
there are respondents, plus 2 copies for the
official file [Sec. 3(a), Rule 112, as amended
by A.M. No. 05-8-26-SC]
↓ other documents or from the expiration of the
Action of the investigating officer
a. Within 10 days after the filing of the
complaint, the investigating officer shall
either:
1. Dismiss the complaint, if he finds no ground
to continue the investigation; or
2. Issue a subpoena to the respondent,
attaching the complaint and supporting
affidavits and documents [Sec. 3(b), Rule
112, as amended by A.M. No. 05-8-26-SC].
Respondent has the right to examine the
evidence submitted by complainant which he
may not have furnished and to copy
evidence at his expense [Sec. 3(b), Rule
112, as amended by A.M. No. 05-8-26-SC].
↓ Procedure of the Office of the Ombudsman
Respondent’s counter-affidavit
It must be made within ten (10) days from
receipt of subpoena with the complaint and
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must comply with the same requirements as
a complaint. Respondent is not allowed to
file a motion to dismiss in lieu of counter-
affidavit [Sec. 3(c), Rule 112, as amended by
A.M. No. 05-8-26-SC].
If the respondent cannot be subpoenaed, or
if subpoenaed, does not submit counter-
affidavits within the ten (10) day period, the
investigating officer shall resolve the
complaint based on the evidence presented
by the complainant [Sec. 3(d), Rule 112, as
amended by A.M. No. 05-8-26-SC] This
situation would have the effect of an ex-parte
investigation [Riano 210, 2016 Ed.].
↓
Clarificatory hearing
The investigating officer may set a hearing if
there are facts and issues to be clarified from
a party or a witness. The parties can be
present at the hearing but without the right to
examine or cross-examine. They may,
however, submit to the investigating officer
questions which may be asked to the party
or witness concerned [Sec. 3(e), Rule 112,
as amended by A.M. No. 05-8-26-SC].
The hearing shall be held within 10 days from
submission of the counter-affidavits and
period for their submission. It shall be
terminated within five (5) days [Sec. 3(e),
Rule 112, as amended by A.M. No. 05-8-26-
SC].
↓
Determination
Within ten (10) days after the investigation,
the investigating officer shall determine
whether or not there is sufficient ground to
hold the respondent for trial [Sec. 3(f), Rule
112, as amended by A.M. No. 05-8-26-SC].
Note: Not receiving a copy of affidavits of a co-
respondent does not deny a respondent his
right to due process, since the Rules of
only require that a respondent be furnished a
copy of the complainant’s affidavit and other
supporting documents. In addition, the the
constitutional right of an accused to confront
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the witnesses against him does not apply to
preliminary investigation. [Estrada v.
Ombudsman, G.R. No. 212140-41 (2015)]
4. Resolution of the
Investigating Prosecutor
Updated rules as of 13 Feb 2023:
No case shall be filed with the First Level
Courts if there is no reasonable certainty of
conviction for the same. (Sec. 9, DOJ Circular
No. 16, 20 Feb 2023)
There is reasonable certainty of conviction
when a prima facie case exists based on the
evidence-at-hand including
but not limited to witnesses, documentary
evidence, real evidence, and the like, and such
evidence, on its own and if left uncontroverted
by accused, shall be sufficient to establish all
the elements of the crime or offense charged,
and consequently warrant
a conviction beyond reasonable doubt. (Sec. 2,
DOJ Circular No. 16, 20 Feb 2023)
Updated rules as of 31 March 2023:
Prosecutors must ensure the existence of a
prima facie case and a reasonable certainty of
conviction based on available documents,
witness/es, real evidence and the like. Prima
facie evidence is such status of evidence which
on its own and if left uncontroverted, is
sufficient to establish all the elements of a
crime.
(Sec. 2, DOJ Circular No. 20, 31 March 2023)
Appeal to Secretary of Justice
The resolution of the Chief State Prosecutor,
Regional State Prosecutor and Provincial/City
Prosecutors may be appealed before the
Secretary of Justice within 15 days from receipt
of the resolution, or of the denial of the motion
for reconsideration/reinvestigation. This is
done through a verified petition for review
[Secs. 2-4, DOJ Circular No. 70 (2000)].
Unless the Secretary of Justice directs
otherwise, the appeal shall not hold the filing of
the corresponding information in court on the
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basis of the finding of probable cause in the
appealed resolution [Sec. 9, supra]
The appellant and trial prosecutor shall see to
it that, pending resolution of the appeal, the
proceedings in court are held in abeyance
[supra].
General Rule: All petitions for review of
resolutions of Provincial/City Prosecutors in
cases cognizable by the MTC, MeTC, MCTC
shall be filed with the Regional State
Prosecutor.
Affirmed in Porto v. GITT, G.R. No. 257446, 12
October 2022. No further appeals to OSJ from
RSP.
Exception: Cases in NCR. [DOJ Department
Circular No. 70-A (2000)]
The Secretary of Justice may review
resolutions of the Regional State Prosecutors
in appealed cases [supra].
5. Review
A reading of the foregoing provisions [of DOJ
Circular No. 70 and 70-A) shows that the
prevailing appeals process in the NPS with
regard to complaints subject of preliminary
investigation would depend on two factors,
namely: where the complaint was filed, i.e.,
whether in the NCR or in the provinces; and
which court has original jurisdiction over the
case, i.e., whether or not it is cognizable by the
MTCs/MeTCs/MCTCs. Thus, the rule shall be
as follows:
(a) If the complaint is filed outside the NCR and
is cognizable by the MTCs/MeTCs/MCTCs, the
ruling of the OPP may be appealable by way of
petition for review before the ORSP, which
ruling shall be with finality;
(b) If the complaint is filed outside the NCR and
is not cognizable by the MTCs/MeTCs/MCTCs,
the ruling of the OPP may be appealable by
way of petition for review before SOJ, which
ruling shall be with finality;
(c) If the complaint is filed within the NCR and
is cognizable by the MTCs/MeTCs/MCTCs, the
ruling of the OCP may be appealable by way of
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petition for review before the Prosecutor
General, whose ruling shall be with finality;
(d) If the complaint is filed within the NCR and
is not cognizable by the MTCs/MeTCs/MCTCs,
the ruling of the OCP may be appealable by
way of petition for review before the SOJ,
whose ruling shall be with finality;
(e) Provided, that in instances covered by (a)
and (c), the SOJ may, pursuant to his power of
control and supervision over the entire National
Prosecution Service, review, modify, or reverse
the ruling of the ORSP or the Prosecutor
General, as the case may be. [Cariaga v.
Sapigao, G.R. No. 223844, 28 June 2017]
Remedies to Review the Resolution of the
Investigation Officer
1. Filing an appeal with the investigating
officer.
Note: The appeal does not prevent the filing of
the corresponding information in court based
on the finding of probable cause in the
appealed resolution, unless the Secretary of
Justice directs otherwise, but the appellant and
the prosecutor shall see to it that, pending
resolution of the appeal, the proceedings in
court are held in abeyance [Section 9, DOJ
Circular No. 70 (2000)].
2. Petition for review to the SOJ, who may
review the resolutions of his subordinates in
criminal cases despite the information being
filed in court [Community Rural Bank of
Guimba v. Talavera, A.M. No. RTJ-05-1909
(2005); See DOJ Circular No. 70-A. Except in
NCR, no appeal to SOJ but to RSP instead;
decision of RSP is final.]
Note: The party filing a petition for review is
allowed to file a motion for the suspension of
the arraignment [Sec. 11(c), Rule 116].
3. If the SOJ decision is adverse to the
appealing party, such decision is appealable
administratively before the Office of the
President and the decision of the latter may be
appealed before the CA pursuant to Rule 43
[De Ocampo v. Sec. of Justice, G.R. No.
147932 (2006)].
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Note: Under Memorandum Circular No. 58
(2003), no appeals from or petitions for review
of decisions/orders/resolutions of the Secretary
of Justice on preliminary investigations shall be
entertained by the Office of the President,
except those involving offenses punishable by
reclusion perpetua to death [Angeles v. Gaite,
G.R. No. 176596 (2011)].
4. The resolution of the Secretary of Justice
may also be reviewed by the Court of Appeals
through a petition for certiorari under Rule 65
of the Rules of Court, solely on the ground that
the SOJ committed grave abuse of discretion
amounting to lack of jurisdiction [Argovan v.
San Miguel Corporation, G.R. No. 188767
(2013)].
5. In criminal cases, the ruling of the
Ombudsman shall be elevated to the Supreme
Court by way of Rule 65, solely under the
ground of grave abuse of discretion [Villanueva
v. Ople, G.R. No. 165125 (2005)].
E. Arrest (Rule 113)
1. How Arrest is Made
Definition
Arrest is the taking of a person into custody in
order that he may be bound to answer for the
commission of an offense [Sec. 1, Rule 113]
How Made
a. by actual restraint of a person to be arrested;
b. by his submission to the custody of the
person making the arrest [Sec. 2(1), Rule 113]
Application of actual force, manual touching of
the body, physical restraint or a formal
declaration of arrest is not required. It is
enough that there be an intent on the part of
one of the parties to arrest the other and an
intent on the part of the other to submit, under
the belief and impression that submission is
necessary [Sanchez v. Demetriou, G.R. No.
111771 (1993)]
No violence or unnecessary force shall be used
in making an arrest [Sec. 2(2), Rule 113]
An arrest may be made on any day and at any
time of the day or night [Sec. 6, Rule 113]
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2. Arrest without Warrant; When
Lawful
General Rule: No peace officer or person has
the power or authority to arrest anyone without
a warrant except in those cases expressly
authorized by law [Umil v. Ramos, G.R. No.
81567 (1991)]
a. Rights of Persons Arrested,
Detained or Under Custodial
Investigation
a. Any person arrested, detained or under
custodial investigation shall at all times be
assisted by counsel.
b. Any public officer or employee, or anyone
acting under his order or his place, who
arrests, detains or investigates any person
for the commission of an offense shall
inform the latter, in a language known to and
understood by him, of his rights to remain
silent and to have competent and
independent counsel, preferably of his own
choice, who shall at all times be allowed to
confer privately with the person arrested,
detained or under custodial investigation. If
such person cannot afford the services of
his own counsel, he must be provided with
a competent and independent counsel by
the investigating officer.
c. The custodial investigation report shall be
reduced to writing by the investigating
officer, provided that before such report is
signed, or thumbmarked if the person
arrested or detained does not know how to
read and write, it shall be read and
adequately explained to him by his counsel
or by the assisting counsel provided by the
investigating officer in the language or
dialect known to such arrested or detained
person, otherwise, such investigation report
shall be null and void and of no effect
whatsoever.
d. Any extrajudicial confession made by a
person arrested, detained or under
custodial investigation shall be in writing
and signed by such person in the presence
of his counsel or in the latter's absence,
upon a valid waiver, and in the presence of
any of the parents, elder brothers and
sisters, his spouse, the municipal mayor,
the municipal judge, district school
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supervisor, or priest or minister of the
gospel as chosen by him; otherwise, such
extrajudicial confession shall be
inadmissible as evidence in any
proceeding.
e. Any waiver by a person arrested or detained
under the provisions of Article 125 of the
Revised Penal Code, or under custodial
investigation, shall be in writing and signed
by such person in the presence of his
counsel; otherwise the waiver shall be null
and void and of no effect.
f. Any person arrested or detained or under
custodial investigation shall be allowed
visits by or conferences with any member of
his immediate family, or any medical doctor
or priest or religious minister chosen by him
or by any member of his immediate family
or by his counsel, or by any national non-
governmental organization duly accredited
by the Commission on Human Rights or by
any international non-governmental
organization duly accredited by the Office of
the President. The person's "immediate
family" shall include his or her spouse,
fiancé or fiancée, parent or child, brother or
sister, grandparent or grandchild, uncle or
aunt, nephew or niece, and guardian or
ward [RA 7438].
b. DOJ Circular 61
When a person is lawfully arrested without a
warrant involving an offense which requires a
preliminary investigation, the complaint or
information may be filed by a prosecutor
without need of such investigation provided an
inquest has been conducted in accordance
with existing rules. In the absence or
unavailability of an inquest prosecutor, the
complaint may be filed by the offended party or
by a peace officer directly with the proper court
on the basis of the affidavit of the offended
party or arresting officer or person.
Before the complaint or information is filed, the
person arrested may ask for a preliminary
investigation in accordance with this Rule, but
he must sign a waiver of the provisions of
Article 125 of the RPC, as amended, in the
presence of his counsel. Notwithstanding the
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waiver, he may apply for bail and the
investigation must be terminated within 15
days from its inception.
After the filing of the complaint or information in
court without a preliminary investigation, the
accused may within 5 days from the time he
learns of its filing, ask for a preliminary
investigation with the same right to adduce
evidence in his defense as provided in this Rule
[Sec. 6, DOJ Circular 61].
Exceptions:
a. In flagrante delicto [Sec. 5(a), Rule 113]
b. Hot pursuit arrest [Sec. 5(b), Rule 113]
c. Arrest of escaped prisoner [Sec. 5(c), Rule
113]
d. Other lawful warrantless arrests
1. If a person lawfully arrested escapes or
is rescued, any person may immediately
pursue or retake him without a warrant at
any time and in any place within the
Philippines [Sec. 13, Rule 113]
2. For the purpose of surrendering the
accused, the bondsmen may arrest him
or, upon written authority endorsed on a
certified copy of the undertaking, cause
him to be arrested by a police officer or
any other person of suitable age and
discretion [Sec. 23, Rule 114]
3. An accused released on bail may be re-
arrested without the necessity of a
warrant if he attempts to depart from the
Philippines without permission of the
court where the case is pending [Sec. 23,
Rule 114]
Note: A legitimate warrantless arrest
necessarily includes the authority to validly
search and seize from the offender (1)
dangerous weapons, and (2) those that may be
used as proof of the commission of an offense
[People v. Montilla, G.R. No. 123872, (1998)]
Where a warrantless arrest is made under the
in flagrante and hot pursuit exceptions, the
person arrested without a warrant shall be
forthwith delivered to the nearest police station
or jail and shall be proceeded against in
accordance with Sec. 7 of Rule 112 [Sec. 5,
2nd par., Rule 113]
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General Rule: PI is required to be conducted
before a complaint/information is filed for an
offense where the penalty prescribed by law is
at least 4 years, 2 months and 1 day, without
regard to the fine [Sec. 1, Rule 112, as
amended by A.M. No. 05-8-26-SC]
Exception: When a person is lawfully arrested
without a warrant involving an offense that
requires a PI, a complaint/information may be
filed without conducting the PI if the necessary
inquest is conducted.
3. Requisites of a Valid Warrant of
Arrest
Essential Requisites
The warrant must:
a. Be issued upon probable cause determined
personally by the judge after examination
under oath or affirmation of the complainant
and the witnesses he may produce; and
b. Particularly describe the person to be
arrested
[Sec. 2, Art. III, Const.]
When Issued
A judge issues a warrant of arrest upon the
filing of the information by the public prosecutor
and after personal evaluation by the judge of
the prosecutor’s resolution and supporting
evidence [Sec. 5(a), Rule 112, as amended by
A.M. No. 05-8-26-SC]
The judge does not have to personally examine
the complainant and his witnesses.
Established doctrine provides that it is
sufficient for the fiscal to provide supporting
documents regarding the existence of probable
cause:
a. If the judge finds probable cause, he shall
issue a warrant of arrest, or
b. If he finds no probable cause, he may
disregard the fiscal’s report and require the
submission of supporting affidavits of
witnesses [People v. Gray, G.R. No. 180109
(2010); AAA v. Carbonell, G.R. No. 171465
(2007)]
When Warrant of Arrest is Not Necessary
A warrant of arrest shall not issue
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a. If the accused is already under detention the accused under custody, he may issue
pursuant to a warrant issued by the summons instead of a warrant of arrest [Sec.
municipal trial court in accordance with Sec. 8(b), Rule 112, as amended by A.M. No. 05-8-
5(b) of Rule 112; or 26-SC]
b. If the complaint or information
1. was filed pursuant to Sec. 6 of Rule 112 4. Determination of Probable Cause
or
for Issuance of Warrant of Arrest
2. is for an offense penalized by fine only
[Sec. 5(c), Rule 112, as amended by
Probable cause, in connection with the
A.M. No. 05-8-26-SC]
issuance of a warrant of arrest, assumes the
existence of facts and circumstances that
Note: If complaint or information is filed with the
would lead a reasonably discreet and prudent
MTC judge, and the judge finds probable
man to believe that a crime has been
cause, he shall issue a warrant of arrest, or a
committed and that it was likely committed by
commitment order if the accused had already
the person sought to be arrested [People v.
been arrested. However, if the judge is
Tan, G.R. No. 182310 (2009)] [See D.3, supra]
satisfied that there is no necessity for placing

In Flagrante Delicto
Hot Pursuit Arrest Arrest of Escaped Prisoner
Arrest

A peace officer or a A peace officer or a A peace officer or a private

private person may,
without warrant, arrest a
person when, in his
presence, the person to
be arrested:
1. Has committed
2. Is actually committing,
or
3. Is attempting to commit
an offense [Sec. 5(a),
Definition
Rule
113]
private person may, person may, without warrant,
without warrant, arrest a arrest a person when the
person when an offense person to be arrested is a
has just been committed prisoner who has escaped
1.
and the officer or private from a penal establishment or
person has probable place where he is serving final
cause to believe, based judgment or temporarily
on personal knowledge of confined while his case is
facts or circumstances pending; or
that the person to be 2. While being transferred from
arrested has committed it one confinement to another
[Sec. 5(b), Rule 113] [Sec. 5(c), Rule 113]

Escapee may be immediately

pursued or re-arrested without
a warrant at any time and in
any place within the
Philippines [Sec. 13, Rule
113]

[OA-PVAO] C-PK] N/A

1. The person to be 1. An offense has just been
arrested must execute an Committed.
•
Overt Act indicating that There must be a large
he has just committed, is measure of immediacy
Requisites actually committing, or is between the time the
attempting to commit a offense was committed
crime, and and the time of the arrest.
2. Such overt act is done in If there was an
the Presence or within appreciable lapse of time
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In Flagrante Delicto
Arrest
the View of the Arresting
Officer [Zalameda v.
People, G.R. No. 183656
(2009); People v. Laguio,
G.R. No. 128587 (2007)].
“In his presence”
means:
1. He sees the offense,
even though at a arrest
distance, or
2. He hears the
disturbances created by
the offense and proceeds
at once to the scene
[People v. Evaristo, G.R.
No. 93828 (1992)]
“Reliable information”
alone, absent any overt
act indicative of a
felonious enterprise in
the presence and within
the view of the arresting
officers, are not sufficient
to constitute probable
cause that would justify
Notes
an in flagrante delicto
arrest [People v. Molina,
G.R. No. 133917 (2001)]
F. Bail (Rule 114)
1. Nature
Definition
Bail is the security given for the release of a
person in custody of the law, furnished by him
or a bondsman, to guarantee his appearance
before any court as required under the
conditions hereinafter specified [Sec. 1, Rule
114]
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Hot Pursuit Arrest Arrest of Escaped Prisoner
between the arrest and
the commission of the
crime, a warrant of arrest
must be secured [People
v. del Rosario, G.R. No.
127755 (1999); People v.
Agojo , G.R. No. 181318
(2009)]; and
The person making the
has probable
cause to believe, based
on Personal Knowledge
of facts and
circumstances, that the
person to be arrested has
committed it.
Personal knowledge Rationale
does not require actual At the time of arrest, the
presence at the scene escapee is in continuous
while a crime was being commission of a crime (i.e.,
committed; it is enough evasion of service of
that evidence of the sentence). [Parulan v.
recent commission of the Director of Prisons, G.R. No.
crime is patent and the L-28519 (1968)]
police officer has
probable cause to believe
based on personal
knowledge of facts or
circumstances, that the
person to be arrested has
recently committed the
crime [Pestilos v.
Generoso, G.R. No.
182601 (2014)]
Purposes
a. To relieve an accused from
imprisonment until his conviction and yet
secure his appearance at the trial [People v.
Hon. Donato, G.R. No. 79269 (2011) & Enrile
v. Sandiganbayan, G.R. No. 213847 (2016)]
b. To honor the presumption of innocence
until his guilt is proven beyond reasonable
doubt [Sec. 14, Art. III, Constitution]; and
c. To enable him to prepare his defense
without being subject to punishment prior to
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conviction [Cortes v. Judge Catral, A.M. No.
RTJ-97-1387 (1997)]
A person is allowed to petition for bail as soon
as he is deprived of his liberty by virtue of his
arrest or voluntary surrender. An accused need
not wait for his arraignment before filing a
petition for bail [Serapio v. Sandiganbayan,
G.R. No. 148468 (2003)]
Requirement of Custody
General rule: Custody of the law is required
before the court can act on an application for
bail [Miranda v. Tuliao, G.R. No. 158763
(2006)]
Exceptions: Custody is not required in cases
of witnesses posting bail:
a. When bail is required to guarantee the
appearance of a material witness [Sec. 14,
Rule 119];
b. When bail is required to guarantee the
appearance of a prosecution witness in cases
where there is substitution of the information
[Sec. 14, Rule 110]
Forms of Bail
1. Corporate surety
2. Property bond
3. Cash deposit
4. Recognizance
Recognizance is a mode of securing the
release of any person in custody or detention
for the commission of an offense who is unable
to post bail due to abject poverty. The court
where the case of such person has been filed
shall allow the release of the accused on
recognizance as provided herein, to the
custody of a qualified member of the barangay,
city or municipality where the accused resides.
[Sec. 3, R.A. 10389, or the Recognizance Act
of 2012]
RA 10389 guarantees the right of one deemed
as an indigent to be released on recognizance
except for those charged with crimes
punishable by death, reclusion perpetua, or life
imprisonment.
Recognizance has increased in significance
because of DOJ Circular No. 11 (February 20,
2023), which provides that all prosecutors in
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the Department shall henceforth consider the
financial capacity of the accused when
recommending the amount of bail in criminal
informations for filing in court, in accordance
with the following guidelines and shall faithfully
comply with RA 10389 or the Recognizance
Act of 2012 whenever applicable.
2. When a Matter of Right; Exceptions
Bail as a Matter of Right
1. Before or after conviction, but pending
appeal, by the first-level courts;
2. Before conviction by RTC of an offense not
punishable by death, reclusion perpetua, or
life imprisonment [Sec. 4, Rule 114]
Bail as a Matter of Right. — All children in
conflict with the law shall be admitted to bail as
a matter of right before final conviction of an
offense not punishable by reclusion perpetua
or life imprisonment [Rule on Juveniles in
Conflict with the Law, Sec. 27, A.M. No. 02-1-
18-SC (2009)]
When Bail Not a Matter of Right. — No child
charged with an offense punishable by
reclusion perpetua or life imprisonment shall be
admitted to bail when evidence of guilt is
strong. In this case, the court shall commit the
child to a youth detention home or youth
rehabilitation center, or in the absence thereof,
to the care of a provincial, city or municipal jail
as provided for in Section 27 of this Rule, which
shall be responsible for the appearance of the
child in court whenever required.||| (Rule on
Juveniles in Conflict with the Law, Sec. 28,
A.M. No. 02-1-18-SC, (2009)]
Exceptions
1. The primary purpose of granting bail was to
ensure that the petitioner would appear
during trial and submit themselves to the
jurisdiction of the proper court without
denying them of their pre-trial liberty [Enrile
v. Sandiganbayan, G.R. No. 213847 (2016)]
2. It is not necessary to wait for the trial to finish
before consideration of application for bail
can be had, because there may be
circumstances decisive of the issue of bail
— whose existence is either admitted by the
Prosecution, or is properly the subject of
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judicial notice, which the courts can already
consider in resolving the application for bail
without awaiting the trial to finish.
In the case at hand, factors such as Enrile’s
health, advanced age, social standing,
length of public service were considered
[Enrile v. Sandiganbayan, G.R. No. 213847
(2015)]
3. As a rule, all persons charged with a criminal
offense have the right to bail. However,
persons charged with an offense
punishable by reclusion perpetua cannot
avail of this right if the evidence of guilt is
strong [Recto v. People (J. Caguioa), G.R.
No. 236461, 5 December 2018]
Bail on Offenses Where Minors are
Accused
For purposes of recommending the amount of
bail, the privileged mitigating circumstance of
minority shall be considered. [Sec. 34, R.A
9344]
Where a child is detained, the court shall order
a. the release of the minor on recognizance to
his/her parents and other suitable person;
b. the release of the child in conflict with the
law on bail; or
c. the transfer of the minor to a youth detention
home/youth rehabilitation center
Exception: When the offense involved is a
capital offense, admission to bail may only be
denied when evidence of guilt is strong. [Sec.
5, Rule 114]
Capital Offense
A capital offense is an offense which under the
law existing at the time of commission and of
the application for admission to bail is
punishable by death [Sec. 6, Rule 114]
The capital nature of the offense is determined
by the penalty prescribed by law and not the
one actually imposed [Riano, 335, 2016 Ed.,
citing Bravo v. De Borja, G.R. No. L-65228
(1985)]
Note: R.A. 9346 (An Act Prohibiting the
Imposition of Death Penalty in the Philippines)
enacted on June 24, 2006 (which repealed
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R.A. 8177 and R.A. 7659) prohibited the
imposition of the death penalty.
Extradition Proceedings
General Rule: Right to bail is available only in
criminal proceedings and does not apply to
extradition proceedings because extradition
courts do not render judgments of conviction or
acquittal [Gov. of USA v. Purganan and
Jimenez, G.R. No. 148571 (2002)]
Exception: Only upon clear and convincing
evidence:
a. That once granted, the applicant will not be
flight risk or will not pose danger to the
community; and
b. That there exists special humanitarian and
compelling circumstances [Gov. of USA v.
Purganan and Jimenez, G.R. No. 148571
(2002)]
Exception to the Exception: When the
accused is a minor, he is entitled to bail
regardless of whether the evidence of guilt is
strong
Note: Bail is a matter of discretion in extradition
proceedings [Govt. of HK Special
Administrative Region v. Olalia, G.R. No.
153675 (2007)]
When Not Available
Right to bail is not available:
a. After a judgment of conviction has become
final; if he applied for probation before
finality, he may be allowed temporary liberty
under his bail;
b. After the accused has commenced to serve
his sentence [Sec. 24, Rule 114]
c. To military personnel accused under
general courts martial [Comendador v. de
Villa, G.R. No. 93177 (1991)]
3. When a Matter of Discretion
Upon conviction by the RTC of an offense not
punishable by death, reclusion perpetua, or life
imprisonment, admission to bail is
discretionary. [Sec. 5, Rule 114]
The application for bail may be filed in and
acted upon by the RTC despite the filing of
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notice of appeal, provided that it has not
transmitted the original record to the appellate
court. [Sec. 5, Rule 114]
If the RTC decision changed the nature of the
offense from non-bailable to bailable, the
application for bail can only be filed with and
resolved only by the appellate court. [Sec. 5,
Rule 114]
If the conviction by the trial court is for a capital
offense, the accused convicted of a capital
offense is no longer entitled to bail, and can
only be released when the conviction is
reversed by the appellate court. [Sec. 13,
Article III, Const.]
If the penalty imposed by the trial court is
imprisonment exceeding 6 years, the accused
shall be denied bail or his bail shall be
cancelled upon showing by the prosecution,
with notice to the accused, of any of the
following [Sec. 5, Rule 114]:
a. Recidivism, quasi-recidivism, or habitual
delinquency or commission of a crime
aggravated by reiteration of the accused
b. The accused previously escaped from legal
confinement, evaded sentence or violated
bail conditions without valid justification
c. Commission of offense while under
probation, parole or conditional pardon
REMEDIAL LAW
d. Probability of flight;
e. Undue risk of the commission of another
crime during the pendency of the appeal
[Sec. 5, Rule 114]
Upon conviction of the RTC, the bail posted
earlier as a matter of right loses its force and
the accused must file a new and separate
petition for bail.
In deportation proceedings, bail is
discretionary upon the Commissioner of
Immigration and Deportation [Harvey v.
Defensor-Santiago, G.R. No. 82544 (1990)]
Note: In Enrile v. People [G.R. No. 213847
(2015)], the Court ruled that an accused should
be granted bail if it is shown that: (1) the
detainee will not be a flight risk or a danger to
the community; and (2) there exist special,
humanitarian, and compelling circumstances.
The SC further explained that bail for the
provisional liberty of the accused, regardless of
the crime charged should be allowed
independently of the merits charged, provided
his continued incarceration is injurious to his
health and endanger his life.

COURT Before After Conviction Where to File

Conviction Pending Action

MTC (before the

records are
MTC Right Right
elevated; else,
RTC)

Discretionary if the penalty imposed by

RTC (before the
the trial court does not exceed 6 years.
records are
However, if the penalty imposed
Non- elevated; except if
Right exceeds 6 years or if the prosecution
capital offense is
proves that the circumstances
downgraded, then
RTC enumerated in Sec. 5, Rule 114 exist,
CA
bail will be denied or cancelled.

Discretionary,
Capital when evidence of Cannot be granted bail N/A
guilt is not strong
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4. Hearing of Application for
Bail in Capital Offenses
In general
At the hearing of an application for bail filed by
a person in custody for the commission of an
offense punishable by reclusion perpetua or life
imprisonment, the prosecution has the
burden of showing that evidence of guilt is
strong [Sec. 8, Rule 114].
Evidence of guilt in the Constitution and the
Rules refers to a finding of innocence or
culpability, regardless of the modifying
circumstances [Bravo v. De Borja, G.R. No. L-
65228 (1985)].
Duties of judge hearing the petition for bail
when capital offenses are involved
1. In all cases whether bail is a matter of right
or discretion, notify the prosecutor of the
hearing of the application for bail or require him
to submit his recommendation [Sec. 18, Rule
114]
2. Where bail is a matter of discretion, conduct
a hearing of the application for bail regardless
of whether or not the prosecution refuses to
present evidence to show that the guilt of the
accused is strong for the purpose of enabling
the court to exercise its sound discretion [Sec.
7-8, Rule 114]
3. Decide whether the guilt of the accused is
strong based on the summary of evidence of
the prosecution
4. If the guilt of the accused is not strong,
discharge the accused upon the approval of
the bail bond [Sec. 19, Rule 114]. Otherwise,
the petition should be denied [Gacal v. Infante,
A.M. No. RTJ-04-1845 (2011)].
Note: Evidence presented during the bail
hearing are automatically reproduced at the
trial, but upon motion of either party, the court
may recall any witness for additional
examination unless the latter is dead, outside
the Philippines, or otherwise unable to testify
[Sec. 8, Rule 114].
Note: If an accused charged with murder and
previously denied bail is able to establish
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during trial (such as, through a demurrer to
evidence) that the evidence of the prosecution
is sufficient to convict him only for a non-capital
offense (such as homicide), then it is the duty
of the trial court to fix bail. [Recto v. People,
G.R. No. 236461, December 5, 2008]
G. Arraignment and Plea (Rule
116)
Arraignment
It is the stage where issues are joined and
without which the proceedings cannot advance
further or, if held, will otherwise be void [People
v. Albert, G.R. No. 114001 (1995)].
The accused must be informed of:
1. The reason for the indictment
2. The specific charges the accused is bound
to face
3. The corresponding penalty for the charges
Rationale
Its importance is based on the constitutional
right of the accused to be informed. It is at this
stage that the accused, for the first time, is
given the opportunity to know the precise
charge that confronts him [Kummer v. People,
G.R. No. 174461 (2013)]
Plea
Pertains to the matter which the accused, on
his arraignment, alleges in answer to the
charge against him.
1. Searching Inquiry
(See People v. Pagal, G.R. No. 241257,
September 29, 2020)
A searching inquiry means more than
informing cursorily the accused that he faces a
jail term but so also, the exact length of
imprisonment under the law and the certainty
that he will serve time at the national
penitentiary or a penal colony [People v. Bello,
G.R. No. 130411-14 (1999)]
The procedure in Sec. 3, Rule 116, when the
accused pleads guilty to a capital offense,
 FOR UP CANDIDATES ONLY
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is mandatory. [Riano 407, 2016 Ed., citing
People v. Oden, G.R. No. 155511-22 (2004)]
The plea must be clear, definite and
unconditional. It must be based on a free and
informed judgment.
A plea of guilty to a capital offense can be held
null and void where the trial court
has inadequately discharged the duty of
conducting the prescribed "searching inquiry”
[People v. Durango, G.R. Nos. 135438-39
(2000)]
Rationale
This is to enjoin courts to proceed with more
care where the possible punishment is in its
severest form and to avoid improvident pleas
of guilt [People v. Samontanez, G.R. No.
134530 (2000)]
Guidelines for Conducting a Search Inquiry
a. Ascertain from the accused himself:
1. How he was brought into the custody of
the law
2. Whether he had the assistance of a
competent counsel during the custodial
and preliminary investigations, and
3. Under what conditions he was detained
and interrogated during the
investigations.
b. Ask the defense counsel a series of
questions as to whether he had conferred
with, and completely explained to, the
accused the meaning and consequences of
a plea of guilty.
c. Elicit information about the personality
profile of the accused (age, socio-economic
status, and educational background) which
may serve as a trustworthy index of his
capacity to give a free and informed plea of
guilty.
d. Inform the accused the exact length of
imprisonment or nature of the penalty under
the law and the certainty that he will serve
such sentence.
e. Inquire if the accused knows the crime with
which he is charged and fully explain to him
the elements of the crime which is the basis
of his indictment.
f. All questions posed to the accused should
be in a language known and understood by
the latter.
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g. The trial judge must satisfy himself that the
accused, in pleading guilty, is truly guilty.
The accused must be required to narrate
the tragedy or reenact the crime or furnish
its missing details [People v. Pastor, G.R.
No. 140208 (2002)]
2. Improvident Plea
An improvident plea is one without proper
information as to all the circumstances
affecting it; based upon a mistaken assumption
or misleading information/advice [Black’s Law
Dictionary]
Effect of an Improvident Plea
General Rule: Plea of guilty should not be
accepted should not be held to be sufficient to
sustain a conviction in the following cases:
1. If the accused does not clearly and fully
understand the nature of the offense
charged
2. If he is not advised as to the meaning and
effect of the technical language often used
in formal complaints and information in
qualifying the acts constituting the offense,
or
3. If he does not clearly understand the
consequences by way of a heavy and even
a capital penalty flowing from his admission
of his guilt of the crime [People v. De
Ocampo Gonzaga, G.R. No. L-48373
(1984)]
Exception: If the accused appears guilty
beyond reasonable doubt from the evidence
adduced by the prosecution and defense
When Improvident Plea May be Withdrawn
At any time before judgment of conviction
becomes final, the court may permit an
improvident plea of guilty to be withdrawn and
be substituted by a plea of not guilty [Sec. 5,
Rule 116]
The withdrawal of a plea of guilty is not a matter
of right of the accused but of sound discretion
of the trial court [People v. Lambino, G.R. No.
L-10875 (1958)]
The reason for this is that trial has already
begun and the withdrawal of the plea will
change the theory of the case and put all past
proceedings to waste.
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Moreover, at this point, there is a presumption
that the plea was made voluntarily.
H. Motion to Quash (Rule 117)
1. Grounds
In general
a. Facts charged do not constitute an offense;
b. Court trying the case has no jurisdiction
over the offense charged;
c. Court trying the case has no jurisdiction
over the person of the accused;
d. officer who filed the information had no
authority to do so;
e. The information does not conform
substantially to the prescribed form; (e.g. if
there is no certification)
f. More than one offense is charged, except
when a single punishment for various
offenses is prescribed by law;
g. Criminal action or liability has been
extinguished;
h. Averments which, if true, would constitute a
legal excuse or justification;
i. Accused has been previously convicted or
acquitted of the offense charged, or the
case against him was dismissed or
otherwise terminated without his express
consent.
[Sec. 3, Rule 117]
The following grounds are exclusive. [Galzote
v. People, G.R. No. 164682 (2011)]
Note: While possibly an obiter dictum, the
Court in an en banc decision has held that “the
accused may move to quash an information on
constitutional grounds, based on the theory
that there can be no crime if there is no law,
the law being invalid (nullum crimen sine lege)"
[Fuentes v. Senate, G.R. No. 208162 (2020)].
Waiver of Grounds
General Rule: Failure of the accused to assert
any ground on a MTQ before he pleads, either
because he did not file MTQ or failed to allege
said ground in the MTQ shall be deemed a
waiver of any objections
Exceptions [OJ-AL-CJA]:
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a. Facts charged do not constitute an Offense
b. Court trying the case has no Jurisdiction
over the offense charged
c. Criminal Action or Liability has been
Extinguished
d. Accused has been previously Convicted, or
in Jeopardy of being convicted, or Acquitted
of the offense charged [Sec. 9, Rule 117]
e. Officer who filed information had no
authority to do so [Quisay v. People, G.R.
No. 216920 (2016)]
Note: In cases covered by the Rules on
Summary Procedure, MTQ is allowed only if
made on the grounds of lack of jurisdiction over
the subject matter or failure to comply with
barangay conciliation proceedings [Sec. 19,
Rules on Summary Procedure]
a. Facts charged do not constitute an
offense
Where it is clear that the information does not
really charge an offense, the case against
the accused must be dropped immediately
[Dela Chica v. Sandiganbayan, G.R. No.
144823 (2003)]
The prosecution shall be given by the court an
opportunity to correct the defect by
amendment. The motion shall be granted if the
prosecution fails to make the amendment, or
the complaint or information still suffers from
the same defect despite the amendment. [Sec.
4, Rule 117]
b. Court has no jurisdiction over the
offense charged
In a criminal prosecution, the place where the
offense was committed not only
determines venue, but is an essential element
of jurisdiction [Sec. 15, Rule 110; Lopez v. City
Judge, G.R. No. L-25795 (1966)]
In private crimes, the complaint of the
offended
party is necessary to confer authority to the
court [Donio-Teves v. Vamenta Jr., G.R. No. L-
38308 (1984)]
 FOR UP CANDIDATES ONLY
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c. Court has no jurisdiction over the
person of the accused
When the accused files a MTQ based on this
ground, he must do so only on this ground. If
he raises other grounds, he is deemed to have
submitted his person to the jurisdiction of the
court [Sanchez v. Demetriou, G.R. No. L-
11171-77 (1993)]
d. Officer who filed the information
had no authority to do so
Authority to file and prosecute criminal cases
is vested in:
1. Prosecutor
1. There is no need for the prosecutor to
secure a prior written authority or
approval of the provincial or city
prosecutor or chief state prosecutor or
the Ombudsman or his deputy in order to
conduct PI of an offense and file an
Information. [Gomez v. People, G.R. No.
216824 (2020)]
2. The lack of prior written authority or
approval of the handling prosecutor:
• does not affect the acquisition
jurisdiction by the trial court
• does not affect the trial court’s
jurisdiction over the accused or the
subject matter of the case
• is a defect that may be waived by the
accused. [Gomez v. People, G.R. No.
216824 (2020)]
2. Any peace officer, or public officer charged
with the enforcement of the law, in Municipal
Trial Courts or Municipal Circuit Trial Courts
when the prosecutor assigned thereto or to
the case is not available [Sec. 5, Rule 110]
3. Commission on Elections regarding
violations of election laws [Sec. 2(6), Art. IX-
C, Constitution]
4. By the graft investigating officer for any
information filed in the Sandiganbayan, with
prior approval of the Ombudsman
5. By duly deputized prosecutors and legal
officers of the COMELEC for election
offenses [Sec. 265, Art. XXII, Omnibus
Election Code]
A procedural infirmity regarding legal
representation is only a defect which shouldn't
result in the quashing of an Information. Also,
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the trial courts do not have the power to quash
an Information without a motion by the
Accused. [Gomez v. People, G.R. No. 216824
(2020)]
e. Complaint or information does not
conform substantially to the
prescribed form
The formal and substantial requirements are
provided for in Secs. 6-12, Rule 110.
General Rule: Lack of substantial compliance
renders the accusatory pleading nugatory.
Exception: Mere defects in matter of form may
be cured by amendment [Sec. 4, Rule 117]
Vague or broad allegations are generally not
grounds for a MTQ. The correct remedy is to
file for a bill of particulars [Sec. 9, Rule 116;
Enrile v. People, G.R. No. 213455 (2015)]
The accused may, before arraignment, move
for a bill of particulars to enable him properly to
plead and prepare for trial. The motion shall
specify the alleged defects of the complaint or
information and the details desired [Sec. 9,
Rule 116]
f. More than one offense is charged
General Rule: A complaint or information must
charge only one offense [Sec. 13, Rule 110]
Exceptions:
1. When the law prescribes a single
punishment for various offenses [Sec. 13,
Rule 110]
2. Complex and compound crimes, except
where one offense was committed to
conceal another
3. An offense incidental to the gravamen of the
offense charged
4. A specific crime set forth in various counts,
each of which may constitute a distinct
offense
5. If the accused fails to object; the court may
convict as many as are charged and proved
and impose on him the penalty for each
(Rule 120, Section 3) [People v. Villamor,
G.R. No. 124441 (1998)]
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g. Criminal action or liability has been the accused in double jeopardy, except in the
extinguished following cases:
a. Insufficiency of the prosecution’s evidence
When criminal liability is extinguished: b. Denial of the right to a speedy trial [Almario
1. Death of the accused, but liability for v. CA, G.R. No. 127772 (2001)]
pecuniary penalties is extinguished only if
death occurs before final judgment; When dismissal constitutes acquittal
2. Service of sentence, which must be by Dismissal constitutes acquittal when it is
virtue of a final judgment and in the form granted:
prescribed by law; 1. Upon demurrer to evidence; [Riano 439,
3. Amnesty; 2016 Ed., citing People v. Tan, G.R. No.
4. Absolute pardon; 167526 (2010)]
5. Prescription of the crime; 2. Due to violation of right to speedy trial (even
6. Prescription of the penalty; if dismissal was upon motion of the accused
7. Pardon in private offenses or with his express consent) [Riano 439-
[Art. 89, RPC] 440, 2016 Ed., citing Andres v. Cacdac,
G.R. No. L-45650 (1982)]
h. Contains averments that if true
would constitute a legal excuse or Dismissal Acquittal
justification
Basis for Does not Always based
Examples:
action decide the on the merits.
1. Justifying circumstances [Art. 11, RPC]
case on the
2. Exempting circumstances [Art. 12, RPC]
merits. Defendant’s
3. Absolutory causes
guilt was not
Does not proven beyond
i. Accused has been previously determine reasonable
convicted or acquitted of the offense innocence doubt
charged, or the case against him was or guilt
dismissed or otherwise terminated
without his consent Does Double Double
double jeopardy will jeopardy
1. Double jeopardy jeopardy not always always
attach? attach attaches
See Double Jeopardy below.
See Provisional Dismissal below.
2. Dismissal without express consent
2. Double Jeopardy
This refers only to dismissal or termination
of the case. It does not Refer to Part the Double jeopardy presupposes that a first
conviction or acquittal [People v. Labatete, jeopardy has already attached prior to the
G.R. No. L-12917 (1960)] second and that the first has been terminated
because he has already been: (1) convicted;
If consent is not express, dismissal will be (2) acquitted; or (3) the case against him
regarded as final (i.e., with prejudice to refilling) terminated or dismissed without his express
[Caes v. IAC, G.R. Nos. 74989-90 (1989)] consent.
The right against double jeopardy prohibits the
The dismissal of a criminal case resulting in prosecution for a crime of which he has been
acquittal made with the express consent of the previously convicted or acquitted [Caes v. IAC,
accused or upon his own motion will not place G.R. No. 74989-90 (1989)]

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Purpose of the Rule against Double
Jeopardy
It guarantees that the state shall not be
permitted to make repeated attempts to convict
an individual for an alleged offense, thereby
subjecting him to embarrassment, expense
and ordeal and compelling him to live in a
continuing state of anxiety and insecurity.
Primarily, it prevents the State from:
1. Suing criminal processes as instrument to
harass the accused and wear him out by the
multitude of cases
2. Successively retrying the defendant in the
hope of securing a conviction
3. Successively retrying the defendant in the
hope of securing a greater penalty
RULE OF DOUBLE JEOPARDY
Requisites to Successfully Invoke Double
Jeopardy
a. A first jeopardy must have attached;
b. The first jeopardy must have been validly
terminated; and
c. The second jeopardy must be for the same
offense or the second offense necessarily
includes or is necessarily included in the
offense charged in the first information, or is
an attempt to commit the same or a
frustration thereof
[People v. Espinosa, G.R. Nos. 153714-20
(2003)]
Requisites for First Jeopardy to Attach
a. Valid indictment
b. Before a competent court;
c. Arraignment
d. A valid plea entered, and
e. The accused has been convicted or
acquitted, or the case dismissed or
otherwise validly terminated without his
express consent
[People v. Honrales, G.R. No. 182651 (2010)]
KINDS OF DOUBLE JEOPARDY
Double Jeopardy for the Same Offense
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However, a dictated, coerced, and scripted
verdict of acquittal is a void judgment. It neither
binds nor bars anyone [Galman v.
Sandiganbayan, G.R. No. 72670 (1986)]
Effect
The conviction or acquittal of the accused or
the dismissal of the case shall be a bar to
another prosecution
a. for the offense charged, or
b. for any attempt to commit the same or
frustration thereof, or
c. for any offense which necessarily includes
or is necessarily included in the offense
charged in the former complaint or
information
[Sec. 7, Rule 117]
Double jeopardy does not apply to these
cases:
1. Administrative Cases
• The dismissal of the criminal case does
not result in the dismissal of the
administrative case because there exists
a difference between the 2 remedies
2. When the same criminal act gives rise to
two or more separate and distinct offenses
3. Preliminary investigation (PI)
• A PI is merely inquisitorial. It is executive
in character and is not part of the trial;
hence, a PI is not a trial to which double
jeopardy attaches.
4. When the first offense was committed under
the RPC and the second was committed
under a special penal law
5. When two offenses are punished by two
separate penal laws
6. the mere filing of two informations charging
the same offense when there is not yet a
conviction, acquittal, or termination without
consent of any of the two cases [People v.
Pineda, G.R. L-44205 (1993)
Double Jeopardy When an
Act Punished by a Law and
an Ordinance
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There is identity between the two offenses not only
when the second offense is exactly the same as the
General first, but also when the second offense is an attempt
Rule to or frustration of or is necessarily included in the
offense charged in the first information. [Teehankee
Jr. v. Madayag, G.R. 103102 (1992)].
There can still be double
jeopardy although the first
offense is punishable under an
ordinance, while the second is
punishable under a law [Art. III,
Sec. 21, CONST.]

a. The graver offense developed due to

supervening facts arising from the same act or
omission constituting the former charge;
When an offense penalized by
b. The facts constituting the graver charge became
ordinance is, by definition,
known or were discovered only after a plea was
different from an offense
Exception entered in the former complaint or information;
penalized under a statute.
c. The plea of guilty to the lesser offense was made
[People v. Relova, G.R. No. L-
without the consent of the prosecutor and of the
45129 (1987)]
offended party except when offended party failed
to appear during such arraignment. [Sec 7, Rule
117]

Whether or not evidence that proves one likewise

Test proves the other. [People v. Ramos, G.R. No. L-
15958 (1961)]

3. Provisional Dismissal offenses punishable by imprisonment of

Provisional Dismissal
Provisional dismissal is dismissal without
prejudice to its being refiled or revived [Los
Baños v. Pedro, G.R. No. 173588 (2009)]
Cases are provisionally dismissed where there
has already been arraigned and the accused
consented to a provisional dismissal.
Requisites for a Provisional Dismissal
1. There must be express consent of the
accused; and
2. There must be notice to the offended party
[Sec. 8, Rule 117]
more than 6 years
[Sec. 8, Rule 117]
Note: The periods are reckoned from the date
or the order of dismissal
Exception to the Periods: The State may
revive beyond the periods provided there is a
justifiable necessity for the delay.
The Court is not mandated to apply Sec. 8
retroactively simply because it is favorable to
the accused. [People v. Lacson, G.R. No.
149453 (2003)]

Time-Bar Rule What to File

Dismissal becomes permanent: Motion for permanent dismissal [Prof. Sanidad]
a. One year after issuance of the order
without the case having been revived for The following are conditions sine qua non for
offenses punishable the application of the time-bar rule
1. by imprisonment not exceeding 6 years, a. The prosecution, with the express
or conformity of the accused, or the accused
2. by fine of any amount, or moves for the provisional (sin perjucio)
3. by both dismissal of the case; or both the
b. Two years after issuance of the order prosecution and the accused move for a
without the case having been revived for
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provisional dismissal of the case [Sec. 8,
Rule 117]
b. The offended party is notified of the motion
for the provisional dismissal of the case
c. The court issues an order granting the
motion and dismissing the case
provisionally
d. The public prosecutor is served with a copy
of the order of provisional dismissal of the
case
[People v. Lacson, G.R. No. 149453 (2003)]
A case may be revived by
a. Refiling of the information
b. Filing of a new information for the same
offense or one necessarily included in the
original offense charged
Requirement of Preliminary Investigation
upon Revival of Case
General Rule: Upon revival of the case, there
is no need for a new PI
Exceptions:
a. If the original witnesses have recanted their
testimonials or have died
b. If the accused is charged under a new
criminal complaint for the same offense
c. If the original charge is upgraded
d. If the criminal liability is upgraded from
accessory to principal
Procedure for Revival of Provisionally
Dismissed Cases [Revised Guidelines for
Continuous Trial of Criminal Cases, A.M.
No.15-06-10-SC]
Revival of provisionally dismissed cases shall
conform to the requisites and the periods
provided for under Sec. 8, Rule 117.
Provisional dismissal of offenses punishable
by imprisonment not exceeding six (6) years or
a fine of any amount or both shall become
permanent one (1) year after issuance of the
order without the case having been revived.
Provisional dismissal of offenses punishable
by imprisonment of more than six (6) years,
shall become permanent two (2) years after
the issuance of the order without the case
having been revived.
H. Pre-Trial (Rule 118)
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Its main objective is to achieve an expeditious
resolution of the case. This proceeding is
mandatory in criminal cases and is conducted
before trial. [Sec. 1, Rule 118]
1. Pre-Trial Agreement
Requirements
a. Reduced in writing;
b. Signed by the accused and counsel;
c. With approval of court if agreements
cover matters in Sec. 1, Rule 118
[Sec. 2, Rule 118]
Effects:
1. Constitutional right to present evidence is
waived [Rivera v. People, G.R. No. 163996
(2005)]
2. If the requisites are not followed –
admissions shall be inadmissible as
evidence [Item I-B[8], A.M. No. 03-1-09-SC
(2004)]
All proceedings during pre-trial shall be:
1. Recorded
2. Transcripts prepared
3. Minutes signed by the parties and their
counsel
2. Non-Appearance During Pre-Trial
Who must be present during pre-trial
1. Counsel of accused
2. Prosecutor
Note: The accused is not required to attend
(unless ordered by the court) and is merely
required to sign the written agreement arrived
at in the pre-trial conference, if he agrees to the
contents of such. The complainant is also not
required to appear during pre-trial. It is the
prosecutor who is required to appear at the pre-
trial [People v. Judge Tac-An, G.R. No. 148000
(2003)]
The court may impose proper sanctions or
penalties, if counsel for the accused or the
prosecutor to enforce the mandatory character
of the pre-trial in criminal cases:
a. Does not appear at the pre-trial conference;
and
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b. Does not offer an acceptable excuse for his
lack of cooperation [Sec. 3, Rule 118]
3. Pre-Trial Order
Pre-trial order shall:
a. Be issued by the trial judge;
b. Be issued within 10 days after the
termination of the pre-trial
c. Contain the following:
1. Actions taken
2. Facts stipulated
3. Evidence marked
4. Admissions made
5. Number of witnesses to be presented;
and
6. Schedule of trial
Effect
a. Binds the parties
b. Limits the trial to those matters not disposed
of; and
c. Controls the course of the action during trial,
unless modified by the court to prevent
manifest injustice
[Sec. 4, Rule 118]
The procedure is substantially the same in civil
cases, except that any modification of the pre-
trial order in civil cases must be made before
the trial. No such limitation is provided for in
criminal cases.
APPLICATION OF JUDICIAL AFFIDAVIT
RULE
a. The Judicial Affidavit Rule shall apply to all
criminal actions:
1. Where the maximum of the imposable
penalty does not exceed six years;
2. Where the accused agrees to the use of
judicial affidavits, irrespective of the
penalty involved; or
3. With respect to the civil aspect of the
actions, whatever the penalties involved
are.
b. The prosecution shall submit the judicial
affidavits of its witnesses not later than five
days before the pre-trial, serving copies of
the same upon the accused. The
complainant or public prosecutor shall
attach to the affidavits such documentary or
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object evidence as he may have, marking
them as Exhibits A, B, C, and so on. No
further judicial affidavit, documentary, or
object evidence shall be admitted at the
trial.
Note: Should they fail to submit them within
the time prescribed, they shall be deemed
to have waived their submission [Lim v.
Lim, G.R. No. 214163 (2019)].
c. If the accused desires to be heard on his
defense after receipt of the judicial affidavits
of the prosecution, he shall have the option
to submit his judicial affidavit as well as
those of his witnesses to the court within ten
days from receipt of such affidavits and
serve a copy of each on the public and
private prosecutor, including his
documentary and object evidence
previously marked as Exhibits 1, 2, 3, and
so on. These affidavits shall serve as direct
testimonies of the accused and his
witnesses when they appear before the
court to testify.
[Sec. 9, AM 12-8-8-SC]
J. Trial (Rule 119)
1. Trial In Absentia
Requisites for Trial in Absentia [ANU]
a. Accused has been Arraigned
b. He was duly Notified of trial
c. His failure to appear is Unjustified
[Bernardo v. People, G.R. No. 166980 (2007)]
Purpose
This is to speed up disposition of cases.
[People v. Agbulo, G.R. No. 73875 (1993)]
2. Examination of Witness for the
Prosecution
(See People v. Sergio, G.R. No. 240053,
October 9, 2019)
The Supreme Court allowed the use of Rule 23
suppletorily in criminal cases. But this is only
applied because of the unusual circumstances
of the Mary Jane Veloso case. By denying the
prosecution's motion to take deposition by
written interrogatories, the appellate court in
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effect silenced Mary Jane and denied her and
the People of their right to due process by
presenting their case against the said accused.
By its belief that it was rendering justice to the
respondents, it totally forgot that it in effect
impaired the rights of Mary Jane as well as the
People. By not allowing Mary Jane to testify
through written interrogatories, the Court of
Appeals deprived her of the opportunity to
prove her innocence before the Indonesian
authorities and for the Philippine Government
the chance to comply with the conditions set for
the grant of reprieve to Mary Jane. Mary Jane
cannot even take a single step out of the prison
facility of her own volition without facing severe
consequences. Her imprisonment in Indonesia
and the conditions attached to her reprieve
denied her of any opportunity to decide for
herself to voluntarily appear and testify before
the trial court in Nueva Ecija where the cases
of the respondents were pending. [People v.
Sergio, G.R. No. 240053 (2019)]
3. Requisites for Discharge of
Accused to Become a State Witness
Requisites for Discharge to be Proper
[TRHS]
a. Two or more persons are jointly charged
with the commission of any offense.
b. The prosecution files the motion before
Resting its case
c. The prosecution is required to present
evidence and the sworn statement of each
proposed state witness at a Hearing in
support of the discharge
d. The court is Satisfied that the conditions
required by the Rules are present. [Sec. 17,
Rule 119]
Requisites as to the Testimony to be a State
Witness [ANCoMM]
a. Absolute necessity for the testimony of the
accused whose discharge is requested
o He alone has the knowledge of the crime,
and not when his testimony would simply
corroborate or strengthen the evidence in
the hands of the prosecution [Flores v.
Sandiganbayan, G.R. No. L-63677 (1983)];
b. There is No other direct evidence available
for the proper prosecution of the offense,
except the testimony of the said accused
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c. The testimony can be substantially
Corroborated in its material points
d. The accused does not appear to be the
Most guilty
e. The accused has not, at any time, been
convicted of any offense involving Moral
turpitude [Sec. 17, Rule 119]
4. Effects of Discharge of Accused as
State Witness
Effects of Discharge as State Witness
a. Evidence adduced in support of the
discharge shall automatically form part of
the trial [Sec. 17, Rule 119]
o Note: If the motion to discharge is denied,
the sworn statement is inadmissible as
evidence.
b. Discharge operates as an acquittal and a
bar to further prosecution for the same
offense [Sec. 18, Rule 119]
Exception: When the accused fails or refuses
to testify against his co-accused
Notes:
• Any error in asking for and in granting the
discharge cannot deprive the one
discharged of the acquittal and the
constitutional guaranty against double
jeopardy [People v. Verceles, G.R. No.
130650 (2002)]
• Subsequent amendment of the information
does not affect discharge [People v. Taruc,
G.R. No. L-14010 (1962)]
5. Demurrer to Evidence
What is a Demurrer
A demurrer to evidence is a motion to dismiss
due to the insufficiency of the evidence
presented by the prosecution to overturn the
presumption of innocence in favor of the
accused. [Riano 490, 2016 Ed.]
Dismissal on the Grounds of Insufficiency
of Evidence
a. May be initiated by the court motu proprio,
after giving the prosecution the opportunity
to be heard; or
b. Upon demurrer to evidence filed by the
accused
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[Sec. 23, Rule 119]
How Demurrer to Evidence is Made
1. With Leave of Court:
o Oral Motion: After the prosecution has
rested its case, the court shall inquire
from the accused if he desires to move
for leave of court to file a demurrer to
evidence or proceed with the
presentation of his evidence. If the
accused orally moves for leave of court
to file a demurrer to evidence, the court
shall orally resolve the same [A.M No 15-
06-10-SC, III No 13 (d)]
o Written Motion: It must specifically state
its grounds. Filed within a non-extendible
period of 5 days after the prosecution
rests its case. Prosecution may then
oppose within a non-extendible period of
5 days from receipt. [Sec. 23, Rule 119]
o If leave of court is granted, the demurrer
must be filed within a non-extendible
period of 10 days from the date leave of
court is granted, and the corresponding
comment shall be filed within a non-
extendible period of 10 days from receipt
of demurrer to evidence. [A.M No. 15-06-
10-SC, III No. 13 (d)]
2. Without Leave of Court: If despite the
denial of the motion for leave, the accused
insists on filing the demurrer to evidence,
the previously scheduled dates for the
accused to present evidence shall be
cancelled. [A.M No. 15-06-10-SC, III No. 13
(d)]
Test of Sufficiency of Prosecution’s
Evidence:
The evidence of the prosecution must prove
beyond reasonable doubt the:
a. Commission of the crime; and
Right of the Accused to Present Evidence after Demurrer is Denied
Filed with Leave of Court
REMEDIAL LAW
b. Precise degree of participation of the
accused
[Singian, Jr.v. Sandiganbayan, G.R. Nos.
195011-19 (2013)]
Effect of Granting Demurrer
The court dismisses the action on the ground
of insufficiency of evidence [Sec. 23, Rule 119]
This amounts to acquittal of the accused
[People v. Sandiganbayan, G.R. No. 164577
(2010)]
Note: The order granting the demurrer is not
appealable but may be reviewed via certiorari
under Rule 65 [People v. Sandiganbayan, G.R.
No. 164577 (2010)]
Effect of Denial of Motion for Leave to File
Demurrer
a. Accused may choose between
1. Filing the demurrer even without leave,
or
2. Adducing evidence for his defense [Sec.
23, Rule 119]
b. Order denying the motion for leave or order
denying the demurrer itself, is not
reviewable by appeal or by certiorari before
judgment [Sec. 23, Rule 119];
Procedure if there are several accused
If there are 2 or more accused and only one
presents a demurrer without leave of court, the
court may defer resolution until a decision is
rendered on the other accused.
If it can be shown from the decision that the
resolution on the demurrer was rendered not
only on the basis of the prosecution’s evidence
but also on the evidence adduced by his co-
accused, then the demurrer is deemed
resolved.
Filed without Leave of Court

Right to
May adduce evidence in his defense [Sec. Waives the right to present evidence
Present
23, Rule 119] [Sec. 23, Rule 119]
Evidence

Purpose is to determine whether or not the Submits the case for judgment on
Purpose demurrer was filed merely to stall the the basis of the evidence for the
proceedings prosecution

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Demurrer in a Civil Case v. Criminal Case
Civil Case Criminal Case

Failure of plaintiff to show that he is entitled Insufficiency of evidence

Premise
to relief

Leave of Requires no leave of court May be filed with or without leave of

Court court

Right to Denial of demurrer does not make the Accused may lose his right to
present defendant lose his right to present evidence present evidence if he filed the
evidence demurrer without leave of court

Grant of demurrer entitles plaintiff to appeal No appeal is allowed because the

and if dismissal is reversed, the defendant is grant is tantamount to acquittal
Appeal
deemed to have waived his right to present
evidence

Cannot be done by court motu proprio Court may on its own initiative
dismiss the action after giving
Motu proprio
prosecution an opportunity to be
heard

6. Revised Guidelines on Continuous 2. Motion for Preliminary Investigation: a.

Trial (A.M. No. 15-06-10-SC)
A. Applicability
Cases to which the guidelines apply
1. Newly filed criminal cases, including those
governed by Special Laws and Rules, in the
First and Second Level Courts, the
Sandiganbayan and the Court of Tax
Appeals as of Sept 1, 2017
2. Pending criminal cases with respect to the
remainder of the proceedings Note: These
guidelines are not applicable to cases
covered by the Rule on Summary
Procedure
Note: These guidelines are not applicable to
cases covered by the Rule on Summary
Procedure
B. Prohibited and Meritorious Motions
Prohibited Motions [JPreReQBAS]
The following motions are prohibited and shall
be denied outright before the scheduled
arraignment without need of comment and/or
opposition:
1. Motion for Judicial determination of
probable cause
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When it is filed beyond the 5-day
reglementary period in inquest proceedings
under Sec. 6, Rule 112 b. When required
under Sec. 8, Rule 112, or allowed in
inquest proceedings and the accused failed
to participate in the preliminary investigation
despite due notice
3. Motion for Reinvestigation of the prosecutor
recommending the filing of information once
the information has been filed before the
court:
1. If the motion is filed without prior leave of
court
2. When preliminary investigation is not
required under Sec. 8, Rule 112, and
3. When the regular preliminary
investigation is required and has been
actually conducted and the grounds
relied upon in the motion are not
meritorious, such as issues of credibility,
admissibility of evidence, innocence of
the accused, or lack of due process
when the accused was actually notified,
among others
4. Motion to Quash Information when the
ground is not one of those stated in Sec. 3,
Rule 117
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5. Motion for Bill of particulars that does not
conform to Sec. 9, Rule 116
6. Motion to suspend Arraignment based on
grounds not stated under Sec. 11, Rule 116
7. Petition to Suspend criminal action on the
ground of Prejudicial question, when no civil
case has been filed, pursuant to Sec. 7,
Rule 111
Meritorious Motions [WASSlapp]
Motions that allege plausible grounds
supported by relevant documents and/or
competent evidence, except those that are
already covered by the Revised Guidelines,
are meritorious motions, such as:
1. Motion to Withdraw information, or to
downgrade the charge in the original
information, or to exclude an accused
originally charged therein, filed by the
prosecution as a result of a reinvestigation,
reconsideration, and review
2. Motion to Quash Warrant of Arrest
3. Motion to Quash Search Warrant under
Sec. 14 of Rule 121 or motion to suppress
evidence 4. Motion to dismiss on the ground
that criminal case is a Strategic Lawsuit
against Public Participation (SLAPP) under
Rule 6 of the Rules of Procedure for
Environmental Cases
K. Arraignment and Pre-Trial
Schedule of Arraignment and Pre-trial
• If accused is detained: within 10 calendar
days from receipt of case
• If accused is not detained: within 30
calendar days from acquiring jurisdiction
over the person
Notice of Arraignment and Pre-Trial
Notice shall be sent to the accused, his
counsel, private complainant or complaining
law enforcement agent, public prosecutor, and
witnesses whose names appear in the
information for purposes of plea bargaining,
arraignment and pre-trial. [A.M No 15-06-10-
SC, III No 8(b)]
Waiver of Reading of the Information
The court may allow a waiver of the reading of
the information if:
a. There are multiple cases,
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b. There is personal examination of the
accused by the court,
c. Full understanding and express consent of
the accused and his counsel,
d. Such consent is expressly stated in both the
minutes/certificate of arraignment and order
of arraignment,
e. The court shall explain the waiver to the
accused in a language/dialect known to him
and ensure his full understanding of the
consequences [A.M No 15-06-10-SC, III No
8(c)]
Plea Bargaining, Generally
If the accused desires to enter a plea of guilty
to a lesser offense, plea bargaining shall
immediately proceed, provided the private
offended party in private crimes, or the
arresting officer in victimless crimes, is present
to give his consent with the conformity of the
public prosecutor to the plea bargaining.
Thereafter, judgement shall be immediately
rendered in the same proceedings. [A.M No
15-06-10-SC, III No 8(d (i))]
Plea Bargaining in Drug Cases
a. Offers for plea bargaining must be initiated
in writing by way of a formal written motion
filed by the accused in court.
b. The lesser offense which the accused
proposes to plead guilty to must
necessarily be included in the offense
charged.
c. Upon receipt of the proposal for plea
bargaining that is compliant with the
provisions of the Plea Bargaining
Framework in Drugs Cases, the judge shall
order that a drug dependency assessment
be administered.
If the accused admits drug use or
denies it but is found positive after a
drug dependency test: Accused shall
undergo treatment and rehabilitation for a
period of not less than six (6) months,
credited to his/her penalty and the period
of his/her after-care and follow-up
program if the penalty is still unserved
If the accused is found negative for drug
use/dependency: Accused will be
released on time served, otherwise, he/she
will serve his/her sentence in jail minus the
counseling period at rehabilitation center.
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d. As a rule, plea bargaining requires the
mutual agreement of the parties and
remains subject to the approval of the
court. Regardless of the mutual agreement
of the parties, the acceptance of the offer
to plead guilty to a lesser offense is not
demandable by the accused as a matter of
right but is a matter addressed entirely to
the sound discretion of the court.
e. Though the prosecution and the defense
may agree to enter into a plea bargain, it
does not follow that the courts will
automatically approve the proposal.
Judges must still exercise sound
discretion in granting or denying plea
bargaining, taking into account the
relevant circumstances, including the
character of the accused.
f. The court shall not allow plea bargaining if
the objection to the plea bargaining is valid
and supported by evidence to the effect
that:
1. Offender is a recidivist, habitual
offender, known in the community as a
drug addict and a troublemaker, has
undergone rehabilitation but had a
relapse, or has been charged many
times; or
2. When the evidence of guilt is strong.
g. Plea bargaining in drugs cases shall not be
allowed when the proposed plea bargain
does not conform to the Court-issued Plea
Bargaining Framework in Drugs Cases.
h. Judges may overrule the objection of the
prosecution if it is based solely on the
ground that the accused's plea bargaining
proposal is inconsistent with the
acceptable plea bargain under any internal
rules or guidelines of the DOJ, though in
accordance with the plea bargaining
framework issued by the Court, if any.
i. If the prosecution objects to the accused's
plea bargaining proposal due to the
circumstances enumerated in item no. 5,
the trial court is mandated to hear the
prosecution's objection and rule on the
merits thereof. If the trial court finds the
objection meritorious, it shall order the
continuation of the criminal proceedings.
j. If an accused applies for probation in
offenses punishable under RA No. 9165,
other than for illegal drug trafficking or
pushing under Section 5 in relation to
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Section 24 thereof, then the law on
probation shall apply [People v. Montierro,
G.R. No. 254564 (2022)].
Where No Plea Bargaining or Plea of Guilty
Takes Place
If the accused does not enter a plea of guilty,
the court shall immediately proceed with the
arraignment and the pre-trial. [A.M No. 15-06-
10-SC, III No. 8(d (iii))]
Arraignment and Preliminary Conference of
Mediatable Cases Subject to the Rule on
Summary Procedure
The arraignment and preliminary conference
shall be held simultaneously and the court shall
take up all the matters required under Sec. 14,
Rule on Summary Procedure during the
preliminary conference. [A.M No. 15-06-10-SC,
III No. 8(e)]
Absence of Parties in the Pre-Trial
The court shall proceed with the pre-trial
despite the absence of the accused and/or
private complainant, provided:
a. They were duly notified, and
b. The counsel for the accused and public
prosecutor are present. [A.M No. 15-06-10-
SC, III No 8(f (i))]
Stipulations
Proposals for stipulations shall be done with
the active participation of the court itself and
shall not be left alone to the counsels. [A.M No.
15-06-10-SC, III No 8(f (ii))]
Marking of Evidence
The documentary evidence of the prosecution
and the accused shall be marked. [A.M No. 15-
06-10-SC, III No. 8(f (iii))]
Pre-Trial Order
The Pre-trial Order shall immediately be served
upon the parties and counsel on the same day
after the termination of the pre-trial. [A.M No.
15-06-10-SC, III No. 8(f (iv))]
L. Trial and Memoranda
1. TRIAL
Examination of Witnesses
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The court shall encourage the accused and the
prosecution to avail of:
a. For the accused: Application for
examination of witness for the accused
before trial [Sec. 12 and 13, Rule 119]
b. For the prosecution: Conditional
Examination of Witness for the prosecution
[Sec. 15, Rule 119; A.M No. 15-06-10-SC,
III No. 13 (a)]
Absence of counsel de parte
In the absence of the counsel de parte, the
hearing shall proceed upon appointment by the
court of a counsel de officio. [A.M No. 15-06-
10- SC, III No. 13 (b)]
Oral Offer of Evidence
• How made: the offer of evidence, the
comment/objection thereto, and the court
ruling shall be made orally.
o If exhibits are attached to the record: In
making the offer, the counsel shall cite
the specific page number of the court
record where the exhibits being offered
are found. The court shall ensure that all
exhibits offered are submitted to it on the
same day of the offer.
o If the exhibits are not attached to the
record: the party making the offer must
submit the same during the offer of
evidence in open court.
• When made: on the same day after the
presentation of his last witness, the
opposing party is required to immediately
interpose his oral comment/objection
thereto. Thereafter, the court shall make a
ruling on the offer of evidence in open court
[A.M No. 15-06-10-SC, III No. 13 (c)]
Presentation of Rebuttal and Sur-Rebuttal
Evidence
If the court grants the motion to present rebuttal
evidence, the prosecution shall immediately
proceed with its presentation after the defense
has rested its case, and orally rest its case in
rebuttal after the presentation of its last rebuttal
witness. Thereafter, the accused shall
immediately present sur-rebuttal evidence, if
there is any, and orally rest the case after the
presentation of its last sur-rebuttal witness.
Thereafter, the court shall submit the case for
decision. [A.M No 15-06-10-SC, III No 13 (e)]
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One Day Examination of Witness Rule
The court shall strictly adhere to the rule that a
witness has to be fully examined in one day.
[A.M No 15-06-10-SC, III No 13 (f)]
2. MEMORANDA
Submission of Memoranda
• Submission of memoranda is discretionary
on the part of the court
• Format:
o Does not exceed 25 pages of Single
spaced
o Legal sized paper
o Size 14 font
• Period to submit shall be non-extendible
and shall not suspend the running of the
period of promulgation of the decision. With
or without memoranda, the promulgation
shall push through as scheduled. [A.M No
15-06-10-SC, III No 14]
M. Promulgation
Schedule of Promulgation
• Date of promulgation shall be announced in
open court and included in the order
submitting the case for decision
• Date shall not be more than 90 calendar
days from the date the case is submitted for
decision
o Exception: Case is covered by Special
Rules and other laws which provide for a
shorter period [A.M No 15-06-10-SC, III
No 16(a)]
Resolution of Motion for Reconsideration of
Judgment of Conviction or Motion for New
Trial
A motion for reconsideration of judgment of
conviction or motion for new trial filed within 15
days from promulgation shall be resolved
within a non-extendible period of 10 calendar
days from the submission of the comment of
the prosecution. With or without comment, the
court shall resolve the motion within the 10-day
period. [A.M No 15-06-10-SC, III No 16(b)]
N. Judgment (Rule 120)
Judgment is the adjudication by the court that
the accused is guilty or not guilty of the offense
charged and the imposition on him of the
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proper penalty and civil liability, if any [Sec. 1,
Rule 120]
1. Requisites of a Judgment
Requisites
a. Written in the official language
• Note: If given verbally, it is incomplete
[People v. Catolico, G.R. No. L-31260
(1972)]
b. Personally and directly prepared by the
judge
c. Signed by the judge
d. Contains clearly and distinctly a statement
of the facts and the law upon which
judgment is based [Sec. 1, Rule 120]
There is sufficient compliance if the decision
summarizes the evidence of both parties,
synthesizes the findings and concisely narrates
how the offense was committed.
Jurisdictional Requirements
a. Jurisdiction over the subject matter
b. Jurisdiction over the territory
c. Jurisdiction over the person of the accused
[Riano, 499, 2016 Ed., citing Cruz v. CA, G.R.
No. 123340 (2002) and Antiporda v.
Garchitorena, G.R. No. 133289 (1999)]
Judge who renders decision
The judge who presided over the entire trial
would be in a better position to ascertain the
truth or falsity of the testimonies. But the judge
who only took over can render a valid decision
by relying on the transcript. It does not violate
due process [People v. Badon, G.R. No.
126143 (1999)]
2. Contents of Judgment
Conviction
The judgment of conviction shall state:
[LQ-P-Pe-CD]
1. The Legal Qualification of the offense
constituted by the acts committed by the
accused and the aggravating/mitigating
circumstances which attended its
commission
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2. The Participation of the accused in the
offense, whether as principal, accomplice or
accessory after the fact
3. The Penalty imposed upon the accused
4. The Civil liability or Damages caused by his
wrongful act/omission to be recovered from
the accused by the offended party, if there
is any, unless the enforcement of the civil
liability by a separate civil action has been
reserved/waived. [Sec. 2, Rule 120]
The penalty should not be imposed in the
alternative. There should be no doubt as to the
offense committed and the penalty for it.
Judgment for Two or More Offenses
Also known as duplicitous complaint or
information [Prof. Sanidad]
When two or more offenses are charged in a
single complaint or information but the accused
fails to object to it before trial, the court may
convict him of as many offenses as are
charged and proved, and impose on him the
penalty for each offense, setting out separately
the findings of fact and law in each offense
[Sec. 3, Rule 120]
Variance between Allegation and Proof
(Variance Doctrine)
General Rule: The defendant can be
convicted only of the crime with which he is
charged [Riano 504, 2016 Ed.]
However, a minor variance between the
information and the evidence does not alter the
nature of the offense, nor does it determine or
qualify the crime or penalty, so that even if a
discrepancy exists, this cannot be pleaded as
a ground for acquittal [People v. Noque, G.R.
No. 175319 (2010)]
Exception: Accused shall be convicted if:
a. Offense proved which is included in the
offense charged (offense proved is lesser) –
some or all of the ingredients of the offense
charged constitutes the offense proved
Example: Murder includes homicide;
Serious physical injuries includes less
serious or slight physical injuries; Robbery
includes theft [Riano]
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b. Offense charged which is included in the
offense proved (offense charged is lesser) –
essential ingredients of the offense charged
constitute or form part of the ingredients of
the offense proven
Example: Less serious physical injuries are
included in serious physical injuries; Acts of
lasciviousness are included in rape; Theft is
included in robbery [Riano]
Where a complex crime is charged and the
evidence fails to support the charge as to
one of the component offenses, the
accused can be convicted of the one which
is proven [People v. Llaguno, G.R. No.
91262 (1998)]
Exception to the exception: Where there
are facts that supervened after the filing of
the information which change the nature of
the offense.
Acquittal
The judgment of acquittal shall state whether:
1. The evidence of the prosecution absolutely
failed to prove the guilt of the accused; or
2. Merely failed to prove his guilt beyond
reasonable doubt.
In either case, the judgment shall determine if
the act or omission complained from which the
civil liability might arise did not exist.
[Sec. 2, Rule 120]
Effect of Acquittal on Civil Liability
General Rule: Acquittal based on failure to
prove guilt beyond reasonable doubt does not
extinguish the civil liability arising from his acts.
[Lontoc v. MD Transit, G.R. No. L-48949
(1988)]
Exception: Acquittal extinguishes civil liability
only when the judgment includes a declaration
that the facts from which the civil liability might
arise did not exist [Lontoc v. MD Transit, G.R.
No. L-48949 (1988)] Thus:
1. The court may nonetheless hold the
accused civilly liable in favor of the offended
party, or it may deny the award of civil
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damages expressly or impliedly by being
silent on the matter.
2. The losing party may appeal the ruling on
the civil liability, as in any other ordinary
appeal, in his name and not in the name of
the People.
The Court is not precluded from expressing
disapproval of certain acts
General rule: The court has authority to
express disapproval of certain acts even if
judgment is for acquittal.
Exception: The court is not permitted to
censure the accused in a judgment for acquittal
– no matter how light, a censure is still a
punishment.
3. Promulgation of Judgment
1. IN GENERAL
Promulgation of judgment is an official
proclamation or announcement of the decision
of the court [Pascua v. Court of Appeals, G.R.
No. 140243 (2000), citing Jacinto, Sr. 521,
Commentaries and Jurisprudence on the
Revised Rules of Court [Criminal Procedure],
1994 Ed.]
Requisites
a. There must be a court legally organized or
constituted; and there must be a judge, or
judges, legally appointed or elected and
actually acting, either de jure or de facto
[Luna v. Rodriguez, G.R. No. 12647 (1917)]
b. Said judgment must be duly signed and
promulgated during the incumbency of the
judge who penned it [Payumo v.
Sandiganbayan, G.R. No. 151911 (2011)]
c. The judgment is promulgated by reading it
in the presence of the accused and any
judge of the court in which it was rendered
[Sec. 6, Rule 120]
Failure to Promulgate
Where there is no promulgation of judgment,
no right to appeal accrues. Merely reading the
dispositive portion of the decision is not
sufficient [Pascua v. CA, G.R. No. 140243
(2000)]
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Notice for Promulgation
The proper clerk of court shall give notice to the
accused personally or through his bondsman
or warden and counsel, requiring him to be
present at the promulgation of the decision. If
the accused was tried in absentia because he
jumped bail or escaped from prison, the notice
to him shall be served at his last known
address. [Sec. 6, Rule 120]
2. PROMULGATION IN CERTAIN
CIRCUMSTANCES
a. When the judge is absent or outside the
province or city, the judgment may be
promulgated by the clerk of court. [Sec. 6,
Rule 120]
General Rule: Presence of the accused is
mandatory in the promulgation of judgment
Exceptions: If the conviction is for a light
offense, the judgment may be pronounced
in the presence of the accused’s counsel or
representative. [Sec. 6, Rule 120]
b. If the accused is confined or detained in
another province or city, the judgment may
be promulgated by the executive judge of
the RTC having jurisdiction over the place of
confinement or detention upon request of
the court which rendered the judgment.
c. The court promulgating the judgment shall
have authority to accept the notice of appeal
and to approve the bail bond pending
appeal; provided, that if the decision of the
trial court convicting the accused changed
the nature of the offense from non-bailable
to bailable, the application for bail can only
be filed and resolved by the appellate court
[Sec. 6, Rule 120]
d. Promulgation when a judge is no longer a
judge – A judgment promulgated after the
judge who signed the decision has ceased
to hold office is not valid and binding. In like
manner, it cannot be promulgated after the
retirement of the judge. [Nazareno v. CA,
G.R. No. 111610 (2002)]
Effect of Failure of the Accused to Appear
at the Scheduled Date of Promulgation
Promulgation is made by recording the
judgment in the criminal docket and serving a
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copy at the accused’s last known address or
through counsel [Sec. 6, Rule 120]
If the judgment is for conviction and the failure
of the accused to appear was without justifiable
cause, he shall lose the remedies available in
the Rules against the judgment and the court
shall order his arrest. [Sec. 6, Rule 120].
However, within 15 days from promulgation of
judgment, he may surrender and file a motion
for leave of court to avail of these remedies. He
shall state the reasons for his absence. If he
proves his absence was for a justifiable cause,
he shall be allowed to avail of the remedies
within 15 days from notice [Sec. 6, Rule 120;
People v. De Grano, G.R. No. 167710 (2009)]
O. New Trial or Reconsideration
(Rule 121)
A. Grounds for New Trial
1. Errors of law or irregularities prejudicial to
the substantial rights of the accused have
been committed during the trial
General rule: Errors of the defense counsel
in the conduct of the trial is neither an error
of law nor an irregularity [Ceniza-Manantan
v. People, G.R. No. 156248 (2007)]
Exception: They become an error of law or
irregularity when acquittal would, in all
probability, have followed the introduction of
certain testimony which was not submitted
at the trial under improper or injudicious
advice of incompetent counsel of the
accused. [Aguilar v. Court of Appeals, G.R.
No. 114282 (1995)]
Irregularities must be with such seriousness
as to affect prejudicially the substantial
rights of the accused. [Sec. 2(a), Rule 121;
Tabobo v. People, G.R. No.220977 (2017)]
2. New and material evidence discovered
which the accused could not, with
reasonable diligence, have discovered and
produced at the trial and which, if introduced
and admitted, would probably change the
judgment
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B. Grounds for Reconsideration
The court shall grant reconsideration on the
ground of errors of law or fact in the judgment,
which requires no further proceedings [Sec. 3,
Rule 121]
C. Requisites Before a New Trial
May be Granted on Ground of
Newly Discovered Evidence
The evidence
a. Was discovered after the trial
b. Could not have been discovered and
produced at the trial even with the exercise
of reasonable diligence
c. Is material, not merely cumulative/
corroborative/impeaching; and
d. Is of such weight that it would probably
change the judgment if admitted
[Tadeja v. People, G.R. No. 145336 (2013)]
The accused has the burden of proving item (b)
above [US v. Torrente, G.R. No. 1001 (1922)]
The determinative test is the presence of due
or reasonable diligence to locate the thing to be
used as evidence in the trial [Briones v. People,
G.R. No. 156009 (2009)]
REMEDIAL LAW
Interest of Justice as Gauge for
Introduction of New Evidence
In People v. Almendras [G.R. No. 145915
(2003)], the court ruled that a motion for a new
trial may be granted on a ground not
specifically provided in the rules, provided that
it is sought in the interest of justice. In that
case, the relief of a new trial was granted to a
client who has suffered by reason of his/her
counsel’s gross mistake and negligence.
Form of motion for reconsideration & new
trial
a. Must be in writing
b. Must state the grounds on which it is based
c. If based on newly-discovered evidence,
motion must be supported by:
1. the affidavits of the witnesses by whom
such evidence is expected to be given, or
2. duly authenticated copies of documents
which are proposed to be introduced in
evidence
Notice of the motion shall be given to the
prosecutor [Sec. 4, Rule 120]

D. Effects of Granting a New Trial or Reconsideration

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

Other Effects of Granting New Trial or Reconsideration Depending on Ground

Ground Effect Action of the Court

All proceedings and evidence affected shall The court will allow
Errors of law or be set aside and taken anew. introduction of additional
irregularities If error or irregularity goes into the evidence in the interest of
committed during the jurisdiction, the entire proceeding is void and justice.
trial must be set aside.

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

[Sec. 6, Rule 121]

of the law [Estarija v. People, G.R. No. 173990
Applying the Neypes Doctrine in Criminal (2009)].
Cases
The Neypes doctrine allows a fresh period of C. Where to Appeal
15 days within which to file the notice of appeal
For cases decided by Appeal to
in the RTC, counted from receipt of the order
denying a MNT or MR. Neypes v. CA [G.R. No. MTC/MeTC/MCTC Regional Trial Court
141534 (2005)] declared that: [Sec. 2(a), Rule
122]
“Henceforth, this ‘fresh period rule’ shall also
RTC Court of Appeals or
apply to Rule 40 governing appeals from the Supreme Court (in
Municipal Trial Courts to the Regional Trial
proper cases
Courts; Rule 42 on petitions for review from the provided by law)
Regional Trial Courts to the Court of Appeals;
[Sec. 2(a), Rule
Rule 43 on appeals from quasi-judicial 122]
agencies to the Court of Appeals and Rule 45
governing appeals by certiorari to the Supreme RTC or MTC/MeTC/ Sandiganbayan
Court.” MCTC (if it is [Sec. 4 (c) PD 1606
government duty- as amended by RA
The “fresh period rule” enunciated in Neypes related, i.e., filed under 8249]
also applies to criminal actions, particularly to E.O. 1, 2, 4 and 14-A)
Sec. 6 of Rule 122 [Yu v. Tatad, G.R. No. Court of Appeals Supreme Court
170979 (2011). [Sec. 2(a), Rule
122]
P. Appeal (Rule 122)
D. When to Appeal
A. Effect of an Appeal Within 15 days from:
a. promulgation of the judgment, or
An appeal in a criminal proceeding throws the b. notice of the final order appealed from
whole case open for review and it becomes the
duty of the appellate court to correct an error This period shall be suspended from the time a
as may be found in the appealed judgment motion for new trial or reconsideration is filed
WON it is made the subject of assignment of until notice of the order overruling the motion
errors [People v. Calayca, G.R. No. 121212 has been served upon the accused or his
(1999)]. counsel, at which time the balance of the period
begins to run.

Note: This rule has been modified by the

B. How Appeal Taken Neypes ruling, which allows for a fresh
period of 15 days within which to file the notice
The right to appeal is not a natural right nor a of appeal in the RTC, counted from receipt of
part of due process but merely a statutory the order denying a MNT or MR.
privilege and may be exercised only in the
manner and in accordance with the provisions E. Who May Appeal
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General Rule: Any party may appeal from a
judgment or final order [Sec. 1, Rule 122]
Exceptions:
a. A party may not appeal if the accused will
be placed in double jeopardy by such action
[Sec. 1, Rule 122]
b. If the judgment is for conviction and the
accused fails to appear during promulgation
without justifiable cause, he would lose the
remedy to appeal [Sec. 6, Rule 120]
F. Effect of Appeal by Any of
Several Accused
General Rule:
a. An appeal taken by one or more of
several accused shall not affect those who did
not appeal.
b. The appeal of the offended part from
the civil aspect shall not affect the criminal
aspect of the judgment or order appealed from
c. Upon perfection of the appeal, the
execution of the judgment or final order
appealed from shall be stayed as to the
appealing party [Sec. 11, Rule 122]
G. Grounds for Dismissal of
Appeal
When Appeal by the People Will Not Lie
The People/State cannot appeal when it will
put the accused in double jeopardy. The
constitutional mandate against double
jeopardy prohibits not only a subsequent
prosecution in a new and independent cause
but extends also to appeal in the same case by
the prosecution after jeopardy had attached
[Republic v. CA, G.R. No. L- 41115 (1982)]
Rationale
A verdict of that nature is immediately final and
to try on the merits, even in an appellate court,
places the accused in double jeopardy [Central
Bank v. CA, G.R. No. 41859 (1989)]
Dismissal of case upon filing of demurrer by
the accused was held to be final even though
based on erroneous interpretation of the law.
Hence, an appeal therefrom by the prosecution
would constitute double jeopardy [People v.
Sandiganbayan, G.R. No. 174504 (2011),
citing People v. Nieto, 103 Phil. 1133].

Effect of Appeal by Any of Several Accused
An appeal taken by one or more of several
accused shall not affect those who did not
appeal, except, insofar as the judgment of the
appellate court is favorable and applicable to
the latter. [People v. Valdez, G.R. No. 175602
(2013)]
Where the TC has jurisdiction but mistakenly
dismisses the complaint/information on the
ground of lack of it, the order of dismissal is
unappealable [People v. Duran, G.R. No. L-
13334 (1960)]

Decided by Appeal to Mode Period to File Appeal

MTC/MeTC/MCTC RTC [Sec. 3(a), (1) Filing of notice of Within 15 days from (a)
Rule 122] appeal with the court promulgation of the judgment,
which rendered the or (b) from notice of the final
RTC (original jurisdiction) Court of Appeals order appealed from, order appealed
[Sec. 3(a), Rule and (2) serving a copy From.
122] thereof to the adverse
party The period to appeal shall be
RTC (appellate Court of Appeals Petition for review suspended from the time a
jurisdiction) [Sec. 3(c), Rule (Rule 42) MNT or MR is filed until notice
122] of the order overruling the
motion has been served upon
RTC (where penalty Court of Appeals (1) Filing of notice of the accused or his counsel.
imposed is (a) reclusion [Sec. 3(c), Rule appeal with the court
perpetua, (b) life 122] which rendered the
[Sec. 6, Rule 122]
imprisonment, or (c) where a order appealed from,
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Decided by Appeal to Mode Period to File Appeal
lesser penalty is imposed but and (2) serving a copy
for offenses committed on the thereof to the adverse
same occasion or which party
arose out of the same
occurrence that gave rise to
the more serious offense
RTC (where penalty imposed Court of Appeals Automatic Review as Automatic Review; hence,
is death penalty) [Sec. 3(d), Rule provided in Sec. 10, no period to file appeal
122] Rule 122
Note: R.A. 9346 now
prohibits the imposition of the
death penalty
Court of Appeals (where Supreme Court Petition for review Within 15 days from notice of
penalty is not the Death [Sec. 3(e), Rule on Certiorari [Rule judgment/final order/denial of
Penalty, reclusion perpetua, 122] 45] motion for new trial or motion
or life imprisonment) for reconsideration.
Note: Should only
raise questions of law An extension of 30 days may
and should raise the be granted, subject to the
errors of the CA (not court’s discretion [Sec. 2, Rule
the RTC’s) [Batistis v. 45].
People, G.R. No.
181571 (2009)]
Court of Appeals (where Supreme Court Filing of Notice of Automatic review
penalty is the Death Penalty, [Sec. 13(c), Rule Appeal with the Court
reclusion perpetua, or life 122] of Appeals
imprisonment
All other appeals to Petition for review on
the SC certiorari [Rule 45]

Q. Search and Seizure (Rule
126)
A. Nature of Search Warrant
Nature
It is an order in writing; issued in the name of
the People of the Philippines; signed by a
judge; and directed to a peace officer,
commanding him to search for personal
property described in the warrant and bring it
before the court [Sec. 1, Rule 126]
A search warrant is not a criminal action nor
does it represent a commencement of a
criminal prosecution even if it is entitled like a
criminal action. It is not a proceeding against a
person but is solely for the discovery and to get
possession of personal property. [Worldwide
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Web Corporation v. People, G.R. No. 161106
(2014)]
Constitutional Safeguard
No search warrant or warrant of arrest shall
issue except upon probable cause to be
determined personally by the judge after the
examination under oath/affirmation of the
complaint and the witness he may produce,
and particularly describing the place to be
searched, and the things/persons to be seized
[Sec. 2, Art. III, Const.]
Under the exclusionary rule, any evidence
obtained in violation of this is inadmissible for
any purpose in any proceeding [Sec. 3(2), Art.
III, Const.]
As a rule, the Constitution mandates that a
search and seizure must be carried out through
or on the strength of a judicial warrant
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predicated upon the existence of probable a. Search incidental to a lawful arrest
cause. [Comerciante v. people, G.R. No. b. Consented search;
205926 (2015)] c. Search of moving vehicle
d. Checkpoints
Directed upon acts of the government, not e. Plain view
private persons f. Stop and frisk
The constitutional protection is directed against g. Customs search
the acts of the government and its agents, not h. Rule specific to Public Utility Searches [Yu
private persons [People v. Marti, G.R. No. v. Presiding Judge, G.R. No. 142848
81561 (1991)] (2006)]
i. Airport Searches [People v. O’Cochlain,
General Rule: Search of property is G.R. No. 229071 (2018)]
unreasonable unless it has been authorized by j. Other exceptions, such as exigent
a valid search warrant. circumstance

Exceptions:

Search warrant Warrant of arrest

Order in writing issued in the name
of the People of the Philippines,
Nature and signed by the judge and directed to
purpose the peace officer to search personal
property described therein and to
bring it to court [Sec. 1, Rule 126]
Order directed to the peace officer to
execute the warrant by taking the person
stated therein into custody that he may
be bound to answer for the commission
of the offense

The judge must personally examine
in the form of searching questions
and answers, under oath, the
complainant and witnesses he may
produce on facts personally known
Determination
to them and attach to the record
of Probable
their sworn statements, together
cause
with the affidavits submitted [Sec. 5,
Rule 126].
Sec. 2, Art. III of the Constitution does not
mandatorily require the judge to
personally examine the complainant and
her witnesses. Instead, he may opt to
personally evaluate the report and
supporting documents submitted by the
prosecutor or he may disregard the
prosecutor’s report and require the
submission of supporting affidavits of
witnesses [People v. Grey,, G.R. No.
180109 (2010), citing Soliven v.
Makasiar, G.R. No. L-82585 (1988)]

It must particularly describe the It must particularly describe the person to

place to be searched and the things be arrested [Sec. 2, Art. III, Const.]
Form to be seized [Sec. 2, Art. III,
CONST.], which may be anywhere
in the Philippines [Sec. 4, Rule 126].

The warrant must direct that it be No such limitation under Sec. 2, Art. III,
served in the day time, unless the Constitution and Rule 113.
affidavit asserts that the property is
When executed on the person or in the place
ordered to be searched, in which
case a direction may be inserted

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Search warrant Warrant of arrest

that it be served at any time of the

day or night [Sec. 9, Rule 126].

Valid for 10 days from its date [Sec.
10, Rule 126]
The lifetime of the search warrant
Validity
also ends when a return has already
been made [Mustang Lumber v. CA,
G.R. No. 104988 (1996)].
Does not expire
The 10-day period referred to in Sec. 4,
Rule 113 refers to the time within which
the head of the office to whom the
warrant of arrest was delivered for
execution shall cause the warrant to be
executed.

B. Application for Search two devices, or such number as may be

Warrant
General rule: It may be filed in any court within
whose territorial jurisdiction the crime was
committed. However, if the alleged act
constitutes a continuing or transitory crime, the
application may be with any court where any
element of the alleged offense was committed
[Sony Computer v. Evergreen, G.R. No.
161823 (2007)].
Exception: For compelling reasons, which
must be stated in the application, it may also be
filed:
a. If the place of the commission of the crime
is known, any court within the judicial region
where the crime was committed
b. Any court within the judicial region where
the warrant shall be enforced
However, if the criminal action has already
been filed, the application shall only be made
in the court where the criminal action is pending
[Sec. 2, Rule 126].
Rules on the Use of Body-Worn Cameras
Under A.M. No. 21-06-08-SC, the trial court
may, upon finding probable cause, issue an
arrest warrant with an order requiring the use
of at least one body-worn camera and one
alternative recording device, or a minimum of
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necessary to capture and record the relevant
incidents during its execution.
In order for the evidence seized by the use of
body-worn cameras to be admissible,
a. The person to be arrested must be notified
that they are being recorded
b. The officers shall ensure that they are worn
in a conspicuous location and in a manner
that maximizes their ability to capture a
recording
c. All recordings from the cameras or devices
shall be stored in an external media storage
device and simultaneously deposited in a
sealed package with the issuing court
Failure to observe the requirement of using
body-worn cameras or alternative recording
devices shall not render the arrest unlawful or
render the evidence obtained inadmissible.
Issuance and Form of Search Warrant
If the judge is satisfied of the existence of facts
upon which the application is based or that
there is probable cause to believe that they
exist, he shall issue the warrant, which must be
substantially in the form prescribed the Rules
[Sec. 6, Rule 126]
Thus, the search warrant must be in writing and
contain
a. Name of person against whom it is directed
b. Offense for which it was issued
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c. The place to be searched, and
d. The description of the specific things to be
seized
e. A directive to law enforcement officers to
search and seize and for them to bring in
court the things seized
f. Signature of the judge issuing it
The absence of such requisites will cause the
search warrant’s downright nullification [Santos
v. Pryce Gases, Inc., G.R. No. 165122 (2007)]
C. Probable Cause for Issuance
of Search Warrant
Probable cause means the existence of such
facts and circumstances which would lead a
reasonably discreet and prudent man to
believe that an offense has been committed,
and that objects sought in connection with
the offense are in the place sought to be
searched [People v. Breis., G.R. No. 205823
(2015)]
This probable cause must be shown to be
within the personal knowledge of the
complainant or the witnesses he may produce
and not based on mere hearsay. The probable
cause must refer only to one specific offense
[Roan v. Gonzales, G.R. No. 71410 (1986)]
Note: Probable cause to arrest does not
necessarily involve a probable cause to search
and vice-versa.
D. Personal Examination by
Judge of the Applicant and
Witness
The Rules require the judge to comply with a
specific procedure in the conduct of the
examination of the complainant and the
witnesses he may produce
a. The examination must be personally
conducted by the judge;
b. The examination must be in the form of
searching questions and answers;
c. The complainant and the witnesses shall be
examined on those facts personally known
to them;
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d. The statements must be in writing and
under oath; and
e. The sworn statements of the complainant
and the witnesses, together with the
affidavits submitted, shall be attached to the
record.
[Sec. 5, Rule 126]
Searching Questions and Answers
Searching questions are such questions which
have the tendency to show the commission of
a crime and the perpetrator thereof [Luna v.
Plaza, G.R. No. 27511 (1968)]
In search cases, the application must be
supported by substantial evidence
a. That the items sought are in fact seizable by
virtue of being connected with criminal
activity; and
b. That the items will be found in the place to
be searched
[People v. Tuan, G.R. No. 176066 (2010)]
A search warrant issued by a judge who did not
ask searching questions but only leading ones
and in a general manner is invalid [Uy v. BIR,
G.R. No. 129651 (2000)]
Although there is no hard-and-fast rule
governing how a judge should conduct his
investigation, it is axiomatic that the
examination must be probing and exhaustive,
not merely routinary, general, peripheral,
perfunctory or pro forma. The judge must not
simply rehash the contents of the affidavit but
must make his own inquiry on the intent and
justification of the application [Yao v. People,
G.R. No. 168306 (2007)]
Examination under Oath
The judge must examine under oath or
affirmation the complainant and the witness he
may produce [Sec. 2, Art. III, Const.}
Oath includes any form of attestation by which
a party signifies that he is bound in conscience
to perform an act faithfully and truthfully.
[Alvarez v. CFI, G.R. No. 45358 (1937)]
Mere affidavits of the complainant or his
witnesses are not sufficient. The examining
judge has to take depositions in writing of the
complaint or his witnesses, and attach the
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same to the record [Prudente v. Judge Dayrit, discretion over which items to take [Worldwide
G.R. No. 82870 (1989)] Web Corporation v. People, G.R. No. 161106
(2014)]
E. Particularity of Place to Be
Where the language used is too all-embracing
Searched and Things to Be as to include all the paraphernalia of petitioner
Seized in the operation of its business, the SW is
constitutionally objectionable [Columbia
Warrant issued must particularly describe the Pictures v. Flores, G.R. No. 78631 (1993)].
place to be searched and the things to be
seized [Sec. 2, Art. III, Const.]. Exceptions:
Where, by the nature of the goods to be seized,
Particularity of Place to be Searched their description must be rather
Description of the place to be searched is
sufficient if the officer with the search warrant In general, it is not required that a technical
can, with reasonable efforts, ascertain and description be given, for this would mean that
identify the place intended [People v. Veloso, no search warrant could issue [People v.
G.R. No. L-23051 (1925)]. Rubio, G.R. No. L-35500 (1932)].

The search warrant does not require the name
of the person who occupies the described
premises. The search warrant is issued for the
search of specifically described premises only
and not for the search of a person [Quelnan v.
People, G.R. No. 166061 (2007)].
The general description of the documents
listed in the search warrant does not render it
void if it is severable, and those items not
particularly described may be cut off without
destroying the whole [Uy v. BIR, G.R. No.
129651 (2000)].

F. Personal Property to be The rule does not require that the property to
be seized should be owned by the person
Seized against whom the search warrant is directed. It
is sufficient that the person against whom the
What May Be Seized warrant is directed has control of possession of
a. Personal property subject of the offense; the property sought to be seized [Burgos v.
b. Personal property stolen/embezzled and Chief of Staff, G.R. No. L-64261 (1984)].
other proceeds/fruits of the offense;
c. Personal property used or intended to be
used as the means of committing an offense
G. Exceptions to the Search
[Sec. 3, Rule 126] Warrant Requirement
a. Search Incidental to Lawful Arrest
The scope of the search warrant is limited to b. Consented Search
personal property. It does not issue for seizure c. Search of a Moving Vehicle
of immovable properties [see Sec. 3, Rule 126] d. Checkpoints; Body Checks in Airport
e. Plain View
General Rule: Things to be seized must be f. Stop and Frisk
described particularly. General search g. Enforcement of Customs Law
warrants are not allowed. [Sec. 2, Art. III, h. Other Exceptions
Const.] 1. Exigent and Emergency Circumstances
2. Buy-Bust Operation
A general warrant is defined as "a search or 3. Private Searches
arrest warrant that is not particular as to the 4. Search involving Public Utility Vehicles
person to be arrested or the property to be [Saluday v. People, G.R. No. 215305
seized." It is one that allows the "seizure of one (2018)].
thing under a warrant describing another" and
gives the officer executing the warrant the
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Note: Items (1) to (3), (5) to (7) and (8)(a) are below
enumerated in Veridiano v. People [G.R. No.
200370 (2017)] The other items are sanctioned
by the SC in other cases. See the discussion
Requisites
Even without a warrant, the person
arrested may be searched for:
a. Dangerous weapons
b. Anything which may have been used
in the commission of an offense, or
c. Anything which may constitute proof
in the commission of the offense
[Sec. 13, Rule 126]
The arrest must precede the search;
generally, the process cannot be
reversed. Nevertheless, a search
substantially contemporaneous with an
arrest can precede the arrest if the
police have probable cause to make the
Search
arrest at the outset of the search [Sy v.
Incidental to
People, G.R. No. 182178 (2011) citing
Lawful Arrest
People v. Racho (erroneously referred
to as Rancho), G.R. No. 186529 (2010)].
The rule assumes that the arrest is legal.
If the arrest is illegal, then the search is
illegal and as a result, the things seized
are inadmissible as evidence [People v.
Aruta, G.R. No. 120195 (1998)].
Where a search is first undertaken, and
an arrest was effected based on
evidence produced by such search, both
search and arrest are illegal [Lui v.
Matillano, G.R. No. 141176 (2004)].
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Notes
When an arrest is made, it is
reasonable for the arresting officer to
search the person arrested in order to
remove any weapon that the latter
might use in order to resist arrest or
effect his escape. Otherwise, the
officer’s safety might well be
endangered, and the arrest itself
frustrated.
In addition, it is entirely reasonable for
the arresting officer to search for and
seize any evidence on the arrestee’s
person in order to prevent its
concealment or destruction [People v.
Calantiao, G.R. No. 203984 (2014),
citing Valeroso v. CA, G.R. No.
164815 (2009)].
The warrantless search incident to a
lawful arrest cannot be made in a
place other than the place of arrest. If
search made at place of arrest yields
nothing, but a second search
conducted on suspect at the police
station yields evidence, the second
search is unlawful and unreasonable
[Vaporoso v. People, G.R. No.
238659 (2019)].
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Requisites
Jurisprudence requires that in case of
consented searches or waiver of the
constitutional guarantee against
obtrusive searches, it must first appear
that:
a. The right exists;
b. The person involved had knowledge,
either actual or constructive, of the
existence of such right; and
c. The said person had an actual
intention to relinquish the right.
[People v. Nuevas, G.R. No. 170233
(2007)]
Consent to a search is not to be lightly
inferred, but must be shown by clear and
convincing evidence. It is the State
which has the burden of proving, by
clear and positive testimony, that the
necessary consent was obtained and
that it was freely and voluntarily given
[Valdez v. People, G.R. No. 170180
(2007)]
When a vehicle is stopped and
subjected to an extensive search, such
a warrantless search should be
constitutionally permissible only if the
officers conducting the search have
reasonable or probable cause to
believe, before the search, that either:
a. the motorist is a law-offender; or
b. they will find the instrumentality or
Search of a
evidence pertaining to a crime in the
Moving
vehicle to be searched
Vehicle
[Caballes v. CA, G.R. No. 136292
Consented
(2002)].
Search
Officers are limited to routine checks
where the examination of the vehicle is
limited to visual inspection. For a
warrantless search in a moving vehicle,
it is the vehicle that is the target of the
search, and not the person. The clear
target of the search is the accused,
based on a description given, and not
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Notes
Relevant to the determination of
consent are the following
characteristics of the person giving
consent and the environment in which
consent is given:
a. The age of the defendant;
b. Whether he was in a public or
secluded location;
c. Whether he objected to the
search or passively looked on;
d. The education and intelligence of
the defendant;
e. The presence of coercive police
procedures;
f. The defendant's belief that no
incriminating evidence will be
found;
g. The nature of the police
questioning;
h. The environment in which the
questioning took place; and
i. The possibly vulnerable
subjective state of the person
consenting.
[Caballes v. CA, G.R. No. 136292
(2002)]
Peace officers may lawfully conduct
searches of moving vehicles without
need of a warrant as it is
impracticable to secure a judicial
warrant before searching a vehicle
since it can be quickly moved out of
the locality or jurisdiction in which the
warrant may be sought [People v.
Tuazon, G.R. No. 175783 (2007)].
However, these searches would be
limited to visual inspection and the
vehicles or their occupants cannot be
subjected to physical or body
searches, except where there is
probable cause to believe that the
occupant is a law offender or the
contents of the vehicles are
instruments or proceeds of some
criminal offense.
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Requisites Notes

the vehicle. Further, there is no probable

cause when the officers only acted on an
anonymous tip from an informant, as it
is hearsay. Instead of relying only on
the tip, officers should find reasonable
grounds to believe that the person who
was searched had committed or was
planning to commit a crime. The officer
must observe facts that would lead to a
reasonable degree of suspicion of a
person, and should not adopt the
suspicion initiated by another person.
This is manifested through overt acts
and circumstances personally observed
by the police which created further
suspicion. [People v. Sapla, G.R. No.
244045, (2020)]

Searches conducted in checkpoints are Routine inspections are not regarded

valid as long as they are warranted by
the exigencies of public order and
conducted in a way least intrusive to
motorists.
Although the general rule is that
motorists and their vehicles as well as
pedestrians passing through
checkpoints may only be subjected to a
routine inspection, vehicles may be
stopped and extensively searched when
there is probable cause which justifies a
reasonable belief of the men at the
Checkpoints; checkpoints that either the motorist is a
Body Checks law offender or the contents of the
in Airport vehicle are or have been instruments of
some offense [People v. Vinecario, G.R.
No. 141137 (2004)].
as violative of an individual’s right
against unreasonable search:
a. Where the officer merely draws
aside the curtain of a vacant
vehicle which is parked on the
public fair grounds
b. Officer simply looks into a vehicle
c. Officer flashes a light therein
without opening car’s doors
d. Occupants not subjected to a
physical search
e. Inspection is limited to visual
search or visual inspection, or
f. Routine check is conducted in a
fixed area
[Caballes v. CA, G.R. No. 136292
(2002)]

While the right of the people to be secure

in their persons, houses, papers, and
effects against unreasonable searches
and seizures is guaranteed by Section 2,
Article III of the 1987 Constitution,
a routine security check being
conducted in air and sea ports has been
a recognized exception [People v.
O’Cochlain, G.R. No. 229071 (2018)].

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Requisites
a. Police must have prior justification to
a prior valid intrusion i.e., based on1.
the valid warrantless arrest in which
the police are legally present in the 2.
pursuit of their official duties
b. Evidence was inadvertently
discovered by the police who have a
right to be where they are
c. Evidence must be immediately and
apparently illegal (i.e., drug
paraphernalia)
Plain View d. Plain view justified mere seizure of
Situation evidence without further search
[People v. Martinez, G.R. No. 191366
(2010)]
Stop and frisk is a limited protective
search of outer clothing for weapons
[Malacat v. CA, G.R. No. 123595 (1997)]
Where a police officer observes unusual
conduct, which leads him reasonably to
conclude in the light of his experience
that criminal activity may be afoot, and
that a person with whom he is dealing
may be armed and presently dangerous,
he is entitled to conduct a stop and frisk
Stop and Frisk search.
Situation
Arresting officer should have personally
observed two or more suspicious
circumstances to warrant a stop and frisk
search [Manibog v. People, G.R. No.
211214 (2019)]
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Notes
Limitations
It may not be used to launch unbridled
searches and indiscriminate seizures
It does not extend to a general
exploratory search made solely to
find evidence of defendant’s guilt
[People v. Musa, G.R. No. 96177
(1993)]
Rationale
The doctrine is a recognition of the
fact that when the police come across
immediately recognizable
incriminating evidence not named in
the warrant, they should not be
required to close their eyes to it,
regardless of whether it is evidence of
the crime they are investigating or
evidence of some other crime. The
doctrine is also a recognition of the
fact that it would be needless
inconvenience to require the police to
obtain another warrant [US v. Gray,
484 F.2d 352 (6th Cir., 1978)]
Dual purpose of stop-and-frisk:
a. The general interest of
effective crime prevention and
detection and
b. The more pressing interest of
safety and self-preservation
which permit the police officer to
take steps to assure himself that
the person with whom he deals is
not armed with a deadly weapon
that could unexpectedly and
fatally be used against the police
officer.
[Malacat v. CA, G.R. No. 123595
(1997)]
Stop and Frisk v. Search Incidental
to Lawful Arrest
The latter happens when one is
caught in flagrante delicto, the former
is done in order to prevent a crime
from occurring [People v. Cogaed,
G.R. No. 200334 (2015)].
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Requisites
For the enforcement of customs duties
and tariff laws, the Collector of Customs
is authorized to effect searches and
seizure [General Travel Services v.
David, G.R. No. L-19259 (1966)]
The Customs Modernization and Tariff
Act (CMTA) authorizes customs officers
to:
a. Enter, pass through or search any
Enforcement land, enclosure, warehouse [Sec.
of Customs 219, CMTA]
Law b. Inspect/search/examine any vessel
or aircraft and any
trunk/package/box/envelope or any
person on board, or stop and
examine any vehicle/beast/person
suspected of holding/conveying any
dutiable/prohibited article introduced
into the Philippines contrary to law
[Sec. 221, CMTA].
Search Prior to entry
involving Passengers and their bags and
Public Utility luggages can be subjected to a routine
Vehicles inspection akin to airport and seaport
security protocol. In lieu of electronic
scanners, passengers can be required
instead to open their bags and luggages
for inspection made in the passenger's
presence. Passengers can also be
frisked.
Should the passenger object, he or she
can validly be refused entry into the
terminal.
While in transit
A bus can still be searched by
government agents or the security
personnel of the bus owner in the
following instances:
1. Upon receipt of information that a
passenger aboard carries
contraband or illegal articles; the bus
can be stopped en route to allow for
an inspection of the person and his
or her effects
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Notes
General Rule: The CMTA does not
require a warrant for such searches
Exception: In the search of a
dwelling house, a search warrant is
required [Sec. 220, CMTA]
Note: RTCs are devoid of any
competence to pass upon the validity
or regularity of seizure and forfeiture
proceedings conducted by the
Bureau of Customs and to enjoin or
otherwise interfere with these
proceedings. It is the Collector of
Customs, sitting in seizure and
forfeiture proceedings, who has
exclusive jurisdiction to hear and
determine all questions touching on
the seizure and forfeiture of dutiable
goods [Asian Terminals, Inc. v.
Bautista-Ricafort, G.R. No. 166901
(2006)].
In both situations the search must
also satisfy the following conditions to
qualify as a valid reasonable search:
1. As to the manner of the search, it
must be the least intrusive and
must uphold the dignity of the
person or persons being
searched, minimizing, if not
altogether eradicating, any cause
for public embarrassment,
humiliation or ridicule
2. Neither can the search result from
any discriminatory motive such as
insidious profiling, stereotyping
and other similar motives
The fundamental rights of
vulnerable identities, persons
with disabilities, children and
other similar groups should be
protected
3. As to the purpose of the search, it
must be confined to ensuring
public safety
4. As to the evidence seized from
the reasonable search, courts
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Requisites Notes

2. Whenever a bus picks passengers must be convinced that

en route, the prospective passenger precautionary measures were in
can be frisked and his or her bag or place to ensure that no evidence
luggage be subjected to the same was planted against the accused
routine inspection as though the
person boarded the bus at the [Saluday v. People, G.R. No. 215305
terminal (2018)]
3. A bus can be flagged down at
designated military or police
checkpoints where State agents can
board the vehicle for a routine
inspection of the passengers and
their bags or luggage

[Saluday v. People, G.R. No. 215305

(2018)]

Other Exceptions liability [People v. Chan Fook, G.R. No. L-

Exigent and Emergency Circumstances
In one case, there was a prevailing general
chaos and disorder because of an ongoing
coup, and the raid of the office/building was
precipitated by an intelligence report that said
office was being used as HQ by the RAM. The
raiding team had no opportunity to apply for
warrant as the court then was closed [People
v. de Gracia, G.R. Nos. 102009-10 (1994)].
I. Remedies From Unlawful
Search and Seizure
Who May Avail
Only the party whose rights have been
impaired thereby; the objection to an unlawful
search and seizure is purely personal and
cannot be availed of by third parties [Stonehill
v. Diokno, G.R. No. L-19550 (1967); Santos v.
Pryce Gases Inc., G.R. No. 165122 (2007)]
1. Employ Any Means to Prevent the
Search
Without a search warrant, the officer cannot
insist on entering a citizen’s premises. If he
does so, he becomes an ordinary intruder.
The person to be searched may resist the
search and employ any means necessary to
prevent it, without incurring any criminal
16968 (1921)].
2. File Criminal Action against Officer
A public officer/employee who procures a
search warrant without just cause is
criminally liable under Art. 129, RPC, on
search warrants maliciously obtained and
abuse in the service of those legally
obtained.
3. File a Motion to Quash the Illegal
Warrant
This remedy is employed if search is not yet
conducted.
Who May File
1. Person who will potentially be injured;
2. Person to be searched;
3. Owner of the property to be searched.
Where to File
1. Motions to quash a search warrant and/or to
suppress evidence obtained thereby may
be filed in and acted upon only by the court
where the action has been instituted.
2. If no criminal action has been instituted,
motion may be filed in and resolved by the
court that issued the warrant.
3. If such court failed to resolve the motion,
and a criminal case is subsequently filed in

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another court, the motion shall be resolved
by the latter court. [Sec. 14, Rule 126]
Grounds
A motion to quash a search warrant may be
based on grounds extrinsic of the search
warrant, such as (1) the place searched or the
property seized are not those specified or
described in the search warrant; and (2) there
is no probable cause for the issuance of the
search warrant [Abuan v. People, G.R. No.
168773 (2006)].
Failure to file Motion to Quash
Where no MTQ the search warrant was filed in
or resolved by the issuing court, the interested
party may move in the court where the criminal
case is pending for the suppression as
evidence of the personal property seized under
the warrant if the same is offered therein for
said purpose. [Malaloan v. CA, G.R. No.
104879 (1994)].
4. File a Motion to Return Things
Seized
The venue where the motion will be filed
follows the same rules as in a motion to quash.
An accused may file a motion to suppress
evidence if he is not among the persons who
can file a motion to quash.
General Rule: Goods seized by virtue of an
illegal warrant must be returned.
Exception: The illegality of the search warrant
does not call for the return of the things seized,
the possession of which is prohibited by law
[Castro v. Pabalan, G.R. No. L-28642 (1976)].
5. Motion to Suppress Evidence
This refers to a motion to suppress as evidence
the objects illegally taken pursuant to the
exclusionary rule, which states that any
evidence obtained through unreasonable
searches and seizures shall be inadmissible for
any purpose in any proceeding
Civil and Criminal Liability from
Unreasonable Search and Seizure
The following offenses may result from
unreasonable search and seizure
a. Violation of domicile [Art. 128, RPC]
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b. Search warrant maliciously obtained [Art.
129, RPC]
c. Searching domicile without witnesses [Art.
130, RPC]
d. Unjust interlocutory order [Art. 206, RPC]
The public officer or employee may be held
liable for:
a. Entering without authority; against the will;
refuses to leave
b. A search warrant procured without just
cause or if with just cause, exceeds his
authority or uses unnecessary severity of
force
c. Conducting the search without the required
witnesses.
The judge may be held liable for
a. Knowingly rendering an unjust interlocutory
order [Art. 206, RPC]
b. Inexcusable negligence or ignorance [Art.
205, RPC]
It may also result in civil liability for
a. Violation of rights and liberties [Art. 32(9),
CC]
b. Malicious prosecution and acts referred to
Art. 32 [Art. 2218, CC]
Malice or bad faith is not required.
Not only official actions, but all persons,
including those private parties/entities upon
whose initiative the unreasonable search was
conducted, are held liable for damages [MHP
Garments v. CA, G.R. No. 86720 (1994)].
Waiver of Immunity against Unreasonable
Search and Seizure
The constitutional immunity against
unreasonable searches and seizure is a
personal right that may be waived
expressly/impliedly only by the person whose
right is being invaded or one who is expressly
authorized to do so in his behalf [Pasion v.
Locsin, G.R. No. L-45950 (1938)].
Requisites
a. It must appear that the right exists
b. The person involved had knowledge (actual
or constructive) of the existence of such
right
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c. The person had an actual intention to
relinquish the right
[Pasion v. Locsin, G.R. No. L-45950 (1938)]
Warrants Relating to Bank Accounts
General Rule: Sec. 2 of R.A. No. 1405
otherwise known as the Bank Secrecy Act of
1995 provides that all deposits of whatever
nature with banks or banking institutions in the
Philippines including investments in bonds
issued by the Government of the Philippines,
its political subdivisions and its
instrumentalities, are hereby considered as of
an absolutely confidential nature.
Exception: Bank accounts may be examined,
inquired, or looked into:
1. Upon written permission of the depositor
2. In cases of impeachment
3. Upon order of a competent court in cases of
bribery or dereliction of duty of public
officials
4. In cases where the money deposited or
invested is the subject matter of the
littigation
5. As provided by subsequent legislation (i.e.
Anti-Money Laundering Act or AMLA)
Bank Inquiry Order as Search Warrant
A bank inquiry order is a provisional relief
available to the Anti-Money Laundering
Council in aid of its investigative powers. It
partakes of the character of a search warrant
[Subido Law O.ffices v. CA, G.R. No. 216914,
(2016)]
Investigations for Anti-Money Laundering
offenses, including the proceedings for the
issuance of bank inquiry order, are kept ex
parte in order not to frustrate the State’s effort
in building its case and eventually prosecuting
money laundering offenses.
The absence of notice to the owner of a bank
account that an ex parte application as well as
an order to inquire has been granted by the
Court of Appeals is not unreasonable nor
arbitrary. The lack of notice does not violate the
due process clause [Ibid.]
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R. Provisional Remedies in
Criminal Cases (Rule 127)
1. Nature
Provisional remedies in civil actions, insofar
as they are applicable, may be availed of in
connection with the civil action deemed
instituted with the criminal action [Sec. 1, Rule
127]
If the civil action is suspended on account of
filing of the criminal action, the court with which
the civil case is filed is not thereby deprived of
its authority to issue auxiliary writs that do not
go into the merits of the case [Ramcar, Inc v.
de Leon, G.R. No. L-1329 (1947)].
Provisional remedies are not available
when:
a. Offended party has waived the civil claim
b. Offended party has reserved the civil claim
c. Offended party has already instituted a
separate civil action
d. Criminal action carries with it no civil liability
Note: If civil action has been waived, reserved,
or instituted separately, the provisional remedy
applicable should be applied for in the separate
civil action instituted [Riano 571, 2011 Updated
Ed.]
2. Kinds of Provisional
Remedies
The accused may present evidence to prove
his defense and damages, if any, arising from
the issuance of a provisional remedy in the
case [Sec. 11(b), Rule 119].
a. Preliminary Attachment
When Proper
The offended party may have the property of
the accused attached as security for the
satisfaction of any judgment that may be
recovered from the accused in the following
cases:
1. When the accused is about to abscond from
the Philippines
2. When the criminal action is based on a
claim for money or property embezzled or
fraudulently misapplied or converted to the
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use of the accused who is a
public/corporate officer, attorney, factor,
broker, agent or clerk, in the course of his
employment as such, or by any other
person in a fiduciary capacity, or for a willful
violation of duty
3. When the accused has concealed, removed
or disposed of his property, or is about to do
so
4. When the accused resides outside the
Philippines [Sec. 2, Rule 127]
Issuance and Implementation
The writ may be issued ex parte before
acquisition of jurisdiction over the accused
[Cuarter v. CA, G.R No. 102448 (1992))
However, it may be implemented only after
acquisition of jurisdiction over the person of the
accused [Gonzalez v. State Properties, G.R.
No. 140765 (2001)].
A public prosecutor has the authority to apply
for preliminary attachment to protect the
interest of the offended party, particularly
considering that the corresponding civil liability
of the culprits is to be determined therein, no
reservation having been made of the right to
enforce it in a separate civil action [Santos v.
Judge Flores, G.R. No. L-18251 & L-18252
(1962)] .
No notice to the adverse party or hearing on
the application is required before a writ of
preliminary attachment may issue as a hearing
would defeat the purpose of the provisional
remedy. The time which such hearing would
take could be enough to enable the defendant
to abscond or dispose of his property before a
writ of attachment may issue [Mindanao
Savings and Loan Assoc. v. CA, G.R. No.
84481 (1989)].
b. Injunction
General Rule: Criminal prosecution may not
be stayed or restrained by injunction,
preliminary or final.
Exceptions:
1. To afford adequate protection to the
constitutional rights of the accused
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2. When necessary for the orderly
administration of justice or to avoid
oppression or multiplicity of actions
3. When there is a pre-judicial question which
is sub judice
4. When the acts of the officer are without or
in excess of authority
5. Where the prosecution is under an invalid
law, ordinance or regulation
6. When double jeopardy is clearly apparent
7. Where the court has no jurisdiction over
the offense
8. Where it is a case of persecution rather
than prosecution
9. Where the charges are manifestly false and
motivated by the lust for vengeance
10. When there is clearly no prima facie case
against the accused and a motion to quash
on that ground has been denied, and
11. Preliminary injunction has been issued by
the Supreme Court to prevent the
threatened unlawful arrest of petitioners
[Brocka v. Enrile, G.R. No. 69863 (1990)]
3. Other Provisional Remedies
Protection Orders, RA 9262
Certain interim reliefs may be availed of under
R.A. 9262 even before or in the absence of a
decree of legal separation, annulment or
declaration of absolute nullity of marriage and
for the protection of women and their children
[2 Riano 114-115, 2016 Bantam Ed.].
Protection Order
A protection order is an order issued for the
purpose of preventing further acts of violence
against a woman or her child as specified in the
law and granting the necessary relief.
The protection orders under R.A. 9262 are of
three kinds, namely:
1. Temporary Protection Order - issued by
the court on the date of filing of the
application after ex parte determination that
such order should be issued. A court may
grant in a TPO any, some, or all of the reliefs
mentioned in the Act and shall be effective
for 30 days.
2. Permanent Protection Order - issued by
the court after notice and hearing. It shall be
effective until revoked by a court upon
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application of the person in whose favor the
order was issued. Regardless of the
conviction or acquittal of the respondent, the
Court must determine whether or not the
PPO shall become final. Even in a
dismissal, a PPO shall be granted as long
as there is no clear showing that the act
from which the order might arise did not
exist.
3. Barangay Protection Order - issued by the
Punong Barangay or any available
Barangay Kagawad ordering the
perpetrator to desist from committing acts
described in the law. When issued, they
shall be effective for 15 days.
S. The Rule on Cybercrime
Warrants (Section 2 of A.M. No.
17-11-03-SC only)
Venue of Criminal Actions
1. Violation of Section 4 (Cybercrime
offenses) and/or Section 5 (Other
offenses) of RA 10175 (Cybercrime
Prevention Act of 2012 hereinafter
“RA 10175”)
General Rule: The criminal action shall be filed
before the designated cybercrime court of the
province or city:
1. Where the offense or any of its elements is
committed, or
2. Where any part of the computer system
used is situated, or
3. Where any of the damage caused to a
natural or juridical person took place
Note: The court where the criminal action
was first filed shall acquire jurisdiction to the
exclusion of other courts.
2. All other crimes committed using
Information and Communication
Technology (ICT)
General Rule: The criminal action shall be filed
before the regular or specialized courts as the
case maybe.
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Venue for Filing an Application
for Warrant
1. For violations of Section 4 and
Section 5 of RA 10175 (Cybercrime
Prevention Act of 2012)
General Rule: Application shall be filed before
the designated cybercrime courts of the
province or the city where:
1. Where the offense or any of its elements is
committed, or
2. Where any part of the computer system
used is situated, or
3. Where any of the damage caused to a
natural or juridical person took place
Note: Cybercrime courts in Quezon City, City
of Manila, Makati City, Pasig City, Cebu City,
Iloilo City, Davao City, and Cagayan De Oro
City have the special authority to act on
applications and issue warrants which shall be
enforceable nationwide and outside the
Philippines.
2. For violations of all crimes defined,
and penalized by RPC and other
special laws if committed using
Information Communication
Technology (ICT) shall be filed with
the regular courts or other specialized
RTC in the places:
1. Where the offense or any of its elements is
committed, or
2. Where any part of the computer system
used is situated, or
3. Where any of the damage caused to a
natural or juridical person took place
Incidents Related to the Warrant
When a Criminal Action is
Instituted
1. Once a criminal action is instituted, a motion
to quash and other incidents that relate to
the warrant shall be heard and resolved by
the court that subsequently acquired
jurisdiction over the criminal action
2. Prosecution has the duty to move for the
transmittal of the records as well as the
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transfer of the items’ custody to the latter
court following the procedures in Sec. 7.2
Examination of Applicant on
Record
Before a warrant is issued
1. Judge must personally examine the
applicant and the witnesses he may
produce:
a. in the form of searching questions and
answers,
b. in writing, and
c. under oath
2. Applicant and witnesses must be examined
by the judge on facts personally known to
them
3. Judge must attach to the record their
sworn statements together with their
judicial affidavits submitted
Effective Period of Warrants
General Rule: Not exceeding 10 days from its
issuance
Exception: The issuing court may, upon
motion, extend its effectivity based only on
justifiable reasons for a period not exceeding
10 from the expiration of the original period.
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Contempt
The responsible law enforcement authorities
shall be subject to action for contempt in case
of:
1. Failure to timely file the return for any of the
issued warrants under this Rule
2. Failure to duly turn-over to the court’s
custody any of the items disclosed
intercepted, searched, seized, and/or
examined
G. Obstruction of Justice for
Non-Compliance
1. Failure to comply with the provisions of
Chapter IV shall be punished as a violation
of PD No. 1829 or “Penalizing Obstruction
Of Apprehension And Prosecution Of
Criminal Offenders”
2. The criminal charge shall be filed before the
designated cybercrime court with
jurisdiction over the place where the non-
compliance was committed
H. Extraterritorial Service of
Warrants and Other Court
Processes
1. Available for persons or service providers
outside the Philippines
2. Must be coursed through the DOJ - Office of
Cybercrime
3. Must be In line with all relevant international
instruments and/or agreements
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EVIDENCE
REMEDIAL LAW

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VIII. EVIDENCE
A. General Concepts
1. Concept of Evidence
Evidence – It is the means, sanctioned by
these rules, of ascertaining in a judicial
proceeding, the truth respecting a matter of fact
[Sec. 1, Rule 128].
“Truth” is not necessarily the actual truth, but
one referred to as the judicial or legal truth
[Riano, 2, 2022 Ed.].
Scope and Applicability of the Rules
of Evidence
a. Scope of Application
Under the Rules of Court (ROC), the rules of
evidence are specifically applicable only to
judicial proceedings [Sec. 1, Rule 128].
Judicial proceedings are of three kinds only:
1. Civil action – which is of two kinds:
a. Ordinary civil action, and
b. Special civil action,
2. Criminal action, and
3. Special Proceeding [Sec. 3, Rule 1].
Note: All other proceedings are non-judicial,
hence, application of the rules of evidence in
the ROC is not mandatory in the following:
● Election cases,
● Land registration cases,
● Cadastral proceedings,
● Insolvency proceedings,
● Naturalization proceedings,
● Other cases not herein provided for
Except by analogy or in a suppletory character
and whenever practicable and convenient [See
Sec. 4, Rule 1].
Note: This means that the technical rules of
evidence do not apply in the following cases,
among other non-judicial proceedings:
1. During preliminary investigation
proceedings [Estrada v.
Sandiganbayan, G.R. Nos. 212762-62
(2018)].
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2. In proceedings before administrative
bodies [Atienza v. Board of Medicine,
G.R. No. 177407 (2011)].
3. In proceedings before labor tribunals
such as the NLRC [Castillo v.
Prudentialife Plans Inc., G.R. No.
196142 (2014)].
4. During investigations of the Civil
Service Commission for ascertaining
the truth [Civil Service Commission v.
Colanggo, G.R. No. 174935 (2008)].
5. In cases involving petitions for
naturalization [Ong Chia v. Republic,
G.R. No. 127240 (2000)].
b. Uniformity of Application
General Rule: The rules of evidence shall be
the same in all courts and in all trials and
hearings [Sec. 2, Rule 128].
Exceptions:
If otherwise provided by:
1. Law (e.g. 1987 Constitution, statutes)
2. Rules of Court (Sec. 2, Rule 128)
3. SC issuances (e.g., Judicial Affidavit
Rule, Rules on Procedure for
Environmental Cases, Child Witness
Rule, Rules on Electronic Evidence,
Rules on DNA Evidence)
No Vested Right of Property in Rules of
Evidence
Any evidence inadmissible according to the
laws in force at the time the action accrued, but
admissible according to the laws in force at the
time of trial, is receivable [Aldeguer v. Hoskyn,
G.R. No. 1164 (1903)].
Rules of Evidence May be Waived
According to Francisco [Ibid.], there are rules
of evidence established merely for the
protection of the parties. If, according to the
well-established doctrine, the parties may
waive such rules during the trial of a case, there
is no reason why they cannot make the waiver
in a contract (e.g. a contract of insurance
requiring the testimony of eyewitness as the
only evidence admissible concerning the death
of the insured person).
However, if the rule of evidence waived by the
parties has been established on grounds of
public policy, the waiver is void (e.g. waiver of
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the privilege against the disclosure of state
Burden of Proof Burden of Evidence
secrets).
Never shifts. May shift from one
Construction of the Rules of Evidence party to another in
The Rules of Court, including the Revised the course of the
Rules on Evidence, shall be liberally construed proceedings.
to promote their objective of securing a just,
speedy and inexpensive disposition of every Ex. In illegal Once the
action and proceeding [Sec. 6, Rule 1]. possession of prosecution proves
firearms, the that the accused was
Rules on Electronic Evidence shall likewise be prosecution has the not issued a firearms
liberally construed [Sec. 2, Rule 2, Rules on burden of proving the license, the burden
Electronic Evidence]. accused’s lack of of evidence is then
authority to have a shifted to the
2. Proof vs. Evidence firearm [People v. accused to prove his
Salahuddin, G.R. No. authorization to
Distinguish: Proof v. Evidence 206291 (2016)]. possess a firearm
[People v.
Proof Evidence
Salahuddin, supra].
Result or effect of Mode and manner of The test for determining where the burden of
evidence [2 proving competent proof lies is to ask which party to an action
Regalado 698, 2008 facts in judicial will fail if he offers no evidence competent to
Ed.]. proceedings [Bustos show the facts averred as the basis for the
v. Lucero, G.R. No. relief he seeks [Riano, 65, 2022 Ed.].
L-2068 (1948)].
Stated another way, proof is the effect of 4. Equipoise Rule
evidence, whereas evidence is the medium of
proof [Riano, 11, 2022 Ed.]. The doctrine refers to the situation where the
evidence of the parties are evenly balanced or
Note: Evidence is a relative term; It signifies a there is doubt on which side the evidence
relation between facts: the factum probans and preponderates. In this case, the decision
factum probandum [Wigmore, Principles of should be against the party with the burden
Judicial Proof, 5, cited in Riano 11, 2016 Ed.]. of proof [Rivera v. C.A., G.R. No. 115625
(1998); Marubeni v. Lirag, G.R. No. 130998
3. Burden of Proof vs. Burden of (2001)].
Evidence
In criminal cases, the equipoise rule provides
that where the evidence is evenly balanced,
Distinguish: Burden of Proof v. Burden of
the constitutional presumption of innocence
Evidence
tilts the scales in favor of the accused [Malana
Burden of Proof Burden of Evidence v. People, G.R. No. 173612 (2008)].

It is the duty of a Is the duty of the Note: Similar to the equipoise rule is the rule of
party to present on party to present lenity, not to be confused for the former. Under
the facts in issue evidence sufficient to this rule, when the court is faced with two
necessary to establish or rebut a possible interpretations of a penal statute (one
establish his or her fact in issue to that is prejudicial to him and another
claim or defense establish a prima favorable), the interpretation which is more
by the amount of facie case [Sec. 1, lenient to the accused must be adopted [Ient v.
evidence required by Rule 131]. Tullet Prebon Inc., G.R. No. 189158].
law [Sec. 1, Rule
131].

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EVIDENCE
B. Admissibility of Evidence
Evidence is admissible when it is relevant to
the issue and competent – i.e., not excluded
by the Constitution, the law, or the Rules of
Court [Sec. 3, Rule 128].
Admissibility does not concern weight
Admissibility of evidence should not be
equated with weight of evidence. The
admissibility of evidence depends on its
relevance and competence, while the weight of
evidence pertains to evidence already admitted
and its tendency to convince and persuade.
Thus, a particular item of evidence may be
admissible, but its evidentiary weight depends
on judicial evaluation within the guidelines
provided by the Rules of Court [Dela Llana v.
Biong, G.R. No. 182356 (2013)].
Admissibility of evidence refers to the question
of whether the circumstance (or evidence) is to
be considered at all. On the other hand, the
probative value of evidence refers to the
question of whether it proves an issue [PNOC
Shipping and Transport Corporation v. C.A.,
G.R. No. 107518 (1998)].
To emphasize, “a preliminary investigation is
merely preparatory to a trial; it is not a trial on
the merits.” Since “it cannot be expected that
upon the filing of the information in court the
prosecutor would have already presented all
the evidence necessary to secure a conviction
of the accused,” the admissibility or
inadmissibility of evidence cannot be ruled
upon in a preliminary investigation [Maza v.
Judge Turla, G.R. No. 187094 (2017)].
The Importance of Offer in Relation to
Admissibility
Parties are required to inform the courts of the
purpose of introducing their respective exhibits
to assist the latter in ruling on their admissibility
in case an objection thereto is made [Star Two
v. Ko, G.R. No. 185454 (2011)].
The court shall consider no evidence which has
not been formally offered [Sec. 34, Rule 132].
The purpose for which the evidence is
offered must be specified [Sec. 34, Rule
132]. The purpose for which evidence is
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offered must be specified because such
evidence may be admissible for several
purposes under the doctrine of multiple
admissibility or may be admissible for one
purpose and not for another, otherwise the
adverse party cannot interpose the proper
objection. Evidence submitted for one purpose
may not be considered for any other purpose
[Uniwide Sales Realty and Resources Corp. v.
Titan-Ikeda Construction and Development
Corp., G.R. No. 126619, December 20, 2006].
All evidence must be offered orally [Sec. 35,
Rule 132].
● Offer of testimonial evidence — made at
the time the witness is called to testify.
● Offer of documentary and object evidence
— made after the presentation of a party’s
testimonial evidence.
Objection
Objection to offer of evidence must be made
orally immediately after the offer is made.
● Objection to the testimony of a witness for
lack of formal offer must be made as soon
as the witness begins to testify.
● Objection as to a question propounded
during the oral examination of a witness
must be made as soon as the grounds
therefor become reasonably apparent.
● The grounds for objections must be
specified [Sec. 36, Rule 132].
1. Requisites for Admissibility of
Evidence
Requisites
a. Relevance
When the evidence has such a relation to the
fact in issue as to induce belief in its existence
or non-existence [Sec. 4, Rule 128] (e.g.,
evidence as to the age of a person who has
been raped is relevant in a situation where the
age would qualify the offense to statutory
rape).
Determinable by the rules of logic and human
experience [2 Regalado 704, 2008 Ed.].
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b. Competence Where the evidence is relevant and competent
Not excluded by the Constitution, the law, or for two or more purposes, such evidence
the Rules [Sec. 3, Rule 128]. should be admitted for any or all the purposes
for which it is offered, provided it satisfies all
Determinable by the law or the rules [Riano, 29, the requisites of law for its admissibility therefor
2022 Ed.]. [2 Regalado 706, 2008 Ed.].

Evidence may be admissible for one

Relevant Competent
purpose but inadmissible for another
When the evidence Not excluded by the When a fact is offered for one purpose and is
has such a relation to Constitution, the admissible insofar as it satisfies all rules
the fact in issue as to law, or the Rules applicable to it when offered for that purpose,
induce belief in its [Sec. 3, Rule 128]. its failure to satisfy some other rule which
existence or non- would be applicable to it if offered for another
existence [Sec. 4, purpose does not exclude it [Francisco 11,
Rule 128]. 1996 Ed.].

Evidence may be admissible against one party

2. Relevance of Evidence and
Collateral Matters
Matters other than the fact in issue and which
are offered as a basis for inference as to the
existence or non-existence of the facts in issue
[2 Regalado 708, 2008 Ed.].
This term connotes an absence of a direct
connection between the evidence and the
matter in dispute [Riano, 25, 2022 Ed.].
Example: The matter of motive. Jurisprudence
considers the motive as collateral to the subject
of a controversy. A very strong motive to kill the
victim does not ipso facto make motive relevant
to the issue of the guilt or innocence of the
accused [Riano, 25, 2022 Ed.].
General Rule: Evidence on collateral matters
is NOT allowed.
Exception: When it tends in any reasonable
degree to establish the probability or
improbability of the fact in issue [Sec. 4, Rule
128].
Note: What the Rules prohibit is evidence of
irrelevant collateral facts [2 Regalado 708,
2008 Ed.].
but not against another.
A confession of an accused may not be
competent as against his co-accused being
hearsay as to the latter, or to prove conspiracy
between them without the conspiracy being
established by other evidence; nonetheless,
the confession of the accused may be admitted
as evidence of his own guilt [People v. Yatco,
G.R. No. L-9181 (1955)].
4. Conditional Admissibility
Where the evidence at the time of its offer
appears to be immaterial or irrelevant unless it
is connected with the other facts to be
subsequently proved, such evidence may be
received on condition that the other facts will be
proved thereafter; otherwise, the evidence
already given shall be stricken out [2 Regalado
705, 2008 Ed.].
Example: A copy of a writing may not be
considered competent evidence until the
original is proven to be lost or destroyed.
Conditional admissibility requires no bad faith
on the part of the proponent [2 Regalado, 705,
2008 Ed.].
5. Curative Admissibility

3. Multiple Admissibility The right of a party to introduce incompetent

evidence after the court admitted incompetent
Evidence may be admissible for two or evidence introduced by the opposing party.
more purposes

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Thus, a person who first introduces either 8. Competent and Credible Evidence
irrelevant or incompetent evidence into the trial
cannot complain of the subsequent admission
Competent Credible Evidence
of similar evidence from the adverse party
Evidence
relating to the same subject matter [Riano, 32,
2022 Ed.]. Not excluded by the Refers to probative
Constitution, the value or convincing
6. Direct and Circumstantial Evidence law, or the Rules weight
[Sec. 3, Rule 128]
Direct Evidence Circumstantial Weight involves the
Evidence effect of evidence
admitted, its tendency
Proves a fact Proof of collateral facts to convince and
without drawing and circumstances persuade. It is not
any inference wherein the existence of determined
from another the main fact may be mathematically by the
fact. inferred numerical superiority
of the witnesses
[Riano, 34, 2022 Ed.].
testifying to a given
fact but depends
Requisites to Warrant a Conviction Based
upon its practical
on Circumstantial Evidence
effect in inducing
1. There is more than one circumstance;
belief on the part of
2. The facts from which the inferences
the judge trying the
are derived are proven; and
case [Francisco 11,
3. The combination of all circumstances
is such as to produce conviction 1996 Ed.].
beyond reasonable doubt [Sec. 4, Rule Determined by the
133].
prevailing
exclusionary rules of
Inferences cannot be based on other
evidence [2
inferences [Ibid].
Regalado 704, 2008
Ed.].
The totality of the evidence must constitute an
unbroken chain showing the guilt of the
Note: Exclusionary
accused beyond reasonable doubt [People v.
rules may affect due
Matito, G.R. No. 144405 (2004)].
process. To the
extent that they
Note: Circumstantial evidence is not a weaker
might prejudice
form of evidence vis-a-vis direct evidence
substantive rights,
[Ibid].
therefore, they
cannot be made to
7. Positive and Negative Evidence apply retroactively.
Positive Negative Evidence
Evidence 9. Exclusionary Rules of Evidence
Witness affirms Witness states he/she
that a certain state did not see or does not Constitutional exclusionary rules
of facts did exist or know of the occurrence Consequence Violation
that a certain of a fact.
event happened. Inadmissible for Art III, Sec 2
[2 Regalado 703, 2008 Ed.] any proceeding (unreasonable searches
and seizure)

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have been affixed thereto and canceled
Consequence Violation
[Sec. 201, NIRC];
2. Any communication obtained by a person,
Art III, Sec 3 (privacy of not being authorized by all the parties to
communication and any private communication, by tapping any
correspondence; except wire/cable or using any other
upon lawful order of the device/arrangement to secretly
court, or when public overhear/intercept/record such information
safety or order requires by using any device, shall not be
otherwise, as prescribed admissible in evidence in any hearing or
by law) investigation [Secs. 1 and 4, R.A. 4200
(Wire-Tapping Act)].
Inadmissible Art III, Sec. 12 (right to 3. Any extrajudicial confession made by a
against the counsel, prohibition on person arrested, detained or under
accused, but torture, force, violence, custodial investigation shall be in writing
may be used by threat, intimidation or and signed by such person in the presence
the offended other means which vitiate of his counsel or in the latter's absence,
party in a suit for the free will; prohibition on upon a valid waiver, and in the presence of
damages secret detention places, any of the parents, elder brothers and
against the solitary, incommunicado) sisters, his spouse, the municipal mayor,
violator the municipal judge, district school
Art III, Sec. 17 (right supervisor, or priest or minister of the
against self-incrimination) gospel as chosen by him; otherwise, such
extrajudicial confession shall be
inadmissible as evidence in any
It is settled that for an extrajudicial confession
proceeding [Sec. 2, R.A. 7438].
to be admissible in evidence against the
accused, the same “must be (a) voluntary, (b)
Exclusions Under the Rules on Evidence
made with the assistance of a competent and
1. Original document rule (previously, best
independent counsel, (c) express, and (d) in
evidence rule)
writing.
2. Hearsay evidence rule
3. Offer of compromise in civil cases
Moreover, Section 2 of Republic Act No. 7438
requires that "any person arrested, detained or
under custodial investigation shall at all times Exclusions Under Court Issuances
be assisted by counsel.” 1. Rule on Electronic Evidence, e.g.
compliance with authentication
requirements for electronic evidence
Statutory exclusionary rules 2. Rule on Examination of a Child
Note: There must be a law that renders the
Witness, e.g. sexual abuse shield rule
evidence inadmissible [Ejercito v.
3. Judicial Affidavit Rule
Sandiganbayan, G.R. Nos. 157294-95
(2006)]. In this case, the SC held that nowhere
in R.A. 1405 (Bank Secrecy Law) does it C. Judicial Notice and Judicial
provide that an unlawful examination of bank
accounts shall render the evidence obtained
Admissions
therefrom inadmissible in evidence. It only
imposes a penalty for such offense. Judicial Notice
Exclusions Under Special laws 1. What Need Not Be Proved
Examples: 1. Facts of Judicial Notice
1. Lack of documentary stamp tax to 2. Judicial Admissions
documents required to have one makes 3. Conclusive Presumptions
such document inadmissible as evidence
in court until the requisite stamp/s shall
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Note: Evidence is also not required when the
issue is purely a question of law. The definition
of “evidence” in Sec. 1, Rule 128 refers to “a
matter of fact.”
2. Matters of Judicial Notice
Judicial Notice
Judicial notice is the cognizance of certain
facts that judges may properly take and act on
without proof because these facts are already
known to them. Put differently, it is the
assumption by a court of a fact without need of
further traditional evidentiary support [Republic
v. Sandiganbayan, G.R. No. 166859 (2011)].
Courts must take judicial notice with caution.
Any reasonable doubt on the subject must be
resolved in the negative (i.e., court will not take
judicial notice).
Function of Judicial Notice
Judicial notice takes the place of proof and is
of equal force. It displaces evidence and fulfills
the purpose for which evidence is designed to
fulfill. Hence, it makes evidence unnecessary
[Moran, 38, 1980 Ed.].
When Mandatory
1. Existence and territorial extent of
states;
2. Their political history, forms of
government, and symbols of
nationality;
3. Law of nations;
4. Admiralty and maritime courts of the
world and their seals;
5. Political constitution and history of the
Philippines;
6. Official acts of the legislative,
executive and judicial departments of
the National Government of the
Philippines;
7. Laws of nature;
8. Measure of time; and
9. Geographical divisions [Sec. 1, Rule
129].
Note: Under the amended rule, only the official
acts of the executive, legislative, and judicial
departments of the National Government are
subject to mandatory judicial notice. Hence,
those of local government units (LGUs) are
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generally not subject to mandatory judicial
notice [Riano, 95, 2022 Ed.].
When Discretionary
1. Matters of public knowledge;
2. Matters capable of unquestionable
demonstration; and
3. Matters ought to be known to judges
because of their judicial functions
[Sec. 2, Rule 129].
Requisites
1. The matter must be one of common
and general knowledge;
2. It must be well and authoritatively
settled and not doubtful or uncertain;
3. It must be known to be within the limits
of the jurisdiction of the court
[Expertravel & Tours, Inc. v. CA and
Korean Airlines, G.R. No. 152392
(2005)].
The principal guide in determining what facts
may be assumed to be judicially known is that
of notoriety. Hence, it can be said that judicial
notice is limited to facts evidenced by public
records and facts of general notoriety.
Moreover, a judicially noticed fact must be one
not subject to a reasonable dispute in that it is
either (1) generally known within the territorial
jurisdiction of the trial court; or (2) capable of
accurate and ready determination by resorting
to sources whose accuracy cannot reasonably
be questionable [Ibid].
Things of “common knowledge,” of which
courts take judicial notice, may be matters
coming to the knowledge of men generally in
the course of the ordinary experiences of life,
or they may be matters which are generally
accepted by mankind as true and are capable
of ready and unquestioned demonstration
[State Prosecutors v, Muro, A.M. No. RTJ-92-
876 (1994)].
Judicial notice is not judicial knowledge.
The mere personal knowledge of the judge is
not the judicial knowledge of the court, and he
is not authorized to make his individual
knowledge of a fact, not generally or
professionally known, the basis of his action
[Ibid].
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When Hearing Necessary
During the Pre-Trial and the Trial
The court, motu proprio, or upon motion, shall
hear the parties on the propriety of taking
judicial notice of any matter [Sec. 3, Rule 129].
After the Trial and Before Judgment or on
Appeal
The court, motu proprio or upon motion, may
take judicial notice of any matter and shall hear
the parties thereon if such matter is decisive
of a material issue in the case [Sec. 3, Rule
129].
Note: With Respect to the Court’s Own Acts
and Records
A court will take judicial notice of its own acts
and records in the same case, of facts
established in prior proceedings in the same
case, of the authenticity of its own records of
another case between the same parties, of the
files of related cases in the same court, and of
public records on file in the same court
[Republic v. C.A, G.R. No. 119288 (1997)].
With Respect to Records of Other Cases
General Rule:
As a general rule, courts are not authorized to
take judicial notice of the contents of the
records of other cases, even when such cases
have been tried or are pending in the same
court, and notwithstanding the fact that both
cases may have been tried or are actually
pending before the same judge [People v.
Hernandez, G.R. No. 108028 (1996)].
Exceptions:
In the absence of objection, and as a matter of
convenience to all parties, a court may properly
treat all or any part of the original record of a
case filed in its archives as read into the record
of a case pending before it, when:
1. With the knowledge of the opposing
party, reference is made to it for that
purpose, by name and number or in
some other manner by which it is
sufficiently designated; or
2. The original record of the former case
or any part of it, is actually withdrawn
from the archives by the court's
direction, at the request or with the
consent of the parties and admitted as
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a part of the record of the case then
pending [US v. Claveria, G.R. No. 9282
(1915)].
Courts may also take judicial notice of
proceedings in other causes because of their:
a. Close connection with the matter in
controversy. For example, in a
separate civil action against the
administrator of an estate arising from
an appeal against the report of the
committee on claims appointed in the
administration proceedings of the said
estate, the court took judicial notice of
the record of the administration
proceedings to determine whether the
appeal was taken on time.
b. To determine whether the case
pending is a moot one or whether or not
a previous ruling is applicable in the
case under consideration.
c. The other case had been decided by
the same court, involving the same
subject matter, with the same cause of
action, and was between the same
parties (which was not denied), and
constituted res judicata on the current
cause before the court [Tiburcio v.
PHHC, G.R. No. L-13479 (1959)].
Illustrative Cases on Judicial Notice
In this case, the requisite of notoriety is belied
by the necessity of attaching documentary
evidence, i.e. the Joint Affidavit of the
stallholders, to prove the alleged practice of
paying goodwill money in a particular area
[Latip v. Chua, G.R. No. 177809 (2009)].
The classification of the land is obviously
essential to the valuation of the property. The
parties should thus have been given the
opportunity to present evidence on the nature
of the property before the lower court took
judicial notice of the commercial nature of a
portion of the subject landholdings [LBP v.
Honeycomb Farms, G.R. No. 166259 (2012)].
It can be considered of public knowledge and
judicially noticed that the scene of the rape is
not always nor necessarily isolated or secluded
for lust is no respecter of time or place [People
v. Tundag, G.R. Nos. 135695-96 (2000)].
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Laws of nature involving the physical sciences,
specifically biology, include the structural
make-up and composition of living things. The
Court may take judicial notice that a person’s
organs were in their proper anatomical
locations [Atienza v. Board of Medicine, G.R.
No. 177407 (2011)].
The distance between places may be taken as
a matter of judicial notice [Maceda v. Vda. De
Macatangay, G.R. No. 164947 (2006)].
The Court may take judicial notice of the
assessed value of property [Bangko Sentral ng
Pilipinas v. Legaspi, G.R. No. 205966 (2016)].
Judicial Admissions
1. In General
To be a judicial admission, the same:
1. May be oral or written;
2. Must be made by a party to the case; and
3. Must be made in the course of the
proceedings in the same case [Sec. 4, Rule
129].
Note: The admission, to be judicial, must be
made in the course of the proceedings in
the same case. Thus, an admission made in
another judicial proceeding will not be deemed
a judicial admission in the case where the
admission is not made. Instead, it will be
considered an extrajudicial admission for
purposes of the other proceeding where such
admission is offered [Riano 87, 2016 Ed.].
Judicial admissions may be made in
1. the pleadings filed by the parties,
2. in the course of the trial, either by
verbal or written manifestations or
stipulations, or
3. in other stages of the judicial
proceeding; e.g. stipulation of facts in
a pre-trial conference [People v.
Hernandez, G.R. No. 108028 (1996)],
allegations in motions not specifically
denied [Republic v. de Guzman, G.R.
No. 175021 (2011)], pre-trial,
depositions, written interrogatories or
requests for admission [2 Regalado
836-837, 2008 Ed.].
REMEDIAL LAW
Note:
1. Admissions made by a party pursuant to a
request for admission is for the purpose of
the pending action only [Sec. 3, Rule 26].
2. In criminal cases, all agreements or
admissions made or entered during the
pre-trial conference shall be reduced in
writing and signed by the accused and
counsel, otherwise, they cannot be used
against the accused [Sec. 2, Rule 118].
However, in the civil case instituted with
the criminal case, such admission will be
admissible against any other party.
There are averments made in pleadings which
are not deemed admissions even if the adverse
party fails to make a specific denial of the
same, like immaterial allegations [Sec. 11,
Rule 8], conclusions, as well as the amount of
liquidated damages [Sec. 11, Rule 8; Riano 89,
2016 Ed.].
Note: The theory of adoptive admission has
been adopted by the court in this jurisdiction.
An adoptive admission is a party’s reaction to
a statement or action by another person
when it is reasonable to treat the party’s
reaction as an admission of something
stated or implied by the other person. The
basis for admissibility of admissions made
vicariously is that arising from the ratification or
adoption by the party of the statements which
the other person had made.
In the Angara Diary, Estrada’s options started
to dwindle when the armed forces withdrew its
support. Thus, Executive Secretary Angara
had to ask Senate President Pimentel to advise
the petitioner to consider the option of
dignified exit or resignation. Estrada did not
object to the suggested option but simply said
he could never leave the country [Estrada v.
Desierto, G.R. Nos. 146710-15 (2001)].
Judicial Proceeding [Sec. 3, Rule 1]
1. Civil – includes special civil actions
2. Criminal
3. Special Proceeding
Examples of statements made that are not
judicial admissions
1. Statements made during preliminary
investigation.

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2. Statements during Court-Annexed
Mediation.
Note: Execution of judgment is part of a judicial
proceeding. The Court retains control over the
case until the full satisfaction of the final
judgment [People v. Gallo, G.R. No. 124736
(1999)].
2. Effect of Judicial Admissions
The judicial admission does not require proof
[Sec. 4, Rule 129].
Sec. 8, Rule 10 (as amended) provides that
“[a]n amended pleading supersedes the
pleading that it amends. However,
admissions in superseded pleadings may
be offered in evidence against the pleader.”
Thus, admissions in superseded pleadings
have to be “[offered] in evidence” precisely
because they become extra-judicial in nature
the moment the pleading containing them is
superseded by virtue of amendment [See
Bastida v. Menzi & Co, Inc., G.R. No. L-35840
(1933), cited in 2 Regalado 837, 2008 Ed.].
A party who judicially admits a fact cannot later
challenge that fact, as judicial admissions are
a waiver of proof; production of evidence is
dispensed with [Alfelor v. Halasan, G.R. No.
165987 (2006)].
Consequently:
1. An admission made in the pleadings
cannot be controverted by the party
making such admission and are
conclusive as to such party, and all
proofs to the contrary or inconsistent
therewith should be ignored, whether
objection is interposed by the party or
not.
2. The allegations, statements or
admissions contained in a pleading are
conclusive as against the pleader.
3. A party cannot subsequently take a
position contrary of or inconsistent
with what was pleaded [Florete, Sr. v.
Florete, Jr., G.R. No. 223321 (2018)].
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3. How Judicial Admissions May Be
Contradicted
As an exception to the general rule in Sec. 4 of
Rule 129, judicial admissions may be
contradicted only by showing that:
It was made through palpable mistake; or
The imputed admission was not, in fact, made
[Sec. 4, Rule 129].
This may be invoked when the statement of a
party is taken out of context or that his
statement was made not in the sense it is
made to appear by the other party [Phil.
Health Care Providers v. Estrada, G.R. No.
171052 (2008), citing Atillo, III v. C.A. (1997)].
An admission against interest binds the person
who makes the same, and absent any showing
that this was made through palpable mistake,
no amount of rationalization can offset it,
especially so in this case where respondents
failed to present even one piece of evidence in
their defense [Heirs of Donton v. Stier, G.R. No.
216491 (2017)].
Note: 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 Sec. 8, Rule 10 of the Rules
of Court [Yujuico v. United Resources, G.R.
No. 211113 (2015)].
Pre-trial Admissions
Facts subject of a stipulation or agreement
entered into by the parties at the pre-trial of a
case constitute judicial admissions by them
[Lim v. Jabalde, G.R. No. L-36786 (1989), cited
in 2 Regalado 837, 2008 Ed.].
When the parties in a case agree on what the
foreign law provides, these are admissions of
fact which the other parties and the court are
made to rely and act upon, hence they are in
estoppel to subsequently take a contrary
position [PCIB v. Escolin, G.R. Nos. L-27860
and L-27896 (1974], cited in 2 Regalado 838,
2008 Ed.].
When contradicted:
1. In civil cases: if to prevent manifest
injustice [Sec. 7, Rule 18];
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2. In criminal cases: if the pre-trial
admission was reduced to writing and
signed by the accused and his counsel
[Secs. 2 and 4, Rule 118].
D. Object (Real) Evidence
Nature of Object Evidence
a. Object Evidence
Those addressed to the senses of the court
[Sec. 1, Rule 130].
Object evidence is not visual alone. It covers
the entire range of human senses: hearing,
taste, smell, and touch [Riano, 120, 2022 Ed.].
Object evidence is the real thing itself, like the
knife used to slash the victim’s throat, the ring
actually stolen by the accused, the bullet
extracted from the victim’s wound, or the blood
spattered on the wall of the room where the
victim was found [Riano, 119, 2022 Ed.].
Physical evidence is a mute but eloquent
manifestation of truth, and it ranks high in our
hierarchy of trustworthy evidence. Where the
physical evidence on record runs counter to the
testimonial evidence of the prosecution
witnesses, we consistently rule that the
physical evidence should prevail [BPI v. Reyes,
G.R. No. 157177 (2008)].
A person’s appearance, where relevant, is
admissible as object evidence, the same being
addressed to the senses of the court [People v.
Rullepa, G.R. No. 131516 (2003)].
An ocular inspection of the body of the accused
is permissible [Villaflor v. Summers, G.R., No.
16444 (1920)].
The right against self-incrimination cannot be
invoked against object evidence [People v.
Malimit, G.R. No. 109775 (1996)].
b. View of an Object or Scene
The inspection or view outside the
courtroom should be made in the presence of
the parties or at least with previous notice to
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them in order that they may show the object to
be viewed. Such inspection or view is a part of
the trial, inasmuch as evidence is thereby
being received, which is expressly authorized
by law [5 Moran 81, 1970 Ed., cited in In re
Climaco, A.C. No. 134-J (1974)].
1. Requisites for Admissibility
a. Basic Requisites for Admissibility
● Evidence must be relevant;
● Evidence must be authenticated by a
competent witness;
● Object must be formally offered [Sec. 34,
Rule 132; Riano 101, 2016 Ed.].
General Rule: When an object is relevant to
the fact in issue, it may be exhibited to,
examined or viewed by the court [Sec. 1, Rule
130].
Exceptions: Court may refuse exhibition of
object evidence and rely on testimonial
evidence alone if—
a. Exhibition is contrary to public policy,
morals or decency;
b. It would result in delays,
inconvenience, unnecessary
expenses out of proportion to the
evidentiary value of such object;
[People v. Tavera, G.R. No. L-23172
(1925)].
c. Evidence would be confusing or
misleading;
d. The testimonial or documentary
evidence already presented clearly
portrays the object in question as to
render a view thereof unnecessary.
b. Competent and Authenticated
Evidence Must Be Authenticated
To authenticate the object is to show that the
object is the very thing that is either the subject
matter of the lawsuit or the very one involved to
prove an issue in the case.
Authentication Must Be Made by a
Competent Witness
The witness must have the capacity to identify
the object as the very thing involved in the
litigation.
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A witness can testify only to those facts which
he/she knows of his/her personal knowledge;
that is, which are derived from his/her own
perception [Sec. 22, Rule 130].
Note: Requisites for the Admissibility of
Tape Recording
1. A showing that the recording was
capable of taking testimony
2. A showing that the operator of the
recording device is competent
3. Establishment of the authenticity and
correctness of recording
4. A showing that no changes, deletions,
or additions have been made on the
recordings
5. A showing of the manner of
preservation of the recording
6. Identification of speakers
7. A showing that the testimony elicited
was voluntarily made without any kind
of inducement [Torralba v. People,
G.R. No. 153699 (2005)].
2. Exclusionary Rules
Categories of Object Evidence
Two Classifications:
a. Actual Physical or “autopic” Evidence
Those which have a direct relation or part in
the fact or incident sought to be proven and
those brought to the court for personal
examination by the presiding magistrate;
Objects that have E.g. Gun
readily with a serial
identifiable number
marks; or
Unique Car with a
Object Exhibit dent on its
identifiable visual left bumper
or physical
peculiarities
REMEDIAL LAW
confiscation
Non- Objects with no E.g.
unique identifying marks Narcotic
objects and cannot be substances,
marked bodily fluids
[People v. Olarte, G.R. No. 233209 (2019)].
b. Demonstrative Evidence
Those which represent the actual or physical
object (or even in the case of pictures or
videos) being offered to support or draw an
inference or to aid in comprehending the verbal
testimony of a witness [People v. Olarte, G.R.
No. 233209 (2019)]
Audio, photographic and video evidence of
events, acts or transactions shall be admissible
provided it shall be:
1. Shown, presented or displayed to the
court, and
2. Identified, explained or authenticated
a. By the person who made the recording,
or
b. By some other person competent to
testify on the accuracy thereof [Sec. 1,
Rule 11, Rules on Electronic Evidence]
Note: this is not just limited to electronic
evidence. Under the expanded
definition of documentary evidence, the
person authenticating need not be the
person who recorded, or photographed
the piece of evidence – may also be
authenticated by any other competent
witness who can testify as to its
exactness and accuracy.
Note: Reenactments are object evidence
because they are exhibited, examined and
viewed by the court. E.g. a person who hears a
man cat-call a woman, and mimics the cat-call
in court is reenacting the event. He is not
testifying because he was not declaring
anything nor making a statement [Prof. Avena].

Objects with no E.g. Sachet

unique of shabu Chain Of Custody In Relation To
characteristic but with initials Sec. 21 Of The Comprehensive
Objects are made readily of the police
made identifiable by law officer who
Dangerous Drugs Act Of 2002
unique enforcers upon retrieved it
“Chain of Custody” means the duly recorded
retrieval or
authorized movements and custody of seized

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drugs or controlled chemicals or plant sources
of dangerous drugs or laboratory equipment of
each stage, from the time of
seizure/confiscation to receipt in the forensic
laboratory to safekeeping to presentation in
court for destruction [Sec. 1(b), Dangerous
Drugs Board Resolution No. 1 (2002)].
As a method of authenticating evidence, the
chain of custody rule requires that the
admission of an exhibit be preceded by
evidence sufficient to support a finding that
the matter in question is what the proponent
claims it to be. It would include testimony about
every link in the chain, from the moment the
item was picked up to the time it is offered into
evidence, in such a way that every person who
touched the exhibit would describe how and
from whom it was received, where it was and
what happened to it while in the witness'
possession, the condition in which it was
received and the condition in which it was
delivered to the next link in the chain. These
witnesses would then describe the precautions
taken to ensure that there had been no change
in the condition of the item and no opportunity
for someone not in the chain to have
possession of the same [Malilin v. People, 576
Phil. 576 (2008)].
As a general rule, four links in the chain of
custody of the confiscated item must be
established:
1. First, the seizure and marking, if
practicable, of the illegal drug
recovered from the accused by the
apprehending officer;
2. Second, the turnover of the illegal drug
seized by the apprehending officer to
the investigating officer;
3. Third, the turnover by the investigating
officer of the illegal drug to the forensic
chemist for laboratory examination;
and
4. Fourth, the turnover and submission of
the marked illegal drug seized from the
forensic chemist to the court [People v.
Gayoso, G.R. No. 206590 (2017)].
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For illustration:
!"#$%&"' ()*' +(&,#)-' ./' 01"' (22&"1")*#)-'
344#5"&' 6' #)7"80#-(0#)-' 344#5"&' 6' 43&")8#5'
51"+#80'6'53%&09
Note: If the offered evidence is unique, readily
identifiable, and relatively resistant to change,
that foundation need only consist of testimony
by a witness with knowledge that the evidence
is what the proponent claims; otherwise, the
chain of custody rule has to be resorted to and
complied with by the proponent to satisfy the
evidentiary requirement of relevancy. And at all
times, the source of amorphous as well as
firmly structured objects being offered as
evidence must be tethered to and supported by
a testimony.
DNA Evidence
When a crime is committed, material is
collected from the scene of the crime or from
the victim’s body for the suspect’s DNA. This is
the evidence sample. The evidence sample is
then matched with the reference sample taken
from the suspect and the victim. The purpose
of DNA testing is to ascertain whether an
association exists between the evidence
sample and the reference sample. The
samples collected are subjected to various
chemical processes to establish their profile.
The test may yield three possible results:
1. Exclusion - The samples are different and
therefore must have originated from
different sources. This conclusion is
absolute and requires no further analysis
or discussion;
2. Inconclusive – It is not possible to be sure,
based on the results of the test, whether
the samples have similar DNA types. This
might occur for a variety of reasons
including degradation, contamination, or
failure of some aspect of the protocol.
Various parts of the analysis might then be
repeated with the same or a different
sample, to obtain a more conclusive result;
or
3. Inclusion – The samples are similar, and
could have originated from the same
source. In such a case, the samples are
found to be similar, the analyst proceeds
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to determine the statistical significance of
the similarity [People v. Vallejo, G.R. No.
144656 (2002)].
Obtaining DNA samples from an accused in a
criminal case or from the respondent in a
paternity case, contrary to the belief of
respondent in this action, will not violate the
right against self-incrimination [Herrera v. Alba,
G.R. No. 148220 (2005)].
“DNA evidence” constitutes the totality of the
DNA profiles, results and other genetic
information directly generated from DNA
testing of biological samples.
“DNA testing” means verified and credible
scientific methods which include the extraction
of DNA from biological samples, the generation
of DNA profiles and the comparison of the
information obtained from the DNA testing of
biological samples for the purpose of
determining, with reasonable certainty,
whether or not the DNA obtained from two or
more distinct biological samples originates
from the same person (direct identification) or
if the biological samples originate from related
persons (kinship analysis) [Sec. 3, AM No. 06-
11-5-SC or Rule on DNA Evidence].
1. Application for DNA testing order
The appropriate court may, at any time, either
motu proprio or on application of any person
who has a legal interest in the matter in
litigation, order a DNA testing.
Such order shall issue after due hearing and
notice to the parties upon a showing of the
following:
1. A biological sample exists that is relevant
to the case;
2. The biological sample: (i) was not
previously subjected to the type of DNA
testing now requested; or (ii) was
previously subjected to DNA testing, but
the results may require confirmation for
good reasons;
3. The DNA testing uses a scientifically
valid technique;
4. The DNA testing has the scientific
potential to produce new information
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that is relevant to the proper resolution
of the case; and
5. The existence of other factors, if any,
which the court may consider as
potentially affecting the accuracy of
integrity of the DNA testing.
Exception: DNA testing may be done without
a prior court order, at the behest of any party
(including law enforcement agencies), before a
suit or proceeding is commenced [Sec. 4, Rule
on DNA Evidence].
Note: The death of the petitioner (putative
father) does not ipso facto negate the
application of DNA testing for as long as there
exist appropriate biological samples of his
DNA. The term “biological sample” means any
organic material originating from a person’s
body, even if found in inanimate objects, that is
susceptible to DNA testing. This includes
blood, saliva, and other body fluids, tissues,
hairs and bones [Ong v. Diaz, G.R. No.
1717113 (2007)].
Note: DNA Testing as a search, requires
probable cause [Lucas v. Lucas, G.R. No.
190710 (2011)].
2. Post-conviction DNA Testing;
Remedy
Post-conviction DNA testing may be
available, without need of prior court order, to
the prosecution or any person convicted by
final and executory judgment provided that:
1. A biological sample exists;
2. Such sample is relevant to the case; and
3. The testing would probably result in the
reversal or modification of the judgment of
conviction [Sec. 6, Rule on DNA Evidence].
Remedy if Results are Favorable to the
Convict
The convict or the prosecution may file a
petition for a writ of habeas corpus in the
court of origin if the results of the post-
conviction DNA testing are favorable to the
convict.
In case the court, after due hearing, finds the
petition to be meritorious, it shall reverse or
modify the judgment of conviction and order
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the release of the convict, unless continued
detention is justified for a lawful cause.
A similar petition may be filed either in the
Court of Appeals or the Supreme Court, or with
any member of said courts, which may conduct
a hearing thereon or remand the petition to the
court of origin and issue the appropriate orders
[Sec. 10, Rule on DNA Evidence].
3. Assessment of Probative Value of
DNA Evidence and Admissibility
In assessing the probative value of the DNA
evidence presented, the court shall consider
the following:
1. The chain of custody, including how the
biological samples were collected, how
they were handled, and the possibility of
contamination of the samples;
2. The DNA testing methodology, including
the procedure followed in analyzing the
samples, the advantages and
disadvantages of the procedure, and
compliance with the scientifically valid
standards in conducting the tests;
3. The forensic DNA laboratory, including
accreditation by any reputable standards-
setting institution and the qualification of
the analyst who conducted the tests. If the
laboratory is not accredited, the relevant
experience of the laboratory in forensic
casework and credibility shall be properly
established; and
4. The reliability of the testing result, as
provided in Sec. 8 [Sec. 7, Rule on DNA
Evidence].
Note: The provisions of the Rules of Court
concerning the appreciation of evidence shall
apply suppletory [Sec. 7, Rule on DNA
Evidence].
4. Rules on Evaluation of Reliability of
the DNA Testing Methodology
In evaluating the results of DNA testing, the
court shall consider the following:
1. The evaluation of the weight of
matching DNA evidence or the
relevance of mismatching DNA
evidence;
2. The results of the DNA testing in the
light of the totality of the other
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evidence presented in the case; and
that
3. DNA results that exclude the putative
parent from paternity shall be
conclusive proof of non-paternity. If
the value of the Probability of Paternity
is less than 99.9%, the results of the
DNA testing shall be considered as
corroborative evidence. If the value of
the Probability of Paternity is 99.9% or
higher there shall be a disputable
presumption of paternity [Sec. 9, Rule
on DNA Evidence].
It is not enough to state that the child’s DNA
profile matches that of the putative father. A
complete match between the DNA profile of the
child and the DNA profile of the putative father
does not necessarily establish paternity. For
this reason, following the highest standard
adopted in an American jurisdiction, trial courts
should require at least 99.9% as a minimum
value of the Probability of Paternity (“W”) prior
to a paternity inclusion. W is a numerical
estimate for the likelihood of paternity of a
putative father compared to the probability of a
random match of two unrelated individuals.
Due to the probabilistic nature of paternity
inclusions, W will never equal to 100% [Herrera
v. Alba, G.R. No. 148220 (2005)].
E. Documentary Evidence
1. Definition
Consist of writings, recordings, photographs, or
any material containing letters, words,
sounds, numbers, figures, symbols, or their
equivalent, or other modes of written
expressions offered as proof of their
contents [Sec. 2, Rule 130]. If offered for some
other purpose, they instead constitute object
evidence.
Photographs include still pictures, drawings,
stored images, x-ray films, motion pictures or
videos [Sec. 2, Rule 130].
Requisites for Admissibility
1. The document must be relevant;
2. The evidence must be authenticated;
3. The document must be authenticated
by a competent witness;
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4. The document must be formally
offered in evidence [Riano, 159, 2022
Ed.].
2. Original Document Rule
Meaning; Original Document Rule
General Rule: When the subject of inquiry is
the contents of a document, writing, recording,
photograph, or other record, no evidence is
admissible other than the original document
itself [Sec. 3, Rule 130].
Exceptions:
1. When the original is lost or destroyed, or
cannot be produced in court, without bad
faith on the part of the offeror;
2. When the original is in the custody or under
the control of the party against whom the
evidence is offered, and the latter fails to
produce it after reasonable notice, or the
original cannot be obtained by local judicial
processes or procedures;
3. When the original consists of numerous
accounts or other documents which cannot
be examined in court without great loss of
time and the fact sought to be established
from them is only the general result of the
whole;
4. When the original is a public record in the
custody of a public officer or is recorded in
a public office; and
5. When the original is not closely-related to a
controlling issue.
Note: Original document rule is a rule on
admissibility (competence). This rule was
formerly known as the Best Evidence Rule.
Purpose of the Rule
The rationale behind the rule is the avoidance
of dangers of mistransmissions and
inaccuracies of the contents of the document
[Goopio v. Maglalang, A.C. No. 10555, (2018)].
The rule ensures that the exact contents of a
document are brought before the court. In
deeds, wills, and contracts, a slight variation in
words may mean a great deal of difference in
the rights and obligations of the parties. The
rule, likewise, acts as an insurance against
fraud. It also protects against misleading
inferences resulting from the intentional or
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unintentional introduction of selected portions
of a larger set of writings [Republic v. Mupas,
G.R. No. 181892, (2015)].
When Not Applicable
Where the issue is only as to whether such
document was actually executed, or exists, or
on the circumstances relevant to or
surrounding its execution, the best evidence
rule (now original document rule) does not
apply and testimonial evidence is admissible.
Any other substitutionary evidence is likewise
admissible without need for accounting for the
original [Republic v. Gimenez, G.R. No.
174673 (2016)].
Admissibility of Affidavits
Affidavits are generally inadmissible. They are
generally rejected for being hearsay, unless
the affiants themselves testify thereon. This is
because they are not generally prepared by the
affiant but by another who uses his own
language in writing the affiant’s statements,
which may thus be either omitted or
misunderstood by the one writing them.
Moreover, the adverse party is deprived of the
opportunity to cross-examine the affiant [Tating
v. Marcella, G.R. No. 155208, March 27, 2007].
Admissibility of Depositions
Depositions may be wholly or partially
admissible at trial or upon the hearing of a
motion or an interlocutory proceeding. It may
be used against any party who was present or
represented at the taking of the deposition or
who had due notice thereof, provided that any
of the circumstances is present:
● Any deposition may be used by any party
for the purpose of contradicting or
impeaching the testimony of the deponent
as a witness;
● The deposition of a party or of any one who
at the time of taking the deposition was an
officer, director, or managing agent of a
public or private corporation, partnership,
or association which is a party may be used
by an adverse party for any purpose
● The deposition of a witness, whether or not
a party, may be used by any party for any
purpose if the court finds: (1) that the
witness is dead; or (2) that the witness
resides at a distance more than one
hundred (100) kilometers from the place of
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trial or hearing, or is out of the Philippines,
unless it appears that his or her absence
was procured by the party offering the
deposition; or (3) that the witness is unable
to attend or testify because of age,
sickness, infirmity, or imprisonment; or (4)
that the party offering the deposition has
been unable to procure the attendance of
the witness by subpoena; or (5) upon
application and notice, that such
exceptional circumstances exist as to
make it desirable, in the interest of justice
and with due regard to the importance of
presenting the testimony of witnesses
orally in open court, to allow the deposition
to be used
● 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 [Sec.
4, Rule 23].
The best evidence rule (now original document
rule) does not apply to all types of evidence. It
does not comprehend object and testimonial
evidence [Riano, 160, 2022 Ed.].
Waiver of the Rule
The original document rule may be waived if
not raised during trial. Particularly, this ground
for objection must be made orally, immediately
after the documentary evidence is offered [Sec.
36, Rule 132].
Note: objection should be raised when the
documentary evidence is offered, not during
the testimony or identification of the document.
Meaning of Original Document and
Duplicate
Original - The document itself or any
counterpart intended to have the same effect
by a person executing or issuing it.
An “original” of a photograph includes the
negative or any print therefrom.
If data is stored in a computer or similar
device, any printout or other output
readable by sight or other means, shown to
reflect the data accurately, is an “original” [Sec.
4(a), Rule 130].
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Duplicate—counterpart produced by:
● The same impression as the original, or
from the same matrix;
● Means of photography, including
enlargements and miniatures;
● Mechanical or electronic recording;
● Chemical reproduction; or
● Other equivalent techniques which
accurately reproduce the original [Sec.
4(b), Rule 130].
General Rule: A duplicate is admissible to the
same extent as an original.
Exceptions:
1. A general question is raised as to the
authenticity of the original; or
2. In the circumstances, it is unjust or
inequitable to admit the duplicate in lieu of
the original [Sec. 4(c), Rule 130].
3. Secondary Evidence
The following are the exceptions to the original
document rule:
When the original is unavailable
a. When the original has been lost or
destroyed, or cannot be produced in court;
b. Upon proof of its execution or existence
and the cause of its unavailability; and
c. Without bad faith on the offeror’s part.
What to present to prove contents (in this
order)
1. A copy;
2. A recital of its contents in some authentic
document; or
3. The testimony of witnesses [Rule 130, Sec.
5].
In order that secondary evidence may be
admissible, there must be proof by satisfactory
evidence of:
1. Due execution of the original;
2. Loss, destruction, or unavailability of all
such originals; and
3. Reasonable diligence and good faith in the
search for or attempt to produce the
original [Republic v. Marcos-Manotoc, G.R.
No. 171701 (2012)].
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The correct order of proof is existence,
execution, loss, and contents [Republic v.
Cuenca, G.R. No. 198393 (2018)].
Due execution of the document should be
proved through the testimony of either:
1. The person or persons who executed it;
2. The person before whom its execution was
acknowledged; or
3. Any person who was present and saw it
executed and delivered, or who, after its
execution and delivery, saw it and
recognized the signatures, or by a person
to whom the parties to the instruments had
previously confessed the execution thereof
[Director of Lands v. C.A., G.R. No. L-
29575 (1971)].
When more than one original copy exists, it
must appear that all of them have been lost,
destroyed, or cannot be produced in court
before secondary evidence can be given of any
one [Citibank v. Teodoro, G.R. No. 150905
(2003)].
The general rule concerning proof of a lost
instrument is, that reasonable search shall be
made for it in the place where it was last known
to have been, and, if such search does not
discover it, then inquiry should be made of
persons most likely to have its custody, or who
have some reasons to know of its whereabouts
[Tan v. CA, G.R. No. L-56866 (1985)].
When the original is in the custody or
control of the adverse party OR
original cannot be obtained by local
judicial processes or procedures
What to Present to Prove Contents
Same as when lost, destroyed, or cannot be
produced in court [Sec. 6, Rule 130].
When the contents of documents,
records, photographs, or numerous
accounts are voluminous and cannot
be examined in court without great
loss of time, and the fact sought to be
established from them is only the
general result of the whole
(“Summaries”)
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What to Present to Prove Contents
Chart, summary, or calculation of the contents
of such evidence.
The originals shall be available for examination
or copying, or both, by the adverse party at a
reasonable time and place. The court may
order that they be produced in court [Sec. 7,
Rule 130].
When the original is a public record in
the custody of a public officer or is
recorded in a public office
What to Present to Prove Contents
Certified copy issued by the public officer in
custody thereof [Sec. 8, Rule 130].
When original is outside the
jurisdiction of the court
When the original is outside the jurisdiction of
the court, secondary evidence is admissible
[Regalado 784, 2008 Ed., citing PNB v. Olila,
G.R. No. L-8189 (1956), unreported].
4. Parol Evidence Rule
Meaning of the Rule
Any evidence aliunde, whether oral or written,
which is intended or tends to vary or contradict
a complete and enforceable agreement
embodied in a document [2 Regalado 730,
2008 Ed.].
Application of the Parol Evidence
Rule
General Rule
When the terms of an agreement (including
wills) have been reduced to writing, it is
considered as containing all the terms agreed
upon and there can be, as between the parties
and their successors in interest, no evidence of
such terms other than the contents of the
written agreement [Sec. 10, Rule 130].
The parol evidence rule forbids any addition to
or contradiction of the terms of a written
instrument by testimony or other evidence
purporting to show that, at or before the
execution of the parties' written agreement,
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other or different terms were agreed upon by
the parties, varying the purport of the written
contract [Felix Plazo Urban Poor Settlers v.
Lipat, G.R. No. 182409 (2017)].
Where Not Applicable
It does not apply when third parties are
involved or those not privy to the written
instrument in question and does not base a
claim or assent a right originating in the
instrument [Lechugas v. C.A., G.R. No. L-
39972 & L-40300 (1986)].
When Parol Evidence Can Be
Introduced
Exception to the General Rule: When Can
Parol Evidence Can Be Introduced
● Intrinsic ambiguity, mistake or imperfection
in the written agreement
● Failure of the written agreement to express
the true intent and agreement of the parties
thereto
● Validity of the written agreement
● Existence of other terms agreed to by the
parties or their successors-in-interest after
the execution of the written agreement.
How Parol Evidence Can Be Introduced
General Rule: Ground/s for presenting parol
evidence is put in issue in a verified pleading
[Sec. 10, Rule 130].
Exception: If the facts in the pleadings all lead
to the fact that it is being put in issue then the
Parol Evidence exception may apply [Sps.
Paras v. Kimwa Corporation, G.R. No. 171601
(2015)].
In sum, two (2) things must be established for
parol evidence to be admitted:
● That the existence of any of the four (4)
exceptions has been put in issue in a
party's pleading or has not been objected
to by the adverse party; and
● That the parol evidence sought to be
presented serves to form the basis of the
conclusion proposed by the presenting
party [Sps. Paras v. Kimwa Corporation, G.
R. No. 171601 (2015)].
Note: Intrinsic Ambiguity, Mistake or
Imperfection in the Written Agreement
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Intrinsic ambiguity (latent) - writing admits of
two constructions, both of which are in
harmony with the language used [Ignacio v.
Rementeria, 99 Phil. 1054 (Unreported)].
The document is clear on its face, but matters
outside the agreement create the ambiguity
(e.g. “I bequeath this land to my cousin
George.” However, the testator has two
cousins named George) [Riano, 161, 2016
Ed.].
Note: American jurisprudence also refers to a
situation where an ambiguity partakes of the
nature of both patent and latent ambiguity, that
is, an intermediate ambiguity, because the
words of the writing, though seemingly clear
and with a settled meaning, is actually
equivocal and admits of two interpretations.
Parol evidence, in such a case is admissible to
clarify the ambiguity [2 Regalado 734, 2008
Ed., citing 20 Am. Jur 1011] (e.g. “dollar” may
mean USD, CAD, HKD, etc.).
Mistake refers to a mistake of fact which is
mutual to the parties [BPI v. Fidelity and Surety,
Co., G.R. No. L-26743 (1927)].
Imperfection includes an inaccurate
statement in the agreement or incompleteness
in the writing, or the presence of inconsistent
provisions [2 Regalado 732, 2008 Ed.].
Validity of the Written Agreement
Parol evidence may be admitted to show:
1. True consideration of a contract
2. Want/Illegality of consideration
3. Incapacity of parties
4. Fictitious/absolutely simulated contract
5. Fraud in inducement [2 Regalado 733,
2008 Ed.].
F. Testimonial Evidence
1. Qualifications of a Witness
Witness
A witness is one who, being present,
personally sees or perceives a thing, a
beholder, spectator or eyewitness. One who
testifies to what he has seen or heard, or
otherwise observed [Herrera citing Black’s Law
Dictionary].
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Qualifications of a Witness
All persons who can perceive, and perceiving,
can make known their perception to others,
may be witnesses.
Religious/political belief, interest in the
outcome of the case, or conviction of a crime
unless otherwise provided by law, shall not be
ground for disqualification [Sec. 21, Rule 130].
Basic Qualifications of a Witness
1. He/she can perceive.
2. He/she can make known his perception .
a. This means that he/she must have the
ability to remember and communicate
the remembered perception.
3. He/she must take an oath or affirmation
[Sec. 1, Rule 132].
4. He/she must not possess any of the
disqualifications.
Note: Corollary to perception is that the witness
must have personal knowledge of the facts
surrounding the subject matter of his testimony
[Sec. 22, Rule 130].
A witness must be able to perceive an event.
Thus, it would be absurd to ask a blind man
what he saw, or a deaf person what heard
[Riano, 218, 2022 Ed.].
A deaf-mute is competent to be a witness so
long as he/she has the faculty to make
observations and he/she can make those
observations known to others [People v.
Aleman y Longhas, G.R. No. 181539 (2013)].
Parties declared in default are not disqualified
from taking the witness stand for non-
disqualified parties. The law does not provide
default as an exception [Marcos v. Heirs of
Navarro, G.R. No. 198240 (2013)].
There is no substantive or procedural rule
which requires a witness for a party to present
some form of authorization to testify as a
witness for the party presenting him or her
[AFP Retirement and Separation Benefits
System v. Republic, G.R. No. 188956 (2013)].
When Determined
Qualification of a witness is determined at the
time the said witness is produced for
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examination or at the taking of their
depositions.
With respect to children of tender years,
competence at the time of the occurrence is
also taken into account.
In Case Person Is Convicted of a Crime
General Rule: Not disqualified
The fact that a witness has been convicted of
felony is a circumstance to be taken into
consideration as affecting his character and
credibility [Enrile, et al. v. Roberto, et al., G.R.
No. L-42309 (1935)].
Exception: Otherwise provided by law, e.g.
under Art. 821 of the Civil Code, a person
convicted of any of the following crimes cannot
be a witness to a will:
1. Falsification of documents,
2. Perjury; or
3. False testimony
Competency of a Witness
One is qualified to take the witness stand if:
1. He is capable of perceiving at the time of
the occurrence of the fact; and
2. He came make his perception known [Sec.
21-22, Rule 130].
Competency has reference to the basic
qualifications and the absence of
disqualifications of a witness to testify [Riano,
185, 2016 Ed.].
Competency Presumed
A person who takes the witness stand is
presumed to possess the qualifications of a
witness. His competence may be questioned
by the other party by interposing an objection
[Herrera].
Competency of a child witness
Every child is presumed qualified to be a
witness [Sec. 2, Rule on Examination of a Child
Witness]. To rebut this presumption, the
burden of proof is on the party challenging the
child’s competence [Sec. 6[b], Rule on
Examination of a Child Witness].
Jurisprudence has consistently given full
weight and credence to a child’s testimony.
Youth and immaturity are badges of truth and
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sincerity [People v. Entrampas, G.R. No.
212161, (2017)].
Remedy for Errors or Questions on
Competence
Appeal, not certiorari, is the proper remedy for
the correction of any error as to the
competency of a witness committed by an
inferior court in the course of the trial [Icutanim
v. Hernandez, G.R. No. L-1709 (1948)].
Credibility of a Witness
Credibility has nothing to do with the law or the
rules. It refers to the weight and trustworthiness
or reliability of the testimony [Riano, 185, 2016
Ed.].
Questions concerning the credibility of a
witness are best addressed to the sound
discretion of the trial court as it is in the best
position to observe his demeanor and bodily
movements [Llanto v. Alzona, 450 SCRA 288
(2005)].
2. Disqualifications of Witnesses
In General
Effect of Interest in the Subject Matter
A person is not disqualified by reason of his
interest in the subject matter.
Interest only affects credibility, not
competency.
Effect of Relationship
General Rule: Mere relationship does not
impair credibility [People v. De Guzman, G.R.
No. 130809 (2000)].
Exception:
To warrant rejection, it must be clearly shown
that:
1. Testimony was inherently improbable or
defective
2. Improper/evil motives had moved the
witness to incriminate falsely [People v.
Daen Jr., G.R. No. 112015 (1995)]
Note: Disqualification by reason of mental
incapacity or immaturity (previously Sec. 21,
Rule 130) and disqualification by reason of
death or insanity of adverse party aka Dead
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Man’s Statute (previously Sec. 23, Rule 130)
have been deleted in the 2019 Revisions.
a. Disqualification by Reason of
Marriage
Also known as Marital Disqualification Rule
[Alvarez v. Ramirez, G.R. No. 143439 (2005)]
or Spousal Immunity
Elements
1. During their marriage
a. The marriage must be valid and
existing at the time of the offer of the
testimony
2. The husband or the wife cannot testify
against the other
a. The “other” spouse must be a party to
the action, either as a plaintiff or
defendant
b. Note: 2019 Revision removed the
words “for or”
3. Without the consent of the affected spouse
[Sec. 23, Rule 130]
Except: Spouse may testify against the other
even without the consent of the latter
1. In a civil case by one against the other; or
2. In a criminal case for a crime committed by
one against the other or the latter's direct
descendants/ascendants [Sec. 23, Rule
130]
Rationale
1. There is identity of interests between
husband and wife;
2. If one were to testify against the other,
there is a consequent danger of perjury;
3. Policy of the law is to guard the security
and confidence of private life, and to
prevent domestic disunion and
unhappiness; and
4. Where there is want of domestic tranquility,
there is danger of punishing one spouse
through the hostile testimony of the other
[Alvarez v. Ramirez, G.R. No. 143439
(2005)].
Duration
General Rule: During their marriage [Sec. 23
Rule 130]
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Exception: Where the marital and domestic
relations are so strained that there is no more
harmony to be preserved nor peace and
tranquility which may be disturbed, the reason
based upon such harmony and tranquility fails.
In such a case, identity of interests disappears,
and the consequent danger of perjury based on
that identity is non-existent [Alvarez v.
Ramirez, G.R. No. 143439 (2005)].
Scope of Rule
The rule also includes utterance as to facts or
mere production of documents. It does not only
prevent disclosure of matters communicated in
nuptial confidence but is an absolute
prohibition against the spouse’s testifying to
any facts affecting the other however these
facts may have been acquired [Herrera].
Waiver of Disqualification
If one spouse imputes the commission of a
crime against the other, the latter may testify
against the former [People v. Francisco, G.R.
No. L-568 (1947)].
Spouses as Co-accused
The other cannot be called as an adverse party
witness under this Rule.
b. Disqualifications by Reason of
Privileged Communications; Rule on
Third Parties
Privilege
A privilege is a rule of law that, to protect a
particular relationship or interest, either permits
a witness to refrain from giving testimony he
otherwise could be compelled to give, or
permits someone, usually one of the parties, to
prevent the witness from revealing certain
information [Herrera].
Privilege may only be invoked by the persons
protected thereunder. It may also be waived by
the same persons, either impliedly or
expressly.
Husband and Wife
Also known as marital privilege
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Rationale
Confidential nature of the privilege; to preserve
marital and domestic relations
Elements
1. The husband or the wife
2. During or after the marriage
3. Cannot testify against the other
4. Without the consent of the other
5. As to any communication received in
confidence by one from the other during
the marriage [Sec. 24(a), Rule 130].
Except: Spouse may testify against the other
even without the consent of the latter
1. In a civil case by one against the other, or
2. In a criminal case for a crime committed by
one against the other or the latter’s direct
descendants or ascendants [Sec. 24(a),
Rule 130].
A widow of a victim allegedly murdered may
testify as to her husband’s dying declaration as
to how he died since the same was not
intended to be confidential [US v. Antipolo,
G.R. No. L-13109 (1918)].
Scope: “Any communication”
Includes utterances, either oral or written, or
acts [Herrera].
Any fact which came to the wife’s knowledge
by reason of the confidential relationship is
included in the privilege [Herrera, citing
Schredder vs. Chase, 245 III 395, 92 NE 272].
When not applicable
1. When the communication was not intended
to be kept in confidence
2. When the communication was made prior
to the marriage
3. Waiver of the privilege [Herrera]
Waiver
1. Failure of the spouse to object; or
2. Calling spouse as witness on cross
examination
3. Any conduct constructed as implied
consent [Herrera]
The objection to the competency of the spouse
must be made when he or she is first offered
as a witness. The incompetency is waived by
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failure to make a timely objection to the 4. Documents entrusted to a lawyer [Herrera]
admission of spouse’s testimony [People v.
Pasensoy, G. R. No. 140634 (2002)]. Exceptions
1. Furtherance of crime or fraud
Marital Marital Privilege a. If the services or advice of the lawyer
Disqualification [Sec. 24(a)] were sought or obtained
[Sec. 23] b. To enable or aid anyone
c. To commit or plan to commit
One spouse should Neither of the d. What the client knew or reasonably
be a party to the case; spouses need to be a should have known to be a crime or
party; fraud [Sec. 24(b)(i), Rule 130]
2. Claimants through same deceased
Applies only if the Does not cease even client
marriage is existing at after the marriage is a. As to communication relevant to an
the time the testimony dissolved; and issue between parties who
is offered; and b. Claim through the same deceased
Constitutes a total Prohibition is limited client
prohibition on any to testimony on c. Regardless of whether the claims are
testimony against the confidential by testate, intestate, or inter vivos
spouse of the witness communications transaction [Sec. 24(b)(ii), Rule 130]
between spouses 3. Breach of duty by lawyer or client
a. As to communications relevant to an
issue of breach of duty.
Attorney and Client i. By the lawyer to his/her client; or
ii. By the client to his/her lawyer [Sec.
Elements 24(b)(iii), Rule 130]
1. As regards an attorney or any person 4. Document attested by the lawyer
reasonably believed by the client to be a. As to communication relevant to an
licensed to engage in the practice of law issue concerning an attested
a. Without the consent of his client document
b. Cannot be examined as to b. The lawyer is an attesting witness [Sec.
i. Any communication made 24(b)(iv), Rule 130]
by the client to him/her, or 5. Joint clients
ii. His/her advice given a. As to a communication relevant to a
thereon in the course of, or matter of common interest between
with a view to, professional two or more clients
employment [Sec 24(b), b. The communication was made by any
Rule 130] of them to
2. As regards an attorney’s secretary, c. The lawyer retained or consulted in
stenographer, clerk, or other persons common
assisting the attorney d. Communication is offered in an action
a. Without the consent of the client between any of the clients
AND his/her employer e. Neither expressly agreed otherwise
b. Cannot be examined [Sec. 24(b)(v), Rule 130].
c. Concerning any fact the knowledge
of which has been acquired in such Identity of Client
capacity [Sec. 24(b), Rule 130] General Rule: The attorney-client privilege
may not be invoked to refuse to divulge the
Subject-matter of the Privilege identity of the client.
1. Communications
2. Observations by the lawyer (regardless of Exceptions:
medium of transmission which may include 1. When a strong probability exists that
oral or written words and actions) revealing the name would implicate that
3. Tangible evidence delivered to a lawyer
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person in the very same activity for which
he sought the lawyer’s advice;
2. When disclosure would open the client to
liability;
3. When the name would furnish the only link
that would form the chain of testimony
necessary to convict [Regala v.
Sandiganbayan, G.R. No. 105938 and
G.R. No. 108113 (1996)].
Duration of the privilege
In the absence of a statute, the privilege is
permanent. It may even be claimed by a client’s
executor or administrator after the client’s
death [Herrera].
Physician and Patient
Elements
1. A physician, psychotherapist or person
reasonably believed by the patient to be
authorized to practice medicine or
psychotherapy or … also applies to
persons, including members of the
patient’s family, who have participated in
the diagnosis or treatment of the patient
under the direction of a physicist or
psychotherapist.
a. Psychotherapist:
i. Person licensed to practice
medicine engaged in the
diagnosis or treatment of a mental
or emotional condition; or
ii. A person licensed as a
psychologist by the government
while similarly engaged
b. Persons who have participated in the
diagnosis or treatment under the
direction of a physicist or
psychotherapist.
2. In a civil case
a. Note: the privilege cannot be claimed
in a criminal case because the interest
of the public in a criminal prosecution
should be deemed more important
than the secrecy of the communication
[Riano, 211, 2016 Ed.].
3. Without the consent of the patient
4. Cannot be examined as to
a. Any confidential communication made
between the patient and his/her
physician or psychotherapist
b. For the purpose of diagnosis or
treatment
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i. Of the patient’s physical, mental,
or emotional condition
ii. Including drug or alcohol
addiction
Note: Physician-patient relationship need not
be entered into voluntarily [Riano, 241, 2022].
When not applicable
1. Communication was not given in
confidence
2. Communication was irrelevant to the
professional employment
3. Communication was made for an unlawful
purpose
4. Communication was intended for the
commission/concealment of a crime
5. Communication was intended to be made
public/divulged in court
6. When there was a waiver
7. When the doctor was presented as an
expert witness and only hypothetical
problems were presented to him [Lim v.
C.A., G.R. No. 91114 (1992)]
Waiver
1. Express waiver – may only be done by the
patient
2. Implied waiver
a. By failing to object
b. When the patient testifies
c. A testator procures an attending doctor
to subscribe his will as an attesting
witness
d. Disclosure of the privileged information
either made or acquiesced by the
privilege holder before trial
e. Where the patient examines the
physician as to matters disclosed in a
consultation
f. Also check Rule 28 on Physical and
Mental Examination [Rules on Civil
Procedure] [Herrera]
g. By contract as in medical or life
insurance.
Physician allowed to testify as an expert
A doctor is allowed to be an expert witness
when he does not disclose anything obtained
in the course of his examination, interview and
treatment of a patient [Lim v. C.A., G.R. No.
91114 (1992)].
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Autopsical information
If the information was not acquired by the
physician in confidence, he may be allowed to
testify thereto. But if the physician performing
the autopsy was also the deceased’s
physician, he cannot be permitted either
directly or indirectly to disclose facts that came
to his knowledge while treating the living
patient [Herrera, citing the US Case: Travelers’
Insurance Co. v. Bergeron, No. 21257 (1959)].
Duration of privilege
The privilege survives the death of the patient
[Riano, 242, 2022 Ed.].
Hospital Records during discovery
procedure
To allow the disclosure during discovery
procedure of the hospital records would be to
allow access to evidence that is inadmissible
without the patient’s consent. Disclosing them
would be the equivalent of compelling the
physician to testify on privileged matters he
gained while dealing with the patient, without
the latter’s prior consent [Chan v. Chan, G.R.
No. 179786 (2013)].
Priest and Penitent
Elements
1. A minister or priest or person reasonably
believed to be so
2. Without the consent of the affected person
3. Cannot be examined as to any
a. communication or confession made to;
or
b. advice given by him/her
i. in his/her professional character
ii. in the course of discipline enjoined
by the church to which the minister
or priest belongs [Sec. 24(d), Rule
130].
Communication not made in professional
character
Where the penitent discussed business
arrangements with the priest, the privilege
does not apply [Riano. 244. 2022 ed. Citing
U.S. v. Gordon, 493 F. Supp. 822 (7th Cir.
1987)].
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Public Officers
Elements
1. A public officer
2. During or after his/her tenure
3. Cannot be examined as to communications
made to him/her in official confidence
4. When the court finds that the public interest
would suffer by the disclosure [Sec. 24(e),
Rule 130].
Elements of “presidential communications
privilege”
1. Must relate to a “quintessential and non-
delegable presidential power;”
2. Must be authored or “solicited and
received” by a close advisor of the
President or the President himself; and
3. Privilege may be overcome by a showing
of adequate need such that the information
sought “likely contains important evidence”
and by the unavailability of the information
elsewhere [Neri v. Senate, G.R. No.
180643 (2008)].
Purpose
The privilege is not intended for the protection
of public officers but for the protection of the
public interest. When no public interest would
be prejudiced, this privilege cannot be invoked
[Banco Filipino v. Monetary Board, G.R. No.
70054 (1986)].
The president and those who assist him must
be free to explore alternatives in the process of
shaping policies and making decisions and to
do so in a way many would be unwilling to
express except privately, [Almonte v. Vasquez,
G.R. No. 95367 (1995)].
Rule on Third Parties
Common to all Sec. 24, Rule 130 privileged
communications.
The communication shall remain privileged,
even in the hands of a third person who may
have obtained the information, provided that
the original parties to the communication took
reasonable precaution to protect its
confidentiality [Sec. 24, Rule 130 (last par.)].
Note: This amendment is a stark contrast from
the previous rule which removes the privilege
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from communication that landed in the hands waived like other privileges [People v.
of third parties. Invencion y Soriano, G.R. No. 131636 (2003)].

3. Testimonial Privilege Privilege Relating to Trade Secrets

Parental and Filial Privilege Rule General Rule: A person cannot be compelled
to testify about any trade secret.

Exception: the non-disclosure will conceal

Sec. 25, Rule Art. 215, FC Art. 315, CC
fraud or otherwise work injustice.
130 (repealed by
FC)
When disclosure is directed, the court shall
take protective measures, as required by
No person No descendant No 1. As to a communication relevant to a matter
shall be shall be descendant of common interest between two or more
compelled to compelled, in a can be clients
testify against criminal case, compelled, in 2. The communication was made by any of
his/her to testify a criminal them to
against his case, to testify 3. The lawyer retained or consulted in
1. Parents parents and against his common
2. other direct grandparents parents and 4. Communication is offered in an action
ascendants ascendants between any of the clients
3. children or 5. Neither expressly agreed otherwise [Sec.
4. other direct 24(b)(v), Rule 130]
descendants
Except when Except when None Other Privileged Communication Not in
such testimony such testimony the Rules of Court
is is
indispensable indispensable a. Newsman’s Privilege
in a crime in a crime
1. against General Rule: Publisher, editor or duly
that person or 1.(committed) accredited reporter of any newspaper,
2. by one against the magazine or periodical of general circulation
parent descendant or cannot be compelled to reveal the source of
against the 2.by one parent any news-report or information appearing in
other. against the said publication which was related in
other confidence to such publisher, editor or reporter.

Exception: Court or a House/Committee of

Applicability
The rule is applied to both civil and criminal
cases [Herrera].
The privilege cannot apply between
stepmothers and stepchildren because the rule
applies only to direct ascendants and
descendants, a family tie connected by a
common ancestry [Lee v. C.A., G.R. No.
177861 (2010)].
A child can waive the filial privilege and choose
to testify against his father. The rule refers to a
privilege not to testify, which can be invoked or
Congress finds that such revelation is
demanded by security of the State.
Note: This is without prejudice to his liability
under the civil and criminal laws [R.A. 53, as
amended by R.A. 1477].
b. Information in Conciliation
Proceedings
All information and statements made at
conciliation proceedings shall be treated as
privileged communications [Art. 239(233),
Labor Code].

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c. Anti-Money Laundering Act of 2011
Institutions covered by the law and its officers
and employees who communicate a suspicious
transaction to the Anti-Money Laundering
Council are barred from disclosing the fact of
such report, that such report was made, and
other related information [Sec. 6 of R.A. 9194
amending R.A. 9160].
d. Bank Deposits
Elements
1. All deposits of whatever nature
2. With banks or banking institutions in the
Philippines including investments in bonds
issued by the Government of the
Philippines, its political subdivisions and
its instrumentalities, are
3. Hereby considered as of an absolutely
confidential nature and may not be
examined, inquired or looked into by any
person, government official, bureau or
office.
Except:
1. Upon written permission of the depositor,
or
2. In cases of impeachment, or
3. Upon order of a competent court in cases
of bribery or dereliction of duty of public
officials, or
4. In cases where the money deposited or
invested is the subject matter of the
litigation [Sec.2, R.A. 1405].
e. Data Privacy Act
Personal information controllers may invoke
the principle of privileged communication over
privileged information that they lawfully control
or process. Subject to existing laws and
regulations, any evidence gathered on
privileged information is inadmissible [Sec. 15,
RA 10173].
f. Food and Drug Administration Act
Prohibits the use of a person to his own
advantage, or revealing, other than to the
Secretary of Health or officers or employees of
the Department of Health or to the courts when
relevant in any judicial proceeding under this
Act, any information acquired under authority
Board of Food Inspection and Board of Food
and Drug, or concerning any method or
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process which as a trade secret is entitled to
protection [Secs. 9, 11 (f) and 12, RA 3720].
4. Admissions and Confessions
a. Admission by a Party
Elements
1. The act, declaration or omission
2. Of a party or by one whom he is legally
bound
3. As to a relevant fact
4. Against his or her interest [Sec. 27, Rule
130]
5. Made out of court (Those made in court are
Judicial admissions governed by Sec. 4,
Rule 129) [2 Regalado 754, 2008 Ed.].
Extrajudicial Admissions
Any statement of fact made by a party against
his interest or unfavorable to the conclusion for
which he contends or is inconsistent with the
facts alleged by him [2 Regalado 754, 2008
Ed., citing 31 C.J.S. 1022].
A statement by the accused, direct or implied,
of facts pertinent to the issue, and tending in
connection with proof of other facts, to prove
his guilt [People v. Lorenzo, G.R. No. 110107
(1995)].
Requisites for Admissibility
1. They must involve matters of fact;
2. They must be categorical and definite;
3. Offered only against the admitted [Herrera,
370, 1999 ed.]
Effect of an Admission
It may be given in evidence against the
admitter [Sec. 27, Rule 130].
Flight from justice is an admission by conduct
and circumstantial evidence of consciousness
of guilt [US v. Sarikala, G.R. No. L-12988
(1918)].
Rationale
No man would make any declaration against
himself unless it is true [Republic v. Bautista,
G.R. No. 169801 (2007)].
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Judicial and Extrajudicial Admissions Basis of Exception
Judicial Extrajudicial A third party may be so united in interest with
the party-opponent that the other person’s
Made in connection admissions may be receivable against the
with a judicial Any other admission party himself. The term “privy” is the orthodox
proceeding in which [Secs. 27 and 33, catchword for the relation.
it is offered [Sec. 4, Rule 130]
Rule 129] Note: The res inter alios acta rule only applies
to extrajudicial declarations (admissions and
Must still be formally confessions). However, when the declarant
offered in evidence repeats his extrajudicial declaration in open
Does not require
(Note the language court and his co-accused are given the
proof [Sec. 4, Rule
of Sec. 27, Rule 130: opportunity to cross-examine him, the
129]
“may be given in declaration becomes admissible against
evidence”) the co-accused.
May be conclusive
unless contradicted Rebuttable d. Admission by a Co-Partner or Agent
[Sec. 4, Rule 129]
Requisites for Admissibility
May be written, oral express or implied 1. The act or declaration
[Sec. 4, Rule 129; Sec. 27, Rule 130] 2. Of a partner or agent
3. authorized by the party to make a
b. Res Inter Alios Acta Rule statement concerning the subject; or
4. within the scope of his/her authority
5. During the existence of the partnership or
A stranger cannot bind a stranger
agency,
“Res inter alios acta alteri nocere non debet”—
6. May be given in evidence against such
"a thing done between some does not harm or
party
benefit others" (Latin translation).
7. After the partnership or agency is shown
by evidence other than such act or
“Manifestly unjust, that a man should be bound
declaration (evidence aliunde) [Sec. 30,
by the acts of unauthorized strangers”
Rule 130].
[Herrera, citing 5 Moran, citing Stark on
Evidence].
Statements Made After Partnership Is
Dissolved
c. Admission by a Third Party As a rule, statements made after the
partnership has been dissolved do not fall
General Rule: The rights of a party cannot be within the exception, but where the admissions
prejudiced by an act, declaration, or omission are made in connection with the winding up
of another [Sec. 29, Rule 130]. of the partnership affairs, said admissions
are still admissible as the partner is acting as
Admission by a third party is inadmissible as an agent of his co-partners in said winding up
against another. The act, declaration or [2 Regalado 759, 2008 Ed.].
omission of another is generally irrelevant, and
that in justice, a person should not be bound by This rule also applies to the act or declaration
the acts of mere unauthorized strangers. of a joint owner, joint debtor, or other persons
jointly interested with the party [Sec. 30, Rule
Exceptions: 130].
1. Admission by Co-Partner or Agent [Sec.
30, Rule 130] Joint Interests
2. Admission by conspirator [Sec. 31, Rule 1. Joint owner, Joint debtor or other person
130] jointly interested
3. Admission by privies [Sec. 32, Rule 130]

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2. The joint interest must be first made to
appear by evidence other than the
admission itself
3. The admission must relate to the subject-
matter of joint interest [Herrera].
Joint means Solidary in this case
The word “joint” must be construed according
to its meaning in the common law system, that
is, in solidum for the whole [Jaucian v. Querol,
G.R. No. L-11307 (1918)].
A mere community of interests (solidary)
between several persons is not sufficient to
make the admissions of one admissible against
all [Herrera].
Just like in partnership and agency, the interest
must be a subsisting one unless for the
admission to be admissible [Herrera].
e. Admission by a Conspirator
Requisites for Admissibility
1. The act or declaration
2. Of a conspirator
3. In furtherance of the conspiracy and
during its existence,
4. May be given in evidence against the co-
conspirator
5. After the conspiracy is shown by evidence
other than such act or declaration
(evidence aliunde) [Sec. 31, Rule 130].
An exception to the res inter alios acta rule is
an admission made by a conspirator under
Sec. 30, Rule 130 [People v. Cachuela, G.R.
No. 191752 (2013)].
Existence of the conspiracy may be inferred
from acts of the accused [People v. Belen, G.R.
No. L-13895 (1963)].
Applies only to extrajudicial statements, not to
testimony given on the stand [People v.
Serrano, G.R. No. L-7973 (1959)] or at trial
where the party adversely affected has the
opportunity to cross-examine [People v.
Palijon, G.R. No. 123545 (2000].
As regards extrajudicial admissions AFTER
termination of conspiracy, BEFORE trial
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General Rule: Not admissible [People v.
Badilla, G.R. No. 23792 (1926); People v.
Yatco, G.R. No. L-9181 (1955)].
Exceptions:
1. Made in the presence of the co-conspirator
who expressly/impliedly agreed (tacit
admission).
2. Facts in admission are confirmed in the
independent extrajudicial confessions
made by the co-conspirators after
apprehension [People v. Badilla, G.R. No.
23792 (1926)].
3. As a circumstance to determine credibility
of a witness [People v. Narciso, G.R. No.
L-24484 (1968)].
4. Circumstantial evidence to show the
probability of the latter’s participation [2
Regalado 761, 2008 Ed.].
Doctrine of Interlocking Confessions
Extrajudicial statements of co-accused may be
taken as circumstantial evidence against
the person implicated to show the
probability of the latter’s actual
participation, provided that the statements are
made by several accused are:
1. Made without collusion
2. Identical with each other in their essential
details;
3. Corroborated by other evidence on record
[People v. Molleda, G.R. No. L-34248
(1978), People v. Tuniaco, G.R. No.
185710 (2010)].
Note: Interlocking confessions may also be
used as evidence aliunde to prove conspiracy.
Applicable to Extrajudicial Statements
The evidence adduced in court by the
conspirators as witnesses are not declarations
of conspirators, but direct testimony to the acts
to which they testify. This is applicable only
when it is sought to introduce extrajudicial
declarations and statements of the co-
conspirators [Herrera, citing People v.
Vizcarra, G.R. No. L-38859 (1982)].
f. Admission by Privies
Privies
Persons who are partakers or have an interest
in any action or thing, or any relation to another
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[Riano 262, 2016 Ed., citing Black’s Law
Dictionary].
It denotes the idea of succession, not only by
right of heirship and testamentary legacy, but
also that of succession by singular title, derived
from acts inter vivos, and for special purposes
(e.g. assignee of a credit and one subrogated
to it are privies) [Alpuerto v. Perez Pastor and
Roa, G.R. No. L-12794 (1918)].
Requisites for Admissibility
1. One derives title to property from another
2. The act, declaration, or omission
a. Of the latter (the person from whom title
is derived)
b. While holding the title
c. In relation to the property
d. Is evidence against the former (one
who derives title from another) [Sec.
32, Rule 130].
Rationale
The declarant was so situated that his interests
were such that he would not have made the
admissions to the prejudice of his title or
possession, unless they were true. The regard
which one so situated would have to his
interest is considered sufficient security against
falsehood [Herrera, 422, citing 2 Jones, Sec.
13.8].
g. Admission by Silence
Qui tacet consentire videtur
He who is silent appears to consent.
Declarations, relating to the subject matter in
controversy, not denied may be admissible
against the silent party if circumstances were
such that a reply is expected.
Requisites: When silence is deemed an
admission
1. Person heard or understood the statement;
2. That he was at a liberty to make a denial;
3. That the statement was about a matter
affecting his rights or in which he was
interested and which naturally calls for a
response;
4. That the facts were within his knowledge;
and
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5. That the fact admitted from his silence is
material to the issue [People v. Paragsa,
G.R. No. L-44060 (1978)] [Sec. 33, Rule
130].
This rule applies even when a person was
surprised in the act [US v. Bay, G.R. No. 9341
(1914)] or even if he was already in the custody
of the police [People v. Ancheta, G.R. No.
143935 (2004)].
When Not Applicable
1. When an offense is imputed against a
person under custodial investigation for the
commission of an offense, his silence is not
admissible in evidence against him
[Herrera citing Sec. 12, Art. 3, 1987
Constitution]. The right of a defendant in all
criminal prosecutions to remain silent and
from testifying against himself clearly
prohibits any inference of guilt from silence
of an accused person who has been
arrested, detained or investigated for a
crime [Herrera citing R.A. 7438].
2. Party had justifiable reason to remain
silent, e.g. acting on advice of counsel [2
Regalado 763, 2008 Ed.].
Failure to File a Comment
Respondent’s failure to file a comment despite
all the opportunities afforded him constituted a
waiver of his right to defend himself. In the
natural order of things, a man would resist an
unfounded claim or imputation against him. It is
generally contrary to human nature to remain
silent and say nothing in the face of false
accusations. As such, respondents' silence
may be construed as an implied admission and
acknowledgement of the veracity of the
allegations against him [OCA v. Amor, A.M.
No. RTJ-08-2140 (2014)].
Failure to reply to written communication
General rule: Not an admission
Correspondence is not answered for many
reasons, and otherwise the whole world would
be at the mercy of letter writers.
Exception: Admission
Factors tend to show that a denial would
have been forthcoming:
1. Mutual correspondence and
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2. Proof shows the parties were engaged in
some business, transaction or relationship
which would make it improbable that an
untrue communication about the
transaction or relationship would be
ignored [Herrera, 136 citing McCormick].
h. Confessions
The declaration of an accused acknowledging
his/her guilt of the offense charged, or of any
offense necessarily included therein, may be
given in evidence against him/her [Sec. 34,
Rule 130].
An acknowledgment in express words or
terms, by a party in a criminal case, of his
guilt of the crime charged [People v. Lorenzo,
G.R. No. 110107 (1995)].
Requisites
1. Express [U.S. v. Corrales, G.R. No. 9230
(1914)]
2. Facts admitted constitute a criminal
offense [U.S. v. Flores, G.R. No. 9014
(1913)]
3. Voluntary [Sec. 12(1), Art. 3, 1987
Constitution] [People v Nishishima, G.R.
No. 35122 (1932)]
4. Intelligently made [Bilaan v Cusi, G.R. No.
L-18179 (1962)], realizing the importance
or legal significance of the act [U.S. v.
Agatea, G.R. No. 15177 (1919)]
5. No violation of Secs. 12 and 17, Art. III of
the Constitution [2 Regalado 765, 2008
Ed.]
If the accused admits having committed the act
in question but alleges a justification therefore,
the same is merely an admission [Ladiana v.
People, G.R. No. 144293 (2002)].
Any confession, including a re-enactment,
without admonition of the right to silence and to
counsel, and without counsel chosen by the
accused is inadmissible in evidence [People v.
Yip Wai Ming, G.R. No. 120959 (1996)].
Rationale
The basic test for the validity of a confession is
– was it voluntarily and freely made. The term
"voluntary" means that the accused speaks of
his free will and accord, without inducement of
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any kind, and with a full and complete
knowledge of the nature and consequences of
the confession, and when the speaking is so
free from influences affecting the will of the
accused, at the time the confession was made,
that it renders it admissible in evidence against
him. Plainly, the admissibility of a confession in
evidence hinges on its voluntariness [People v.
Satorre, G.R. No. 133858 (2003)].
An extrajudicial confession may be given in
evidence against the confessant but not
against his co-accused (since) they are
deprived of the opportunity to cross-examine
him. A judicial confession is admissible
against the declarant’s co-accused since the
latter are afforded the opportunity to cross-
examine the former [People v. Palijon, G.R.
No. 123545 (2000), cited in People v. Janjalani,
G.R. No. 188314 (2011)].
Effect of Extrajudicial Confession of Guilt
General Rule: An extrajudicial confession
made by an accused, shall not be a sufficient
ground for conviction.
Exception: When corroborated by evidence of
corpus delicti [Sec. 3, Rule 133].
Corpus Delicti
Substance of the crime; the fact that a crime
has actually been committed [People v. De
Leon, G.R. No. 180762 (2009)].
Admission vs. Confession
A confession is a specific type of admission
which refers only to an acknowledgment of guilt
[Riano, 280, 2022 ed.].
In a confession, there is an acknowledgment of
guilt; in an admission, there is merely a
statement of fact not directly involving an
acknowledgment of guilt or the criminal intent
to commit the offense with which one is
charged [Ladiana v. People, G.R. No.
144293(2002)].
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As Distinguished from Admissions of a c. Proving an effort to obstruct a criminal
Party investigation or prosecution [Sec. 28,
Admission of a Rule 130].
Confession
Party
In criminal cases
A statement of fact Acknowledgment of General Rule: An offer of compromise by the
[2 Regalado 754, guilt or liability [2 accused may be received as an implied
2008 Ed.] Regalado 754, 2008 admission of guilt [Sec. 28, Rule 130].
Ed.]
Exception:
Maybe express or Must be express [2 1. In cases involving quasi-offenses (criminal
tacit [2 Regalado Regalado 754, 2008 negligence) or
754, 2008 Ed.] Ed.] 2. Those allowed by the law to be
Maybe made by 3rd Can be made only by compromised.
parties, and in the party himself, and
certain cases, admissible against Plea not admissible
admissible against a his co-accused in Not admissible against the accused who made
party [2 Regalado some instances [2 the plea or offer:
754, 2008 Ed.] Regalado 754, 2008 1. Plea of guilty later withdrawn;
Ed.] 2. Unaccepted offer of a plea of guilty to a
lesser offense; or
3. Statement made in the course of plea
Acts, declarations or Declarations [Sec. bargaining with the prosecution which does
omissions [Sec. 26, 34, Rule 130] not result in a plea of guilty or which results
Rule 130] in a plea of guilty later withdrawn [Sec. 28,
May be in any Criminal case [Sec. Rule 130].
proceeding 34, Rule 130 refers to
[Sec. 27, Rule 130 “accused”] Offer to pay medical, hospital or other
refers to a party expenses
without distinction as Offer to pay or the payment of medical, hospital
to nature of or other expenses occasioned by an injury is
proceeding] not admissible in evidence as proof of civil or
criminal liability for the injury [Sec. 28, Rule
130].
i. Admissibility of Offers of
Compromise 5. Previous Conduct as Evidence
In civil cases
a. Similar Acts as Evidence
An offer of compromise is not an admission of
any liability and is not admissible in evidence
General Rule: Evidence that one did or did not
against the offeror [Sec. 28, Rule 130].
do a certain thing at one time is not admissible
to prove that he/she did or did not do the same
General Rule: Evidence of an offer of
or similar thing at another time.
compromise and conduct or statements made
in compromise negotiations are not admissible.
Exceptions: Said evidence may be received to
prove a:
Exceptions:
1. Specific intent or knowledge
1. Evidence otherwise discoverable or
2. Identity
2. offered for another purpose such as:
3. Plan, system, or scheme
a. Proving bias or prejudice of a witness;
4. Habit
b. Negativing a contention of undue
5. Custom or usage and the like [Sec. 35,
delay; or
Rule 130].

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Reason for General Rule
The rule is founded upon reason, public policy,
justice and judicial convenience. The fact that
a person has committed the same or similar
acts at some prior time affords, as a general
rule, no logical guarantee that he committed
the act in question. This is so because,
subjectively, a man's mind and even his modes
of life may change; and, objectively, the
conditions under which he may find himself at
a given time may likewise change and thus
induce him to act in a different way
[Metropolitan Bank and Trust v. Custodio, G.R.
No. 173780 (2011)].
Evidence is not admissible when it shows, or
tends to show, that the accused in a criminal
case has committed a crime independent from
the offense for which he is on trial. A man may
be a notorious criminal, and may have
committed many crimes, and still be innocent
of the crime charged on trial [People v. Pineda,
G.R. No. 141644 (2004)].
When useful
Evidence of similar acts may frequently
become relevant, especially to actions based
on fraud and deceit, because it sheds light on
the state of mind or knowledge of a person; it
provides insight into such person's motive or
intent; it uncovers a scheme, design, or plan,
or it reveals a mistake [Ibid].
What is needed
Habit, custom, usage or pattern of conduct
must be proved like any other facts. Courts
must contend with the caveat that, before they
admit evidence of usage, of habit or pattern of
conduct, the offering party must establish the
degree of specificity and frequency of uniform
response that ensures more than a mere
tendency to act in a given manner but
rather, conduct that is semi-automatic in
nature. The offering party must allege and
prove specific, repetitive conduct that might
constitute evidence of habit. The examples
offered in evidence to prove habit, or pattern of
evidence must be numerous enough to base
on inference of systematic conduct. Mere
similarity of contracts does not present the kind
of sufficiently similar circumstances to
outweigh the danger of prejudice and
confusion… In determining whether the
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examples are numerous enough, and
sufficiently regular, the key criteria are
adequacy of sampling and uniformity of
response. After all, habit means a course of
behavior of a person regularly represented in
like circumstances [Boston Bank v. Manalo,
G.R. No. 158149 (2006)].
Illustrative cases
a. Specific Intent or Knowledge
On a trial for arson, the prosecution may prove
that the defendant had set fire to the building,
a few days previous to the burning alleged in
the information, for the purpose only of
establishing criminal intent of the defendant
[U.S. v. Evangelista, G.R. No. L-8132 (1913)].
In prosecutions for forgery, the court admits
evidence of other forgeries by the defendant to
show intent or motive, guilty knowledge,
identity or a system, plan or scheme [Herrera,
542, citing 1 Jones, Sec. 4:15;36].
b. Identity
Here the inference of identity of the accused
proceeds from a similarity of the peculiar
method used [Herrera, 549 citing Moran].
A robbery was committed by 7 individuals with
white stripes upon their faces and one robber
in particular also had distinctive scars. A
second house 100 meters away from the first
was robbed on the same night by a group of 7
individuals with white stripes on their faces. B,
who had white stripes on his face and
distinctive scars was identified at the second
robbery. The identity of B in the second robbery
was used as circumstantial evidence of his
identity in the first robbery [People v. Irang,
G.R. No. L-45179(1937)].
c. Plan, System or Scheme
X is charged with a crime, say of estafa. It is
alleged that he committed it under an assumed
name. At trial, X claimed that the crime was
committed by another person. Evidence of X
committing similar offenses under the same
assumed name is admissible to prove his
identity with respect to the crime in question
[Herrera, 552, citing Billings v. U.S.].
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d. Habit
The accused-pharmacist was alleged to have
given the complainant barium chlorate(poison)
instead of the potassium chlorate(medicine)
the complainant asked for. Later, two chemists
went to the accused and offered to buy
potassium chlorate but were given barium
chlorate as well. The testimony of the chemists
was admitted to fix the defendant’s negligence
[Herrera, 544, citing U.S. v. Pineda, G.R. No.
L-12858 (1918)].
2. Unaccepted Offer
An offer in writing to pay a particular sum of
money or to deliver a written instrument or
specific personal property is, if rejected without
valid cause, equivalent to the actual production
and tender of the money, instrument, or
property [Sec. 36, Rule 130].
6. Testimonial Knowledge; Firsthand
Knowledge Rule and Hearsay Rule
a. Firsthand Knowledge Rule
A witness can testify only as to those facts
which he/she knows of his personal
knowledge, that is, which are derived from
his/her own perception [Sec. 22, Rule 130].
b. Hearsay Rule - Meaning of Hearsay
Hearsay is a statement other than the one
made by the declarant while testifying at a trial
or hearing, offered to prove the truth of the facts
asserted therein [Sec. 37, Rule 130; Rule 801
of the U.S. Federal Rules of Evidence].
Elements
1. Not the declarant testifying at trial or
hearing
2. Offered to prove the truth of the facts
asserted therein.
Statement - Oral or written assertion OR non-
verbal conduct of a person if it is intended by
him/her as an assertion [Sec. 37, Rule 130].
Extent of Hearsay
While in most cases, hearsay evidence
involves statements of another person other
than the witness, the rule covers statements of
the same witness made out of court. Hence,
declarations of the defendant made out of court
tending to support his defense are inadmissible
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as hearsay [Herrera, 574, citing the US case:
People v. McAfeem].
If a party does not object to hearsay evidence,
the same is admissible, as a party can waive
his right to cross-examine [People v. Ola, G.R.
No. L-47147 (1987)].
Repeated failure to cross-examine is an
implied waiver [Savory Luncheonette v. Lakas
ng Manggagawang Pilipino, G.R. No. L-38964
(1975)].
Note: The main difference between the
Firsthand Knowledge Rule and the Hearsay
Rule is the presence of exceptions. The former
has no exceptions, while hearsay knowledge
has exceptions.
2. Not Hearsay
Prior statements [Sec. 37(2) of Rule 130]
Note: Sec. 37 par. 2 is a new 2019 amendment
and has no Philippine jurisprudence. However,
it is verbatim lifted from the 801(d)(1) of the
U.S. Federal Rules of Evidence and therefore
U.S. jurisprudence is quite persuasive.
U.S. Origins
[The] Federal rules of evidence adopted an
intermediate position, neither admitting nor
rejecting prior statements of witnesses in toto
where the “declarant testifies and is subject to
cross examination concerning the statement,”
but exempting from classification as hearsay
certain prior statements thought by
circumstances to be generally free of the
danger of abuse [McCormick, 432-433].
Elements
1. If the declarant testifies at the trial or
hearing and
2. Is subject to cross-examination
concerning the statement; and
3. The statement is:
a. Inconsistent with the declarant’s
testimony and
i. was given under oath subject to the
penalty of perjury
ii. at a trial, hearing, or other
proceeding, or in a deposition
[801(d)(1)(A)].
b. Consistent with the declarant’s
testimony and
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i. is offered to rebut an express or
implied charge against the
declarant of recent fabrication or
improper influence or motive
[801(d)(1)(B)].
c. Identification of a person made after
perceiving him/her [801(d)(1)(C)] [Sec.
37(2), Rule 130].
1. Prior Inconsistent Statement
The rule admits the inconsistent statement as
substantive evidence, which avoids use of a
limiting instruction that the jury have difficulty
following.
The witness who has told one story earlier and
another at trial has invited a searching
examination of credibility through cross-
examination and re-examination. The reasons
for the change, whether forgetfulness,
carelessness, pity, terror, or greed, may be
explored by the adversaries in the presence of
the trier of fact, under oath, casting light on
which is the true story and which is false
[McCormick, 433, 6th edition].
2. Prior Consistent Statements
A consistent statement at a time prior to the
existence of a fact said to indicate Bias,
Interest, or Corruption, will effectively explain
away the force of the impeaching evidence,
because it is thus made to appear that the
statement in the form now uttered was
independent of the discrediting influence. The
former statements are therefore admissible [2
Wigmore on Evidence].
One frequently encountered situation involves
prior consistent statements by a government
witness accused by the defendant with
providing testimony to gain favor regarding the
witness’ own criminal liability [McCormick on
Evidence, 433].
Statement must be prior to motive to
fabricate
A witness to a murder provided recorded
statements to the police prior to his death from
unrelated causes. He also testified at a
suppression hearing prior to this death. His
testimony at the suppression hearing was
admissible because it was prior sworn
testimony. His statements to the police,
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however, were not admissible. The state
argued that the statements to the police were
not offered for the truth of the matter asserted,
but this was clearly belied by the record. The
statements were not merely used to “shore up
the witness’s credibility” or to “explain the
investigators’ conduct.” The state also argued
that the statements qualified as prior consistent
statements (i.e., consistent with the
suppression hearing testimony) and thus were
admissible under a firmly-rooted hearsay
exception.
However, these statements were not made
prior to the time that the supposed motive to
fabricate arose (i.e., a motive to shift
responsibility for the murder from himself to the
defendant) [Jones v. Cain, 600 F.3d 527 (5th
Cir. 2010)].
c. Prior Identification
As a result of injuries suffered in an attack at a
federal prison, John Foster's memory was
severely impaired. Nevertheless, in an
interview with the investigating FBI agent,
Foster described the attack, named
respondent as his attacker, and identified
respondent from photographs. At trial, Foster
testified, inter alia, that he clearly remembered
identifying the respondent. On cross-
examination, however, he admitted that he
could not remember seeing his assailant,
seeing any of his numerous hospital visitors
except the FBI agent, or whether any visitor
had suggested that respondent was the
assailant. Respondent was convicted, but the
CA reversed, upholding challenges based on
the Confrontation Clause of the Sixth
Amendment and Rule 802 of the Federal Rules
of Evidence, which generally excludes
hearsay.
Held: The Court of Appeals erred in holding
that Rule 801(d)(1)(C) -- under which a prior
identification statement is not hearsay if the
declarant is "subject to cross-examination
concerning the statement" -- did not apply to
Foster's identification statement because of his
memory loss. Neither the Confrontation Clause
nor Rule 802 is violated by admission of a prior,
out-of court identification statement of a
witness who is unable, because of memory
loss, to explain the basis for the identification
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[U.S. v. Owens, 484 U.S. 554 (1988)].
c. Reason for Exclusion of Hearsay
Evidence
The underlying rule against hearsay is a
serious concern about the worth
(trustworthiness, reliability) of hearsay
evidence. Because such evidence:
1. Was not given under oath or solemn
affirmation; and
2. Was not subject to cross-examination by
opposing counsel to test the perception,
memory, veracity and articulateness of out-
of-court declarant or actor upon whose
reliability on which the worth of the out-of-
court testimony depends [Herrera].
Hearsay evidence is excluded precisely
because the party against whom it is presented
is deprived of or is bereft of opportunity to
cross-examine the persons to whom the
statements or writings are attributed
[Philippines Free Press v. C.A., G.R. No.
132864 (2005)].
7. Exceptions to the Hearsay Rule
1. Dying declaration
2. Statement of decedent or person of
unsound mind
3. Declaration against interest
4. Act or declaration about pedigree
5. Family reputation or tradition regarding
pedigree
6. Common reputation
7. Part of the res gestae
8. Records of regularly conducted business
activity
9. Entries in official records
10. Commercial lists and the like
11. Learned treatises
12. Testimony or deposition at a former trial
13. Residual exception
1. Dying Declaration
Also known as “antemortem statement” or
“statement in articulo mortis” [People v.
Mendoza, G.R. No. 142654 (2001)].
Requisites for Admissibility
1. Declaration of a dying person
2. Declaration was made under the
consciousness of an impending death
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3. Declaration may be received in any case
wherein his/her death is the subject of
inquiry, as evidence of the cause and
surrounding circumstances of such death
[Sec. 38, Rule 130]
4. Declarant would have been competent as
a witness had he survived [Geraldo v
People, G.R. No. 173608 (2008)); and
5. Declarant died [People v. Macandog, G.R.
No. 129534 and 1411691 (2001)]
A dying declaration must be single hearsay to
be admissible [People v. Bautista, G.R. No.
117685 (1999)].
Rationale for Admissibility
As a general rule, when a person is at the point
of death, every motive of falsehood is silenced
[People v Bacunawa, G.R. No. 136859 (2001)].
The law considers the point of death as a
situation so solemn and awful as creating an
obligation equal to that which is imposed by an
oath administered by the court [People v.
Cerilla, G.R. No. 177147 (2007)].
The admissibility of an ante mortem declaration
is not affected by the fact that the declarant
died hours or several days after making his
declaration. It is sufficient that he believes
himself in imminent danger of death at the time
of such declaration [Herrera, citing People v.
Ericta, 77 SCRA 199].
The rule is that, to make a dying declaration
admissible, a fixed belief in inevitable and
imminent death must be entered by the
declarant. It is the belief in impending death
and not the rapid succession of death in point
of fact that renders a dying declaration
admissible. The test is whether the declarant
has abandoned all hopes of survival and
looked on death as certainly impending.
Objections to the dying declaration
May be premised on any of the requisites for its
admissibility embodied in Sec. 38, Rule 130
[Riano 302, 2016 Ed.].
Dying declarations are admissible in favor of
the defendant as well as against him [US v.
Antipolo, 37 Phil. 726 (1918)].
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2. Statement of Decedent or Person of When NOT Admissible
Unsound Mind General Rule: If the statement tends to expose
Note: Sec. 39 now reads the opposite of the the declarant to criminal liability and is offered
Deadman’s statute. “The Deadman’s Statute to exculpate the accused.
was done away with and the testimony of the
survivor, as well as hearsay evidence of the Exception: Admissible if corroborating
deceased, may now be admitted” [Primer on circumstances clearly indicate the
the 2019 Amendments to the 1989 Revised trustworthiness of the statement [Sec. 40, Rule
Rules on Evidence]. 130].

Requisites for Admissibility Inability to testify means that the person is

General Rule: Any statement of the deceased
or the person of unsound mind may be
received in evidence.
1. In an action against:
a. an executor, administrator or other
representative of a deceased
person; OR
b. a person of unsound mind.
2. Upon a claim or demand against the estate
of such deceased person or against such
person of unsound mind.
3. Where party or assignor of a party or a
person in whose behalf a case is
prosecuted testifies on a matter of fact
occurring before the death of the deceased
or before the person became of unsound
mind.
4. Statement was made by the deceased or
person of unsound mind at a time where
the matter had been recently perceived by
him/her while his/her recollection was
clear.
Exception: The statement is inadmissible if
made under circumstances indicating its lack of
trustworthiness [Sec. 39, Rule 130].
dead, mentally incapacitated or physically
incompetent. Mere absence from the
jurisdiction does not make him ipso facto
unavailable [Fuentes v. C.A., G.R. No. 111692
(1996)].
Admissible Against Third Persons
Declaration against interest made by the
deceased, or by one unable to testify, is
admissible even against the declarant’s
successors-in-interest or even against third
persons [Sec. 40, Rule 130].
Actual or Real Interest
It is essential that at the time of the statement,
the declarant’s interest affected thereby should
be actual, real or apparent, not merely
contingent, future or, conditional; otherwise the
declaration would not in reality be against
interest (Example: declarations regarding a
declarant’s inheritance are not admissible
because these are future interests) [Herrera].
As Distinguished from Admissions
Admission By a Declaration Against
Party [Sec. 27, Rule Interest [Sec. 40,
130] Rule 130]

3. Declaration Against Interest Admitter is a party Declarant is neither a

himself, or in privity party nor in privity
Requisites for Admissibility with such party with a party
1. Declarant is dead or unable to testify;
2. Declaration relates to a fact against the Admissible whether Admissible only
interest of the declarant; or not admitter is when declarant is
3. At the time he made said declaration, available as a unavailable as a
declarant was aware that the same was witness witness
contrary to the his own interest; and
4. Declarant had no motive to falsify and Must have been
Can be made any
believed such declaration to be true [Sec. made before the
time, even during
40, Rule 130]. lawsuit started (ante
trial
litem motam)

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Declarant may be related to either the family
Admission By a Declaration Against or the person whose pedigree is in question
Party [Sec. 27, Rule Interest [Sec. 40, For example, if B is claiming to be the son of D,
130] Rule 130] the statement of D (deceased) that B is not his
son is admissible. The competency of the
Admissible only Admissible even declarant (D) is not dependent on the positive
against the admitter against 3rd persons assertion that he is related to the subject of the
declaration but may be negative, that is, that D
is NOT related to B. Assertions or denial of his
Admissible as an
Admissible not as an relationship to the subject of declaration is
exception to the
exception to any rule admissible [Ferrer v. Ynchausti, G.R. No. L-
hearsay rule
12993 (1918)].
Made against one’s
Made against one’s Pedigree includes:
claim or defense,
pecuniary or moral 1. Relationship;
although not moral or
interest 2. Family genealogy;
pecuniary interest
3. Birth;
4. Marriage;
Primary evidence Secondary evidence 5. Death;
6. Dates when these facts occurred;
[Estrada v. Desierto, G.R. Nos. 146710-15 7. Places where these facts occurred;
(2001)]. 8. Names of relatives; and
9. Facts of family history intimately connected
4. Act or Declaration About Pedigree with pedigree [Sec. 40, Rule 130]
Note: Acts, declarations, and traditions about
pedigree now cover family relations through Pedigree Declaration By Conduct
adoption [Primer on the 2019 Amendments to This rule may also consist of proof of acts or
the 1989 Revised Rules on Evidence]. conduct of relatives and the mode of treatment
in the family of one whose parentage is in
Requisites for Admissibility question [Herrera 649].
1. The declarant must be dead or unable to
testify 5. Family Reputation or Tradition
2. The pedigree is in issue of is relevant Regarding Pedigree
3. The person whose pedigree is in question
must be related to the declarant by Requisites of Admissibility
a. Birth; 1. There is controversy in respect to the
b. Adoption; pedigree of any of the members of a family;
c. Marriage; or 2. The reputation or tradition of the pedigree
d. In the absence thereof, with those of the person concerned existed previous
family he/she was so intimately to the controversy
associated as to be likely to have 3. The witness testifying to the reputation or
accurate information concerning tradition regarding the pedigree of the
his/her pedigre. person is a member of the family of said
4. The declaration must be made before the person, either by consanguinity or affinity
controversy arose or adoption [Sec. 42, Rule 130; People v.
5. The relationship between the declarant and Alegado].
the person whose pedigree is in question
must be shown by evidence other than Note: The reputation or tradition must predate
such declaration [Sec. 41, Rule 130; the controversy to ensure that it predates any
People v. Ritter; Herrera, 641]. motive to manufacture the reputation or
tradition.

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The reputation or tradition of the pedigree Sec. 41 – Sec. 42 – Family
of the person concerned existed before the Declaration About Reputation or
controversy Pedigree Tradition
All declarations made after the controversy
began are rigidly excluded, even though the independent
declarant did not know of such controversy at evidence.
the time he made them [Herrera, 664]. [Herrera].
Illustrative case
6. Common Reputation
A person’s statement as to his date of birth and
Definition: The definite opinion of the
age, as he learned of these from his parents or
community in which the fact to be proved is
relatives, is an ante litem motam declaration of
known or exists. It means the general or
a family tradition [Gravador v. Mamigo, G.R.
substantially undivided reputation, as
No. L-24989 (1967)].
distinguished from a partial or qualified one,
although it need not be unanimous [2
Other Admissible Evidence
Regalado, 787, 2008 Ed.].
1. Entries in family bibles or other family
books;
Requisites for Admissibility
2. Charts;
1. Common reputation existed ante litem
3. Engravings on rings;
motam
4. Family portraits and the like [Sec. 42, Rule
2. Reputation pertains to:
130]
a. boundaries of or customs affecting
lands in the community
This enumeration, by ejusdem generis, is
b. events of general history important to
limited to "family possessions," or those
the community
articles which represent, in effect, a family's
c. marriage, or
joint statement of its belief as to the pedigree of
d. moral character [Sec. 43, Rule 130]
a person [Jison v. C.A., G.R. No. 124853
(1998)].
Note: The 30-year rule was removed in the
Amended Rules.
Distinguished From Declaration About
Pedigree
Other Admissible Evidence
Sec. 41 – Sec. 42 – Family 1. Monuments
Declaration About Reputation or 2. Inscriptions in public places [Sec. 43, Rule
Pedigree Tradition 130]
There must be a The witness Common Reputation vs Rumor
declarant and a testifying to the
Reputation involves a general estimate by the
witness family reputation community as a whole. Rumor is loose talk
The witness need not and tradition must which the community has not had an
be a relative of the be a member of the opportunity to evaluate and accept or reject
person whose family member of [Herrera, 667, citing the US case: Moore v.
pedigree is in the person whose U.S., 123].
question, it must be pedigree is in
the declarant. controversy. Pedigree may be established by reputation in
the family, but not in the community [Secs. 42-
Independent 43, Rule 130].
The witness may
evidence is needed
testify about the
to establish Common reputation is hearsay like any other
relationship himself.
relationship between exception to the hearsay rule, but is admissible
The author of the
declarant and person because of trustworthiness [Riano 327, 2016
reputation need not
whose pedigree is in Ed., citing Reg. v. Bedforshire, 4 E & B 535, 82
be established by
issue ECL 535, 542].
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Reputation has been held admissible as
evidence of age, birth, race, or race-ancestry,
and on the question of whether a child was
born alive [In re: Florencio Mallare, A.M. No.
533 (1974)].
Unlike that of matters of pedigree, general
reputation of marriage may proceed from
persons who are not members of the family —
the reason for the distinction is the public
interest [In re: Florencio Mallare, A.M. No. 533
(1974)].
7. Part of the Res Gestate
Res gestae — “things done”
Res gestae, as an exception to the hearsay
rule, refers to those exclamations and
statements made by either the participants,
victims, or spectators to a crime immediately
before, during, or after the commission of the
crime, when the circumstances are such that
the statements were made as a spontaneous
reaction or utterance inspired by the
excitement of the occasion and there was no
opportunity for the declarant to deliberate and
to fabricate a false statement [DBP Pool of
Accredited Insurance Companies v. Radio
Mindanao Network, Inc., G.R. No. 147039
(2006)].
REMEDIAL LAW
(must aid in giving legal significance to the
act).
Illustration - Contemporaneous statement
Thus in bribery, the declaration made by the
third person accompanying the delivery of
money is admissible [Herrera, 717 citing State
v. Sweeney].
● Equivocal act - delivery of money
● Contemporaneous statement -
declaration of the purpose of the delivery
Res Gestae vs Dying Declaration
A dying declaration can be made only by the
victim, while a statement as part of the res
gestae may be that of the killer himself after or
during the killing [2 Regalado 788, 2008 Ed.,
citing People v. Reyes, G.R. Nos. L-1846–48
(1949)].
A statement not admissible as dying
declaration because it was not made under
consciousness of impending death, may still be
admissible as part of res gestae if made
immediately after the incident [People v.
Gueron, G.R. No. L-29365 (1983)].

Spontaneous statements 1st type of Res

Gestae
Refers to natural and spontaneous statements,
which are unreflected and instinctive [Herrera,
685 citing People v. Gondayao, G.R. No. L-
26240 (1969)].

Contemporaneous statements or verbal

acts (2nd type of res gestae)
Under the rules, res gestae includes not only
spontaneous statements but also verbal acts
which explain or characterize another act
which is ambiguous. This is the second class
of res gestae.

Requisites for Admissibility of Verbal Acts

1. There must be an Equivocal act
2. The equivocal act must be independently
material to the issue
3. The statement must accompany the
equivocal act
4. The statement in question must be
necessary to understand the equivocal act

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Requisites for Res Gestae Sec. 44. Res Sec. 38. Dying
Spontaneous Gestae Declaration
Verbal Acts
Statements
Statement may be Can be made only
a. The principal a. The res gestae made by the killer by the victim
act, the res or principal act himself
gestae, be made or to be after or during the
due to a startling characterized killing [People v.
occurrence. must be Reyes, G.R. Nos. L-
b. The statements equivocal. 1846–48 (1949)] OR
were made b. Such act must that of a
before the be material to 3rd person.
declarant had the issue
c. The statements May precede, Made only after the
the opportunity accompany or be homicidal attack
to contrive. must
accompany the made after the has been
c. The statements homicidal attack was committed
must refer to the equivocal act.
d. The statements committed
occurrence in
question and its give a legal Justification in the Trustworthiness
attending significance to spontaneity of the based upon in its
circumstances the equivocal statement. being given in
[Talidano v. act [Talidano v. awareness of
Falcon Maritime, Falcon impending death
G.R. No. 172031 Maritime, G.R.
No. 172031 [2 Regalado 788-789, 2008 Ed.].
(2008)]].
(2008)].
[2 Regalado 788, 8. Records of Regularly Conducted
2008 Ed., citing [2 Regalado 790, Business Activity
People v. Siscar, 2008 Ed.].
G.R. No. 55649 Note: Records of regularly conducted business
(1985)]. activities as exceptions to the hearsay rule no
longer require for the entrant to be dead or
Spontaneous unable to testify, and covers written and
exclamations may electronic documents as well [Primer on the
have been made 2019 Amendments to the 1989 Revised Rules
before, on Evidence].
during or
Verbal act must Requisites for Admissibility
immediately after
have been made at 1. Memorandum, report, record or data
the startling
the time, and not compilation
occurrence
after, the equivocal 2. Of acts, events, conditions, opinions, or
equivocal act [2
act was being diagnoses
Regalado 790, 2008
performed 3. Made by writing, typing, electronic,
Ed.].
[2 Regalado 790, optical, or other similar means
2008 Ed.]. 4. At or near the time of or from transmission
AND must be under
the stress or or supply of information
excitement caused 5. Entrant had knowledge thereof
by the occurrence 6. Records are kept in the regular course or
[Sec. 44, Rule 130]. conduct of a business activity
7. The making of the memorandum, report,
record, or data compilation by electronic,
optical or similar means is regular practice

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8. All of the above are shown by the
testimony of a custodian or other qualified
witness [Sec. 45, Rule 130].
Note: Sec. 45 has no counterpart in the
previous Rules but it is the exact reproduction
of Sec. 2, Rule 8, Rules on Electronic Evidence
(“Business records as exception to the hearsay
rule under the Rules on Electronic Evidence”).
Entries in the payroll, being entries in the
course of business, enjoy the presumption of
regularity [Sapio v. Undaloc Construction, G.R.
No. 155034 (2008)].
Reason for rule
The duty of the employees to communicate
facts is itself a badge of trustworthiness of the
entries [Security Bank and Trust Company v.
Gan, G.R. No. 150464 (2006)].
These entries are accorded unusual reliability
because their regularity and continuity are
calculated to discipline record keepers in the
habit of precision [LBP v. Monet’s Export and
Manufacturing Corp., G.R. No. 184971 (2010)].
Entrant made the entry in his professional
capacity or in the performance of duty
Hence book keeping entries made by the
treasurer of a school on matters not coming
within his authority, are not admissible
[Herrera, 727 citing Moran citing Amory v.
Amherst College].
9. Entries in Official Records
Requisites for Admissibility
1. Entries in official records were made by a
public officer in the performance of his/her
duties or by a person in the performance of
a duty specially enjoined by law [Sec. 46,
Rule 130];
2. Entrant must have personal knowledge of
the facts stated by him or such facts
acquired by him from reports made by
persons under a legal duty to submit the
same [Barcelon, Roxas Securities v. CIR,
G.R. No. 157064 (2006)]; and
3. Entries were duly entered in a regular
manner in the official records [People v.
Mayingque, G.R. No. 179709 (2010)].
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The trustworthiness of public documents and
the value given to the entries made therein
could be grounded on:
1. The sense of official duty in the preparation
of the statement made;
2. The penalty which is usually affixed to a
breach of that duty;
3. The routine and disinterested origin of most
such statements; and
4. The publicity of record which makes more
likely the prior exposure of such errors as
might have occurred [Herce, Jr. v.
Municipality of Cabuyao, Laguna, G.R. No.
166645 (2005)].
A sheriff’s return is an official statement by a
public official in the performance of a duty
specially enjoined by law and is prima facie
evidence of the facts therein stated. Being an
exception to the hearsay rule, the sheriff need
not testify in court as to the facts stated in said
return [Manalo v Robles Trans.Co., G.R. No. L-
8171 (1956)].
Entries in official records are merely prima
facie evidence of the facts therein stated [Sec.
46, Rule 130].
Entries in a police blotter are not conclusive
proof of the truth of such entries [People v.
Cabuang, G.R. No. 103292 (1993)].
Baptismal certificates or parochial records of
baptism are not official records [Fortus v.
Novero, G.R. No. L-22378 (1968)].
10. Commercial Lists and the Like
Requisites for Admissibility
1. Evidence of statements of matters of
interest to persons engaged in an
occupation;
2. Such statements are contained in a list,
register, periodical, or other published
compilations;
3. Compilation is published for use by
persons engaged in that occupation; and
a. Example: mortality tables, MIMS
drug database
4. It is generally used and relied upon by them
[Sec. 47, Rule 130].
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Example
Standard price lists and market quotations and
reports which have been published in
newspapers and trade journals, being shown to
have been in general circulation and relied on
by the commercial world or those who are
engaged in trade and constantly accepted and
acted upon by dealers, are admissible as
evidence of the state of the markets and like
facts [Herrera, 759 citing Virginia v. West
Virginia].
Need for Authentication
They must be shown to have been obtained
from authoritative or reliable sources in the
usual course of business and the sources of
the information from which they have been
compiled must be known and disclosed
[Herrera, 760 citing Atlantic Nat. Bank v.
Korrick].
11. Learned Treatises
Requisites for Admissibility
1. Published treatise, periodical or pamphlet
is on a subject of history, law, science, or
art; and
2. Court takes either:
a. Judicial notice of it, or
b. A witness expert in the subject testifies
that the writer of the statement in the
treatise, periodical or pamphlet is
recognized in his/her profession or
calling as expert in the subject [Sec. 48,
Rule 130].
Scientific studies or articles and websites
which were culled from the internet, attached to
the Petition, and were not testified to by an
expert witness are hearsay in nature and
cannot be given probative weight [Paje v.
Casiño, G.R. No. 207257 (2015)].
12. Testimony or Deposition at a
Former Trial
Requisites for Admissibility
1. The testimony or depositors of a witness
deceased, cannot be found despite due
diligence search or unable to testify;
2. Testimony was given in a former case or
proceeding - judicial or administrative
3. Same parties;
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4. Same subject matter;
5. Offered for the same issue in both
proceedings;
6. Adverse party had the opportunity to cross
examine the witness in the former case.
[Sec. 49, Rule 130].
13. Residual Exception
Note: This is a verbatim copy of Rule 807 of the
U.S. Federal Rules of evidence. Thus U.S.
jurisprudence and commentaries are
persuasive.
Rationale
The 2019 amendments introduced a catchall
provision, known as Residual Exception, to
cover other statements having equivalent
circumstantial guarantees of trustworthiness as
those enumerated, subject to certain
conditions.
Requisites for admissibility
1. Statement not specifically covered by any
of the foregoing exceptions;
2. Guarantees of Trustworthiness - Has the
equivalent circumstantial guarantees of
trustworthiness
3. The court determines that:
a. Relevant - The statement is offered as
evidence of a material fact;
b. Necessity - It is more probative on the
point for which it is offered than any
other evidence which the proponent
can procure through reasonable
efforts; and
c. General Interests - The general
purposes of these rules and the
interests of justice will be best served
by its admission.
4. Notice - Proponent makes known to the
adverse party, sufficiently in advance of the
hearing or by the pre-trial stage in case of
a trial of the main case, to provide the
adverse party with a fair opportunity to
prepare to meet it, the proponent’s
intention to offer the statement and its
particulars, including the name and
address of the declarant [Sec. 50, Rule
130].
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Factors affecting Guaranty of
Trustworthiness
1. Motivation to speak truthfully or otherwise
2. Spontaneity
3. Presence of Oath or Affirmation
4. Whether declarant was subject to cross
when the statement was made
5. Relationship between declarant and
person to whom the statement was made
6. Whether the declarant has recanted or
affirmed the statement
7. Whether the statement was recorded and
in particular, videotaped
8. Whether the declarant’s firsthand
knowledge is clearly demonstrated
Note: One factor that should not be considered
in evaluating trustworthiness is the credibility of
the person testifying to having heard it
[McCormick, 532].
Other Exceptions outside the Rules of
Court
1. Affidavit in the Rules of Summary
Procedure - shall not be considered as
competent evidence for the party presenting
the affidavit, but the adverse party may
utilize the same for any admissible purpose
[Sec. 14, Rules on Summary Procedure]
2. Under the Rule on Examination of a Child
Witness, hearsay exception in child abuse
cases [See Sec. 28].
Independently Relevant Statements (IRS)
Statements or writings attributed to a person
not on the witness stand, which are being
offered not to prove the truth of the facts
stated therein, but only to prove that such were
actually made.
These are not covered by the hearsay rule
[People v. Cusi, G.R. No. L-20986 (1965)].
These are statements which are relevant
independently of whether they are true or not
[Estrada v. Desierto, G.R. No. 146710 (2001)].
Two classes of independently relevant
statements:
1. Statements which are the very facts in
issue, and
2. Statements which are circumstantial
evidence of the facts in issue. They include
the following:
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a. Statement of a person showing his
state of mind, that is, his mental
condition, knowledge, belief, intention,
ill will and other emotions;
b. Statements of a person which show his
physical condition, as illness and the
like;
c. Statements of a person from which an
inference may be made as to the state
of mind of another, that is, the
knowledge, belief, motive, good or bad
faith, etc. of the latter;
d. Statements which may identify the
date, place and person in question; and
e. Statements showing the lack of
credibility of a witness [Estrada v.
Desierto, G.R. No. 146710 (2001)].
8. Opinion Rule
Opinion is an inference or conclusion drawn
from facts observed [Black’s Law Dictionary].
General Rule: The opinion of witness is not
admissible [Sec. 51, Rule 130].
Exceptions:
1. Expert witness [Sec. 52, Rule 130]
2. Ordinary witness [Sec. 53, Rule 130]
Opinion of Expert Witness; Weight
given
The opinion of a witness on a matter requiring
special knowledge, skill, experience, training,
or education, which he/she shown to possess,
may be received in evidence [Sec. 52, Rule
130].
Expert witness is one who has made the
subject upon which he gives his opinion a
matter of particular study, practice or
observation and he must have particular and
special knowledge on the subject [People v.
Dekingco, G.R. No. 87685 (1990)].
a. Admitting Expert Testimony
Question in admitting expert testimony
Whether the opinion called for will aid the fact
finder in resolving an issue, or whether the
judge is as well qualified as the witness to draw
its own or his own deductions from the
hypothetical facts [Herrera].
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Court discretion to exclude or include
expert evidence
If men of common understanding are capable
of comprehending the primary facts and
drawing correct conclusions from them, expert
testimony may be excluded by the Court
[Herrera].
Competency of witness is a preliminary
question before testimony is admitted
It must be shown that the witness is really an
expert; determination of competency is a
preliminary question [Herrera].
The competence of an expert witness is a
matter for the trial court to decide upon in the
exercise of its discretion. The test of
qualification is necessarily a relative one,
depending upon the subject matter of the
investigation, and the fitness of the expert
witness. In our jurisdiction, the criterion
remains to be the expert witness' special
knowledge, experience and practical
training that qualify him/her to explain
highly technical medical matters to the
Court.
It is the specialist's knowledge of the
requisite subject matter, rather than his/her
specialty that determines his/her
qualification to testify [Casumpang v.
Cortejo, G.R. No. 171127 (2015)].
b. Examining an Expert Witness
Mode of Examination of Expert Witness
He may base his opinion on the basis of
hypothetical questions where the facts are
presented to him hypothetically, and on the
assumption that they are true, formulates his
opinion on this hypothesis [Herrera].
The lack of personal examination and interview
of the respondent, or any other person
diagnosed with personality disorder, does not
per se invalidate the testimonies of the doctors.
Neither do their findings automatically
constitute hearsay that would result in their
exclusion as evidence. Within their
acknowledged field of expertise, doctors can
diagnose the psychological make-up of a
person based on a number of factors culled
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from various sources [Camacho-Reyes v.
Reyes, G.R. No. 185286 (2010)].
How to Present an Expert Witness
1. Introduce and qualify the witness;
2. Let him give his factual testimony, if he has
knowledge of the facts;
3. Begin the hypothetical question by asking
him to assume certain facts as true;
4. Conclude the question, by first asking the
expert if he has an opinion on a certain
point
5. assuming that these facts are true and
secondly, asking him, after he has
answered affirmatively, to give his opinion
on the point;
6. After he has stated his opinion, ask him to
give his reasons.
Weight Given to Expert Testimony
Courts are not bound by the findings or
opinions of the expert. Their evidence is not
conclusive, but merely advisory.
How Weight May Be Determined
In determining the weight to be given to expert
testimony, the court may consider the
following:
1. Whether the opinion is based upon
sufficient facts or data;
2. Whether it is the product of reliable
principles and methods;
3. Whether the witness has applied the
principles and methods reliably to the facts
of the case; and
4. Such other factors as the court may deem
helpful to make such determination [Sec. 5,
Rule 133].
2. Opinion of Ordinary Witness
The opinion of an ordinary witness is
admissible:
1. If proper basis is given, and
2. Regarding:
a. Identity of a person about whom
he/she has adequate knowledge;
b. Handwriting with which he/she has
sufficient familiarity;
c. Mental sanity of a person with whom
he/she is sufficiently acquainted; and
d. Impressions of the
i. Emotion,
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ii. Behavior,
iii. Condition, or
iv. Appearance of a person [Sec. 53,
Rule 130].
a. Identity of a Person About Whom He
Has Adequate Knowledge
Statements of a witness as to identity are not
to be rejected because he is unable to describe
features of the person in question [Herrera].
Identification by voice is recognized by the
courts, especially in a case where it was
impossible to see the accused but the witness
has known the accused since their childhood
[Herrera, citing US v. Manabat].
b. Handwriting With Which He Has
Sufficient Familiarity
The ordinary witness must be acquainted with
the characteristics of the handwriting of a
person. He may only draw on the knowledge
which he already has, and which enables him
to recognize the handwriting.
Only experts are allowed to give conclusions
from the comparison of samples of handwriting
of a person whose handwriting he is not familiar
with [Herrera].
c. Mental Sanity of a Person With Whom
He Is Sufficiently Acquainted
These are allowed where the witness can
adequately describe the actions, looks or
symptoms of a person’s sanity or insanity
which is impossible for the court to determine
[Herrera].
d. Impressions of the Emotion,
Behavior, Condition or Appearance of a
Person
The rule recognizes instances when a witness
may be permitted to state his inferences that
are drawn from minute facts and details which
the witness cannot fully and properly describe
in court. Such expressions are expressed to
the countenance, the eye and the general
manner and bearing of the individual;
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appearance which are plainly enough
recognized by a person of good judgment, but
which he cannot otherwise communicate by an
expression of results in the shape of an opinion
[Herrera, citing US case Hardy v. Merill].
9. Character Evidence
Note: There are substantial changes in this part
under the 2019 Revised Rules.
Character distinguished from reputation
'Character' is what a man is, and 'reputation' is
what he is supposed to be in what people say
he is. 'Character' depends on attributes
possessed, and 'reputation' on attributes which
others believe one to possess. The former
signifies reality and the latter merely what is
accepted to be reality at present [Lim v. C.A.,
G.R. No. 91114 (1992)].
General Rule:
Evidence of a person’s character or a trait of
character is not admissible for the purpose of
proving action in conformity therewith on a
particular occasion [Sec. 54, Rule 130].
Exceptions:
1. Criminal cases [Sec. 54(a), Rule 130]
2. Civil case [Sec. 54(b), Rule 130]
3. In both civil and criminal cases [Sec. 54(c),
Rule 130]
a. Evidence of good character of witness is
not admissible until such character has
been impeached.
b. When the character or trait of character
is an essential element of a charge,
claim or defense.
1. Criminal Cases
1. Accused – May prove his/her good moral
character, which is pertinent to the moral
trait involved in the offense charged.
2. Prosecution – May not prove the bad
moral character of the accused, except in
rebuttal.
3. Offended Party – The character of the
offended party m ay be proved if it tends
to establish in any reasonable degree the
probability or improbability of the offense
charged [Sec. 54, Rule 130].
 FOR UP CANDIDATES ONLY
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Good Moral Character of Accused
The purpose of presenting evidence of good
moral character is to prove the improbability of
his doing the act charged. The accused may
prove his good moral character only if it is
pertinent to the moral trait involved in the
offense charged [Herrera]. However, this
opens the door to the prosecution who may
then present rebuttal evidence.
Bad moral character of accused in rebuttal
Unless and until the accused gives evidence of
his good moral character the prosecution may
not introduce evidence of his bad character
[Herrera, citing People v. Rabanes, G.R. No.
93709 (1992)].
Character evidence must be limited to the traits
and characteristics involved in the type of
offense charged. Thus:
1. On a charge of rape: character for chastity
2. On a charge of assault: character for
peace-ableness or violence
3. On a charge of embezzlement: character
for honesty [CSC v. Belagan, G.R. No.
132164 (2004)].
Proof of the bad character of the victim is
not admissible:
1. In a murder case: If the crime was
committed through treachery and evident
premeditation [People v. Soliman, G.R. No.
L-9723 (1957)]
2. In a rape case: If through violence and
intimidation [People v. Blance, G.R. No.
20063 (1923)]
Rape Shield Rule
In prosecution for rape, evidence of
complainant’s past sexual conduct, opinion
thereof or of his/her reputation shall not be
admitted unless, and only to the extent that the
court finds that such evidence is material and
relevant to the case [Sec. 6, R.A. 8505].
Sexual Abuse Shield Rule
The following evidence is not admissible in any
criminal proceeding involving alleged child
sexual abuse:
1. Evidence to prove that the alleged victim
engaged in other sexual behavior; and
2. Evidence offered to prove the sexual
predisposition of the alleged victim [Sec.
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30, Rule on Examination of a Child
Witness]
2. Civil Cases
Moral character is admissible only when
pertinent to the issue of character involved in
the case [Sec. 54(b), Rule 130].
3. Criminal and Civil Cases
Witness Moral Character
Evidence of the witness’ good character is not
admissible until such character has been
impeached.
How moral character is proved
In all cases in which evidence of character or a
trait of character of a person is admissible,
proof may be made by:
1. Testimony as to reputation; or
2. Testimony in the form of an opinion
On cross-examination, inquiry is allowable into
relevant specific instances of conduct.
In cases where the character or trait of
character is an essential element of a charge,
claim, or defense, proof may also be made of
specific instances of that person’s conduct
[Sec. 54(c), Rule 130].
G. Burden of Proof and
Presumptions
1. Burden of Proof and Burden of
Evidence
Burden of proof is the duty of a party to
present evidence on the facts in issue
necessary to establish his or her claim or
defense by the amount of evidence required by
law. Burden of proof never shifts [Sec. 1, Rule
131].
● In civil cases, the burden of proof is on the
party who would be defeated if no evidence
were given on either side, the plaintiff with
respect to his complaint, the defendant with
respect to his counterclaim, and the cross-
claimant, with respect to his cross-claim [2
Regalado 816, 2008 Ed.].
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● In criminal cases, the burden of proof rests experience as to what course human affairs
on the prosecution [Boac v. People, G.R. ordinarily take [University of Mindanao, Inc. v.
No. 180597 (2008)]. Bangko Sentral ng Pilipinas, G.R. No. 194964-
Burden of evidence is the duty of a party to 65 (2016)].
present evidence sufficient to establish or
rebut a fact in issue to establish a prima facie A presumption can rest only upon ascertained
case. Burden of evidence may shift from one facts. It cannot be based on other
party to the other in the course of the presumptions, assumptions, probabilities or
proceedings, depending on the exigencies of inferences [Francisco, 52].
the case [Sec. 1, Rule 131].
Presumptions are not allegations, nor do they
A party will have the burden of evidence only supply their absence. Presumptions are
if there is any factum probandum (whether conclusions. They do not apply when there are
evidentiary or otherwise) that the adverse party no facts or allegations to support them
has already established (whether by law, rule, [University of Mindanao, Inc. v. Bangko Sentral
or by virtue of evidence that he has presented) ng Pilipinas, G.R. No. 194964-65 (2016)].
that he (the potential proponent) has to
overcome. A party will not have any burden of
Presumption of Presumption of
evidence at all if the adverse party has not
Fact Law
established any factum probandum in the first
place [Prof. Avena]. Praesumptiones Praesumptiones
hominis [2 juris [2 Regalado
The burden of proof is generally determined Regalado 819, 2008 819, 2008 Ed.]
by the pleadings filed by the party; the burden Ed.]
of evidence is generally determined by the Those which the law
developments at the trial, or by the provisions Those which the requires to be
of the substantive law or procedural rules experience of drawn from the
which may relieve the party from presenting mankind has shown existence of
evidence on the fact alleged, i.e., to be valid, founded established facts in
presumptions, judicial notice and admissions [2 on general the absence of
Regalado 816-817, 2008 Ed.]. knowledge and contrary evidence;
In both civil and criminal cases, the burden of information; derived from the law
evidence lies with the party who asserts an essentially an itself rather from
affirmative allegation [2 Regalado 817, 2008 inference. common logic or
Ed.]. probability.
e.g. Inference of
Example: guilt upon discovery In the absence of a
In a case for collection of a sum of money, if of bloodied garment legal provision or
the defendant asserts that she has paid, then in possession of ruling, there is no
she has the burden of proving that she had, not accused. presumption of law.
on the creditor that she had not. While the
creditor had needed to prove the existence of e.g. Presumption of
a debt, the burden shifts to the debtor because innocence in favor
she alleged an affirmative defense, which of the accused,
admits the creditor’s allegation [Vitarich v. presumption of
Losin, G.R. No. 181560 (2010)]. negligence of a
common carrier.
2. Presumptions

Presumptions are inferences as to the

existence of a fact not actually known, arising
from its usual connection with another which is
known, or a conjecture based on past

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Conclusive Disputable Once a contract of lease is shown to exist

between the parties, the lessee cannot by any
proof, however strong, overturn the conclusive
Inferences which Satisfactory if presumption that the lessor has a valid title to
the law makes so uncontradicted, but or a better right of possession to the subject
peremptory that it may be premises than the lessee [Santos v. National
will not allow them contradicted and Statistics Office., G.R. No. 171129 (2011)].
to be overturned by overcome by other
any contrary proof evidence [Sec. 3, What a tenant is estopped from denying is the
however strong Rule 131]. title of his landlord at the time of the
[Datalift Movers v. commencement of the landlord-tenant relation.
Belgravia Realty, If the title asserted is one that is alleged to have
G.R. No. 144268 been acquired subsequent to the
(2006)]. commencement of that relation, the
presumption will not apply. Hence, the tenant
may show that the landlord's title has expired
or been conveyed to another or himself; and he
1. Conclusive Presumptions
is not estopped to deny a claim for rent, if he
has been ousted or evicted by title paramount
The technical definition of “conclusive
[Ermitaño v Paglas, G.R. No. 174436 (2013)].
presumption” is implied by way of contra-
distinction with that for the term “disputable
Sources of conclusive presumptions other
presumption” in Sec. 3 of Rule 131 of the Rules
than the Rules of Court:
of Court.
Law
i. The decree of registration and the
Thus, a conclusive presumption is a class of
certificate of title issued shall become
evidence which the law does not allow to be
incontrovertible, upon the expiration of
contradicted [2 Regalado 703, 2008 Ed.].
the one-year period within which any
person deprived of land or of any estate
Conclusive presumptions in the ROC [Sec.
or interest therein by such adjudication
2, Rule 131]:
or confirmation of title obtained by
A party is not permitted falsify a thing
actual fraud, to file in the proper court a
whenever:
petition for reopening and review of the
decree of registration [Sec. 32, P.D.
Deliberately Lead
1529].
1. By his or her own declaration, act or
ii. The child shall be considered legitimate
omission;
although the mother may have declared
2. He or she intentionally and deliberately led
against its legitimacy or may have been
another to believe a particular thing is
sentenced as an adulteress [Art. 167,
true;
FC]. Factum probans that the child was
3. To act upon such belief; and
conceived or born during the marriage
4. The litigation arises out of such
of its parents conclusively establishes
declaration act or omission
the factum probandum of the legitimate
status of that child, Art. 167 is saying
Tenant and Landlord
that any factum probans presented and
A tenant is not permitted to deny the title of his
offered to prove the truth of the latter
or her landlord at the time of the
declaration (of the mother) will be
commencement of the relation of landlord and
inadmissible in evidence.
tenant between them.
a. SC Issuances
These conclusive presumptions are based
upon the doctrine of estoppel in pais, see Arts.
2. Disputable Presumptions
1431-1439, Civil Code [2 Regalado 820, 2008
a. Person is innocent of crime or wrong;
Ed.]
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b. Unlawful act is done with an unlawful intent;
c. Person intends the ordinary consequences
of his or her voluntary act;
d. Person takes ordinary care of his or her
concerns;
e. Evidence willfully suppressed would be
adverse if produced;
f. Money paid by one to another was due to
the latter;
g. Thing delivered by one to another belonged
to the latter;
h. Obligation delivered up to the debtor has
been paid;
i. Prior rents or installments had been paid
when a receipt for the later ones is
produced;
j. A person found in possession of a thing
taken in the doing of a recent wrongful act is
the taker and doer of the whole act;
otherwise, that things which a person
possesses or exercises acts of ownership
over are owned by him or her;
k. Person in possession of an order on himself
or herself for the payment of the money, or
the delivery of anything, has paid the money
or delivered the thing accordingly;
l. Person acting in a public office was
regularly appointed or elected to it;
m. Official duty has been regularly performed;
n. A court, or judge acting as such, whether in
the Philippines or elsewhere, was acting in
the lawful exercise of jurisdiction;
o. All the matters within an issue raised in a
case were laid before the court and passed
upon by it; and in like manner that all
matters within an issue raised in a dispute
submitted for arbitration were laid before the
arbitrators and passed upon by them;
p. Private transactions have been fair and
regular;
q. Ordinary course of business has been
followed;
r. There was a sufficient consideration for a
contract;
s. Negotiable instrument was given or
indorsed for a sufficient consideration;
t. An indorsement of a negotiable instrument
was made before the instrument was
overdue and at the place where the
instrument is dated;
u. A writing is truly dated;
v. Letter duly directed and mailed was
received in the regular course of the mail;
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w. Presumptions concerning absence:
i. Ordinary but continued absence of:
1. 7 years, it being unknown WON the
absentee still lives, he or she is
considered dead for all purposes,
except for those of succession.
2. 10 years – the absentee shall be
considered dead for the purpose of
opening his succession; but if he
disappeared after the age of 75 years,
an absence of 5 years shall be
sufficient to open his or her
succession.
3. 4 consecutive years – the spouse
present may contract a subsequent
marriage if s/he has a well-founded
belief that the absent spouse is
already dead; but where there is
danger of death, an absence of only 2
years shall be sufficient for
remarriage.
a. Note: before marrying again, the
present spouse must institute
summary proceedings for
declaration of presumptive death
of spouse.
ii. Qualified absence – The following shall
be considered dead for all purposes
including the division of the estate
among the heirs.
1. A person on board a vessel lost
during a sea voyage, or an aircraft
which is missing, who has not
been heard of for 4 years since the
loss of the vessel or aircraft.
2. A member of the armed forces
who has taken part in armed
hostilities and has been missing
for 4 years.
3. A person who has been in danger
of death under other
circumstances and whose
existence has not been known for
4 years.
b. Acquiescence resulted from a belief that the
thing acquiesced in was conformable to the
law or fact.
i. “Acquiescence” – reluctant acceptance
without protest
c. Things have happened according to the
ordinary course of nature and the ordinary
habits of life.
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d. Persons acting as co-partners have entered l. A printed/published book, purporting to
into a contract of co-partnership; contain reports of cases adjudged in
e. A man and woman deporting themselves as tribunals of the country where the book is
husband and wife have entered into a lawful published, contains correct reports of such
contract of marriage; cases;
f. Property acquired by a man and a woman m. A trustee or other person whose duty it was
who are capacitated to marry each other to convey real property to a particular
and who live exclusively with each other as person has actually conveyed it to him when
husband and wife without the benefit of such presumption is necessary to perfect
marriage or under a void marriage, has the title of such person or his successor in
been obtained by their joint efforts, work or interest;
industry; n. Presumptions regarding survivorship:
g. In cases of cohabitation by a man and a (Applicable for all purposes except
woman who are not capacitated to marry succession)
each other and who have acquired property i. When 2 persons perish in the same
through their actual joint contribution of calamity
money, property or industry, such ii. It is not shown who died first; and
contributions and their corresponding iii. There are no particular circumstances
shares including joint deposits of money from which the order of death can be
and evidences of credit are equal; inferred
h. Presumptions governing children of women
who contracted another marriage within 300 The survivorship is determined from the
days after termination of her former probabilities resulting from the strength and the
marriage (in the absence of proof to the age of the sexes:
contrary): Situation Person Presumed to
Have Survived
When Child Was Presumption
Born
Both < 15 y/o The older
Before 180 days after Considered to have
the solemnization of been conceived
the subsequent during the former Both > 60 y/o The younger
marriage marriage, provided it
be born within 300
days after the One < 15 y/o, The one < 15
termination of the the other > 60 y/o
former marriage

After 180 days Considered to have

following the been conceived
Both > 15 and < 60 The male
celebration of the during the
subsequent marriage subsequent marriage, y/o, of different sexes
even though it be
born within the 300
days after the Both > 15 and <60 The older
termination of the y/o, of the same sex
former marriage.
One < 15 or > 60 y/o, The one between
and the other those ages
i. A thing once proved to exist continues as between those ages
long as is usual with things of the nature;
j. The law has been obeyed;
k. A printed/published book, purporting to be o. As between 2 or more persons called to
printed/published by public authority, was succeed each other: If there is a doubt as
so printed/published; to which of them died first, whoever alleges

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the death of one prior to the other, shall
prove the same.
iv. In the absence of proof, they shall be
considered to have died at the same
time [Sec. 3, Rule 131].
No presumption of legitimacy or
illegitimacy
There is no presumption of legitimacy or
illegitimacy of a child born after 300 days
following the dissolution of marriage or the
separation of spouses. Whoever alleges the
legitimacy or illegitimacy of such child must
prove his or her allegation [Sec. 4, Rule 131].
The adverse presumption of suppression of
evidence is not applicable when:
a. The suppression is not willful;
b. The evidence suppressed or withheld is
merely corroborative or cumulative;
c. The evidence is at the disposal of both
parties; and
d. The suppression is an exercise of a
privilege [Tarapen v. People, G.R. No.
173824 (2008)]
The presumption of regularity in the
performance of official duty obtains only when
there is no deviation from the regular
performance of duty. Where the official act in
question is irregular on its face, no presumption
of regularity can arise [People v. Casabuena,
G.R. No. 186455 (2014)].
When there is gross disregard of the
procedural safeguards set forth in Republic Act
No. 9165 (Comprehensive Dangerous Drugs
Act of 2002), serious uncertainty is generated
as to the identity of the seized items that the
prosecution presented in evidence. Such doubt
cannot be remedied by merely invoking the
presumption of regularity in the performance of
official duties [People v. Lagahit, G.R. No.
200877 (2014)]
3. Presumptions in Civil Actions and
Proceedings; Against an Accused in
Criminal Cases
Civil Actions and Proceedings
In all civil actions and proceedings not
otherwise provided for by the law or these
Rules, a presumption imposes on the party
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against whom it is directed the burden of going
forward with evidence to rebut or meet the
presumption.
If presumptions are inconsistent, the
presumption that is founded upon weightier
considerations of policy shall apply.
If considerations of policy are of equal weight,
neither presumption applies [Sec. 5, Rule 131].
Criminal Cases
If a presumed fact that established guilt, is an
element of the offense charged, or negates a
defense, the existence of the basic fact must
be proved beyond reasonable doubt and the
presumed fact follows from the basic fact
beyond reasonable doubt [Sec. 6, Rule 131].
H. Presentation of Evidence
1. Examination of Witnesses
Shall Be Done
1. In open court, and
2. Under oath or affirmation.
Answers shall be given orally, unless the
1. Witness is incapacitated to speak, or
2. Question calls for a different mode of
answer [Sec. 1, Rule 132].
What shall be recorded:
1. The entire proceedings of a trial or hearing;
2. The questions propounded to a witness and
his answers thereto;
3. The statements made by the judge or any of
the parties, counsel, or witnesses with
reference to the case.
By means of shorthand or stenotype or by other
means of recording found suitable by the court
[Sec. 2, Rule 132].
Transcript Deemed Prima Facie Correct
A transcript of the record of the proceedings
made by the official stenographer, stenotypist
or recorder and certified as correct by him shall
be deemed prima facie a correct statement of
such proceedings [Sec. 2, Rule 132].
Exclusion and Separation of Witnesses
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The court, motu proprio or upon motion, shall
order witnesses excluded so that they cannot
hear the testimony of other witnesses.
However, this rule does not authorize
exclusion of:
1. A party who is a natural person;
2. A duly designated representative of a
juridical entity which is a party to the case;
3. A person whose presence is essential to the
presentation of the party’s cause; or
4. A person authorized by a statute to be
present.
The court may also cause witnesses to be kept
separate and to be prevented from conversing
with one another, directly or through
intermediaries, until all shall have been
examined [Sec. 15].
a. Rights and Obligations of a Witness
Rights
1. To be protected from irrelevant, improper, or
insulting questions, and from harsh or
insulting demeanor;
2. Not to be detained longer than the interests
of justice require;
3. To only be examined as to matters pertinent
to the issue;
4. Not to give an answer which will tend to
subject him/her to a penalty for an offense
a. Unless: otherwise provided by law
Example of this right: Sec. 8, R.A. 1379
and other immunity statutes which grant
the witness immunity from criminal
prosecution for offenses admitted.
5. Not to give an answer which will tend to
degrade his/her reputation
a. Exceptions:
i. the answer is the very fact in issue;
ii. the answer is a fact from which the
fact in issue would be presumed
b. Exception to the exception: he/she must
answer to the fact of his/her previous
final conviction for an offense [Sec. 3,
Rule 132].
Obligation
A witness must answer questions, although
his/her answer may tend to establish a claim
against him/her [Sec. 3, Rule 132].
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One-Day Examination of Witness Rule
A witness has to be fully examined in one (1)
day only. It shall be strictly adhered to subject
to the courts' discretion during trial on whether
or not to extend the direct and/or cross-
examination for justifiable reasons [A.M. No.
03-1-09-SC].
b. Leading and Misleading Questions
Leading question: A question which suggests
to the witness the answer which the examining
party desires.
General Rule: Not allowed
Except:
1. On cross examination;
2. On preliminary matters;
3. When there is difficulty in getting direct and
intelligible answers from a witness who is
ignorant, or a child of tender years, or is of
feeble mind, or a deaf-mute;
4. Of an unwilling or hostile witness; or
5. Of a witness who is an adverse party or an
officer, director, or managing agent of a
public or private corporation or of a
partnership or association which is an
adverse party [Sec. 10, Rule 132].
Misleading question: One which assumes as
true a fact not yet testified to by the witness, or
contrary to that which he/she has previously
stated. It is not allowed [Sec. 10, Rule 132].
Illustration: Counsel asks the witness “You
testified that you and accused were in a car
bound for Baguio City. How fast were you
driving?”
This question is objectionable as misleading
where there was no previous testimony from
the witness that he was the one driving the car.
The question assumes a fact not yet in
evidence [Riano, 263, 2022 Ed.].
c. Impeachment of Witnesses
Adverse Party’s Witness
1. By contradictory evidence;
2. By evidence that his/her general reputation
for truth, honesty or integrity is bad;
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3. By evidence that he/she has made at other d. How the Witness Is Impeached By
times statements inconsistent with his Evidence of Inconsistent Statements
present testimony
But NOT by evidence of particular wrongful 1. The statements must be related to him/her,
acts, EXCEPT that it may be shown by the with the circumstances of the times and
examination of the witness, or the record of the places and the persons present, and
judgment, that he/she has been convicted of an 2. He/she must be asked whether he/she
offense [Sec. 11, Rule 132]. made such statements, and if so, allowed to
explain them.
By Evidence of Conviction of Crime 3. If the statements be in writing, they must be
shown to the witness before any question is
By evidence that he/she has been convicted by put to him/her concerning them [Sec. 14,
final judgment of a crime: Rule 132].
1. Punishable by a penalty in excess of one
year; or 2. Authentication and Proof of
2. Involving moral turpitude, regardless of Documents
penalty.
a. Meaning of Authentication
However, evidence of conviction is not
Proving that the objects and documents
admissible if the conviction has been subject
presented in evidence are genuine and what it
of an amnesty or annulment of the conviction
purports to be.
[Sec. 12, Rule 132].
Own Witness
b. Classes of Documents
Party May Not Impeach His Own Witness
Public Documents
EXCEPT with respect to
1. Written official acts or records of the official
1. An unwilling or hostile witness; or
acts of the sovereign authority, official
2. A witness who is an adverse party or an
bodies and tribunals, and public officers,
officer, director, or managing agent of a
whether of the Philippines or of a foreign
public or private corporation or of a
country
partnership or association which is an
2. Notarial documents (except last wills and
adverse party.
testaments)
3. Documents considered public documents
When Witness Considered Unwilling or
under treaties and conventions which are in
Hostile
force between the Philippines and the
Only if so declared by the court upon adequate
country of source
showing of his/her
Note: This is a new addition to the
1. adverse interest
original provision.
2. unjustified reluctance to testify, or
4. Public records, kept in the Philippines, of
3. having misled the party into calling him/her
private documents required by law to be
to the witness stand
entered therein [Sec. 19, Rule 132].
How impeached: The unwilling or hostile
A public document enjoys the presumption of
witness so declared, or the witness who is an
regularity. It is a prima facie evidence of the
adverse party, may be impeached by the party
truth of the facts stated therein and a
presenting him/her in all respects as if he/she
conclusive presumption of its existence and
had been called by the adverse party, except
due execution. To overcome this presumption,
by evidence of his bad character. He/she
there must be clear and convincing evidence
may also be impeached and cross-examined
[Chua v. Westmont Bank, G.R. No. 182650
by the adverse party, but such cross-
(2012)].
examination must only be on the subject matter
of his examination-in-chief [Sec. 13, Rule 132].
A public document is self-authenticating and
requires no further authentication in order to be
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presented as evidence in court [Patula v.
People, G.R. No. 164457 (2012)].
Private Documents
All other writings are private [Sec. 19, Rule
130].
A private document is any other writing, deed,
or instrument executed by a private person
without the intervention of a notary or other
person legally authorized by which some
disposition or agreement is proved or set forth
[Patula v. People, G.R. No. 164457 (2012)].
c. Authentication of a Private Writing
General Rule: Before any private document
offered as authentic is received in evidence, its
due execution and authenticity must be proved
[Sec. 20, Rule 132].
How to Prove Due Execution and
Authenticity
1. By anyone who saw the document executed
or written;
2. By evidence of the genuineness of the
signature or handwriting of the maker; or
3. By other evidence showing its due
execution and authenticity [Sec. 20, Rule
132].
Before a private document is admitted in
evidence, it must be authenticated either by:
1. The person who executed it,
2. The person before whom its execution was
acknowledged,
3. Any person who was present and saw it
executed, or
4. Who after its execution, saw it and
recognized the signatures, or
5. The person to whom the parties to the
instruments had previously confessed
execution thereof [Malayan Insurance v.
Phil. Nails and Wires Corp., G.R. No.
138084 (2002)].
If a private writing itself is inserted officially into
a public record, its record, its recordation, or its
incorporation into the public record becomes a
public document, but that does not make the
private writing itself a public document so as to
make it admissible without authentication
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[Republic v. Sandiganbayan, G.R. No. 188881
(2014)].
When Evidence of Authenticity of a Private
Writing Is Not Required
The requirement of authentication of a private
document is excused only in four instances,
specifically:
1. Ancient Document Rule - When the
document is an ancient one which is:
a. More than 30 years old;
b. Produced from a custody in which it
would naturally be found if genuine;
and
c. Unblemished by any alterations or
circumstances of suspicion [Sec. 21,
Rule 132].
2. When the genuineness and authenticity of
the actionable document have not been
specifically denied under oath by the
adverse party;
3. When the genuineness and authenticity of
the document have been admitted; or
4. When the document is not being offered as
genuine.
d. Public Documents as Evidence;
Proof of Official Record
Documents consisting of entries in public
records made in the performance of a duty by
a public officer are prima facie evidence of the
facts therein stated. All other public documents
are evidence, even against a third person, of
the fact which gave rise to their execution and
of the date of the latter [Sec. 23, Rule 132].
Proof of Official Record Referred to in Sec.
19(a), Rule 132
1. By an official publication thereof; or
2. By a copy of the document attested by the
officer having legal custody of the record, or
his/her deputy
a. If record is not kept in the Philippines:
accompany with a certificate that such
officer has the custody
i. If the foreign country is a contracting
party to a treaty or convention to which
the Philippines is also a party, or it is
considered a public document under
the treaty or convention: certificate or
its equivalent shall be in the form
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prescribed therein, subject to
reciprocity
ii. If not a contracting party: certificate
made by a secretary of the embassy
or legation, consul general, consul,
vice-consul, or consular agent, or any
officer in the foreign service of the
Philippines stationed in the country
where the record is kept
1. Must be authenticated by the seal
of his/her office.
REMEDIAL LAW
witness. Otherwise, the court may consider the
party’s documentary or object evidence waived
[Heirs of Pasag v. Sps. Parocha, G.R. No.
155483 (2007)].
Manner of Offer
All evidence must be offered orally [Sec. 35,
Rule 132].
Note: This is a revision under the 2019 Revised
Rules.

The certificate shall not be required when a
treaty or convention between a foreign country
and the Philippines has abolished the
requirement or has exempted the document
itself [Sec 24, Rule. 132].
The Court shall consider the evidence solely
for the purpose for which it is offered, not for
any other purpose [Spouses Ragudo v Fabella
Estate Tenants Association, Inc., G.R. No.
146823 (2005)].

Note: Substantial amendment to Sec 24, Rule b. When to Make an Objection

132
What to object to When to object

3. Offer and Objection Testimony of a Immediately as

witness for lack of soon as the witness
a. When to Make an Offer formal offer begins to testify
Kind of
When to offer
evidence Must be made as
A question
soon as the
At the time the witness propounded in the
Testimonial grounds become
is called to testify course of oral
reasonably
examination
After the presentation of apparent
Documentary
a party’s testimonial The grounds for objection must be
and Object
evidence specified in any case.
[Sec. 35, Rule 132]. [Sec. 36, Rule 132].
General Rule: The court shall consider no Objection to offer of evidence must be made
evidence which has not been formally offered. orally immediately after the offer is made [Sec.
The purpose for which the evidence is offered 35, Rule 132].
must be specified [Sec. 34, Rule 132].
Waiver of Objection
Exception: When there is failure to point out some defect,
Evidence not formally offered may be irregularity or wrong in the admission or
admissible when two essential conditions exclusion of evidence. Such failure may take
concur: various forms and may either be expressed or
1. The same must have been duly identified implied [Riano 353, 2016 Ed.].
by testimony duly recorded and,
2. The same must have been incorporated in Effect of waiver
the records of the case [Star Two v. Ko, Although hearsay evidence may be admitted
G.R. No. 185454 (2011)]. because of lack of objection, it is nonetheless
without probative value, unless the proponent
The party who terminated the presentation of can show that the evidence falls within the
evidence must make an oral offer of evidence exception to the hearsay evidence rule [Bayani
on the very day the party presented the last v. People, G.R. No. 155619 (2007)].
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c. Tender of Excluded Evidence
The procedure in Section 40 is known as the
offer of proof or tender of excluded evidence
and is made for purposes of appeal. If an
adverse judgment is eventually rendered
against the offeror, he may in his appeal assign
as error the rejection of the excluded evidence.
The appellate court will better understand and
appreciate the assignment of error if the
evidence involved is included in the record of
the case [Cruz-Arevalo v. Querubin-Layosa,
A.M. No. RTJ-06-2005 (2006)].
The SC had advised trial courts to allow the
rejected [documentary] evidence to be
attached to the record to enable the appellate
court to examine the same and determine
whether the exclusion of the same was proper
or not [Herrera, citing Banez v. C.A., G.R. No.
L-30351 (1974)].
If an exhibit sought to be presented in evidence
is rejected, the party producing it should ask
the courts permission to have the exhibit
attached to the record. Any evidence that a
party desires to submit for the consideration of
a higher court must be formally offered by him
otherwise it is excluded and rejected and
cannot even be taken cognizance of on appeal
[Catacutan v. People, G.R. No. 175991
(2011)].
Before tender of excluded evidence is made,
the evidence must have been formally offered
before the court. And before formal offer of
evidence is made, the evidence must have
been identified and presented before the court
[Yu v. C.A., G.R. No. 154115 (2005)].
I. Judicial Affidavit Rule (A.M.
No. 12-8-8-SC)
Rationale: To decongest the courts of cases
and to reduce delays in the disposition of
cases. The Rule is designed to expedite court
proceedings and primarily affects the manner
by which evidence is presented in court
particularly with regard to the taking of the
testimony of a witness [Lara’s Gift and Decors
Inc v. PNB General Insurers Co. Inc, G.R. Nos.
230429-30 (2018)].
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A. Scope
Where Applicable
Applies to all actions and proceedings, and
incidents requiring the reception of evidence
before:
1. Courts (but not to small claims cases)
2. Investigating officers and bodies authorized
by the SC to receive evidence, including the
IBP
3. Quasi-judicial bodies, whose rules of
procedure are subject to disapproval of the
Supreme Court, insofar as their existing
rules of procedure contravene the
provisions of this Rule [Sec. 1].
B. Submission in lieu of Direct
Testimony
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, shall be marked and
attached to the judicial affidavits.
Should a party or a witness desire to keep the
original document or object evidence in his
possession, he may, after the same has been
identified, marked as exhibit, and
authenticated, warrant in his judicial affidavit
that the copy or reproduction attached to such
affidavit is a faithful copy or reproduction of that
original. In addition, the party or witness shall
bring the original document or object evidence
for comparison during the preliminary
conference with the attached copy,
reproduction, or pictures, failing which the latter
shall not be admitted. This is without prejudice
to the introduction of secondary evidence in
place of the original when allowed by existing
rules [Sec. 2].
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C. Contents
1. Shall be prepared in the language known
to the witness and, if not in English or
Filipino, accompanied by a translation in
English or Filipino [Sec. 3].
2. The name, age, residence or business
address, and occupation of the witness.
3. The name and address of the lawyer who
conducts or supervises the examination of
the witness and the place where the
examination is being held.
4. A statement that the witness is answering
the questions asked of him, fully conscious
that he does so under oath, and that he
may face criminal liability for false
testimony or perjury.
5. Questions asked of the witness and his
corresponding answers, consecutively
numbered, that:
a. Show the circumstances under which
the witness acquired the facts upon
which he testifies
b. Elicit from him those facts which are
relevant to the issues that the case
presents; and
c. Identify the attached documentary and
object evidence and establish their
authenticity in accordance with the
Rules of Court.
6. The signature of the witness over his
printed name.
7. A jurat with the signature of the notary
public who administers the oath or an
officer who is authorized by law to
administer the same [Sec. 3].
8. A sworn attestation at the end, executed by
the lawyer who conducted or supervised
the examination of the witness, to the effect
that:
a. He faithfully recorded or caused to be
recorded the questions he asked and
the corresponding answers that the
witness gave; and
b. Neither he nor any other person then
present or assisting him coached the
witness regarding the latter's answers.
A false attestation shall subject the lawyer
mentioned to disciplinary action, including
disbarment [Sec. 4].
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D. Offer and Objection
Offer of and Objections to Testimony in
Judicial Affidavit
1. The party presenting the judicial affidavit of
his witness in place of direct testimony shall
state the purpose of such testimony at the
start of the presentation of the witness.
2. The adverse party may move to disqualify
the witness or to strike out his affidavit or
any of the answers found in it on ground of
inadmissibility.
3. The court shall promptly rule on the motion
and, if granted, shall cause the marking of
any excluded answer by placing it in
brackets under the initials of an authorized
court personnel, without prejudice to a
tender of excluded evidence under Section
40 of Rule 132 of the Rules of Court [Sec.
6].
Examination of the Witness on His Judicial
Affidavit
1. The adverse party shall have the right to
cross-examine the witness on his judicial
affidavit and on the exhibits attached to the
same.
2. The party who presents the witness may
also examine him as on re-direct.
3. In every case, the court shall take active
part in examining the witness to determine
his credibility as well as the truth of his
testimony and to elicit the answers that it
needs for resolving the issues [Sec. 7].
Oral Offer of and Objections to Exhibits
1. Upon the termination of the testimony of his
last witness, a party shall immediately make
an oral offer of evidence of his documentary
or object exhibits, piece by piece, in their
chronological order, stating the purpose or
purposes for which he offers the particular
exhibit.
2. After each piece of exhibit is offered, the
adverse party shall state the legal ground
for his objection, if any, to its admission, and
the court shall immediately make its ruling
respecting that exhibit.
3. Since the documentary or object exhibits
form part of the judicial affidavits that
describe and authenticate them, it is
sufficient that such exhibits are simply cited
by their markings during the offers, the
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objections, and the rulings, dispensing with Non-compliant
the description of each exhibit [Sec. 8] Consequence
behavior

E. Application in Criminal Cases Deemed to have waived

their submission
This Judicial Affidavit Rule shall apply to all
Note: Court may allow,
criminal actions: only once late
1. Where the maximum of the imposable submission, provided
penalty does not exceed six years; Party’s failure
1. the delay (a) is for a
2. Where the accused agrees to the use of to submit
valid reason, (b)
judicial affidavits, irrespective of the penalty would not prejudice
involved; or the opposing party
3. With respect to the civil aspect of the and
actions, whatever the penalties involved are 2. the defaulting party
[Sec. 9]. pays a fine.

Procedure Witness’ failure

1. The prosecution shall submit the judicial to appear at the Affidavit shall not be
affidavits of its witnesses not later than five scheduled considered by the court
days before the pre-trial, serving copies ·of hearing
the same upon the accused.
2. The complainant or public prosecutor shall Deemed to have waived
attach to the affidavits such documentary or Counsel’s his client’s right to cross-
object evidence as he may have, marking failure to appear examine the witnesses
them as Exhibits A, B, C, and so on. there present
3. No further judicial affidavit, documentary, or
object evidence shall be admitted at the Judicial affidavit cannot
trial. be admitted as evidence
4. If the accused desires to be heard on his
The court may, however,
defense after receipt of the judicial affidavits
allow only once the
of the prosecution, he shall have the option subsequent submission
to submit his judicial affidavit as well as of the compliant
those of his witnesses to the court within ten Non-compliance
replacement affidavits
days from receipt of such affidavits and with content
before the hearing or trial
serve a copy of each on the public and and attestation
provided
private prosecutor, including his requirements
1. the delay (a) is for a
documentary and object evidence valid reason, (b)
previously marked as Exhibits 1, 2, 3, and would not prejudice
so on. These affidavits shall serve as direct the opposing party
testimonies of the accused and his and
witnesses when they appear before the 2. the defaulting party
court to testify [Sec. 9]. pays a fine.
[Sec. 10].
F. Effect of non-compliance
Issuance of Subpoena
If the government employee or official, or the
requested witness, who is neither the witness
of the adverse party nor a hostile witness,
unjustifiably declines to execute a judicial
affidavit or refuses without just cause to make
the relevant books, documents, or other things
under his control available for copying,
authentication, and eventual production in
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court, the requesting party may avail himself of
the issuance of a subpoena ad testificandum or
duces tecum under Rule 21 of the Rules of
Court. The rules governing the issuance of a
subpoena to the witness in this case shall be
the same as when taking his deposition except
that the taking of a judicial affidavit shall be
understood to be ex parte [Sec. 5].
Adverse party witnesses and hostile witnesses
are excluded since they are not covered by
Sec. 5 [Tam v. China Banking Corporation,
G.R. No. 214054 (2015)].
There is nothing in the provisions of the Judicial
Affidavit Rule, which prohibits a defendant from
filing a demurrer to evidence, if he truly
believes that the evidence adduced by the
plaintiff is insufficient [Lagon v. Velasco, G.R.
No. 208424 (2018)].
The provisions of the Rules of Court and other
rules of procedure in the investigative or quasi-
judicial bodies covered by this rule are
repealed or modified insofar as these are
inconsistent with the provisions of this Rule
[Sec. 11].
G. Weight and Sufficiency of
Evidence (Rule 133)
A. Quantum of Evidence
Proof Beyond Reasonable Doubt
In a criminal case, the accused is entitled to an
acquittal, unless his or her guilt is shown
beyond reasonable doubt. Proof beyond
reasonable doubt does not mean such a
degree of proof as, excluding possibility of
error, produces absolute certainty. Moral
certainty only is required, or that degree of
proof which produces conviction in an
unprejudiced mind [Sec. 2, Rule 133].
The burden is on the prosecution to prove guilt
beyond reasonable doubt, NOT on the
accused to prove his/her innocence [Boac v
People, G.R. No. 180597 (2008)].
The prosecution must not rely on the weakness
of the evidence of the defense [Ubales v
People, G.R. No. 175692 (2008); People v.
Hu, G.R. No. 182232 (2008)].
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Preponderance of Evidence
Applicable quantum of evidence in civil cases
[Sec. 1, Rule 133].
Means that the evidence adduced by one side
is, as a whole, superior to or has greater weight
than that of the other [Habagat Grill v. DMC-
Urban Property Developer, Inc., G.R. No.
155110 (2005); Bank of the Philippine Islands
v. Reyes, G.R. No. 157177 (2008)].
In determining preponderance of evidence, the
court may consider:
1. All the facts and circumstances of the
case;
2. The witnesses’ manner of testifying, their
intelligence, their means and opportunity
of knowing the facts to which they testify,
the nature of the facts to which they testify,
the probability or improbability of their
testimony, their interest or want of interest,
and also their personal credibility so far as
the same may legitimately appear upon the
trial;
3. Number of witnesses (although
preponderance is not necessarily with the
greater number) [Sec. 1, Rule 133].
Substantial Evidence
Degree of evidence required in cases filed
before administrative or quasi-judicial
bodies.
It is the amount of relevant evidence which a
reasonable mind might accept as adequate to
justify a conclusion [Sec. 6, Rule 133].
Also applies to petitions under the Rule on the
Writ of Amparo [Sec. 17, Rule on the Writ of
Amparo] and the Rule on the Writ of Habeas
data [Sec. 16, Rule on the Writ of Habeas
data].
Substantial Evidence Rule
Factual findings, especially when affirmed by
the Court of Appeals, are accorded not only
great respect but also finality, and are deemed
binding upon this Court so long as they are
supported by substantial evidence [Tan
Brothers Corp. v. Escudero, G.R. No. 188711
(2013)].
 FOR UP CANDIDATES ONLY
EVIDENCE
Clear and Convincing Evidence
Clear and convincing evidence is more than
mere preponderance, but not to the extent
of such certainty as is required beyond
reasonable doubt as in criminal cases
[Manalo v. Roldan-Confesor, G.R. No. 102358
(1992)].
The standard of proof required in granting or
denying bail in extradition cases is “clear and
convincing evidence” that the potential
extraditee is not a flight risk and will abide with
all the orders and process of the extradition
court [Government of Hongkong Special
Administrative Region v. Olalia, Jr., G.R. No.
153675 (2007)].
It must be added that the defenses of denial
and improper motive can only prosper when
substantiated by clear and convincing
evidence [People v. Colentava, G.R. No.
190348 (2015)].
It is used for overturning disputable
presumptions, such as the presumption of
regularity in the performance of official duties
[Portuguez v. People, G.R. No. 194499 (2015)]
or the existence of a valuable consideration
[Tolentino v. Sps. Jerera, G.R. No. 179874
(2015)].
Note however: The addressee's “direct
denial” of receipt of mail alleged to have been
mailed to it defeats the presumption in Sec.
3(v), Rule 131 and shifts the burden upon the
party favored by the presumption to prove that
the mailed letter was indeed received by the
addressee [Commissioner of Internal Revenue
v. Metro Star, G.R. No. 185371 (2010)].
It is also the standard of proof for invoking the
justifying circumstance of self-defense for the
defense and proving the aggravating
circumstance of treachery for the prosecution
[People v. C.A.sas, G.R. No. 212565 (2015)].
The former is because having admitted the
killing requires the accused to rely on the
strength of his own evidence, not on the
weakness of the Prosecution’s, which, even if
it were weak, could not be disbelieved in view
of his admission [People v. Mediado, G.R. No.
169871 (2011)].
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B. Power to Stop Further
Evidence
The court may stop the introduction of further
testimony upon any particular point when the
evidence upon it is already so full that more
witnesses to the same point cannot be
reasonably expected to be additionally
persuasive. This power shall be exercised with
caution [Sec. 7, Rule 133].
[Sec. 7, Rule 133] grants the trial court the
authority and discretion to stop further
testimonial evidence on the ground that
additional corroborative testimony has no
more persuasive value as the evidence on
that particular point is already so full [Go v.
Looyuko, G.R. No. 147923 (2007)].
When evidence is merely cumulative
It need not be overemphasized that the
foregoing factual circumstances only; serves to
underscore the immutable fact that the
depositions proposed to be taken from the five
U.S. based witnesses would be merely
corroborative or cumulative in nature and in
denying respondent's motion to take them, the
trial court was but exercising its judgment on
what it perceived to be a superfluous
exercise on the belief that the introduction
thereof will not reasonably add to the
persuasiveness of the evidence already on
record [People v. Webb, G.R. No. 132577
(1999)].
C. Evidence on Motion
When a motion is based on facts not appearing
of record, the court may hear the matter on
affidavits or depositions presented by the
respective parties, but the court may direct that
the matter be heard wholly or partly on oral
testimony or depositions [Sec. 8, Rule 133].
But respondent judge claims that petitioner has
not proved his minority. This is inaccurate. In
his motion for bail, petitioner alleged that he
was a minor of 16 and this averment was never
challenged by the prosecution. Subsequently,
in his memorandum in support of the
motion for bail, petitioner attached a copy
of his birth certificate. And finally, after
 FOR UP CANDIDATES ONLY
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respondent Judge had denied the motion for
bail, petitioner filed a motion for
reconsideration, attaching thereto a certified
true copy of his birth certificate. Respondents
Judge however refused to take cognizance of
petitioner's unchallenged minority allegedly
because the certificate of birth was not offered
in evidence. This was error because evidence
of petitioner's minority was already a part of the
record of the case. It was properly filed in
support of a motion. It would be a needless
formality to offer it in evidence. Respondent
Judge therefore acted with grave abuse of
discretion in disregarding it [Bravo Jr. v. Borja,
G.R. No. L-65228 (1985)].
When inapplicable
[W]hile the court may rule upon motions solely
on the basis of affidavits and counter-affidavits,
if the affidavits contradict each other on
matters of fact, the court can have no basis
to make its findings of facts and the prudent
course is to subject the affiants to cross-
examination so that the court can decide whom
to believe [People v. Monteiro, G.R. No. 49454
(1990)].
H. Rules on Electronic Evidence
(A.M. No. 01-7-01-SC)
Scope
General Rule: The Rules on Electronic
Evidence (A.M. No. 01-7-01-SC) shall apply
whenever an electronic document or electronic
data message is offered or used in evidence.
Exception: When otherwise provided [Sec. 1,
Rule 1, Rules on Electronic Evidence].
Cases covered
The Rules apply to all civil actions and
proceedings, as well as quasi-judicial and
administrative cases [Sec. 2, Rule 1, Rules on
Electronic Evidence].
However, according to People v. Enojas [G.R.
No. 182835 (2010)], the Rules may also apply
to criminal cases.
A. Meaning of Electronic
Evidence; Electronic Data
Message
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Electronic evidence — Evidence, the use of
which is sanctioned by existing rules of
evidence, in ascertaining in a judicial
proceeding, the truth respecting a matter of
fact, which evidence is received, recorded,
transmitted, stored, processed, retrieved or
produced electronically [Sec. 3(u), Rule 1, IRR
of Cybercrime Prevention Act of 2012].
Electronic data message — Information
generated, sent, received or stored by
electronic, optical or similar means [Sec. 1(g),
Rule 2, Rules on Electronic Evidence].
Electronic document—information or the
representation of information, data, figures,
symbols or other modes of written expression,
described or however represented, by which a
right is established or an obligation
extinguished, or by which a fact may be proved
and affirmed, which is received, recorded,
transmitted, stored, processed, retrieved or
produced electronically. It includes digitally
signed documents and any print- out or output,
readable by sight or other means, which
accurately reflects the electronic data message
or electronic document. For purposes of these
Rules, the term "electronic document" may be
used interchangeably with "electronic data
message" [Sec. 1(h), Rule 2, Rules on
Electronic Evidence].
Whenever a rule of evidence refers to the term
writing, document, record, instrument,
memorandum or any other form of writing, such
term shall be deemed to include an electronic
document as defined in these Rules [Sec. 1,
Rule 3, Rules on Electronic Evidence].
Electronic signature — Any distinctive mark,
characteristic and/or sound in electronic form,
representing the identity of a person and
attached to or logically associated with the
electronic data message or electronic
document or any methodology or procedure
employed or adopted by a person and
executed or adopted by such person with the
intention of authenticating, signing or
approving an electronic data message or
electronic document. For purposes of these
Rules, an electronic signature includes digital
signatures [Sec. 1(j), Rule 2, Rules on
Electronic Evidence].
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Digital signature — An electronic signature
consisting of a transformation of an electronic
document or an electronic data message using
an asymmetric or public cryptosystem such
that a person having the initial untransformed
electronic document and the signer's public key
can accurately determine:
1. Whether the transformation was created
using the private key that corresponds to
the signer's public key; and
2. Whether the initial electronic document
had been altered after the transformation
was made [Sec. 1(h), Rule 2, Rules on
Electronic Evidence].
Ephemeral electronic communication —
Telephone conversations, text messages,
chatroom sessions, streaming audio,
streaming video, and other electronic forms of
communication the evidence of which is not
recorded or retained [Sec. 1(k), Rule 2, Rules
on Electronic Evidence].
B. Probative Value of Electronic
Documents or Evidentiary
Weight; Method of Proof
Factors that may be considered in assessing
evidentiary weight:
1. The reliability of the manner or method in
which it was generated, stored or
communicated, including but not limited to
input and output procedures, controls, tests
and checks for accuracy and reliability of the
electronic data message or document, in
the light of all the circumstances as well as
any relevant agreement;
2. The reliability of the manner in which its
originator was identified;
3. The integrity of the information and
communication system in which it is
recorded or stored, including but not limited
to the hardware and computer programs or
software used as well as programming
errors;
4. The familiarity of the witness or the
person who made the entry with the
communication and information system;
5. The nature and quality of the information
which went into the communication and
information system upon which the
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electronic data message or electronic
document was based; or
6. Other factors which the court may consider
as affecting the accuracy or integrity of the
electronic document or electronic data
message [Rule 1, Sec 7, Rules on
Electronic Evidence].
Method of Proof
All matters relating to the admissibility and
evidentiary weight may be established by an
affidavit:
1. Stating facts of direct personal knowledge of
the affiant or facts based on authentic
records; and
2. Affirmatively showing the competence of the
affiant to testify on the matters contained
therein [Sec. 1, Rule 9, REE].
The affiant shall be made to affirm the contents
of the affidavit in open court and may be cross-
examined as a matter of right [Sec. 2, Rule 9,
REE].
C. Authentication of Electronic
Documents and Electronic
Signatures
Burden of Proof
The person seeking to introduce an electronic
document in any legal proceeding has the
burden of proving its authenticity in the manner
provided in this Rule [Sec. 1, Rule 5, REE].
Manner of Authentication of Private
Electronic Document Offered as Authentic
1. By evidence that it had been digitally
signed by the person purported to have
signed the same;
2. By evidence that other appropriate
security procedures or devices as may
be authorized by the Supreme Court or by
law for authentication of electronic
documents were applied to the document;
or
3. By other evidence showing its integrity
and reliability to the satisfaction of the
judge [Sec. 2, Rule 5, REE]
Proof of Electronically Notarized Document
A document electronically notarized in
accordance with the rules promulgated by the
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Supreme Court shall be considered as a public
document and proved as a notarial document
under the Rules of Court [Sec. 3, Rule 5, REE].
Manner of Authentication of Electronic
Signature
1. By evidence that a method or process was
utilized to establish a digital signature and
verify the same;
2. By any other means provided by law; or
3. By any other means satisfactory to the
judge as establishing the genuineness of
the electronic signature [Sec. 2, Rule 6,
REE].
D. Electronic Documents and
Hearsay Rule
General Rule: Hearsay rule does not apply to:
1. A memorandum, report, record or data
compilation of acts, events, conditions,
opinions, or diagnoses
2. Made by electronic, optical or other similar
means
3. At or near the time of or from transmission
or supply of information
4. By a person with knowledge thereof
5. Kept in the regular course or conduct of a
business activity and
6. Such was the regular practice to make the
memorandum, report, record, or data
compilation by electronic, optical or similar
means and
7. Shown by the testimony of the custodian or
other qualified witnesses [Sec. 1, Rule 8,
REE].
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Exception: The presumption may be
overcome by evidence of the untrustworthiness
of the source of information or the method or
circumstances of the preparation, transmission
or storage thereof [Sec. 2, Rule 8, REE].
Audio, Photographic, Video and Ephemeral
evidence
Audio, Photographic and Video Evidence of
Events, Acts or Transactions
a. Must be shown, presented or displayed to
the court; and
b. Shall be identified, explained or
authenticated by the person who made the
recording or by some other person
competent to testify on the accuracy thereof
[Sec. 1, Rule 11, REE].
Ephemeral Electronic Communications
1. Proven by the testimony of:
a. A person who was a party to the same;
or
b. Has personal knowledge thereof.
2. In the absence or unavailability of such
witnesses, other competent evidence may
be admitted.
Recording of the Telephone Conversation
or Ephemeral Electronic Communication
Same as audio, photo and video evidence.
If recorded or embodied in an electronic
document, provisions of Rule 5
(Authentication of electronic documents) shall
apply [Sec. 2, Rule 11, REE].
 FOR UP CANDIDATES ONLY

LEGAL ETHICS
LEGAL AND JUDICIAL
ETHICS WITH PRACTICAL
EXERCISES

024998REM
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LEGAL ETHICS AND PRACTICAL EXERCISES
I. LEGAL ETHICS
A. Practice Of Law
1. Basic Concepts
a. Definition of the Practice of Law
The practice of law is any activity, in or out of
court, which requires the application of law,
legal procedure, knowledge, training and
experience. It is to give notice or render any
kind of service, which device or service
requires the use in any degree of legal
knowledge or skill [Cayetano v. Monsod, G.R.
No. 100113 (1991)].
Factors considered in determining whether
there is practice of law [Justice Padilla,
dissenting (Cayetano v. Monsod)]:
1. Habituality – customarily or habitually
holding one's self to the public as a lawyer
2. Application of law, legal principles,
practice or procedure – calls for legal
knowledge, training and experience;
3. Compensation – one’s professional
services are available to the public for
compensation as a service for his livelihood
or in consideration of his said services; and
4. Attorney-client relationship
The test is the activity, NOT who/what he or
she is.
When lawyers teach law, they are considered
engaged in the practice of law. Their actions as
law professors must be measured against the
same canons of professional responsibility.
[Re: Letter of the UP Law Faculty: “Restoring
Integrity: A statement by the Faculty of the UP
College of Law on the allegations of plagiarism
and misrepresentation in the SC”, A.M. No. 10-
10-4-SC (2011)].
b. Practice of Law as a Privilege, Not a
Right
The right to practice law is not a natural or
constitutional right but is a privilege. It is
limited to persons of good moral character with
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LEGAL AND JUDICIAL ETHICS
special qualifications duly ascertained and
certified. The exercise of this privilege
presupposes possession of integrity, legal
knowledge, educational attainment, and even
public trust since a lawyer is an officer of the
court. A bar candidate who is morally unfit
cannot practice law even if he passes the bar
examinations [Aguirre v. Rana, B.M. No. 1036
(2003)].
Respondent falsely used his brother’s name,
identity, and school records to gain admission
to the Bar. The real "Patrick A. Caronan" never
took the Bar Examinations. The Court upheld
the IBP’s recommendation striking off the
name “Patrick A. Caronan" from the Roll of
Attorneys. It is possible that respondent may
later on complete his college education and
earn a law degree under his real name.
However, his false assumption of his brother's
name, identity, and educational records
renders him unfit for admission to the Bar. The
practice of law, after all, is not a natural,
absolute or constitutional right to be
granted to everyone who demands it.
Rather, it is a privilege limited to citizens of
good moral character [Caronan v. Caronan,
A.C No. 11316 (2016)].
c. Law as a Profession, Not a Business
or Trade
Lawyering is not a business; it is a profession
in which duty to public service, not money,
is the primary consideration. The practice of
law is a noble calling in which emolument is a
byproduct, and the highest eminence may be
attained without making much money [Burbe v.
Magulta, A. C. No. 99-634 (2002)].
2. Qualification for Admission to the
Bar (Bar Matter No. 1153)
Section 2, Rule 138. Requirements for all
applicants for admission to the bar. – Every
applicant for admission as a member of the bar must
be a citizen of the Philippines, at least twenty-one
years of age, of good moral character, and a
resident of the Philippines; and must produce before
the Supreme Court satisfactory evidence of good
moral character; and that no charges against him,
involving moral turpitude, have been filed or are
pending in any court in the Philippines.
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LEGAL ETHICS AND PRACTICAL EXERCISES
Requisites for admission to the bar:
a. Citizenship;
b. Residence
c. Age (at least 21 years old)
d. Good moral character and no charges
involving moral turpitude;
e. Legal education (pre-law and law proper);
f. Pass the bar examinations;
g. Take the lawyer’s oath; and
h. Sign the roll of attorneys.
Legal education
Pre-law
Section 6, Rule 138
Applicant must present a certificate that he or she
had pursued and satisfactorily completed in an
authorized and recognized university or college, the
course of study prescribed therein for a bachelor's
degree in arts or sciences.
• The university or college must require for
admission the completion of a 4-year high
school course.
Law Proper
Section 5, Rule 138
Must satisfactorily show that they completed all the
prescribed courses for a degree of Bachelor of Laws
(or its equivalent)
• In a law school or university recognized by the
government or the proper authority in the
foreign jurisdiction where the degree has been
granted
A Filipino citizen who graduated from a foreign
law school must submit the following
certifications:
a. Completion of all courses leading to the
degree of Bachelor of Laws or its equivalent
degree;
b. Recognition or accreditation of the law
school by the proper authority; and
c. Completion of all the fourth year subjects in
the Bachelor of Laws academic program in
a law school duly recognized by the
Philippine Government.
Prescribed courses for a Bachelor of Laws
degree:
a. Civil law
b. Commercial law
c. Remedial law
d. Criminal law
e. Public and private international law
f. Political law
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g. Labor and social legislation
h. Medical jurisprudence
i. Taxation
j. Legal ethics
Legal Education Board
Under R.A. No. 7662 (Legal Education Reform
Act of 1993), the Legal Education Board (LEB)
was created to uplift the standards of legal
education by undertaking reforms in the legal
education system, proper selection of law
students, maintaining quality among law
schools, and requiring legal apprenticeship
and, continuing legal education.
In 2016, the LEB promulgated Memorandum
Order No. 7, which required the Philippine Law
School Admission Test (PhilSAT) as a
prerequisite for admission to law school.
However, the SC declared the said
Memorandum as unconstitutional as it “usurps
the right and duty of the law school to
determine for itself the criteria for the
admission of students and thereafter, to apply
such criteria on a case-to-case basis.”
[Pimentel v. Legal Education Board, G.R. Nos.
230642 & 242954 (2019)]
The following powers of the LEB were also
declared unconstitutional:
• The authority over continuing legal
education;
• The authority over increasing awareness
among members of the legal profession of
the needs of the poor, deprived and
oppressed sectors of society;
• The authority to establish a law practice
internship as a requirement for taking the
Bar;
• The authority to adopt a system of
mandatory continuing legal education;
• The act and practice of excluding,
restricting, and qualifying admissions to law
schools;
• The act and practice of dictating the
qualifications and classification of faculty
members and deans;
• The act and practice of dictating the policies
on the establishment of legal apprenticeship
and legal internship programs.
 FOR UP CANDIDATES ONLY
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3. Continuing Requirements for
Membership in the Bar
a. Good Moral Character
This requirement is not only a condition
precedent to admission to the practice of
law, its continued possession is also
essential for remaining in the practice of
law. [In the Matter of the Disqualification of Bar
Examinee Haron S. Meling In The 2002 Bar
Examinations and For Disciplinary Action As
Member of The Philippine Shari’a Bar, B.M.
No. 1154 (2004)].
The requirement of good moral character must
of necessity be more stringent than the norm of
conduct expected from members of the general
public. [In re: Argosino, A.M. No. 712 (1997)].
b. Citizenship; Reacquisition of the
Privilege to Practice Law in the
Philippines
The practice of all professions in the
Philippines shall be limited to Filipino citizens
save in cases prescribed by law [Sec. 14, Art.
XII, 1987 Constitution].
Ratio: Citizenship ensures allegiance to the
Republic and its laws.
In In re: Petition to re-acquire the privilege to
practice law in the Philippines of Muneses, a
Filipino lawyer who becomes a citizen of
another country and later re-acquires his
Philippine citizenship under R.A. No. 9225,
remains to be a member of the Philippine Bar.
However, the right to resume the practice of
law is not automatic.
The Office of the Bar Confidant required
Muneses to submit the original or certified true
copies of the following documents in relation to
his petition:
1. Petition for Re-Acquisition of Philippine
Citizenship;
2. Order (for Re-Acquisition of Philippine
citizenship);
3. Oath of Allegiance to the Republic of the
Philippines;
4. Identification Certificate issued by the
Bureau of Immigration;
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LEGAL AND JUDICIAL ETHICS
5. Certificate of Good Standing issued by the
IBP;
6. Certification from the IBP indicating updated
payments of annual membership dues;
7. Proof of payment of professional tax; and
8. Certificate of compliance issued by the
MCLE office.
Before a lawyer who reacquires Filipino
citizenship pursuant to R.A. No. 9225 can
resume his law practice, he must first secure
from this Court the authority to do so,
conditioned on:
1. The updating and payment in full of the
annual membership dues in the IBP;
2. The payment of professional tax;
3. The completion of at least 36 credit hours of
mandatory continuing legal education; this
is especially significant to refresh the
applicant/petitioner’s knowledge of
Philippine laws and update him of legal
developments; and
4. The retaking of the lawyer’s oath which will
not only remind him of his duties and
responsibilities as a lawyer and as an officer
of the Court, but also renew his pledge to
maintain allegiance to the Republic of the
Philippines.
c. Payment of IBP Annual Membership
Fee
d. Payment of Annual Professional Tax
e. Completion of Mandatory Continuing
Legal Education (MCLE) Every Three
Years
4. Appearance of Non-Lawyers
General Rule: Only members of the bar can
appear and handle cases in court.
Exceptions:
• Article 222 of the Labor Code of the
Philippines allows non-lawyers to appear
before the National Labor Relations
Commission (NLRC) or any Labor Arbiter if
they represent themselves or if they
represent their organization or members
thereof.
• During the arraignment, the accused must
be represented by a lawyer but during trial
 FOR UP CANDIDATES ONLY
LEGAL ETHICS AND PRACTICAL EXERCISES LEGAL AND JUDICIAL ETHICS
the accused may defend himself personally.
Level 1 Certification Level 2 Certification
This does not constitute unauthorized
practice of law but this is an exercise of a Practice areas for law student practitioners
constitutional right [Cayetano v. Monsod,
supra] Subject to the Subject to the
• If the accused knowingly engaged the supervision and supervision and
services of a non-lawyer, he is bound the approval of a approval of a
actions of the non-lawyer. supervising lawyer, supervising lawyer,
• Non-lawyers may appear before the first ● Interview ● Perform all
level courts. prospective activities under
• Non-lawyers may appear in administrative clients; Level 1
and quasi-judicial tribunals. ● Give legal advice Certification;
to the client; ● Assist in the taking
a. Law Student Practice [Rule 138-A, as ● Negotiate for of depositions
amended by A.M. No. 19-03-24-SC, June and on behalf of and/or preparing
25, 2019] the client; judicial affidavits
● Draft legal of witnesses;
Section 5(5), Article VIII of the 1987 Constitution documents such ● Appear on behalf
- Rule-making power of the Supreme Court as affidavits, of the client at any
compromise stage of the
Purposes: agreements, proceedings or
• To ensure access to justice of the contracts, letter, trial, before any
marginalized sectors through legal clinics of position papers, court, quasi-
law schools; and the like; judicial or
• To enhance learning opportunities of law ● Represent administrative
students by instilling in them the value of eligible parties body;
legal professional social responsibility; quasi-judicial or ● In criminal cases,
• To prepare law students for the practice of administrative subject to the
law. bodies provisions Section
• To address the need to institutionalize ● Provide public 5, Rule 110 of the
clinical legal education program in all law legal orientation; Rules of Court, to
schools in order to enhance, improve, and and appear on behalf
streamline law student practice, and ● Assist in public of a government
regulate their limited practice of law. interest agency in the
advocacies for prosecution of
policy criminal actions;
Level 1 Certification Level 2 Certification
formulation and and
Who may apply implementation ● In appealed
cases, to prepare
For law students who For law students the pleadings
have successfully currently enrolled for the required in the
completed their first- second semester of case.
year law course their third-year law
courses: Provided Where is it valid
however, where a
Valid before all Valid before all such
student fails to complete
courts, quasi-judicial courts and bodies in the
all their third-year law
and administrative Philippines
courses, the Level 2
bodies within the
certification shall be
judicial region where
deemed automatically
the law school is
revoked
located

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Responsibilities of the Law School:
• To develop and maintain a legal clinic (Sec.
9)
• Clinical Faculty: Law schools shall have
such number of faculty members to teach
clinical legal education courses as may be
necessary.
Supervising lawyers must be members of the
bar in good standing.
Responsibilities of the Supervising
Lawyers:
• Supervise such number of certified law
student practitioners as far practicable;
• Personally appear with the law student
practitioner in all cases pending before the
courts and in all other cases the lawyer
determines that his or her presence is
required;
• Assume personal professional
responsibility for any work performed by the
certified law student practitioner while under
his or her supervision;
• Assist and advise the certified law student
practitioner in the activities authorized by
these rules and review such activities with
the certified law student practitioner, all to
the extent required for the proper practical
training of the certified law student
practitioner and the protection of the client;
• Read, approve, and personally sign any
pleadings, briefs or other similar documents
prepared by the certified law student
practitioner prior to the filing thereof, and
read and approve any documents which
shall be prepared by the certified law
student practitioner for execution by the
eligible party; and
• Provide the level of supervision to the
certified law student practitioner required by
these rules [Sec. 11, Rule 138-A. RoC]
Responsibilities of the Law Student
Practitioner:
• To be bound by the Code of Professional
Responsibility (Sec. 6)
• May sign briefs, pleadings, letters, and other
similar documents under the direction of the
supervising lawyer and indicating his/her
practitioner's certificate number. (Sec. 7)
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• Before engaging in the limited practice of
law, a law student-practitioner must take a
modified Lawyer’s Oath. (Sec. 8)
Unauthorized Practice of Law and
Sanctions (Sec. 13)
• Unauthorized practice of law shall be a
ground for revocation of the law student
practitioner’s certification and/or
disqualification for a law student from taking
the bar examinations for a period to be
determined by the Supreme Court.
b. Non-lawyers in Courts and/or
Administrative Tribunals
General Rule: Only those who are licensed to
practice law can appear and handle cases in
court.
Exceptions:
• A party litigant with the aid of an agent or
friend only before the MTC (Sec. 34, Rule
138)
• Where there are no members of the bar, any
person, resident of the province and of good
repute for probity and ability, to defend the
accused (Sec. 7, Rule 116)
• Appearances in Shar’ia courts (A.M. SDC-
97-2-P, February 24, 1997)
Other exceptions where non-lawyers may
appear:
• Barangay Proceedings
• Administrative Bodies (NLRC, Cadastral
Courts, Bureau of Immigration, Intellectual
Property Office, any official or other person
[not a lawyer] appointed or designated in
accordance with the law to appear for the
government of the Philippines or any of its
officials; or other tribunals and
administrative agencies
• Court-Ordered Mediation
Sec. 34, Rule 138, RoC does not distinguish
between civil and criminal cases. However,
in criminal cases, the rule is qualified:
1. Under Sec. 1(c), Rule 115, RoC, the
accused may defend himself in person
“when it sufficiently appears to the court that
he can properly protect his rights without the
assistance of counsel.”
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2. Under Sec. 7, Rule 116, RoC, in
determining whether a counsel de officio
should be appointed, or, for that matter,
whether a counsel de parte should be
required (conversely, whether the accused
should be allowed to defend himself in
person), the gravity of the offense and the
difficulty of the questions that may arise
should be considered.
While the right to be represented by
counsel is immutable, the option to secure
the services of counsel de parte is not
absolute. The court may restrict the
accused’s option to retain a counsel de
parte if:
1. He insists on an attorney he cannot afford;
2. He chooses a person not a member of the
bar;
3. The attorney declines for a valid reason
(e.g., conflict of interest) [People v. Serzo,
G.R. No. 118435 (1997)].
c. Non-Lawyers in Administrative
Tribunals and Labor Tribunals
Laws which allow representation of another by
non-lawyers before such bodies:
1. Art. 222, Labor Code allows non-lawyers to
appear before the NLRC or any Labor
Arbiter if (a) they represent themselves, or
(b) they represent their organizations
members.
The 2011 NLRC Rule of Procedure,
promulgated pursuant to Art 225(a), Labor
Code, allows (a) non-lawyers, who are not
necessarily a party to the case, to represent
a union or members thereof, (b) non-
lawyers who are duly-accredited members
of any legal aid office recognized by the
Department of Justice or IBP, and (c) non-
lawyer owners of establishments, to appear
before it.
2. Under Sec. 9, Act 2259 (Cadastral Act), a
claimant may appear by himself, or by some
person on his behalf, before a cadastral
court.
3. Under Sec. 50, R.A. No. 6657
(Comprehensive Agrarian Reform Law), as
amended by R.A. No. 9700, responsible
farmer leaders shall be allowed to represent
themselves, their fellow farmers, or their
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organizations in any proceedings before the
DAR: provided, however, that when there
are two or more representatives for any
individual or group, the representatives
should choose only one among themselves
to represent such party or group before any
DAR proceedings.
In order that these laws will not infringe upon
the power of the Supreme Court to regulate the
practice of law, the following limitations must
be observed:
1. The non-lawyer should confine his work to
non-adversary contentions and should not
undertake purely legal work (i.e.,
examination of witness, presentation of
evidence);
2. The services should not be habitual;
3. Attorney’s fees should not be charged
[Agpalo (2004)].
d. Proceedings Where Lawyers are
Prohibited to Appear as Counsels
1. In small claims cases, no attorney shall
appear on behalf of or represent a party at
the hearing, unless the attorney is the
plaintiff or defendant. If the court determines
that a party cannot properly present his/her
claim or defense and needs assistance, the
court may, in its discretion, allow another
individual who is not an attorney to assist
that party upon the latter's consent [Sec. 17,
Rules of Procedure in Small Claims Cases].
2. In all katarungang pambarangay
proceedings, the parties must appear in
person without the assistance of the
counsel or representative, except for minors
and incompetents who may be assisted by
their next of kin who are not lawyers [Sec
415, R.A. No. 7160 (Local Government
Code)].
5. Prohibited Practice of Non-lawyers
and Appearance Without Authority
Under the Rules of Court, the unauthorized
practice of law by one’s assuming to be an
attorney or officer of the court, and acting as
such without authority, may constitute indirect
contempt of court, which is punishable by fine
or imprisonment or both.
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Such a finding, however, is in the nature of
criminal contempt and must be reached after
the filing of charges and the conduct of
hearings. In this case, while it appears quite
clearly that petitioner committed indirect
contempt of court by knowingly engaging in
unauthorized practice of law, we refrain from
making any finding of liability for indirect
contempt, as no formal charge pertaining
thereto has been filed against him.” [In Re:
Michael Medado to sign the Roll of Attorneys,
B.M. No. 2540, September 24, 2013]
For BOTH persons who are not lawyers
AND lawyers who appear without authority,
the following may be availed of:
1. Petition for injunction
2. Declaratory relief
3. Contempt of court [Sec. 3 (e), Rule 71, RoC]
4. Administrative complaint against the erring
lawyer or government official
5. Criminal complaint for estafa against the
person who falsely represented himself as a
lawyer to the damage of another
6. Public Officials and the Practice of
Law
General Rule: Government lawyers are not
allowed to engage in the practice of law.
Exception: When a government lawyer
obtains authority to engage in a limited practice
of law provided he/she does not represent a
party which has an adverse claim against the
government; the representation will not
interfere with the discharge of one’s official
duties; and that not government time and
resources shall be used in the course of the
legal representation.
Section 9(b) of the LGC provides:
Sanggunian members may practice their
professions, engage in any occupation, or
teach in schools except during session hours:
Provided, that sanggunian members who are
also members of the Bar shall not:
1. Appear as counsel before any court in any
civil case wherein a local government unit or
any office, agency, or instrumentality of the
government is the adverse party;
2. Appear as counsel in any criminal case
wherein an officer or employee of the
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national or local government is accused of
an offense committed in relation to his
office.
3. Collect any fee for their appearance in
administrative proceedings involving the
local government unit of which he is an
official; and
4. Use property and personnel of the
government except when the sanggunian
member concerned is defending the interest
of the government.
a. Prohibitions and Disqualifications of
Former Government Attorneys
A lawyer who has left government service
whether through retirement or resignation) may
not accept engagement employment in
connection with any matter in which he had
intervened while in said service. The purpose
of this prohibition is to avoid a conflict of
interest, whether adverse-interest conflicts or
congruent-interest conflicts, between the
lawyer and his former clients. (Rule 6.03, Code
of Professional Responsibility)
b. Public Officials Who Cannot Practice
Law or Can Practice Law with
Restrictions
Absolute Prohibition on Public Officials
Who Cannot Practice Law
Under the Constitution
• Members of Congress [Sec. 14, Art. VI,
1987 Constitution]
• President, vice-president, cabinet
members, their deputies and assistants
[Sec. 13, Art. VII, 1987 Constitution]
• Members of Constitutional Commissions
[Sec. 2, Art. IX-A, 1987 Constitution]
• Ombudsman and his deputies [Sec. 8 (2),
Art. XI, 1987 Constitution];
• Members of the Judicial and Bar Council
[Sec. 2, Art. IX-A, 1987 Constitution]
Under the Local Government Code
• All governors, city and municipal mayors
[Sec. 90(a), R.A. No. 7160]
Under the Code of Conduct and Ethical
Standards for Public Officials
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• Incumbent public officials and employees
shall not own, control, manage or accept
employment as counsel in any private
enterprise regulated, supervised or licensed
by their office unless expressly allowed by
law. [Section 7, R.A. No. 6713]
• Any violation shall be sufficient cause for
removal or dismissal of a public official or
employee even if no criminal prosecution is
instituted against him. [Section 11 (b), R.A.
No. 6713]
Under the Rules of Court
• Judges and other officials or employees of
superior courts as [Sec. 35, Rule 148, RoC];
• Officials and employees of the Office of the
Solicitor General [Sec. 35, Rule 148, RoC];
Under the Code of Professional
Responsibility
• DOJ and Ombudsman prosecutors (Rule
3.03)
Under Other Laws
• Civil service officers or employees whose
duties require them to devote their entire
time at the disposal of the government [Catu
v. Rellosa, A.C. No. 5738 (2008)];
• Those who, by special law, are prohibited
from engaging in the practice of their legal
profession.
Relative Prohibition on Public Officials Who
Can Practice Law with Restrictions
1. No senator or member of the House of
Representatives may personally appear as
counsel before any court or before the
Electoral Tribunals, or quasi-judicial and
other administrative bodies [Sec. 14, Art. VI,
1987 Constitution]
• “Appearance” includes not only arguing a,
but also filing a pleading on behalf of a
client [Ramos v. Manalac, G.R. No. L-
2610 (1951)].
• Neither can he allow his name to appear
in the pleading as part of a firm name [In
Re: David, AM No. 98 (1953)].
2. Sanggunian members may practice law
except during session hours and provided
they shall not:
• Appear as counsel before any court in any
civil case wherein a local government unit
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or any office, agency, or instrumentality of
the government is the adverse party;
• Appear as counsel in any criminal case
wherein an officer or employee of the
national or local government is accused of
an offense committed in relation to his
office;
• Collect any fee for their appearance in
administrative proceedings involving the
local government unit of which he is an
official; and
• Use property and personnel of the
government except when the sanggunian
member concerned is defending the
interest of the government [Sec. 90(b),
R.A. No. 7160].
3. The pension of justices therein is provided
with a condition that no retiring justice,
during the time that he is receiving said
pension shall [Sec. 1, R.A. No. 910]:
• Appear as counsel before any court in any
civil case wherein the Government or any
subdivision or instrumentality thereof is
the adverse party;
• In any criminal case wherein and officer or
employee of the government is accused of
an offense committed in relation to his
office; or
• Collect any fee for his appearance in any
administrative proceedings to maintain an
interest adverse to the Government,
insular, provincial or municipal, or to any
of its legally constituted officers.
4. There are civil employees whose duty do
not require that their entire time be at the
disposal of the government. Absent any
express prohibition in law, they can practice
law, provided they secure a written permit
from their department head [Zeta v.
Malinao, AM. No P-220(1978)].
7. Lawyers Authorized to Represent
the Government
Any official or other person appointed or
designated in accordance with law to
appear for the Government of the
Philippines shall have all the rights of a duly
authorized member of the bar to appear in any
case in which said government has an interest
direct or indirect. [Sec. 33, Rule 138, RoC].
 FOR UP CANDIDATES ONLY
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The Lawyer's Oath
I, ____________________ do solemnly
swear that I will maintain allegiance to the
Republic of the Philippines; I will support the
Constitution and obey the laws as well as the
legal orders of the duly constituted
authorities therein; I will do no falsehood, nor
consent to the doing of any in court; I will not
wittingly or willingly promote or sue any
groundless, false or unlawful suit, nor give
aid nor consent to the same. I will delay no
man for money or malice, and will conduct
myself as a lawyer according to the best of
my knowledge and discretion with all good
fidelity as well as to courts as to my clients;
and I impose upon myself this voluntary
obligation without any mental reservation or
purpose of evasion. So help me God
B. Duties And Responsibilities
Of A Lawyer Under The Code Of
Professional Responsibility
1. TO SOCIETY (CANONS 1-6)
Canon 1: Respect for Law and Legal
Process
CANON 1. A lawyer shall uphold the Constitution,
obey the laws of the land and promote respect for
law and legal processes.
Note: Canon 1 is the 4th top source of
Questions on the CPR. It was asked 21 times
in the last 25 years as of 2017 [Lex Pareto
(2017)].
Freedom of speech and of expression is not
absolute. On occasion, it needs to be adjusted
and accommodated with the requirements of
equally important public interests. One of these
fundamental public interests is the
maintenance of the integrity and orderly
functioning of the administration of justice
[Zaldivar v. Gonzales, G.R. Nos. 79690-707
and 80578 (1988)].
The responsibility of a ‘public’ lawyer’, who
owes duties of fidelity and respect to the
Republic and to the Supreme Court, to uphold
the dignity and authority of the Supreme Court
and not to promote distrust in the
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administration of justice is heavier than that of
a private practicing lawyer [Zaldivar v.
Gonzales, supra].
Rule 1.01 A lawyer shall not engage in unlawful,
dishonest, immoral or deceitful conduct.
Unlawful conduct is an act or omission which
is against the law. It is a transgression of any
provision of law, which need not be penal [Re:
Report on the Financial Audit Conducted on
the Books of Accounts of Atty. Kho, A.M, P-06-
2177 (2007)].
Dishonesty involves lying or cheating. It is a
disposition to cheat, deceive, defraud [Agpalo
(2004)].
Acts of unlawful, dishonest, immoral and
deceitful conduct
● Making a client believe that their case had
been filed when it in fact has not been, and
then later, to fix such mistake, filing it
despite the client’s demand to no longer
continue the case [Angeles v. Lina-ac, A.C.
No. 12063 (2019)].
● Procuring a fake court decision in favor of
his client in an annulment case warranted
disbarment [Billanes v. Latido, A.C. No.
12066 (2018)].
● Lawyer had simulated a decision and
certificate of finality to the prejudice of the
client [Madria v. Rivera, A.C. No. 11256
(2017)].
Immoral conduct has been defined as that
conduct which is willful, flagrant, or shameless,
and which shows a moral indifference to the
opinion of the good and respectable members
of the community.
To warrant disciplinary action, the same must
be "grossly immoral," it must be so corrupt and
false as to constitute a criminal act or so
unprincipled as to be reprehensible to a high
degree [Ui v. Bonifacio, A.C. No. 3319 (2000)];
or when committed under such scandalous or
revolting circumstances as to shock the
community’s sense of decency [Perez v.
Catindig, A.C. No. 5816 (2015)].
Immoral Grossly Immoral Conduct
Conduct
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Acts that are When it is so corrupt as to Refers to personal Refers to any action
willful, constitute a criminal act, or injury
flagrant, or so unprincipled as to be
shameless, reprehensible to a high Refers to cases Refers to suits before
and that show degree, or when committed brought before judicial or non-
a moral under such scandalous or judicial bodies judicial bodies
indifference to revolting circumstances as
the opinion of to shock the community’s Rule 1.04 A lawyer shall encourage his clients to
the upright sense of decency avoid, end or settle a controversy if it will admit of a
and fair settlement.
respectable Penalty: Disbarment A lawyer must resist the whims and caprices of
members of his client and temper his client’s propensity to
the litigate. [Castañeda v. Ago, G.R. No. L-28546
community (1975)].

Moral turpitude includes everything which
is done contrary to justice, honesty,
modesty, or good morals.
Rule 1.02 A lawyer shall not counsel or abet
activities aimed at defiance of the law or at lessening
confidence in the legal system.
Canon 2: Efficient and Convenient Legal
Services
CANON 2. A lawyer shall make his legal services
available in an efficient and convenient manner
compatible with the independence, integrity and
effectiveness of the profession

A lawyer should advise his client to uphold the
law, not to violate or disobey it. Conversely, he
should not recommend to his client any
recourse or remedy that is contrary to law,
public policy, public order, and public morals
[Coronel v. Cunanan, A.C. No. 6738 (2015)].
Rule 1.03 A lawyer shall not, for any corrupt motive
or interest, encourage any suit or proceeding or
delay any man’s cause.
Barratry or “Maintenance”
The offense of inciting or stirring up quarrels,
litigation or groundless lawsuits, either at law or
otherwise [Bouvier].
Ambulance Chasing
Unethical practice of inducing personal injury
victims to bring suits. The practice of lawyers in
frequenting hospitals and homes of the injured
to convince them to go to court [Lex Pareto
(2014)].
Note: This was a situation posed in the
2020/2021 Bar.
Rule 2.01 A lawyer shall not reject, except for valid
reasons, the cause of the defenseless or the
oppressed.
Legal Aid
● Not a matter of charity.
● It is a means for the correction of social
imbalance that may and often do lead to
injustice, for which reason it is a public
responsibility of the bar [Sec. 1, Art. 1, IBP
Handbook, Guidelines Governing the
Establishment and Operation of the Legal
Aid Office].
● Lawyers covered by the Rule on Community
Legal Aid Service are required to render 120
hours of pro bono legal aid services to
qualified parties enumerated in Section 4(b)
thereof, within the first year of the covered
lawyers' admission Bar, counted from the
time they signed the Roll of Attorneys.
Rule 2.02 In such cases, even if the lawyer does not
accept a case, he shall not refuse to render legal
advice to the person concerned if only to the extent
necessary to safeguard the latter’s rights.

Ambulance Barratry Rule 2.03 A lawyer shall not do or permit to be done

any act designed primarily to solicit legal business.
Chasing
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Question: A well-known lawyer has been
engaged to run a program in which he
encourages indigent party litigants to consult
him free of charge about their legal problems
over a radio and television network. Has he
violated any ethical rules? – YES, as it involves
indirect advertising and solicitation and is
likewise violative of the confidentiality of
lawyer-client relationship. His act may also be
considered as a form of self- praise, hence
subject to discipline.
The practice of soliciting cases at law for the
purpose of gain, either personally or through
paid agents or brokers, constitutes malpractice
[Sec. 27, Rule 138, RoC].
The best advertising possible for a lawyer is a
well-merited reputation for professional
capacity and fidelity to trust, which must be
earned as the outcome of character and
conduct. Good and efficient service to a client
as well as to the community has a way of
publicizing itself and catching public attention.
A good and reputable lawyer needs no artificial
stimulus to generate it and to magnify his
success [Ulep v. The Legal Clinic, Inc., B.M.
No. 553 (1993)].
Note: Lawyer’s advertising was a situation
posed in the 2020/2021 Bar.
Rule 2.04. A lawyer shall not charge rates lower than
those customarily prescribed unless the
circumstances so warrant.
Canon 3: True, Honest, Fair, Dignified and
Objective Information on Legal Services
CANON 3. A lawyer in making known his legal
services shall use only true, honest, fair, dignified
and objective information or statement of facts.
Note: Canon 3 is 5th top source of Questions
on CPR; it was asked 16 times in the last 25
years as of 2017 [Lex Pareto (2017)].
Rule 3.01. A lawyer shall not use or permit the use
of any false, fraudulent, misleading, deceptive,
undignified, self-laudatory or unfair statement or
claim regarding his qualifications or legal services.
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The use of a card containing “As a notary
public, he can execute for you a deed of sale,
can renew lost documents and can make your
application for homestead and execute any
kind of affidavit. As a lawyer, he can help you
collect your loans as well as any complaint for
or against you” is a form of prohibited
advertisement. Where to draw the line is a
question of good faith and good taste [In re:
Tagorda, G.R. No. 32329 (1929)].
A paralegal’s calling card that advertised
consultancy services contained the phrase
“with financial assistance”. This is an act of
crass commercialism meant to lure clients in
financial distress. This deserves no place in the
legal profession [Linsangan v. Tolentino, A.C.
No. 6672 (2009)].
A lawyer may not properly publish his brief
biographical and informative data in a daily
paper, magazine, trade journal or society
program in order to solicit legal business. A
paid advertisement in the newspaper which
reads, “Annulment of Marriage Specialist” is
also prohibited [Khan v. Simbillo, A.C. No.
5299 (2003)].
Rule 3.02. In the choice of a firm name, no false,
misleading or assumed name shall be used. The
continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its
communications that said partner is deceased.
Ratio for allowing continued use of names
of deceased partners: All partners by their
joint efforts over a period of years contributed
to the goodwill attached to the firm name, and
the removal of the deceased partner’s name
disturbs the client goodwill built through the
years.
Rule 3.03. Where a partner accepts public office, he
shall withdraw from the firm and his name shall be
dropped from the firm name unless the law allows
him to practice law concurrently.
Purpose: To prevent the law firm from using
his name to attract legal business and to avoid
suspicion of undue influence.
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Rule 3.04. A lawyer shall not pay or give anything of
value to representatives of the mass media in
anticipation of, or in return for, publicity to attract
legal business.
Purpose: To prevent some lawyers from
gaining an unfair advantage over others
through the use of gimmickry, press agentry or
other artificial means.
Canon 4: Participation in the Improvements
and Reforms in the Legal System
CANON 4. A lawyer shall participate in the
development of the legal system by initiating or
supporting efforts in law reform and in the
improvement of the administration of justice.
This is a duty that flows from the lawyer’s sense
of public responsibility [Agpalo (2004)].
Canon 5: Participation in Legal Education
Programs
CANON 5. A lawyer shall keep abreast of legal
developments, participate in continuing legal
education programs, support efforts to achieve high
standards in law schools as well as in the practical
training of law students and assist in disseminating
information regarding the law and jurisprudence.
Mandatory Continuing Legal Education
(hereinafter, MCLE) Program
A program which requires lawyers to show
proof of having undertaken improvement in
their knowledge as a precondition for renewing
their license to practice [Lex Pareto (2014)]
Purpose:
● The lawyer’s life is one of continuous
and laborious study; otherwise, his skill
and knowledge of law and related
disciplines will lag behind and become
obscure due to obsoleteness.
● To ensure that throughout their career,
they keep abreast with law and
jurisprudence, maintain the ethics of
the profession and enhance the
standards of the practice of law [Bar
Matter No. 850, Rule 1, Section 1]
Requirements:
[Bar Matter No. 850, Rule 2, Section 2]
● At least 6 hours for legal ethics
● At least 4 hours for trial and pretrial skills
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● At least 5 hours for alternative dispute
resolution
● At least 9 hours for updates on substantive
and procedural laws, and jurisprudence
● At least 4 hours for legal writing and oral
advocacy
● At least 2 hours for international law and
international conventions
● The remaining 6 hours for subjects as may
be prescribed by the MCLE Committee
[Bar Matter No. 1922]
● Required information: To indicate in all
pleadings filed before the courts or quasi-
judicial bodies, the number and date of
issue of their MCLE Certificate of
Compliance or Certificate of Exemption,
as may be applicable, for the immediately
preceding compliance period.
● Failure to disclose would cause the
dismissal of the case and the expunction of
the pleadings from the records.
Compliance:
● Compliance Card: Each member shall
secure this before the end of his compliance
period. He shall complete the card by
attesting under oath that he has complied
with the education requirement or that he is
exempt, specifying the nature of the
exemption. [Bar Matter No. 850, Rule 11,
Section 1]
● Member Record Keeping Requirement:
Each member shall maintain a sufficient
record of compliance or exemption, copy
furnished the MCLE Committee. The record
required should be a sufficient record of
attendance at a participatory activity. A
record of non-participatory activity shall also
be maintained by the member, as referred
to in Section 3 of Rule 5. [Bar Matter No.
850, Rule 11, Section 2]
Exemptions the MCLE
[Bar Matter No. 850, Rule 7, Section 1]
• The President and the Vice President of the
Philippines, and the Secretaries and
Undersecretaries of Executive
Departments;
• Senators and Members of the House of
Representatives;
• The Chief Justice and Associate Justices of
the Supreme Court, incumbent and retired
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members of the judiciary, incumbent
members of the Judicial and Bar Council
and incumbent court lawyers covered by the
Philippine Judicial Academy program of
continuing judicial education;
• The Chief State Counsel, Chief State
Prosecutor and Assistant Secretaries of the
Department of Justice;
• The Solicitor General and the Assistant
Solicitors General;
• The Government Corporate Counsel,
Deputy and Assistant Government
Corporate Counsel;
• The Chairmen and Members of the
Constitutional Commissions;
• The Ombudsman, the Overall Deputy
Ombudsman, the Deputy Ombudsman and
the Special Prosecutor of the Office of the
Ombudsman;
• Heads of government agencies exercising
quasi-judicial functions;
• Incumbent deans, bar reviewers and
professors of law who have teaching
experience for at least ten (10) years in
accredited law schools;
• The Chancellor, Vice-Chancellor and
members of the Corps of Professors and
Professorial Lecturers of the Philippine
Judicial Academy; and
• Governors and Mayors.
Sanctions:
[Bar Matter No. 850, Rule 13]
● Non-compliance fee: A member who is in
non-compliance at the end of the
compliance period shall pay a non-
compliance fee.
● Listing as delinquent member: A member
who fails to comply with the requirements
after the sixty (60) day period for
compliance has expired, shall be listed as a
delinquent member of the IBP upon the
recommendation of the MCLE Committee.
The investigation of a member for non-
compliance shall be conducted by the IBP’s
Commission on Bar Discipline as a fact-
finding arm of the MCLE Committee.
Note: Non-compliance with the MCLE
Program is not a ground for disbarment nor
will it result in the dismissal of a case.
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Atty. Caringal’s failure to attend the required
MCLE seminars alongside his acts of indicating
his MCLE-exemption in his pleadings
constituted dishonest conduct that put his
clients at risk. He should know such pleadings
with false information would produce no legal
effect. This warrants suspension [Turla v.
Caringal, A.C. No. 11641 (2019)].
Canon 6: Lawyers in Government Service
Discharging their Tasks
CANON 6. These canons shall apply to lawyers in
government services in the discharge of their official
duties.
“Sextortion” or the abuse of one’s position or
authority to obtain sexual favors from a
subordinate amounts to gross misbehavior and
warrants disbarment [AAA v. Atty. De Los
Reyes, A.C. No. 10022 (2018)]
May a former government lawyer appear in
a case against the government? – YES, he
may appear in a case unless there is a specific
ethical rule or provision of law which prohibits
him from doing so [Lex Pareto (2014)].
When may a former government lawyer be
prohibited from accepting a legal
engagement?
● A lawyer shall not, after leaving the
government service, accept engagement or
employment in connection with any matter
in which he had intervened while in said
service;
● Retired members of the judiciary receiving
pensions from the government should not
practice law where the government is the
adverse party or in a criminal case involving
a government employee in the performance
of his duties as such [Lex Pareto (2014)].
Sec. 4, R.A. No. 6713 (Code of Conduct and
Ethical Standards for Public Officials and
Employees) provides the norms of conduct of
public officials and employees.
Rule 6.02. A lawyer in the government service shall
not use his public position to promote or advance his
private interests, nor allow the latter to interfere with
his public duties.
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Rule 6.03. A lawyer shall not, after leaving
government service, accept engagement or
employment in connection with any matter in which
he had intervened while in said service.
General Rule: Practice of profession is
allowed immediately after leaving public
service.
Exceptions: The lawyer cannot practice as to
matters with which he had connection to during
his term. This prohibition lasts:
● For one year, if he had not intervened;
● Permanently, if he had intervened.
Acts of notarization by a public official or
employee without obtaining prior authority from
their office to engage in such practice are
considered acts within the ambit of “practice of
law” and are prohibited. [Jabinal v Overall
Deputy Ombudsman, G.R. No. 232094 (2019)]
Absolute and Relative Prohibition of Public
Officials from Practice of Law
When any of those absolutely prohibited
officials is appointed/elected/qualified, he
ceases, as a general rule, to engage in the
private practice of law and his right to practice
is suspended during his tenure in office.
See also Public Officials and the Practice of
Law above.
2. TO THE LEGAL PROFESSION
(CANONS 7-9)
Canon 7: Duty to Uphold the Dignity and
Integrity of the Legal Profession
CANON 7. A lawyer shall at all times uphold the
integrity and dignity of the legal profession and
support the activities of the Integrated Bar.
Respondent was suspended from practice
years for willful deception that a foreigner can
own a land in the Philippines. The Court held
that public confidence in law and lawyers may
be eroded by the irresponsible and improper
conduct of a member of the bar. Thus, a lawyer
should determine his conduct by acting in
manner that would promote public confidence
in the integrity of the legal profession. [Partsch
v. Atty. Vitorillo, A.C. No. 10897 (2022).]
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A lawyer may be disciplined not only for
malpractice in the legal profession, but also for
gross misconduct outside of his professional
capacity. A lawyer who employed deceitful
means by presenting worthless checks for
rediscounting and for failing to make payments
on the due dates patently shows his lack of
good moral character. Gross misconduct which
puts the lawyer’s moral character in serious
doubt may render him unfit to continue in the
practice of law. [David v. Atty. Batallan, A.C.
No. 12828.]
Canon 8: Duty to Respect towards a Fellow
Lawyer
CANON 8. A lawyer shall conduct himself with
courtesy, fairness and candor toward his
professional colleagues, and shall avoid harassing
tactics against opposing counsel.
The act of filing multiple groundless and
baseless suits against the adverse parties and
their counsel constitutes harassments.
Lawyers must act in a manner that not only
prejudice the rights of their clients but also of
their colleagues and their colleagues’ clients.
[Pagdanganan v. Plata, A.C. No. 12701.]
Lawyers do not:
1. Take advantage of the unpreparedness or
absence of counsel during the trial;
2. Make use of the secrets of the adverse party
acquired through design or inadvertence;
3. Criticize or impute ill motive to the lawyer
who accepts what in his opinion is a weak
case;
4. Proceed to negotiate with the client of
another lawyer to waive all kinds of claims
[Camacho v. Pangulayan, A.C. No. 4807
(2000)];
5. Steal another lawyer’s client;
6. Induce a client to retain him by promise of
better service, good result or reduced fees
for his services;
7. Disparage another lawyer, make
comparisons or publicize his talent; -;
8. Interview the adverse party and question
him as to the facts of the case in the
absence of the adverse party’s counsel
9. Sanction the attempt of his client to settle a
litigated matter with the adverse party
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without the consent or knowledge of the
latter’s counsel.
Respondent's acts of repeatedly intimidating,
harassing, and blackmailing complainant with
purported administrative and criminal cases
and prejudicial media exposures were
performed as a tool to return the inconvenience
suffered by his client. His acts show a lack of
respect and despicable behavior towards a
colleague in the legal profession. [Roque v.
Balbin, A.C. No. 7088 (2018)].
Rule 8.01. A lawyer shall not, in his professional
dealings, use language which is abusive, offensive
or otherwise improper.
Example of Improper Language:
• Calling complainant a "quack doctor,"
"Reyna ng Kaplastikan," "Reyna ng
Payola," and "Reyna ng Kapalpakan," and
insinuating that she has been bribing people
with an intention to besmirch the
complainant’s reputation. Respondent also
ascribed criminal negligence by posting that
complainant disfigured ("binaboy") his
client, labeling them a "Frankenstein
Factory," and calling out a boycott of their
services [Belo-Henares v. Atty. Guevarra,
A.C. No. 11394 (2016)].
Rule 8.02. A lawyer shall not, directly or indirectly,
encroach upon the professional employment of
another lawyer; however, it is the right of any lawyer,
without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful
or neglectful counsel.
A lawyer may:
1. Accept employment to handle a matter
previously handled by another lawyer:
a. Provided the other lawyer has been
given notice of termination of service,
[Laput v. Remotigue, A.M. No. 219
(1962)]; or
b. In the absence of a notice of termination,
provided he has obtained the conformity of
the counsel whom he would substitute; or
c. In the absence of such conformity, a
lawyer must at least give sufficient notice
to original counsel so that original counsel
has the opportunity to protect his claim
against the client.
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2. Give advice or assistance to any person
who seeks relief against an unfaithful or
neglectful lawyer;
3. Associate as a colleague in a case,
provided he communicates with the original
counsel before making an appearance as
co-counsel:
a. Should the original lawyer object, he
should decline association but if the
original lawyer is relieved, he may come
into the case; or
b. Should it be impracticable for him, whose
judgment has been overruled by his co-
counsel to cooperate effectively, he
should ask the client to relieve him.
Canon 9: Unauthorized Practice of Law
CANON 9. A lawyer shall not, directly or indirectly,
assist in the unauthorized practice of law.
Examples of Unauthorized Practice of Law:
• A layman was able to misrepresent
themselves as a collaborating with the aid of
the main counsel. The main counsel’s act of
aiding this layman into the illegal practice of
law constitutes misbehavior that warrants
suspension [Noe-Lacsamana v. Busmente,
A.C. No. 7269 (2011)].
• Preparing and signing pleadings is legal
work. A lawyer’s act of allowing his
secretary to sign a complaint in his name is
an act of direct/indirect assistance into the
unauthorized practice of law [Tapay &
Rustia v. Bancolo, A.C. No. 9604 (2013)].
Rule 9.02. A lawyer shall not divide or stipulate to
divide a fee for legal services with persons not
licensed to practice law, except:
a. Where there is a pre-existing agreement with a
partner or associate that, upon the latter’s death,
money shall be paid over a reasonable period of
time to his estate or to persons specified in the
agreement; or
b. Where a lawyer undertakes to complete
unfinished legal business of a deceased lawyer;
or
c. Where a lawyer or law firm includes non-lawyer
employees in a retirement plan, even if the plan
is based in whole or in part, on a profitable
sharing arrangement.
Purpose: Allowing non-lawyers to get
attorney’s fees would confuse the public as to
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whom they should consult. It would leave the
bar in a chaotic condition because non-lawyers
are also not subject to disciplinary action.
3. TO THE COURTS (Canons 10-13)
Canons 10, 11 and 13: Duty of Candor and
Respect to the Courts and Relying on the
Merits of a Pending Case
CANON 10. A lawyer owes candor, fairness and
good faith to the court.
CANON 11. A lawyer shall observe and maintain the
respect due to the courts and to judicial officers and
should insist on similar conduct by others.
CANON 13. A lawyer shall rely upon the merits of
his cause and refrain from any impropriety which
tends to influence or gives the appearance of
influencing the court.
Note: Asked 11 times in the last 25 years as of
2017 [Lex Pareto (2017)].
Acts Constituting Contempt:
• Misbehavior
• Disobedience
• Publication concerning pending litigation
• Publication tending to degrade the court;
disrespectful language
• in pleadings
• Misleading the court or obstructing justice
• Unauthorized practice of law
• Belligerent attitude
• Unlawful retention of client’s funds
The act of filing a new case despite the finality
in judgement in a case with the same parties
and cause of action constitutes forum
shopping. Willful and deliberate forum
shopping is punishable either with direct or
indirect contempt of court. A lawyer owes
fidelity to the cause of his/her clients, but not at
the expense of the truth and the administration
of justice. Forum shopping constitutes abuse of
the court’s processes and improper conduct
that tends to impede, obstruct and degrade the
administration of justice. [Villanueva v.
Alentajan, A.C. No. 12161.]
Consequences of Non-Preparation:
An important factor in determining the
existence of forum shopping is the vexation
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caused to the courts and the parties-litigants by
the filing of similar cases to claim substantially
the same reliefs. It exits where the elements of
litis pendentia are present or where a final
judgment in one case will amount to res
judicata in another. [Go v. Teruel, A.C. No.
11119.]
A lawyer’s acts of drafting a sham decision
regarding an acquittal including names of
justices in the fake decision, and maliciously
representing to her clients that she could
influence justices of the CA to ensure the
acquittal, are violative of Canon 10. [Justice
Lampas-Peralta v. Atty. Hernando, A.C. No.
12415 (2019)].
Canon 12: Duty to Assist in the Speedy and
Efficient Administration of Justice
CANON 12. A lawyer shall exert every effort and
consider it his duty to assist in the speedy and
efficient administration of justice.
Note: Asked 11 times in the last 25 years as of
2017 [Lex Pareto (2017)].
Rule 12.01. A lawyer shall not appear for trial unless
he has adequately prepared himself on the law and
the facts of his case, the evidence he will adduce
and the order of its proferrence. He should also be
ready with the original documents for comparison
with the copies.
Note: Read in conjunction with Canon 18, Rule
18.02.
CANON 18. A lawyer shall serve his client with
competence and diligence.
Rule 18.02. A lawyer shall not handle any legal
matter without adequate preparation.
Note: See Duty to Clients
Without adequate preparation, the lawyer may
not be able to effectively assist the court in the
efficient administration of justice.
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1. The postponement of the pre-trial or hearing
causing delay;
2. The judge may consider the client nonsuited
or in default;
3. The judge may consider the case submitted
for decision without client’s evidence, to his
prejudice [Agpalo (2004)].
Rule 12.02. A lawyer shall not file multiple actions
arising from the same cause.
Rule 12.03. A lawyer shall not, after obtaining
extensions of time to file pleadings, memoranda or
briefs, let the period lapse without submitting the
same or offering an explanation for his failure to do
so.
Rule 12.04. A lawyer shall not unduly delay a case,
impede the execution of a judgment or misuse court
proceedings.
A lawyer’s act of forum shopping is a clear
violation of Rule 12.02 and 12.04 of Canon 12.
Rule 12.02 prohibits a lawyer from filing
multiple cases arising from the same cause
while Rule 12.04 prohibits the undue delay of a
case by misusing court processes. [Villanueva
v. Alentajan, A.C. No. 12161.]
The filing of another action on the same subject
matter in contravention of the doctrine of res
judicata violates Canon 12 of the CPR which
requires a lawyer to exert every effort and
consider it his duty to assist in the speedy and
efficient administration of justice. [Go v. Teruel,
A.C. No. 11119.]
Sub Judice Rule
This rule restricts comments and disclosures
pertaining to judicial proceedings to avoid
prejudging the issue, influencing the court, or
obstructing the administration of justice. A
violation of the sub judice rule may render one
liable for indirect contempt.
The rationale of this rule lies on the traditional
conviction of civilized society wherein the
issues of fact and law should be immune from
every extraneous influence. Meaning, facts
should be decided upon evidence produced in
court and the determination of such facts
should be uninfluenced by bias, prejudice or
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sympathies [Nestle Philippines v. Sanchez,
G.R. No. 75209 (1987)].
This Rule prohibits forum shopping.
Note: Asked to draft a certification on forum
shopping in 2020/21 Bar.
Forum Shopping
1. When, as a result or in anticipation of an
adverse decision in one forum, a party
seeks a favorable opinion in another forum
through means other than appeal or
certiorari by raising identical causes of
action, subject matter, and issues.
2. The institution of involving the same parties
for the same cause of action, either
simultaneously or successively, on the
supposition that one or the other court
would come out with a favorable disposition
[Araneta v. Araneta, G.R. No. 190814
(2013)].
3. An indicium of the presence of or the test for
determining whether a litigant violates the
rule against forum shopping is where the
elements of litis pendentia are present or
where a final judgment in one case will
amount to res judicata in the other case.
When a lawyer may not testify as witness:
1. When such would adversely affect any
lawful interest of the client with respect to
which confidence has been reposed on him;
2. When, having accepted a retainer, he is to
testify AGAINST his client;
3. When he will serve conflicting interests;
4. When he is to violate confidentiality;
5. When as an attorney, he is to testify on the
theory of the case.
When a lawyer may testify as witness:
1. Formal matters – mailing, authentication,
custody of an instrument;
2. As an expert on his fee;
3. Acting as an Arbitrator;
4. Deposition;
5. His testimony is essential to the ends of
justice. Thus, he must entrust the trial of the
case to another counsel [PNB v. Uy Teng
Piao, G.R. No. L-35252 (1932)]
Reliance on Merits of Case, Not on
Impropriety Tending to Influence the
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Courts
CANON 13. A lawyer shall rely upon the merits of
his cause and refrain from any impropriety which
tends to influence or gives the appearance of
influencing the court.
Note: Asked 11 times in the last 25 years as of
2017 [Lex Pareto (2017)].
The judiciary, as the branch of government
tasked to administer justice, to settle justiciable
controversies or disputes involving enforceable
and demandable rights, and to afford redress
of wrongs for the violation of said rights must
be allowed to decide cases independently, free
of outside influence or pressure [In re:
Published Alleged Threats against Members of
the Court in the Plunder Law Case Hurled by
Atty. Leonard De Vera, A.M. No. 01-12-03-SC
(2002)].
CANON 19. A lawyer shall represent his client with
zeal within the bounds of the law.
CANON 9. A lawyer shall not, directly or indirectly,
assist in the unauthorized practice of law.
Note: See further discussion under Canon 19.
4. TO THE CLIENTS (Canons 14-22)
The attorney-client relationship is:
• Strictly personal;
• Highly confidential;
• Fiduciary.
A written contract, although the best evidence
to show the presence of an attorney-client
relationship, is not essential for the
employment of an attorney.
Canon 14: Duty to Serve the Needy
CANON 14. A lawyer shall not refuse his services to
the needy.
General Rule: While the primary task of the
lawyer as advocate is to represent a party
litigant in court, he is not obliged to act as
counsel for any person who wishes to become
his client.
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Exception: Under Canon 14, when rendering
free legal services to the needy and oppressed
who are unable to pay attorney’s fees in order
to aid the plight of the needy and in fulfillment
of the IBP’s goal to make legal services
available to those who need them.
Purpose: It is a declared policy of the State to
value the dignity of every human person and
guarantee the rights of every individual,
particularly those who cannot afford the
services of counsel [R.A. No. 9999 (Free Legal
Assistance Act of 2010)].
Indigent
1. A person who has no visible means of
income or whose income is insufficient
for the subsistence of his family, to be
determined by the fiscal or judge, taking
into account the members of his family
dependent upon him for subsistence [Sec.
2, R.A. 6033 (An Act Requiring Courts to
Give Preference to Criminal Cases Where
the Party or Parties Involved are Indigents)]
2. A person who has no visible means of
support or whose income does not
exceed P300.00 per month or whose
income even in excess of P300.00 per
month is insufficient for the subsistence of
his family [Sec. 2, R.A. No. 6035 (An Act
Requiring Stenographers to Give Free
Transcript of Notes to Indigent and Low
Income Litigants and providing a Penalty for
the Violation Thereof)].
This Canon could be read in conjunction with
Rule 2.01.
Services Regardless of a Person’s Status
Rule 14.01. A lawyer shall not decline to represent
a person solely on account of the latter’s race,
sex, creed or status of life, or because of his own
opinion regarding the guilt of said person.
It is the duty of an attorney, in the defense of a
person accused of a crime, by all fair and
honorable means, regardless of his personal
opinion as to the guilt of the accused, to
present every defense that the law permits, to
the end that no person may be deprived of life
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LEGAL ETHICS AND PRACTICAL EXERCISES LEGAL AND JUDICIAL ETHICS
or liberty, but by due process of law [Sec. 20(i), Where There Are No Available
Rule 138, RoC]. Practicing Attorneys)].

Services as Counsel de Officio Considerations in the Appointment of a

Rule 14.02. A lawyer shall not decline, except for
serious and sufficient cause, an appointment as
counsel de officio or as amicus curiae, or a request
from the Integrated Bar of the Philippines or any of
its chapters for rendition of free legal aid.
Counsel de Officio:
1. Gravity of the offense;
2. Difficulty of the questions that may arise;
3. Experience and ability of the appointee.
Valid Grounds for Refusal to Serve

It is the duty of an attorney never to reject, for Rule 14.03. A lawyer may not refuse to accept
any consideration personal to himself, the representation of an indigent client unless:
cause of the defenseless or oppressed [Sec. a. He is in no position to carry out the work
20(h), Rule 138]. effectively or competently;
b. He labors under a conflict of interest between
him and the prospective client or
Sec. 31, Rule 138
between a present client and the prospective
A court may assign an attorney to render
client.
professional aid free of charge to any party in a
case if upon investigation, it appears that the party
is destitute and unable to employ an attorney, and Grounds of Refusal of Appointment to be
that the services of counsel are necessary to secure
the ends of justice and protect the rights of the party.
a Counsel de Officio:
It shall be the duty of the attorney so assigned to 1. Too many de officio cases assigned to the
render the required service, unless he is excused lawyer [People v. Daeng, G.R. No. L-34091
therefrom by the court for sufficient cause shown. (1973)];
2. Conflict of interest [Rule 14.03, CPR];
Counsel de officio – One appointed or 3. Lawyer is not in a position to carry out the
assigned by the court. work effectively or competently [supra];
4. Lawyer is prohibited from practicing law by
Counsel de parte – One employed or retained reason of his public office which prohibits
by the party himself. appearances in court;
5. Lawyer is preoccupied with too many cases
Who may be appointed as counsel de which will spell prejudice to the new clients;
officio in criminal cases: 6. Health reasons; and
1. A member of the bar in good standing who, 7. Extensive travel abroad.
by reason of their experience and ability,
can competently defend the accused [Sec. Reason: One of the burdens of the privilege to
7, Rule 116, RoC] practice law is to render, when so required by
2. In localities without lawyers: the court, free legal services to an indigent
a. Any person, resident of the province litigant.
and of good repute for probity and
ability [Sec. 7, Rule 116, RoC]; Note: In Even if the lawyer does not accept a case, he
relation to Sec. 34, Rule 138, RoC, shall not refuse to render legal advice to the
this is only allowed in the municipal person concerned if only to the extent
trial court. necessary to safeguard the latter’s rights [Rule
b. A municipal judge or a lawyer 2.02, Canon 2, CPR].
employed in any branch, subdivision or
instrumentality of the government Rule 14.04. A lawyer who accepts the cause of a
within the province [Sec. 1, PD 543 person unable to pay his professional fees shall
(Authorizing the Designation of observe the same standard of conduct governing his
Municipal Judges and Lawyers in any relations with paying clients.
Branch of the Government Service to
Act as Counsel De Officio for the
Accused Who Are Indigent in Places
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LEGAL ETHICS AND PRACTICAL EXERCISES LEGAL AND JUDICIAL ETHICS
Clients of the National Legal Aid Committee CANON 21. A lawyer shall preserve the confidence
and the IBP local chapter’s legal aid offices are and secrets of his client even after the attorney-
exempted from the payment of legal fees. client relation is terminated.
[Pursuant to A.M. No. 08-11-7-SC IRR (2009)]
Confidentiality or the Non-Disclosure Rule
Under Sec. 16-D, R.A. No 9406 (An Act
Reorganizing and Strengthening the Public
Purpose: To protect the client from possible
Attorney’s Office (PAO)), clients of the PAO are
breach of confidence as a result of a
exempted from paying docket and other fees
consultation with a lawyer [Hadjula v.
incidental to institution actions in court and
Madianda, A.C. No. 6711 (2007)]
other quasi-judicial bodies.
Dean Wigmore cites the factors essential to
See also:
establish the existence of the privilege, viz:
1. R.A. No. 6033: An Act Requiring Courts to
“(1) Where legal advice of any kind is sought
Give Preference to Criminal Cases Where
(2) from a professional legal adviser in his
the Party or Parties Involved are Indigents
capacity as such, (3) the communications
2. R.A. No. 6034: An Act Providing
relating to that purpose, (4) made in confidence
Transportation and Other Allowances for
(5) by the client, (6) are at his instance
Indigent Litigants
permanently protected (7) from disclosure by
3. R.A. No. 6035: An Act Requiring
himself or by the legal advisor, (8) except the
Stenographers to Give Free Transcript of
protection be waived.”
Notes to Indigent and Low Income Litigants
and Providing A Penalty for the Violation
Confidential Communication – Information
Thereof
transmitted by voluntary act of disclosure
4. R.A. No. 6036: An Act Providing that Bail
between attorney and client in confidence and
Shall Not, with Certain Exceptions, be
by means which so far as the client is aware,
Required in Cases of Violations of Municipal
discloses the information to no third person
or City Ordinances and in Criminal Offenses
other than one reasonably necessary for the
When the Prescribed Penalty for Such
transmission of the information or the
Offenses is Not Higher than Arresto Mayor
accomplishment of the purpose for which it was
and/or a Fine of Two Thousand Pesos or
given [Mercado v. Vitriolo, A.C. No. 5108
Both.
(2005)].
Canons 15, 16, 17 and 21: Conflict of
Prohibited Disclosures and Use
Interest, Fiduciary Duty, Value of Trust and
Confidence Reposed by Client and the Non- Rule 21.01. A lawyer shall not reveal the
Disclosure Rule confidences or secrets of his client except;
(a) When authorized by the client after acquainting
him of the consequences of the disclosure;
CANON 15. A lawyer shall observe candor,
(b) When required by law;
fairness and loyalty in all his dealings and
(c) When necessary to collect his fees or to defend
transactions with his clients.
himself, his employees or associates or by
judicial action.

CANON 16. A Lawyer shall hold in trust all moneys

and properties of his client that may come into his
profession.
CANON 17. A lawyer owes fidelity to the cause of
his client and he shall be mindful of the trust and
confidence reposed in him.
Rule 21.02. A lawyer shall not, to the disadvantage
of his client, use information acquired in the course
of employment, nor shall he use the same to his own
advantage or that of a third person, unless the client
with full knowledge of the circumstances consents
thereto.

Rule 21.03. A lawyer shall not, without the written

consent of his client, give information from his files
to an outside agency seeking such information for

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LEGAL ETHICS AND PRACTICAL EXERCISES
auditing, statistical, bookkeeping, accounting, data
processing, or any similar purpose.
Section 20(e), Rule 138 of the Rules of Court
It is the duty of the attorney to "maintain inviolate the
confidence, and at every peril to himself, to preserve
the secrets of his client, and to accept no
compensation in connection with his client's
business except from him or with his knowledge and
approval." The purpose of the rule of confidentiality
is to protect the client from possible breach of
confidence as a result of a consultation with a lawyer
and preserve the confidential and trust relation
which exists between attorney and client.
Factors essential to establish the existence
of the communication privilege:
1. An attorney-client relationship, or a
prospective attorney-client relationship
exists,
2. The client made the communication in
confidence.
3. The legal advice must be sought from the
attorney in his professional capacity.
Rule 21.05. A lawyer shall adopt such measures as
may be required to prevent those whose services
are utilized by him from disclosing or using
confidences or secrets of the client.
Rule 21.06. A lawyer shall avoid indiscreet
conversation about a client’s affairs even with
members of his family.
Rule 21.07. A lawyer shall not reveal that he
has been consulted about a particular case
except to avoid possible conflict of interest.
See also Rules 15.01 and 14.03.
Disclosures, When Allowed
• Rule 21.01(a) refers to a waiver by the
client. Only the client as a rule can waive the
privilege.
• Rule 21.01 (b) and (c) are for the protection
of the attorney’s rights against abuse by
the client or false charges by third persons
[Agpalo (2004)].
Rule 21.04. A lawyer may disclose the affairs of a
client of the firm to partners or associates thereof
unless prohibited by the client.
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The employment of one member of a law firm
is generally considered as employment of the
law firm [Agpalo (2004)].
Privileged Communications
Rule 15.02. A lawyer shall be bound by the rule
on privileged communication in respect of
matters disclosed to him by a prospective client.
Purpose: To make the prospective client
free to discuss whatever he wishes with the
lawyer without fear that what he tells the
lawyer will not be divulged nor used against
him, and for the lawyer to be equally free to
obtain information from the prospective client
[IBP Committee].
Requisites:
1. The person to whom information is given is
a lawyer. However, if a person is pretending
to be a lawyer and the client discloses
confidential communications, the attorney-
client privilege applies. This includes
persons appointed as counsel de officio.
2. There is a legal relationship
existing, except in cases of prospective
clients.
3. Legal advice must be sought from
the attorney in his professional capacity
with respect to communications relating to
that purpose.
4. The client must intend that the
communication be confidential.
Persons Entitled to Privilege
1. The lawyer, client, and third persons
who by reason of their work have
acquired information about the case being
handled, including:
a. Attorney’s secretary, stenographer
and clerk;
b. Interpreter, messengers, or
agents transmitting communication;
c. Accountant, scientist, physician,
or engineer who has been hired
for effective consultation.
2. Assignee of the client’s interest as far as the
communication affects the realization of the
assigned interest.
Scope:
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1. Period to be considered is the date when
the privileged communication was made by
the client to the attorney in relation to either
a crime committed in the past, or
with respect to a crime intended to
be committed in the future. If the crime
was committed in the past, the privilege
applies. If it is still to be committed, the
privilege does not apply because
the communication between a lawyer and
his client must be for a lawful purpose or
in furtherance of a lawful end to be
privileged [People v. Sandiganbayan, G.R.
Nos. 115439-41 (1997)].
2. Limited only to communications which are
legitimately and properly within the scope of
a lawful employment of a lawyer. It does not
extend to those made in contemplation of a
crime or perpetration of a fraud. It is not
within the profession of a lawyer to advise a
client as to how he may commit a crime
[Genato v. Silapan, A.C. No. 4078 (2003)].
3. Embraces not only oral or
written statements but also actions, signs or
other means of communications.
4. An attorney cannot, without the consent
of his client, be examined as to
any communication made by the client to
him or his advice given thereon in the
course of professional employment; nor
can an attorney’s secretary, stenographer,
or clerk be examined, without the consent of
the client and his employer, concerning
any fact the knowledge of which has
been acquired in such capacity [Sec. 24(b),
Rule 130].
General Rule: As a matter of public policy,
a client’s identity should not be shrouded in
mystery. Thus, a lawyer may not invoke the
privilege and refuse to divulge the name or
identity of this client.
Exceptions: Client identity is privileged in the
following instances:
1. Where a strong probability exists
that revealing the client's name would
implicate that client in the very activity for
which he sought the lawyer's advice;
2. Where disclosure would open the client to
civil liability; or
3. Where the government’s lawyers have no
case against an attorney’s client unless, by
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revealing the client’s name, the said name
would furnish the only link that would form
the chain of testimony necessary to convict
an individual of a crime [Regala v.
Sandiganbayan, G.R. No. 105938 (1996)].
Information relating to the identity of the
client may fall within the ambit of the privilege
when the client’s name itself has an
independent significance, such that disclosure
would then reveal client confidences [Regala
v. Sandiganbayan, supra].
General Rule: The protection given to the
client is perpetual and does not cease with
the termination of the litigation, nor is it affected
by the client’s ceasing to employ the attorney
and retaining another, or by any other change
of relation between them. It even survives
the death of the client [Bun Siong Yao v.
Aurelio, A.C. No. 7023 (2006)].
Exception: Some privileged communications
lose their privileged character by some
supervening act done pursuant to the purpose
of the communication (e.g., a communication
intended by the client to be sent to a third
person through his attorney loses confidential
character once it reaches the third party).
Betrayal of Trust: Revelation of Secrets
Any attorney-at-law who, by any malicious
breach of professional duty or of inexcusable
negligence or ignorance shall prejudice his
client or reveal any of the secrets learned by
him in his professional capacity shall be
criminally liable [Art. 209, RPC].
Conflict of Interest
Rule 15.01. A lawyer, in conferring with a
prospective client, shall ascertain as soon as
practicable whether the matter would involve a
conflict with another client or his own interest, and if
so, shall forthwith inform the prospective client.
Rule 15.03. A lawyer shall not represent conflicting
interests except by written consent of all concerned
given after a full disclosure of the facts.
Requisites:
1. There are conflicting duties;
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2. The acceptance of the new relations
invites or actually leads to unfaithfulness
or double-dealing to another client; or
3. The attorney will be called upon to
use against his first client any knowledge
acquired in the previous employment.
There is conflict of interest when a lawyer
represents inconsistent interests of two or
more opposing parties [Hornilla v. Salunat,
A.C. No. 5804 (2003)].
Concurrent or Multiple Representations –
Generally occurs when a lawyer represents
clients whose objectives are adverse to each
other, no matter how slight or remote such
adverse interest may be.
The Tests for Concurrent or Multiple
Representations:
1. Whether the acceptance of a new relation
will prevent an attorney from the full
discharge of his duty of undivided fidelity
and loyalty to his client or invite suspicion
of unfaithfulness or double-dealing in its
performance.
2. If the acceptance of the new retainer will
require the attorney to perform an act which
will injuriously affect his first client in any
matter in which he represented him and also
whether he will be called upon in his new
relation to use against the first client any
knowledge acquired through their
connection.
3. Whether or not on behalf of one client, it is
the lawyer’s duty to fight for an issue or
claim, but it is his duty to oppose it for the
other client [Hornilla v. Salunat, supra].
4. Whether the lawyer will be asked to use
against his former client any confidential
information acquired through their
connection or previous employment [Palm
v. Iledan, Jr., A.C. No. 8242 (2009)]
What is material in determining whether
there is conflict of interest in the
representation is probability, not certainty
of conflict.
A lawyer is prohibited from representing new
General Rule: Representing adverse interest clients whose interests oppose those of a
may result in: former client in any matter, whether or not they
are parties in the same action or on totally
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1. Disqualification as counsel in the
new case;
2. If prejudicial to interests of latter
client, setting aside of a judgment;
3. Administrative and criminal (for betrayal
of trust) liability;
4. Forfeiture of attorney’s fees.
Exception: Representation of conflicting
interests is allowed where clients knowingly
consent to the dual representation.
Exception to the Exception: A lawyer
cannot continue representing a client in an
action even with the client’s consent after the
lawyer brings suit on his own behalf, against
the defendant if it is uncertain whether the
defendant will be able to satisfy both
judgments. A lawyer is not authorized to have
financial stakes in the subject matter of the suit
brought on behalf of his client [Gamilla v.
Marino Jr., A.C. No. 4763 (2003)].
Rule 15.04. A lawyer may, with the written consent
of all concerned, act as mediator, conciliator or
arbitrator in settling disputes.
General Rule: A lawyer may not represent two
opposing parties at any point in time. A lawyer
need not be the counsel-of-record of either
party. It is enough that the counsel had a hand
in the preparation of the pleading of one party.
Exception: When the parties agree AND when
such is for amicable settlement [Agpalo
(2004)].
The lack of “delicadeza” or sense of decency
is not a legal ground for administrative
disciplinary action under the CPR. At best, the
respondent can be said to have merely
exercised independence of judgment as a
lawyer when he defended the interest of other
member-consumers of CAPELCO. The Court
will not hesitate to extend its protective arm to
lawyers when accusation against them is not
indubitably proven. [Burgos v. Atty. Bereber,
A.C. No. 12666.]
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unrelated cases. As such, a law firm must
organize and implement a system by which it
would have been able to keep track of all cases
assigned to its handling lawyers to ensure that
every engagement it accepts stands clear of
any potential conflict of interest. [Anglo v. Atty.
Valencia, et.al, A.C. No. 10567.]
Fiduciary Duty
CANON 16. A lawyer shall hold in trust all moneys
and properties of his clients that may come into his
possession.
Lawyers cannot acquire or purchase, even at
a public or judicial auction, either in person or
through the mediation of another, the
property and rights which may be the object of
any litigation in which they take part by virtue of
their profession [Art. 1491(5), Civil Code].
Purpose: The prohibition is based on the
existing relation of trust or the lawyer’s peculiar
control over the property.
The duty of a lawyer is derived from the law
on agency which requires separation,
accounting, notification and delivery by agents
possessing the principal’s property [Funa].
Requisites:
1. There is an attorney-client relationship;
2. The property or interest of the client is
in litigation;
3. The attorney takes part as counsel in
the case;
4. The attorney purchases or acquires
the property or right, by himself or through
another, during the pendency of litigation
[Laig v. CA, G.R. No. L-26882 (1978)].
Rule 16.01. A lawyer shall account for all money or
property collected or received for or from the client.
Purpose: The lawyer merely holds said money
or property in trust.
Atty. Rivera’s act of receiving money from the
client as filing fees and then later appropriating
the same for his own benefit is an act of
deception against the client. When receiving
money for a particular purpose, lawyers are
bound to render an accounting of how the
money was spent, and if not spent, are bound
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LEGAL AND JUDICIAL ETHICS
to return the same to the client. [Professional
Services v. Atty. Socrates, A.C. No. 11241
(2020)].
Double Disbarment: Just recently, in A.C. No.
9114, Reyes v. Rivera, the Court already
disbarred Atty. Rivera. Considering that the
Court had already imposed upon him the
ultimate penalty of disbarment in an earlier
complaint, the penalty of another disbarment
can no longer be imposed upon him. The
reason is obvious: “once a lawyer is disbarred,
there is no penalty that could be imposed
regarding his privilege to practice law."
[Professional Services v. Atty. Socrates, supra]
A lawyer who concealed the fact that her
client’s complaint was already dismissed and
misused the latter’s manager’s check to settle
an obligation of another client in an unrelated
case deserves the ultimate penalty of
disbarment. [Agaton v. Atty. Cruz, A.C. No.
11023].
When a lawyer collects or receives money from
his client for a particular purpose (such as for
filing fees, registration fees, transportation
and office expenses), he should promptly
account to the client how the money was
spent. If he does not use the money for its
intended purpose, he must immediately return
it to the client [Belleza v. Macasa, A.C. No.
7815 (2009)].
A lawyer who has received money from the
client has the duty to account for the money
collected. The continued delay of the lawyer to
pursue his client’s case alongside their failure
to return the funds upon demand, gave rise to
the presumption that the lawyer appropriated
the same for his own use [Dongga-as v. Atty.
Cruz-Angeles, A.C. No. 11113 (2016)].
Fidelity to Client’s Cause
(See Part f., Canon 19 for i. Use of Fair and
Honest Means, ii. Client’s Fraud, iii.
Procedure in Handling Cases)
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CANON 17. A lawyer owes fidelity to the cause of
his client and he shall be mindful of the trust and
confidence reposed in him.
The failure to exercise due diligence and the
abandonment of a client’s cause makes such a
lawyer unworthy of the trust which the client
has reposed on him [Cantiller v. Potenciano,
A.C. No. 3195 (1989)].
Canon 18: Duty of Competence and
Diligence
CANON 18. A lawyer shall serve his client with
competence and diligence.
A lawyer’s neglect of a legal matter entrusted
to him by his client constitutes inexcusable
negligence for which he must be held
administratively liable. It is a clear violation of
Rule 18.03 when a lawyer not only failed to
exercise due diligence in handling the
annulment case of his client but also failed to
render any legal services despite the receipt of
legal fees. [Francia v. Atty. Sagario, A.C. No.
10938.]
Failure to keep clients informed of status of
their case is a ground for suspension from the
practice of law. [Portuguese, Jr. v. Atty. Centro,
A.C. No. 12875.]
A lawyer who “took matters into his own hands”
by hurling offensive words and physically
assaulting the complainant in a humiliating
fashion is guilty of violating the Lawyer’s Oath
and the CPR. [Dap-og v. Atty. Mendez, A.C.
No. 12017.]
Adequate Preparation
Rule 18.02. A lawyer shall not handle any legal
matter without adequate preparation.
A lawyer should give adequate attention,
care, and time to his cases. This is the reason
why a practicing lawyer should accept only so
many cases he can handle [Legarda v. CA,
G.R. No. 94457 (1991)].
Negligence
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Rule 18.03. A lawyer shall not neglect a legal matter
entrusted to him, and his negligence in connection
therewith shall render him liable.
If by reason of the lawyer’s negligence, actual
loss has been caused to his client, the latter
has a cause of action against him for damages
[Callanta].
General Rule: A client is bound by the
attorney’s conduct, negligence, and mistake in
handling the case or in management of
litigation and in procedural technique, and he
cannot be heard to complain that the result
might have been different had his lawyer
proceeded differently.
Doctrine of Imputed Knowledge: Notice to
counsel is notice to client.
Exception: The client is not so bound where
the ignorance, incompetence, or inexperience
of a lawyer is so great and the error so serious
that the client, who has a good cause, is
prejudiced and denied a day in court [People v.
Manzanilla, G.R. No. L-17436 (1922); Alarcon
v. CA, G.R. No. 126802 (2000)].
Note: What amounts to carelessness nor
negligence in a lawyer’s discharge of his duty
to client is incapable of exact formulation. It will
depend upon the circumstances of the case.
Collaborating Counsel
Rule 18.01. A lawyer shall not undertake a legal
service which he knows or should know that he is
not qualified to render. However, he may render
such service if, with the consent of his client, he can
obtain as collaborating counsel a lawyer who is
competent on the matter.
A collaborating counsel is a lawyer who is
subsequently engaged to assist another lawyer
already handling a particular case for a client.
He cannot just enter his appearance as
collaborating counsel without the conformity of
the first counsel.
The same diligence of the first counsel is
required of the collaborating counsel [Sublay v.
NLRC, G.R. No. 130104 (2000)].
Duty to Apprise Client
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Rule 18.04. A lawyer shall keep the client
informed of the status of his case and shall
respond within a reasonable period of time to
client’s request for information.
Duty to Keep the Client Fully Informed
1. The client must receive from the lawyer, full
and periodic updates on the developments
affecting the case;
2. The lawyer should apprise the client of the
mode and the manner which he is utilizing
to defend the client’s interests;
3. The lawyer must advise the client of the
risks, alternatives and their consequences;
and
4. The client must be informed within the
period to appeal to enable him to decide
whether or not he will still seek appellate
review of an adverse decision.
LEGAL AND JUDICIAL ETHICS
Deeds shows his moral and legal unfitness to
remain in the legal profession. [Ting-Dumali v.
Atty. Torres, A.C. No. 5161].
Any lawyer has the duty to know the entire
history of a case, especially if any litigation has
commenced. A lawyer should never take
advantage of the seemingly endless channels
left dangling by our legal system in order to
wangle the attention of the court. [Dimagiba v.
Montalvo, Jr., A.C. No. 1991].
Client’s Fraud
Rule 19.02. A lawyer who has received
information that his client has, in the course of the
representation, perpetrated a fraud upon a person
or tribunal, shall promptly call upon the client to
rectify the same, and failing which he shall terminate
the relationship with such client in accordance with
the Rules of Court.

Canon 19: Duty to Serve within Bounds of

Procedure in Handling a Case
Law

Rule 19.03. A lawyer shall not allow his client to

CANON 19. A lawyer shall represent his client with dictate the procedure in handling the case.
zeal within the bounds of the law.

A lawyer’s duty is not to his client but to

the administration of justice. To that end, Within Client’s Within Counsel’s
his client’s success is wholly subordinate and Control Control
his conduct ought to and must always
be unscrupulously observant of law and ethics Substantial Aspect Procedural Aspect
[Maglasang v. People, G.R. No. 90083 (1990)].
The cause of action, All the proceedings in
Use of Fair and Honest Means the claim or demand court to enforce the
sued upon, and the remedy, to bring the
subject matter of the claim, to demand,
Rule 19.01. A lawyer shall employ only fair and litigation are all cause of action, or
honest means to attain the lawful objectives of his
client and shall not present, participate in presenting
within the exclusive subject matter of the
or threaten to present unfounded criminal charges to control of a client. suit to hearing, trial,
obtain an improper advantage in any case or determination,
proceeding. judgment, and
execution are within
the exclusive control
Sec. 20(d), Rule 138, Rules of Court of the attorney
It is the duty of an attorney to employ, for
the purpose of maintaining the causes confided
[Belandres v. Lopez
to him, such means only as are consistent Sugar Central Mill,
with truth and honor, and never seek to mislead G.R. No. L-6869
the judge or any judicial officer by an artifice (1955)].
or false statement of fact or law

A lawyer cannot enter into a compromise

A lawyer advising his clients to forge a agreement for their client without the client’s
signature on a document and subsequently
presenting such document to the Registry of
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written special authority [Sison v. Camacho,
supra].
General Rule: The client has an undoubted
right to enter into a compromise without their
lawyer’s intervention. But when such
compromise is entered into in fraud of the
lawyer, to evade paying for litigation, the
compromise has to be subject to the fees justly
due to the lawyer. The Attorney’s Rights must
be protected [Malvar v. Kraft Foods, G.R. No.
183952 (2013)].
Presumption of Authority
An attorney is presumed to be properly
authorized to represent any cause in which he
appears in all stages of the litigation and no
written authority is required to authorize him to
appear. A mere denial by a party that he has
authorized an attorney to appear, in the
absence of compelling reason, is insufficient to
overcome the presumption especially when the
denial comes after an adverse judgment
[Agpalo (2004)].
Canon 20: Attorney’s Fees
CANON 20. A lawyer shall charge only fair and
reasonable fees.
Nature of Attorney’s Fees
1. Acceptance Fee
2. Retainer’s Fee
3. Fee based on Quantum Meruit
4. Contingency Fee
Concepts of Attorney’s Fees
Dispute on Attorney’s Fees
1. Retaining Fee
2. Charging Fee
Any counsel worthy of his hire is entitled to be
fully recompensed for his services. With his
capital consisting solely of his brains and with
his skill, acquired at tremendous cost not only
in money but in the expenditure of time and
energy, he is entitled to the protection of any
judicial tribunal against any attempt of the part
of the client to escape payment of his fees
[Albano v. Coloma, A.C. No. 528 (1967)].
Factors in determining reasonable
compensation for a lawyer’s services:
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LEGAL AND JUDICIAL ETHICS
Rule 20.01. A lawyer shall be guided by
the following factors in determining his fees:
a. The time spent and the extent of the services
rendered or required;
b. The novelty and difficulty of the
questions involved;
c. The importance of the subject matter;
d. The skill demanded;
e. The probability of losing other employment as a
result of acceptance of the proffered case;
f. The customary charges for similar services and
the schedule of fees of the IBP chapter to which
he belongs;
g. The amount involved in the controversy and the
benefits resulting to the client from the service;
h. The contingency or certainty of compensation;
i. The character of the employment,
whether occasional or established; and
j. The professional standing of the lawyer.
A written contract for services shall control
the amount to be paid therefor unless found by
the court to be unconscionable or
unreasonable [Sec. 24, Rule 138, RoC].
Subject to the availability of funds, the court
may, in its discretion, order an attorney
employed as counsel de officio to be
compensated in such a sum as the court may
fix in accordance with Sec. 24, Rule 138, RoC
[Sec. 32, Rule 138, RoC].
It is a settled rule that what a lawyer may
charge and receive as attorney’s fees is always
subject to judicial control. When he takes his
oath, he submits himself to the authority of the
court and subjects his professional fees to
judicial control. [Sesbreño v. C.A., G.R. No.
117438.]
When there is no express contract
The absence of a formal contract will not
negate the payment of attorney’s fees because
the contract may be expressed or implied. In
the absence of an express contract, payment
of attorney’s fees may be justified by virtue of
the innominate contract of facio ut des (I do and
you give) which is based on the principle that
“no one shall enrich himself at the expense of
another” [Corpus v. CA, G.R. No. L-40424
(1980)].
Manners by which attorneys may be paid:
• A fixed or absolute fee which is payable
regardless of the result of the case;
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• A fixed fee payable per appearance;
• A fixed fee computed by the number of
hours spent;
• A fixed fee based on a piece of work;
• A contingent fee that is conditioned upon
the securing of a favorable judgment and
recovery of money or property and the
amount of which may be on a percentage
basis;
• A combination of any of the above stipulated
fees.
Rule 20.02. A lawyer shall, in case of referral,
with the consent of the client, be entitled to a
division of fees in proportion to the work performed
and responsibility assumed.
Rule 20.03. A lawyer shall not, without the full
knowledge and consent of the client, accept any fee,
reward, costs, commission, interest, rebate or
forwarding allowance or other compensation
whatsoever related to his professional employment
from anyone other than the client.
Where the court, being familiar with the nature
and extent of an attorney’s services to a client,
has actually fixed and considered the sum of
money awarded in a judgment as the just and
equitable value of such services, no further
hearing is necessary to determine the
attorney’s right to a professional fee especially
if the judgment had already become final and
executory. [De Jesus-Alano v. Tan, G.R. No.
L-9473.]
There is no legitimate expense called
"facilitation" fee. This term is a deodorized word
for bribe money. The Court will not permit the
conversion of a disbarment proceeding into a
remedy for recovering bribe money lost in a
bad deal. [Arellano University Inc. v. Atty.
Mijares III, A.C. No. 8380.]
Acceptance Fees
Acceptance of money from a client
establishes an attorney-client relationship
and gives rise to the duty of fidelity to the
client’s cause [Emiliano Court Townhouses
Homeowners Association v. Dioneda, A.C. No.
5162 (2003)].
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Failure to render the legal services agreed
upon, despite receipt of an acceptance fee, is
a clear violation of the CPR [Macarilay v.
Seriña, A.C. No. 6591 (2005)].
Fees based on Quantum Meruit
Quantum Meruit – “as much as a lawyer
deserves.”
Essential Requisite: Acceptance of the
benefits by one sought to be charged for
services rendered under circumstances as
reasonably to notify him that the
lawyer expects compensation.
When Authorized:
1. The agreement as to counsel fees is invalid
for some reason other than the illegality of
the object of performance;
2. There is no express contract for attorney’s
fees agreed upon between the lawyer and
the client;
3. When there is a formal contract of
attorney’s fees, the stipulated fees are
found unconscionable or unreasonable by
the court;
4. When the contract for attorney’s fees is
void due to purely formal matters or defects
of execution;
5. When the counsel, for justifiable cause,
was not able to finish the case to its
conclusion;
6. When lawyer and client disregard the
contract of attorney’s fees;
7. When there is a contract, but no stipulation
as to attorney’s fees.
Quantum Meruit Guidelines:
1. Time spent and extent of the services
rendered. A lawyer is justified in fixing
higher fees when the case is so
complicated and requires more time and
efforts to finish it.
2. Nature and importance of subject matter.
The more important the subject matter or
the bigger value of the interest or property
in litigation, the higher the attorney’s fees.
3. Novelty and difficulty of questions involved.
When the questions in a case are novel
and difficult, greater efforts, deeper study,
and research are bound to burn the
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lawyer’s time and stamina considering that
there are no local precedents to rely upon.
4. Skill demanded of the lawyer. The totality of
the lawyer’s experience provides him the
skill and competence admired in lawyers.
5. Loss of opportunity for other employment on
the part of the lawyer who accepts the
retainer. It is only fair that a client should
compensate his lawyer for being deprived of
the chance to earn legal fees from others by
reason of his employment at his counsel.
6. Results secured. The importance to a client
of his lawyer’s services depends upon the
successful outcome of his litigation.
7. Whether the fee is contingent. Capacity of
client to pay.
The above rules apply in the case of a counsel
de parte. A counsel de officio may not demand
from the accused attorney’s fees even if he
wins the case. However, subject to availability
of funds, the court may, in its discretion, order
an attorney employed as counsel de officio to
be compensated in such sum as the court may
fix.
Contingency Fee
LEGAL AND JUDICIAL ETHICS
Rationale for Contingent Fee Contracts
Contracts of this nature are permitted because
they redound to the benefit of the poor client
and the lawyer especially in cases where the
client has meritorious cause of action, but no
means which to pay for the legal services
unless he can, with the sanction of law, make
a contract for a contingent fee to be paid out of
the proceeds of the litigation [Rayos v. Atty.
Hernandez, supra].
Limitation of the Stipulation Regarding
Contingent Fee Contract
It must be reasonable based on the
circumstances of the case. Contingency
contracts are under the supervision and close
scrutiny of the court in order that clients may be
protected from just charges. Its validity
depends on the measure or reasonableness of
the stipulated fees under the circumstances of
the case. Stipulated attorney’s fees must not
be unconscionable where the amount is by far
so disproportionate compared to the value of
the services rendered as to amount to fraud
perpetrated to the client [Sesbreño v. CA, G.R.
No. 117438 (1995)].

One which stipulates that the lawyer will be An award of attorney’s fees has always been
paid for his legal services only if the suit or the exception rather than the rule. Attorney’s
litigation ends favorably to the client [Taganas fees are not awarded every time a party
v. NLRC, G.R. No. 118746 (1995)]. prevails in a suit. Nor should an adverse
decision ipso facto justify an award of
A contingent fee arrangement is valid in this attorney’s fees to the winning party. [NPC v.
jurisdiction and is generally recognized as valid Heirs of Macabangkit Sangkay, G.R. No.
and binding but must be in an express contract. 165828.]
The amount of contingent fee to be agreed
upon by the parties is subject to the stipulation Champertous Contracts
that counsel will be paid for his legal services
only if the suit or litigation prospers. A much
Champertous Contingent Contract
higher compensation is allowed as contingency
Contract
and consideration of the risk that the lawyer
may get nothing if the suit fails [Rayos v. Atty. A champertous A contingent contract is
Hernandez, supra]. contract is one an agreement in which
Note: If a lawyer employed on contingent basis where the lawyer the lawyer’s fee, usually
dies or becomes disabled before the final stipulates with his a fixed
adjudication or settlement of the case has been client that he will percentage of what
obtained, he or his estate will be allowed to bear all the may be recovered in
recover the reasonable value of the services expenses for the the action, is made to
rendered. The recovery will be allowed only prosecution of the depend upon the
after the successful termination of the litigation case, the success in the effort to
in the client's favor [Morton v. Foresee, Ann. recovery of things enforce or defend the
Cas. (1914); Lapena (2009)]. or property being client’s right. The lawyer

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2. Lawful possession by lawyer of the client’s
Champertous Contingent Contract
funds, documents and papers in his
Contract
professional capacity; and
claimed, and the does not 3. Unsatisfied claim for attorney’s fees or
latter pays only up undertake to shoulder disbursements.
on successful the expenses of
litigation. litigation. Charging Lien
He shall also have a lien to the same extent
This contract is It is a valid agreement. upon all judgments for the payment of money,
void for being and executions issued in pursuance of such
against public judgments, which he has secured in a litigation
policy. of his client. This lien exists from and after the
time when he shall have caused:
1. A statement of his claim of such lien to be
Concepts of Attorney’s Fees entered upon the records of the court
rendering such judgment, or issuing
Ordinary Extraordinary such execution; and
Concept Concept 2. Written notice thereof to be delivered to his
client and to the adverse party.
An attorney’s An attorney’s fee is an
fee is the indemnity for damages Requisites:
reasonable ordered by the court to 1. Attorney-client relationship;
compensation be paid by the losing 2. The attorney has rendered services;
paid to a party to the prevailing party 3. A money judgment favorable to the client
lawyer for the in litigation. The basis of has been secured in the action; and
legal services this is any of the cases 4. The attorney has a claim for attorney’s fees
he has authorized by law and is or advances statement of his claim has
rendered to a payable not to the lawyer been recorded in the case with notice
client. Its basis but to the client – unless served upon the client and adverse party.
of this they have agreed that the
compensation award shall pertain to the Rule 20.04. A lawyer shall avoid controversies
is the fact of lawyer as additional with clients concerning his compensation and
employment by compensation or as part shall resort to judicial action only to prevent
the client. thereof [Traders Royal imposition, injustice or fraud.
Bank Employees Union-
Independent v. NLRC, Judicial Actions to Recover Attorney’s
G.R. No. 120592 (1997)]. Fees:
1. An appropriate motion or petition as an
Dispute on Attorney’s Fees incident in the main action where he
rendered legal services;
Retaining Lien 2. A separate civil action for collection of
An attorney shall have a lien upon the funds, attorney’s fees.
documents and papers of his client which have
lawfully come into his possession. Thus:
1. He may retain the same until his lawful fees Canon 22: Termination of Lawyer-Client
and disbursements have been paid; Relationship
2. May apply such funds to the satisfaction
thereof [Sec. 37, Rule 138, RoC]. CANON 22. A lawyer shall withdraw his services
only for good cause and upon notice appropriate in
Requisites: the circumstances.
1. Attorney-client relationship;
Grounds for Termination:
1. Withdrawal of the lawyer;
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2. Death of the lawyer;
3. Disbarment or suspension of the lawyer
from the practice of law;
4. Declaration of presumptive death of the
lawyer;
5. Conviction of a crime and imprisonment of
the lawyer;
6. Discharge or dismissal of the lawyer by the
client;
7. Appointment or election of a lawyer to a
government position which prohibits
private practice of law;
8. Death of the client;
9. Intervening incapacity or incompetence of
the client during pendency of case;
10. Full termination of the case.
General Rule: The client has the right to
discharge his attorney at any time with or
without just cause or even against his consent.
Exceptions:
1. The client cannot deprive his counsel of
right to be paid services if the dismissal is
without cause.
2. The client cannot discharge his counsel as
an excuse to secure repeated extensions of
time.
3. Notice of discharge is required for both the
court and the adverse party [Agpalo
(2004)].
A client may at any time dismiss his attorney or
substitute another in his place, but if the
contract between the client and the attorney
has been reduced to writing and the dismissal
was without justifiable cause, he shall be
entitled to recover from the client the full
compensation stipulated in the contract [Sec.
26, Rule 138, RoC].
Duties of Attorneys
• To maintain allegiance to the Republic
• To observe and maintain the respect due to
the courts
• To counsel or maintain just and honest
actions or proceedings
• To employ truth and honorable means and
to never mislead the judge or any judicial
officer
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• To maintain the confidence and secrets of
his client, and to not accept compensation
related to his client’s business except with
his consent
• To abstain from all offensive personality
• Not to encourage or delay any man's cause
from any corrupt motive or interest
• Never to reject, for any consideration
personal to himself, the cause of the
defenseless or oppressed
• In the defense of a person accused of crime,
to present every defense by all fair and
honorable means regardless of his personal
opinion as to the guilt of the accused [Sec.
20, Rule 138, RoC]
Rule 22.01. A lawyer may withdraw his services
in any of the following cases:
a. When the client pursues an illegal or immoral
course of conduct in connection with the matter
he is handling;
b. When the client insists that the lawyer pursue
conduct violative of these canons and rules;
c. When his inability to work with co-counsel will
not promote the best interest of the client;
d. When the mental or physical condition of the
lawyer renders it difficult for him to carry out the
employment effectively;
e. When the client deliberately fails to pay the fees
for the services or fails to comply with the
retainer agreement;
f. When the lawyer is elected or appointed to public
office; and
g. Other similar cases.
Duties of Lawyers in Case of Death of
Parties Represented
Rule 22.02. A lawyer who withdraws or is
discharged shall, subject to a retaining lien,
immediately turn over all papers and property to
which the client is entitled, and shall cooperate with
his successor in the orderly transfer of the matter,
including all information necessary for the proper
handling of the matter.
Requirements of a Valid Substitution of
Counsel:
1. The filing of a written application for
substitution;
2. The client’s written consent;
3. The written consent of the attorney to be
substituted.
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At the discretion of the court, a lawyer, who has
been dismissed by a client, is allowed to
intervene in a case in order to protect the
client’s rights [Obando v. Figueras, G.R. No.
134854 (2000)].
The offensive attitude of a client is not an
excuse to just disappear and withdraw from a
case without notice to the court and to the
client, especially when attorney’s fees have
already been paid [Chang v. Hidalgo, A.C. No.
6934 (2016)].
C. Suspension, Disbarment And
Discipline Of Lawyers
Rule 139-B as amended by B.M. No. 1645
1. Nature and Characteristics of
Disciplinary Actions Against Lawyers
a. Sui Generis
• They belong to a class of their own;
• Neither purely civil nor purely criminal; They
do not involve a trial of an action or a suit
but are rather an investigation by the Court
into the conduct of its officers;
• Not meant to grant relief to a complainant,
but is intended to cleanse the ranks of the
legal profession of its undesirable members
from the public [Tiong v. Florendo, A.C. No.
4428 (2011)].
How Initiated
• May be initiated by any interested
person or by the Court motu proprio
• The Court merely calls upon
a member of the Bar to account for his
actuations in the exercise of its
disciplinary power
• The right to institute proceedings is not
confined to the lawyer’s clients
Presumption: Attorneys are innocent of the
charges made against him until the contrary is
proven. The burden of proof always rests on
the complainant. [Joven and Rasing v. Cruz
and Magsalin, A.C. No. 7686 (2013)]. It
requires substantial evidence.
b. Prescription of Actions
• An administrative complaint against a
member of the bar does not
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prescribe. [Frias v. Bautista-Lozada [A.C.
No. 6656 (2006)]
Other Characteristics
1. Investigation is not interrupted
or terminated by reason of the desistance,
settlement, compromise, restitution,
withdrawal of the charges, or failure of
the complainant to prosecute the same
[par. 2, Sec. 5, Rule 139-B, RoC].
2. Proceedings against attorneys shall be
private and confidential. However, the
final order of the Supreme Court shall
be published like its decisions in other
cases [Sec. 18, Rule 139-B, RoC].
• To prevent extraneous influence or
interference on investigations by the
Court;
• To protect the personal and professional
reputation of attorneys and judges from
baseless charges of irresponsible clients;
• To deter the press from publishing cases
without authority [Saludo, Jr. v. CA, G.R.
No. 121404 (2006)];
• To prevent malicious, unauthorized, and
premature publication of cases [Saludo,
Jr. v. CA, supra].
3. Laws on double jeopardy, in pari delicto,
prescription or with procedure do not apply
[Pimentel, Jr. v. Llorente, A.C. No. 4680
(2000)].
4. Proceedings are distinct and independent of
civil or criminal cases, thus, whatever has
been decided cannot be a source of right
that may be enforced in another action.
Such judgment may only be given weight
when introduced as evidence, but in no
case does it bind the court in the civil action
[Esquivias v. CA, G.R. No. 119714 (1997)].
5. Proceedings do not violate the due process
clause. When instituted in proper cases, the
proceeding itself is due process of law [In
re: Montagne, G.R. No. 1107 (1904)].
6. The rule in criminal cases that the penalty
cannot be imposed in the alternative
applies, which also involve punitive
sanctions [Navarro v. Meneses III, A.C. No.
313 (1998)].
7. Monetary claims cannot be granted except
restitution and return of monies
and properties of the during the lawyer-
client relationship.
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2. Grounds for Disbarment
Suspension
a. Deceit, malpractice, or other gross
misconduct in office
b. Grossly immoral conduct
c. Conviction of a crime involving moral
turpitude
d. Any violation of the lawyer’s oath
e. Willful disobedience of any lawful order of a
superior court
f. Corruptly or willfully appearing as an
attorney without authority so to do [Sec. 27,
Rule 138-B, RoC]
3. Proceedings
Bar Matter No. 1645 (Re: Amendment of Rule 139-
B)
Institution of the Proceedings by any of the ff.:
1. Supreme Court, motu proprio
2. IBP Board of Governors, motu proprio, or
upon referral by the
a. Supreme Court
b. Chapter Board of Officers or
c. at the instance of any person
Six (6) copies of the verified complaint shall
be filed with the Secretary of the IBP or
Secretary of any of its chapter who shall
forthwith transmit the same to the IBP Board
of Governors for assignment to an
investigator.
The complaint must allege specific acts
which constitute particular breachers of the
law, the CPR, or ethics. Otherwise, the
complaint must fail.
PROCEEDINGS IN THE IBP1
LEGAL AND JUDICIAL ETHICS
or
Submission of investigative report to the IBP of
Board of Governors.
The IBP Board of Governors reviews and decides
within 30 days.
The Board then transmits its recommendation,
either the dismissal of the complaint or the
imposition of disciplinary action, to the Supreme
Court within 10 days from resolution.
PROCEEDINGS IN THE SUPREME COURT
The Supreme Court reviews the decision of the IBP
Board of Governors.
If the Supreme Court is not satisfied, the Court may
refer the matter to the Office of the Bar Confidant
for further investigation.
The Supreme Court renders the final decision for
disbarment/suspension/dismissal.
In Bar Matter No. 1645 (Re: Amendment of
Rule 139-B), dated October 13, 2015, the
Supreme Court issued new rules governing
administrative disciplinary cases against
lawyers:
• Investigation by the Solicitor General is no
longer required.
• Only the Supreme Court can dismiss cases
against lawyers; it cannot be delegated to
the IBP. Thus, the provision in Rule 139-B
that the Board of Governors can dismiss
cases has been repealed.
• The motive of the complainant and his/her
action/inaction after the filing of a verified
complaint against a lawyer are not essential
to the proceedings.

Meritorious Unmeritorious D. Notarial Practice

(Service)
Complaint shall be
served to the
respondent lawyer Board of Governors
who is required to
answer within 15
days from the date of
service.
(Dismissal)
A.M. No. 02-8-13-SC, as amended
Investigator will
recommend to the • 2004 Rules on Notarial Practice or Notarial
Rules
to dismiss the • Amended by the Court en banc via two
complaint.
resolutions:
o Resolution dated February 12, 2008; and
o Resolution dated February 19, 2008.

1 Dismissal of complaints filed against lawyers is a

power of the Supreme Court that cannot be delegated

to the IBP.
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Notary Public
• one appointed by the Court whose duty
is to attest to the genuineness of any
deed or writing in order to render them
available as evidence of the facts stated
therein and who is authorized by statute
to administer various oaths [E.O. 292]
1. Qualifications of a Notary Public
a. Must be a Filipino citizen;
b. Must be over 21 years old;
c. Must be a resident of the Philippines for at
least 1 year;
d. Must maintain a regular place of work or
business in the city or province where
commission is to be issued;
e. Must be a member of the Philippine Bar in
good standing, with clearances from (i) the
Office of the Bar Confidant of the Supreme
Court, and (ii) the IBP; and
f. Must not have been convicted in the first
instance of any crime involving moral
turpitude [Sec. 1, Rule III].
2. Term of Office of a Notary Public
Sec. 11, Rule III. A person commissioned as notary
public may perform notarial acts in any place within
the territorial jurisdiction of the commissioning court
for a period of 2 years commencing the first day
of January of the year in which the
commissioning is made, unless earlier revoked or
the notary public has resigned under these Rules
and the Rules of Court.
Sec. 13, Rule III. A notary public may file a written
application with the Executive Judge for the
renewal of his commission within 45 days before
the expiration thereof.
A lawyer, during the period of his/her
suspension, is barred from engaging in notarial
practice as he/she is deemed not a member of
the Philippine Bar in good standing, which is
one of the essential requisites to be eligible as
a notary public. Atty. Sederiosa is suspended
from the practice of law for 2 years, and his
notarial commission is revoked and
permanently disqualified. [Cansino v.
Sederiosa, A.C. No. 8522 (2020)]
3. Powers and Limitations
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Notarization is not an empty, meaningless
and routinary act. It converts a private
document into a public instrument, making it
admissible as evidence without the necessity
of preliminary proof of its authenticity and due
execution [Sicat v. Ariola, A.C. No. 5864
(2005)].
Powers
A notary public can perform the following
notarial acts:
1. Acknowledgments;
2. Oaths and affirmations;
3. Jurats;
4. Signature witnessing;
5. Copy certifications; and
6. Any other act authorized by the Notarial
Rules [Sec. 1(a), Rule IV].
a. Certifying the affixing of signature by
thumb or other mark on an instrument or
document presented for notarization
[Sec. 1(b), Rule IV].
b. Signing on behalf of a person who is
physically unable to sign or make a mark
on an instrument or document [Sec. 1(c),
Rule IV].
Acknowledgment - one represents to the
notary public that the signature was voluntarily
affixed for the purposes stated in the
instrument AND declares the instrument was
executed as a free and voluntary act
Common requirements for
Acknowledgment
1. Appears in person before the notary public
and presents an integrally complete
instrument or document
2. Is attested to be personally known to the
notary public or identified by the notary
public through competent evidence of
identity as defined by the Notarial Rules
Oath or affirmation - one avows under penalty
of law to the whole truth
Jurat - one signs the instrument and takes an
oath or affirmation before the notary public as
to such
Signature Witnessing - one signs the
instrument in the presence of the notary public
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Copy Certification - one presents an
instrument or document that is neither a vital
record, a public record, nor publicly recordable;
the notary public copies or supervises the
copying of the instrument or document,
compares the instrument or document with the
copy; and determines that the copy is
accurate and complete [Sec. 4, Rule II].
Certifying the Affixing of Signature by
Thumb/ Other Mark
A notary public is authorized if:
1. The thumb or other mark is affixed in the
presence of the notary public and of two (2)
disinterested and unaffected witnesses to
the instrument or document;
2. Both witnesses sign their own names in
addition to the thumb or other mark;
3. The notary public writes below the thumb or
other mark: “Thumb or Other Mark affixed
by (name of signatory by mark) in the
presence of (names and addresses of
witnesses) and undersigned notary public”;
and
The notary public notarizes the signature by
thumb or other mark through an
acknowledgment, jurat, or signature witnessing
[Sec. 1(b), Rule IV].
Signing on Behalf of a Person Who is
Physically Unable to Sign or Make a Mark
A notary public is authorized if:
1. The notary public is directed by the person
unable to sign or make a mark to sign on his
behalf;
2. The signature of the notary public is affixed
in the presence of two disinterested and
unaffected witnesses to the instrument or
document;
3. Both witnesses sign their own names;
4. The notary public writes below his
signature: “Signature affixed by notary in
presence of (names and addresses of
person and two witnesses)”; and
5. The notary public notarizes his signature by
acknowledgment or jurat [Sec. 1(c), Rule
IV].
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“Physically unable to sign” does not include
the situation where a person is physically
unable to sign because he is in another place.
Limitations
A. Relating to Notarial Acts
General Rule: A notary public shall not
perform any notarial act outside his regular
place of work or business
Exception: At the request of the parties,
he/she may perform any notarial act at the
following sites located within his territorial
jurisdiction:
1. Public offices, convention halls, and similar
places where oaths of office may be
administered;
2. Public function areas in hotels and similar
places for the signing of instruments or
documents requiring notarization;
3. Hospitals and other medical institutions
where a party to an instrument or document
is confined for treatment; and
4. Any place where a party to an instrument or
document requiring notarization is under
detention [Sec. 2(a), Rule IV]
A notary public is disqualified from
performing a notarial act if he/she:
1. Is a party to the instrument or document that
is to be notarized;
2. Will receive, as a direct or indirect result,
any commission, fee, advantage, right, title,
interest, cash, property, or other
consideration, except as provided by the
Notarial Rules and by law; or
3. Is a spouse, common-law partner, ancestor,
descendant, or relative by affinity or
consanguinity of the principal within the
fourth civil degree [Sec. 3, Rule IV]
A person shall not perform a notarial act:
• If the person involved as signatory to the
instrument or document:
a. Is not in the notary's presence personally
at the time of the notarization; and
b. Is not personally known to the notary
public or otherwise identified by the
notary public through competent
evidence of identity as defined by the
Notarial Rules [Sec. 2(b), Rule IV].
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• If the notary knows or has good reason to
believe that the notarial act or transaction is
unlawful or immoral;
• If the signatory shows a demeanor which
engenders in the mind of the notary public
reasonable doubt as to the former's
knowledge of the consequences of the
transaction requiring a notarial act; and
• If in the notary's judgment, the signatory is
not acting of his or her own free will [Sec. 4,
Rule IV
A notary public shall not:
1. Execute a certificate containing information
known or believed by the notary to be false;
2. Affix an official signature or seal on a
notarial certificate that is incomplete [Sec. 5,
Rule IV];
3. Notarize a blank or incomplete instrument or
document; or
4. Notarize an instrument or document without
appropriate notarial certification [Sec. 6,
Rule IV].
B. Relating to Notarial Register
In the notary's presence, any person may
inspect an entry in the notarial register, during
regular business hours, provided:
1. The person's identity is personally known to
the notary public or proven through
competent evidence of identity as defined in
the Notarial Rules;
2. The person affixes a signature and thumb or
other mark or other recognized identifier, in
the notarial register in a separate, dated
entry;
3. The person specifies the month, year, type
of instrument or document, and name of the
principal in the notarial act or acts sought;
and
4. The person is shown only the entry or
entries specified by him.
The notarial register may be examined by a law
enforcement officer in the course of an official
investigation or by virtue of a court order.
If the notary public has a reasonable ground to
believe that a person has a criminal intent or
wrongful motive in requesting information from
the notarial register, the notary shall deny
access to any entry or entries therein [Sec. 4,
Rule VI].
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Atty. Pasok notarized the document evidencing
the Real Estate Mortgage and received part of
the proceeds specifically in the amounts of
P162,178.03 and P23,782.00. By notarizing
the mortgage document and subsequently
receiving part of the proceeds thereof, Atty.
Pasok violated Rule 4, Section 3 of the 2004
Rules of Notarial Practice which states:
A notary public is disqualified from performing
a notarial act if he (b) will receive, as a direct or
indirect result, any commission, fee,
advantage, right, title, interest, cash, property,
or other consideration, except as provided by
these Rules and by law. Atty. Pasok is
suspended from the practice of law for 5 years,
and his notarial commission is revoked and
disqualified from reappointment as notary
public for 5 years. [Elanga v. Pasok, A.C. No.
12030 (2020)]
The truth or falsity of the contents of the letter
is the responsibility of the affiant and not of the
notary public, especially since no substantial
evidence was presented to prove that he
knowingly notarized a false document. The
Court adopted the IBP’s recommendation to
dismiss the complaint against Atty. Amazona
for lack of merit. [Ick v. Amazona, A.C. No.
12375 (2020)].
4. Notarial Register
A notarial register refers to a permanently
bound book with numbered pages containing a
chronological record of notarial acts performed
by a notary public [Sec. 5, Rule II].
A notary public is required to keep and maintain
a Notarial Register wherein he will record his
every notarial act. Failure to keep such is a
ground for revocation of his notarial
commission [Agadan, et al. v. Kilaan, A.C. No.
9385 (2013)].
5. Jurisdiction of Notary Public and
Place of Notarization
General Rule: A notary public shall not
perform a notarial act outside his regular place
of work or business.
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Exception: On certain exceptional occasions
or situations, a notarial act may be performed
at the request of the parties on the following
sites located within his territorial jurisdiction.
A person commissioned as notary public may
perform notarial acts in any place within the
territorial jurisdiction of the commissioning
court [Sec. 11, Rule III].
The jurisdiction of a notary public in a province
shall be co-extensive with the province. The
jurisdiction of a notary public in the City of
Manila shall be co-extensive with said city. No
notary shall possess authority to do any act
beyond the limits of his jurisdiction [Sec. 274,
Art II, Revised Administrative Code].
See also Limitations relating to Notarial
Acts above.
6. Competent Evidence of Identity
A. At least one current identification document
• Issued by an official agency bearing the
photograph and signature of the individual
such as but not limited to:
• Passport, Driver's License, Professional
Regulation Commission ID, NBI clearance,
police clearance, postal ID, voter’s ID,
Barangay certification, GSIS e-card, SSS
card, PhilHealth card, senior citizen card,
OWWA ID, OFW ID, seaman’s book, alien’s
certificate of registration/immigrant
certificate of registration, government office
ID, certification from the NCWDO, DSWD
certification; etc.
• A Community Tax Certificate has been
deleted because of its inherent unreliability
[Advance Paper Corporation v. Arma
Traders Corporation, G.R. No. 176897
(2013)].
No proof of identity is required if the notary
public personally knows the person
executing the sworn statements.
B. The oath or affirmation of:
• One credible witness not privy to the
instrument, document or transaction who is
personally known to the notary public and
who personally knows the individual; or
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• Two credible witnesses neither of whom is
privy to the instrument, document or
transaction who each personally knows the
individual and shows to the notary public
documentary identification [Sec. 12, Rule II,
as amended by Resolution dated Feb. 19,
2008].
7. Sanctions
Administrative Sanctions
The Executive Judge may motu proprio initiate
administrative proceedings against a notary
public and impose the appropriate
administrative sanctions on the grounds for
revocation of commission mentioned [Sec.
1(d), Rule XI].
An order imposing disciplinary sanctions shall
be immediately executory pending appeal,
unless otherwise ordered by the Supreme
Court.
The names of notaries who have been
administratively sanctioned will be posted in a
conspicuous place in the offices of the
Executive Judge and the Clerk of Court [Sec.
3, Rule XI].
Criminal Sanctions
The Executive Judge shall cause the
prosecution of any person who:
1. Knowingly acts or otherwise impersonates a
notary public;
2. Knowingly obtains, conceals, defaces, or
destroys the seal, notarial register, or official
records of a notary public; and
3. Knowingly solicits, coerces, or in any way
influences a notary public to commit official
misconduct. [Sec. 1, Rule XI].
Atty. Amores was held administratively liable
when he notarized a document without the
presence of the signatory and failed to indicate
his commission number in the notarial
certificate. [Kiener v. Atty. Ricardo R. Amores,
A.C. No. 9417 (2020)]
In being careless in failing to secure and keep
his notarial seal in a safe place away from any
person not authorized to use the same, Atty.
Belaro violated the Notarial Law and the CPR.
His negligence extended to his reportorial
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duties as notary public. Although he appeared
not to have notarized the Deed of Absolute
Sale and the Acknowledgement Receipt yet he
entered the same in his Notarial Registry Book.
Had respondent Atty. Belaro been meticulous
and cautious in the performance of his duties,
he would have noticed from the start that he did
not notarize the subject instruments and
exclude the same from his Notarial Registry
Book. [Ang v. Belaro, Jr., A.C. No. 12408
(2019)]
A lawyer, during the period of his/her
suspension, is barred from engaging in notarial
practice as he/she is deemed not a member of
the Philippine Bar in good standing, which is
one of the essential requisites to be eligible as
a notary public. Atty. Sederiosa is suspended
from the practice of law for 2 years, and his
notarial commission is revoked and
permanently disqualified. [Cansino v.
Sederiosa, supra]
A notary public is disqualified from performing
a notarial act if he (b) will receive, as a direct or
indirect result, any commission, fee,
advantage, right, title, interest, cash, property,
or other consideration, except as provided by
these Rules and by law. Atty. Pasok is
suspended from the practice of law for 5 years,
and his notarial commission is revoked and
disqualified from reappointment as notary
public for 5 years. [Elanga v. Pasok, supra]
The truth or falsity of the contents of the letter
is the responsibility of the affiant and not of the
notary public, especially since no substantial
evidence was presented to prove that he
knowingly notarized a false document. The
Court adopted the IBP’s recommendation to
dismiss the complaint against Atty. Amazona
for lack of merit. [Ick v. Amazona, supra]
II. JUDICIAL ETHICS
A. Sources
1. New Code of Judicial Conduct for
the Philippine Judiciary
Judicial Independence:
Bangalore Draft of the Code of Judicial ● Pre-requisite to the rule of law
Conduct ● A fundamental guarantee of a fair trial
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• Approved by the Judicial Group on
Strengthening Judicial Integrity during the
Roundtable Meeting of Chief Justices held
at the Peace Palace in The Hague in
November 2022
• The Draft is intended to be the Universal
Declaration of Judicial Standards.
Principles of the Bangalore Draft
a. A universal recognition that a competent,
independent and impartial judiciary is
essential if the courts are to fulfill their role
in upholding constitutionalism and the rule
of law;
b. Public confidence in the judicial system and
in the moral authority and integrity of the
judiciary is of utmost importance in a
modern democratic society;
c. It is essential that judges, individually and
collectively, respect and honor the judicial
office as a public trust and strive to enhance
and maintain confidence in the judicial
system.
New Code of Judicial Conduct for the
Philippine Judiciary
• Draft Code was promulgated on April 27,
2004, through A.M. No. 03-05-01-SC and
given effect on June 1, 2004.
Purpose: The New Code seeks to not only
update and correlate the Code of Judicial
Conduct and the Canons of Judicial Ethics
adopted for the Philippines, but also to stress
the Philippines’ solidarity with the universal
clamor for a universal code of judicial ethics.
2. Code of Judicial Conduct
The New Code of Judicial Conduct supersedes
the Canons of Judicial Ethics (1946) and the
Code of Judicial Conduct (1989). However, in
case of deficiency or absence of specific
provisions, the Canons of Judicial Ethics and
the Code of Judicial Conduct shall be
applicable in a suppletory character.
B. Qualities
1. Independence (Canon 1)
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Hence, a judge shall uphold and exemplify
independence in both:
● Individual aspect, and
● Institutional aspect [Canon 1, First
Paragraph]
Note: Two aspects of independence:
institutional independence and personal
independence
How judges shall exercise judicial
independently:
a) Through their assessment of the facts and
b) In accordance with a conscientious
understanding of the law
Their assessment must be free of any
extraneous influence, inducement, pressure,
threat or interference, direct or indirect, from
any quarter or for any reason [Sec. 1, Canon
1].
Note: What is expected of judges is to exercise
their judicial functions on the basis solely on a
fair assessment of the facts and applying the
proper provision of law
Judicial conduct or judgment shall be
independent of any influence or
relationships:
Judicial Colleagues
Judges shall be independent
● from judicial colleagues in respect of
decisions which they are obliged to decide
independently. [Sec. 2, Canon 1]
○ Judges shall refrain from influencing in
any manner the outcome of litigation or
dispute pending before another court or
administrative agency [Sec. 3, Canon 1]
● In relation to society in general and in
relation to the particular parties to a dispute
he/she has to adjudicate. [Sec. 6, Canon 1]
Inappropriate connections with and
influence by the executive and legislative
branches of the government
● Judges shall be free and must appear to be
free therefrom to a reasonable observer.
[Sec. 5, Canon 1]
Family, social or other relationships
● shall not influence judicial conduct or
judgment. [Sec. 4, Canon 1]
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Prestige of judicial office
● must not be used to advance private
interests of others, or
● to convey that they are in a special position
to influence the judge. [Ibid]
Note: Judges must not be influenced by any
kind of influence from any party involved in or
interested with the case.
Canon 1 mandates that judges should be free
from external influence, administer justice
impartially and without delay, and be vigilant to
any attempt to undermine the institutional
freedom of the judiciary.
Thus, the fact that the complainant and his
sympathizers had staged a rally demanding
that the judge issue a warrant of arrest against
the accused is not a sufficient excuse for the
judge’s haste in fixing bail without a hearing
[Libarios v. Dabalos, A.M. No. RTJ-89-1286
(1991)].
In another case, it was held that the respondent
judge’s admission to have succumbed to
pressure from a national official in deciding the
case in favor of the complainant is a patent
betrayal of the public trust reposed on her as
an arbiter of the law. The judge should thus be
dismissed from the service with forfeiture of
retirement benefits and with prejudice to any
reinstatement in any branch of the government
or its instrumentalities [Ramirez v. Corpus-
Macandong, A.M. Nos. R-351, 359, 621, 684
(1986)].
2. Integrity (Canon 2)
A judge shall ensure that their conduct is above
reproach and also perceived to be so in the
eyes of a reasonable observer [Sec. 1, Canon
2].
Integrity applies not only to the proper
discharge of the judicial office but also extends
to the personal demeanor of the judge. [Canon
2, First Paragraph]
Judges must adhere to the highest standard of
conduct and must be the embodiment of
competence, integrity, and independence. A
judge’s private and official conduct must be
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free from appearances of impropriety and
beyond reproach. Respondent judge violated
the code of judicial conduct when he was seen
socializing with the congresswoman-mother of
one of the accused and the accused’s counsel.
A judge is not only required to be impartial but
must also appear to be impartial [Dela Cruz v.
Bersamira A.M. No. RTJ-00-567 (2000)].
3. Impartiality (Canon 3)
Impartiality is essential to the proper discharge
of the judicial office and applies not only to the
decision itself but also to the process by which
the decision is made. [Canon 3, Code of
Judicial Conduct]
Sec. 5, Canon 3 provides for the
disqualification of judicial officers from
proceedings judges are unable to or appear the
be unable to decide the matter impartially:
a) Bias over a party or personal knowledge of
disputed evidentiary facts;
b) Served as a lawyer or was a material
witness;
c) Judge or his/her family member has
economic interest over the outcome of the
controversy;
d) Served as executor, administrator,
guardian, trustee or lawyer in the case, or
as former associate of the judge;
e) His/her ruling in a lower court is the subject
of review;
f) Relationship by consanguinity or affinity to a
litigant (within the 6th civil degree) or
counsel (within the 4th civil degree);
g) Judge knows that his or her spouse or child
has a financial interest as heir, legatee,
creditor, fiduciary, or otherwise in the
controversy, or any other interest.
Notwithstanding the judge’s
disqualification, he/she may still participate
in the proceeding.
When: After the judge discloses his/her
disqualification, the parties and lawyers,
independently of the judge’s participation, may
all agree in writing that the reason for inhibition
is immaterial or unsubstantial. (Sec. 6, Canon
3)
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How: Instead of withdrawing from the
proceeding, a judge who is disqualified may
instead disclose on the records the basis of his
or her disqualification. [Ibid]
The agreement, signed by all parties and
lawyers, shall be incorporated in the record of
the proceedings. [Ibid]
While the judge has misgivings on the
imposition of the death penalty due to religious
reasons, he is duty-bound to apply the law and
a court of law is not a place for a protracted
debate on the morality or propriety of a
sentence [People v. Veneracion, G.R. Nos.
119987-88 (1995)].
4. Propriety (Canon 4)
Propriety and the appearance of propriety are
essential to the performance of all the activities
of a judge.
While judges are entitled to freedom of
expression, belief, association and assembly,
they must always conduct themselves in a
manner preserving the dignity, impartiality, and
independence of the judiciary [Sec. 6, Canon
4].
Canon 4 includes the appearance of propriety.
Thus, a judge’s act of posting seductive photos
in her social media account contravened the
ethical standard set forth under Canon 4. While
judges are allowed free expression, they must
remember that they do not shed their status as
judges. Their ethical responsibilities as a judge
are carried with them even in the cyberspace
[Lorenzana v. Austria, A.M. No. RTJ-09-2200
(2014)].
Judges and court personnel who participate in
social media are enjoined to be cautious and
circumspect in posting photos, liking posts, and
making comments in public in social
networking sites [OCA Circular No. 173-2017,
Proper Use of Social Media (2017)].
5. Equality (Canon 5)
Ensuring equality of treatment to all before the
courts is essential. Therefore, Judges should:
a) Be aware of, and understand diversity in
society and differences arising from various
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sources, including but not limited to race,
color, age, sex, religion, nationality, sexual
orientation, marital status, and socio-
economic status [Sec. 1];
b) Not manifest bias in the performance of their
judicial duties on irrelevant grounds [Sec. 2];
c) Carry out duties and responsibilities with
appropriate consideration to all parties
without differentiation on irrelevant grounds
[Sec. 3];
d) Not knowingly permit staff under his
influence, direction, or control, to
differentiate between persons concerned on
irrelevant grounds [Sec. 4];
e) Require lawyers in proceedings before their
courts, to refrain from manifesting bias or
prejudice based on irrelevant grounds
except those legally relevant to the issue
and are subject to legitimate advocacy [Sec.
5].
6. Competence and Diligence (Canon
6)
Competence and diligence are prerequisites to
the due performance of judicial office. Thus,
Canon 6 provides:
a) That the judicial duties of a judge take
precedence over all other activities [Sec. 1];
b) That judges must devote their professional
activity to judicial duties which include their
judicial functions but also other tasks
relevant to the court’s operations [Sec.
2];
c) That judges will take the necessary steps
to maintain their knowledge, skills, and
personal qualities necessary for the
proper performance of their judicial
duties [Sec. 3];
d) That judges shall keep themselves
informed about the relevant
developments of international law, and
international conventions regarding
human rights norms [Sec. 4];
e) That judges shall perform their duties
efficiently, fairly, and with reasonable
promptness [Sec. 5];
f) That judges should maintain order and
decorum in proceedings before the court
and be patient, dignified, and courteous to
litigants, witnesses, and lawyers with whom
they deal with in an official capacity. Judges
must also require the same kind of conduct
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from legal representatives, and court staff
under his influence, direction, and control
[Sec. 6]; and
g) That judges shall not engage in conduct
incompatible with the diligent discharge of
their judicial duties [Sec. 7].
Thus, a judge claiming to be endowed with
“psychic powers” and who claims that such
powers aid him in the performance of his duties
indicate a lack of competence. Respondent
judge’s preoccupation with paranormal and
psychic phenomena may cloud his judgment
and hamper his role as a judge dispensing
justice. He must therefore be dismissed from
the service due to a medical disability of the
mind rendering him unfit to discharge the
functions of his office [OCA v. Judge Floro,
A.M. Nos. RTJ-99-1460, 99-7-273-RTC, & 99-
1460 (2006)].
Further, the court has held that while it is true
that a judge may have an overload of cases,
this is no excuse for his failure to file an already
signed decision with the Clerk of Court for over
170 days. It must be reiterated to the members
of the Judiciary that it is their sworn duty to
administer justice without undue delay under
the time-honored precept that justice delayed
is justice denied [Castro v. Malazo, A.M. No.
1237-CAR (1980)].
Qualifications of Members of the Supreme
Court:
a) Natural-born citizen of the Philippines;
b) At least forty years of age;
c) Must have been for fifteen years or more, a
judge of a lower court or engaged in the
practice of law in the Philippines; [Sec. 7(1),
Art. VIII]
d) Must be a person of proven competence,
integrity, probity and independence.
[Sec.7(3), Art. VIII]
Qualifications of Members of the Court of
Appeals:
a) Natural-born citizen of the Philippines; [Sec.
7(1), Art. VIII]
b) Must be a person of proven competence,
integrity, probity and independence.
(Sec.7(3), Art. VIII]
c) Section 7. Qualifications. – The Presiding
Justice and the Associate Justice shall have
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the same qualifications as those provided in
Constitution for Justice of the Supreme
Court. (Sec. 7, B.P. Blg. 129)
Qualifications of Members of the
Sandiganbayan:
a) Natural-born citizen of the Philippines; [Sec.
7(1), Art. VIII]
b) At least forty years of age;
c) For at least ten years, have been a judge of
a court of record or have been engaged in
the practice of law in the Philippines or have
held office requiring admission to the bar as
a pre-requisite for a like period; (Sec. 4, JBC
No. 2020-01, citing Sec. 1, P.D. 1606, as
amended)
d) Must be a person of proven competence,
integrity, probity and independence.
[Sec.7(3), Art. VIII]
Qualifications of Members of the Court of
Tax Appeals:
a) Natural-born citizen of the Philippines; [Sec.
7(1), Art. VIII]
b) Must be a person of proven competence,
integrity, probity and independence.
(Sec.7(3), Art. VIII]
c) SEC. 5. Additional Qualifications for
Members of the Court of Tax Appeals. –
Members of the Court of Tax Appeals shall
have the same qualifications as the
Members of the Court of Appeals. (Sec. 5,
JBC No. 2020-01, citing Sec. 1, R.A. No.
1125, as amended by R.A. No. 9282)
Qualifications of Regional Trial Court (RTC)
Judges, RTC Judges-at-Large and Family
Court Judges:
a) Natural-born citizen of the Philippines; [Sec.
7(1), Art. VIII]
b) Must be a person of proven competence,
integrity, probity and independence.
(Sec.7(3), Art. VIII]
c) At least thirty-five (35) years of age; and,
d) For at least ten (10) years, have been
engaged in the practice of law in the
Philippines or have held a public office in the
Philippines requiring admission to the
practice of law as an indispensable
requisite. (Sec. 7, JBC No. 2020-01, citing
Sec. 15, B.P. Blg. 129, as amended by Sec.
4, Family Courts Act and Sec. 3, Judges-at-
Large Act)
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Qualifications of Judges of Courts of First
Level (Metropolitan Trial Court [METC],
Municipal Trial Court in Cities [MTCC],
Municipal Trial Court [MTC], Municipal
Circuit Trial Court [MCTC]) and Municipal
Trial Court Judges-at-Large):
a) Natural-born citizen of the Philippines; [Sec.
7(1), Art. VIII]
b) Must be a person of proven competence,
integrity, probity and independence.
(Sec.7(3), Art. VIII]
c) At least thirty years (30) of age; and,
d) For at least five (5) years, have been
engaged in the practice of law in the
Philippines or have held a public office in the
Philippines requiring admission to the
practice of law as an indispensable requisite
[Sec. 9, JBC No. 2020-01, citing Sec. 26,
B.P. Blg. 129, as amended by Sec. 5,
Judges-at-Large Act].
C. Disqualification Of Judicial
Officers
1. Compulsory
No judge or judicial officer shall sit in any case,
without the written consent of all parties in
interest and entered upon the record, in which:
a. He, or his wife or child, is pecuniarily
interested as heir, legatee, creditor or
otherwise; or
b. He is related to either party within the 6th
degree of consanguinity or affinity, or to
counsel within the 4th degree, computed
according to the rules of civil law;
c. He has been executor, administrator,
guardian, trustee or counsel; or
d. He has presided in any inferior court when
his ruling or decision is the subject of review
[Sec. 1(1), Rule 137 of the Rules of Court].
Sec. 5, Canon 3 makes an enumeration when
judges should disqualify themselves. It notes of
the following instances where they are unable
to decide the matter impartially or which may
appear to a reasonable observer that they are
unable to act with impartiality. The cases
include:
a. Actual bias or prejudice concerning a party
or personal knowledge of the disputed
evidentiary facts;
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b. Judge previously served as a lawyer or is a
material witness on the matter;
c. The judge or a member of his family has a
material interest in the outcome of the
controversy;
d. Judge previously served as an executor,
administrator, guardian, trustee, or lawyer,
in the controversy;
e. That the judge’s ruling in a lower court is the
subject of review;
f. Relation of the judge by consanguinity or
affinity to a party litigant within the sixth civil
degree or to counsel within the fourth civil
degree;
g. The judge knows that his or her spouse or
child has a financial interest as an heir,
legatee, creditor, fiduciary or otherwise in
the controversy, or has any other interest
that could substantially be affected by the
outcome of the proceedings.
Note: The enumeration in Sec. 5, Canon 3 is
not exclusive. The proviso states that such
instances may include but are not limited to
the enumeration in Section 5.
The law conclusively presumes that a judge
cannot objectively or impartially sit in such a
case and, for that reason, prohibits him and
strikes at his authority to hear and decide it, in
the absence of written consent of all parties
concerned. The purpose is to preserve the
people's faith and confidence in the courts'
justice [Garcia v. De La Peña, A.M. No. MTJ-
92-687 (1994)].
The relationship of the judge with one of the
parties may color the facts and distort the law
to the prejudice of a just decision. Where this is
probable or even only possible, due process
demands that the judge inhibit himself, if only
out of a sense of delicadeza [Javier v.
COMELEC, G.R. No. L-68379-81 (1996)].
GROUNDS FOR COMPULSORY INHIBITION
OF A JUDGE
a. Actual Bias or Prejudice
In Umale v. Villaluz (1973), a judge inhibited
himself from trying a robbery case due to his
personal knowledge of the case. The Supreme
Court stated that it is possible that the
respondent Judge might be influenced by his
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personal knowledge of the case when he tries
and decides the same on the merits, which
would certainly constitute a denial of due
process to the party adversely affected by his
judgment or decision. Thus, it is best that after
some reflection, the judge, on his own initiative,
disqualifies himself from hearing the robbery
case and thereby rendering himself available
as witness to any of the parties subject to
cross-examination.
In People v. Gomez (1967), the judge
dismissed criminal informations on the
suspicion, arising from a dinner invitation from
a stranger and a subsequent personal
investigation, that the court was being used as
a forum for extortion and exploitation of the
persons charged. The Supreme Court found
that this unstated extraneous matter makes the
dismissal as one affected with partiality and
bias. The prayer of the judge to be disqualified
in hearing the case because he has lost all
respect in the manner in which the prosecutor
has been prosecuting the case was granted.
b. Economic Interest of Judge or his Family
In Oktubre v. Velasco (2004), a municipal
judge, as private complainant, caused three
criminal complaints to be filed before his own
court. He also issued a warrant of arrest and
subpoenas before finally inhibiting himself from
hearing the cases. The Supreme Court found
him guilty of grave misconduct, gross
ignorance of the law and grave abuse of
authority and dismissed him from service. It
stated that the idea that a judge can preside
over his own case is anathema to the notion of
impartiality and that his subsequent inhibition
from the three cases does not detract from his
culpability for he should not have taken
cognizance of the cases in the first place.
c. Reviewing Own Cases
In Sandoval v. CA (1996), the Supreme Court
found that an Associate Justice who only partly
presided over a case in the trial court and who
did not render the final decision cannot be said
to have been placed in a position where he had
to review his own decision and, as such, was
not legally bound, on this ground, to inhibit
himself as ponente of the case. Nevertheless,
it was held that he should have voluntarily
inhibited himself for his earlier involvement in
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the case constitutes just or valid reason under
Sec. 1, Rule 137. A judge should not handle a
case in which he might be perceived, rightly or
wrongly, to be susceptible to bias and partiality.
d. Previously Served as Counsel
A judge may validly disqualify himself due to his
bias and prejudice. [However,] bias and
prejudice cannot be presumed [Soriano v.
Angeles, G.R. No. 109920 (2000)]. The mere
imputation of bias or partiality is not sufficient
for a judge to inhibit, especially when the
charge is without basis. It must be proven with
clear and convincing evidence [Gochan v.
Gochan, G.R. No. 143089 (2003)]. Moreover, it
has been held that bias and prejudice must be
shown to have stemmed from an extrajudicial
source and result in an opinion on the merits on
some basis other than the evidence presented
[Aleria v. Velez, G.R. No. 127400 (1998)].
Disqualification was also allowed when the
judge had been previously associated with a
party as counsel [Austria v. Masaquel, (1978)],
had notarized the affidavit of a person to be
presented as witness [Mateo v. Villaluz, G.R.
Nos. L-34756-59 (1973)], or if he was a
material witness to a case [AmJur; Lewis v.
State, (2002)]
2. Voluntary
A judge may, in the exercise of his sound
discretion, disqualify himself from sitting in a
case, for just or valid reasons other than those
mentioned [Sec. 1(2)].
A judge must maintain and preserve the trust
and faith of the parties-litigants. He must hold
himself above reproach and suspicion. At the
very first sign of lack of faith and trust in his
actions, whether well-grounded or not, the
judge has no other alternative but to inhibit
himself from the case.
A judge may not be legally prohibited from
sitting in a litigation, but when circumstances
appear that will induce doubt to his honest
actuations and probity in favor of either party,
or incite such state of mind, he should conduct
a careful self-examination. He should exercise
his discretion in a way that the people's faith in
the courts of justice is not impaired. The better
course for the judge under such circumstances
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is to disqualify himself. That way, he avoids
being misunderstood, his reputation for probity
and objectivity is preserved [Bautista v.
Rebueno, G.R. No. L-46117 (1978)].
A judge should not be disqualified because he
was a classmate (or a co-member in a
fraternity) of one of the counsels if there is no
proof that such a relationship results in actual
bias or prejudice. To allow disqualification
would unnecessarily burden other trial judges
to whom the case will be assigned. Confusion
would result, because a judge would then be
barred from sitting in a case whenever one of
his former classmates (and he could have
many) appeared [Masadao and Elizaga, cited
in Lex Pareto (2014)].
The mere fact that a counsel who is appearing
before a judge was one of those who
recommended him to the Bench is not a valid
ground from voluntary inhibition. “Utang na
loob” per se should not be a hindrance to the
administration of justice. Nor should
recognition of such value prevent the
performance of judicial duties. However, where
the judge admits that he may be suspected of
surrendering to the persuasions of utang na
loob, and he may succumb to it considering
that he and members of the family no less shall
ever remain obliged in eternal gratitude to the
recommending counsel, the judge should
inhibit himself [Query of Executive Judge
Estrella Estrada, etc., A.M. No. 87-9-3918-RTC
(1987) cited in Lex Pareto (2014)].
The mere imputation of bias or partiality is not
enough ground for inhibition, especially when
the charge is without basis. Extrinsic evidence
must further be presented to establish bias,
bad faith, malice, or corrupt purpose, in
addition to palpable error which may be
inferred from the decision or order itself
[Philippine Commercial International Bank v.
Dy Hong Pi, G.R. No. 171137 (2009)].
The objecting party to his competency may, in
writing, file with the subject official his objection
and its grounds. The said official may, in
accordance with his determination of the
question of his disqualification, either: 1)
proceed with the trial or 2) withdraw therefrom.
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The decision of the said official shall be in
writing and filed with the other papers in the
case, but no appeal or stay shall be allowed
from, or by reason of, his decision in favor of
his own competency, until final judgment in the
case [Sec. 2].
D. Discipline and Administrative
Jurisdiction Over Members of
the Judiciary
The members of the Supreme Court and
judges of lower courts shall hold office during a
good behavior until they reach the age of
seventy years or become incapacitated to
discharge the duties of their office [Sec. 11, Art.
VIII, 1987 Constitution].
1. Supreme Court
a. Impeachment
Members of the Supreme Court may be
removed from office on impeachment for, and
conviction of, culpable violation of the
Constitution, treason, bribery, graft and
corruption, other high crimes, or betrayal of
public trust [Sec. 2, Article XI, 1987
Constitution].
The impeachment of public officials has been
established for removing otherwise
constitutionally tenured and independent public
officials.
The power to initiate impeachment cases rests
with the House of the Representatives while
the power to try the same rests with the Senate.
Based on Sec. 3, Article VI, 1987 Constitution,
the steps leading to impeachment are as
follows:
a. A verified complaint for impeachment is filed
by a member of the House or endorsed by
him;
b. The complaint is included in the order of
business of the House;
c. The House refers the complaint to the proper
committee;
d. The committee holds a hearing, approves
the resolution calling for impeachment, and
submits the same to the House;
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e. The House considers the resolution and
votes to approve it by at least one third of all
its members, which resolution becomes the
article of impeachment to be filed with the
Senate when approved; and
f. The Senate tries the public official under the
article [J. Abad, Separate Concurring
Opinion, Gutierrez v. HOR Committee on
Justice, G.R. No. 193459 (2011)].
In In re: Charges of Plagiarism, etc. against
Associate Justice del Castillo, A.M. No. 10-7-
17-SC (2011), the sole disciplining authority of
all impeachable officers, including Justices of
the Supreme Court, is Congress.
Impeachment, though a political process, also
serves as an administrative disciplinary
proceeding against an impeachable officer as
they are not subject to the ordinary disciplinary
proceeding initiated by the Judiciary or the
Executive.
Note: In Republic vs. Sereno the Supreme
Court granted the quo warranto petition of the
government thereby removing Chief Justice
Sereno from office. The court reasoned that
impeachment refers to an offense done by the
public official during his term of office and there
is a presumption that said official legally holds
that office. In a quo warranto proceeding, the
question goes to the legality of the
appointment. There is no question on the
validity of the officer’s title to the office in an
impeachment hearing [Republic v. Sereno,
G.R. No. 237428, (2018)].
2. Lower Court Judges and Justices
a. Sanctions Imposed by the Supreme
Court on Erring Members of the
Judiciary
Judicial Immunity
General rule: A judge cannot be subjected to
liability – civil, criminal, or administrative –
when he acts within his legal powers and
jurisdiction, even though such acts are
erroneous. [Agpalo (2004)].
● In the absence of fraud, dishonesty or
corruption, the acts of judge in his
judicial capacity are not subject to
disciplinary actions, even though these
may be erroneous, provided he acted
in good faith and without malice
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[Equatorial Realty Development v.
Anunciacion Jr., A.M. No. MTJ-91-562
(1997)].
Proper remedy: not an administrative charge
against the judge, but an appeal or a petition
for review of his decision [Equatorial Realty
Development v. Anunciacion Jr., supra].
Purpose:
● A judicial officer, in exercising the authority
vested in him, shall be free to act upon his
own convictions, without apprehension of
personal consequences to himself.
● To preserve the integrity and independence
of the judiciary [Equatorial Realty
Development v. Anunciacion Jr., supra].
Exceptions: A judge may be held criminally,
civilly or administratively liable
Civil Liability
● Refusal or neglect without just cause by a
public servant to perform his official duty
[Art. 27, Civil Code].
● Directly or indirectly obstructing, defeating,
violating or in any manner impeding or
impairing civil liberties guaranteed by the
Constitution [Art. 32, Civil Code].
Criminal Liability
a. Under the RPC:
1. Knowingly rendering an unjust judgment
[Art. 204]
2. Judgment rendered through negligence
[Art. 205]
LEGAL AND JUDICIAL ETHICS
3. Knowingly rendering an unjust
interlocutory order [Art. 206]
4. Malicious delay in the administration of
justice [Art. 207]
5. Direct bribery [Art. 210]
6. Indirect bribery [Art. 211]
7. Infidelity in the custody of documents [Art.
226]
8. Open disobedience [Art. 231]
9. Prolonging performance of duties [Art.
237]
10. Abandonment of office [Art. 238]
11. Disobeying requisites for disqualification
[Art. 242]
12. Abuses against chastity [Art. 245]
13. Falsification by a public officer [Art. 171]
b. Under Special Laws
1. Plunder [R.A. No. 7080]
2. Anti-Graft and Corrupt Practices Act [R.A.
No. 3019]
3. Violation of the Code of Conduct of Public
Officials [R.A. No. 6713]
4. Violation of Omnibus Election Code
5. Violation of the right to counsel [E.O. 155]
6. Transfer of unlawfully acquired property
[R.A. No. 1379]
Administrative Liability
On September 11, 2001, the Court approved
A.M. No. 01-8-10-SC which amended Rule 140
of the Rules of Court which governed the
discipline of justices and judges.
Administrative charges are classified as
serious, less serious, or light [Sec. 7]. See the
table below for the grounds, offenses, and
corresponding sanctions imposed:

Serious Charges Less Serious Charges Light Charges

1. Bribery, direct or 1. Undue delay in rendering 1. Vulgar and

indirect; a decision or order, or in unbecoming conduct;
2. Dishonesty and transmitting the records of a 2. Gambling in public;
violations of the Anti-Graft case; 3. Fraternizing with
and Corrupt Practices Law 2. Frequently and unjustified lawyers and litigants with
(R.A. No. 3019); absences without leave or pending case/cases in
3. Gross misconduct habitual tardiness; his court; and
Grounds
constituting violations of 3. Unauthorized practice of 4. Undue delay in the
the Code of Judicial law; submission of monthly
Conduct; 4. Violation of Supreme reports.
4. Knowingly rendering Court rules, directives, and
anunjust judgment or order circulars;
as determined by a 5. Receiving additional or
competent court in an double compensation unless

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Serious Charges Less Serious Charges Light Charges

appropriate proceeding; specifically authorized by

5. Conviction of a crime law;
involving moral turpitude; 6. Untruthful statements in
6. Willful failure to pay a the certificate of service; and
just debt; 7. Simple misconduct [Sec.
7. Borrowing money or 9]
property from lawyers and
litigants in a case pending
before the court;
8. Immorality;
9. Gross ignorance of the
law or procedure;
10. Partisan political
activities; and
11. Alcoholism and/or
vicious habits [Sec. 8].

1. Dismissal from the 1. Suspension from office 1. A fine of not less than
service, forfeiture of all or without salary and other P1,000.00 but not
part of the benefits as the benefits for not less than one exceeding P10,000.00;
Court may determine, and nor more than three months; and/or
disqualification from or 2. Censure;
reinstatement or 2. A fine of more than 3. Reprimand;
appointment to any public P10,000.00 but not 4. Admonition with
office, including exceeding P20,000.00 warning.
government-owned or
controlled corporations.
Sanctions
Forfeiture of benefits does
[Sec. 11]
not include accrued leave
credits;
2. Suspension from office
without salary and other
benefits for more than
three but not exceeding six
months; or
3. A fine of more than
P20,000.00 but not
exceeding P40,000.00

III. PRACTICAL EXERCISES

A. Demand Letter

[DATE]

[NAME OF ADDRESSEE]

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[ADDRESS]
RE: [SUBJECT]

Dear [NAME],

We are writing in behalf our client [NAME], in the matter of [SUBJECT].

Records disclose that [SUMMARY OF BASIC FACTS SUPPORTING YOUR CLIENT’S

DEMAND/CAUSE OF ACTION].

We wish to inform you that your acts constitute violation of [APPLICABLE LAW OR
CONTRACTUAL STIPULATION].

Accordingly, a demand is hereby made upon you to settle the amount of [AMOUNT] within
____ days from the receipt of this letter. Otherwise, we will be constrained to find recourse in the
courts of law and file the necessary legal action against you to protect the interest of our client.

We trust that you will give this matter your urgent attention.

Yours,
[COUNSEL]

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B. Contract of Sale
Deed of Sale of Motor Vehicle
DEED OF SALE OF MOTOR VEHICLE

KNOW ALL MEN BY THESE PRESENTS:

That I, [NAME OF SELLER], Filipino, of legal age, single/married to [SPOUSE, IF

APPLICABLE], a resident of [ADDRESS OF SELLER], is the lawful owner of a certain motor
vehicle
which is more particularly described as follows:

MAKE : MOTOR NO. :

SERIES : SERIAL/CHASSIS NO. :
TYPE OF BODY: PLATE NO. :
YEAR MODEL : FILE NO. :
C.R. NO. :

That for and in consideration of the sum of [AMOUNT IN WORDS PESOS] (PhP xxx,
xxx.xx), Philippine Currency, receipt whereof is hereby acknowledged to my entire satisfaction, I
hereby sell, transfer and convey by way of Absolute Sale unto [NAME OF BUYER], Filipino, of legal
age, and resident of [ADDRESS OF BUYER], the above described motor vehicle, free from all liens
and encumbrances.

IN WITNESS WHEREOF, the parties have signed this agreement this __th day of [MONTH,
YEAR] at [PLACE OF SIGNING].

(sgd.) (sgd.)
[NAME OF BUYER] [NAME OF SELLER]
VENDEE VENDOR

[If Seller is married, include spousal consent as follows:]

With my consent:

(sgd.)
[NAME OF SPOUSE OF SELLER]

SIGNED IN THE PRESENCE OF:

_________________ _________________

[PLUS ACKNOWLEDGMENT FOR TWO-PARTY INSTRUMENT]

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Bill of Sale (Personal Property)
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

BILL OF SALE

KNOW ALL MEN BY THESE PRESENTS:

I, [NAME OF SELLER], Filipino, single, and resident of [ADDRESS OF SELLER] for and in
consideration of the amount of [AMOUNT IN WORDS PESOS] (PhP xxx,xxx.xx), paid to me today
by [NAME OF BUYER], Filipino, single and resident of [ADDRESS OF BUYER] do hereby SELL,
TRANSFER and CONVEY absolutely and unconditionally unto said [NAME OF BUYER] the
following property:

(Description of property)

I own and have the right to sell and transfer the title and ownership of the above–described
property; I will defend the same against the claims of any and all persons whatsoever.

IN WITNESS WHEREOF, I have signed this instrument this __th day of [MONTH, YEAR] at [PLACE
OF SIGNING].

(sgd). [NAME OF SELLER]

SIGNED IN THE PRESENCE OF:

_________________ _________________

[PLUS ACKNOWLEDGMENT]

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Unilateral Deed of Sale of Registered Land
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

DEED OF ABSOLUTE SALE

KNOW ALL MEN BY THESE PRESENTS:

I, [NAME OF SELLER], Filipino, single/married to [SPOUSE, IF APPLICABLE], and resident

of [ADDRESS OF SELLER] for and in consideration of the amount of [AMOUNT IN WORDS
PESOS] (PhP xxx,xxx.xx), paid to me today by [NAME OF BUYER], Filipino, single and resident of
[ADDRESS OF BUYER] do hereby SELL, TRANSFER and CONVEY absolutely and
unconditionally unto said [NAME OF BUYER] that certain parcel(s) of land, together with the
buildings and improvements thereon situated in the [CITY/MUNICIPALITY OF ____], free from all
liens and encumbrances whatsoever and more particularly described as follows:

(Technical description of property as indicated in the title)

of which I am the registered owner in fee simple, my title thereto being evidenced by
[TRANSFER/ORIGINAL CERTIFICATE TITLE NO.__________], issued by the Register of Deeds
of [CITY/MUNICIPALITY].
.

IN WITNESS WHEREOF, I have signed this instrument this __th day of [MONTH, YEAR] at [PLACE
OF SIGNING].

(sgd). [NAME OF SELLER]

[If Seller is married, include spousal consent as follows:]

With my consent:

(sgd.)
[NAME OF SPOUSE OF SELLER]

SIGNED IN THE PRESENCE OF:

_________________ _________________

[PLUS ACKNOWLEDGMENT]

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Unilateral Deed of Sale of Unregistered Land
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

DEED OF ABSOLUTE SALE

KNOW ALL MEN BY THESE PRESENTS:

I, [NAME OF SELLER], Filipino, single/married to [SPOUSE, IF APPLICABLE], and resident

of [ADDRESS OF SELLER] for and in consideration of the amount of [AMOUNT IN WORDS
PESOS] (PhP xxx,xxx.xx), paid to me today by [NAME OF BUYER], Filipino, single and resident of
[ADDRESS OF BUYER] do hereby SELL, TRANSFER and CONVEY absolutely and
unconditionally unto said [NAME OF BUYER] that certain parcel(s) of land, together with the
buildings and improvements thereon situated in the [CITY/MUNICIPALITY OF ____], free from all
liens and encumbrances whatsoever and more particularly described as follows:

(Description: state the nature of each piece of land and its improvements, situations and boundaries,
area in square meters, e.g. “Bounded on the N. by ____________; on the E. by ___________; on
the S. by ____________; and on the W. by ____________; with an area of ________ square
meters, more or less.”)

THAT the SELLER does hereby declare that the boundaries of the foregoing land are visible by
means of [MONUMENTS, CREEKS, TREES ETC.] that the permanent improvements existing
thereon consist of [LIST VARIOUS IMPROVEMENTS, IF NONE, STATE SO.]; that the land is
assessed for the current year at (PhP xxx.xxx.xx) as per Tax Declaration No. _________, and that
the property is in present possession of the SELLER.

The above described real estate, not having been registered under Act No. 496 nor under the
Spanish Mortgage Law, I have agreed to register this instrument under the provisions of Sec. 194
of the Revised Administrative Code, as amended by Sec. 113 of P.D 1159.

IN WITNESS WHEREOF, I have signed this instrument this __th day of [MONTH, YEAR] at [PLACE
OF SIGNING].

(sgd). [NAME OF SELLER]

[If Seller is married, include spousal consent as follows:]

With my consent:

(sgd.)
[NAME OF SPOUSE OF SELLER]

SIGNED IN THE PRESENCE OF:

_________________ _________________

[PLUS ACKNOWLEDGMENT]

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Bilateral Deed of Sale of Registered Land
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

DEED OF ABSOLUTE SALE

KNOW ALL MEN BY THESE PRESENTS:

This DEED OF ABSOLUTE SALE is made, executed and entered into by:

[NAME OF SELLER], Filipino, single/married to [SPOUSE, IF APPLICABLE], and resident of

[ADDRESS OF SELLER] (SELLER)

-and-

[NAME OF BUYER], Filipino, single/married to [SPOUSE, IF APPLICABLE] and resident of

[ADDRESS OF BUYER] (BUYER)

WITNESSETH

That the SELLER is the registered owner in fee simple of a parcel of land with improvements situated in
the [CITY/MUNICIPALITY OF ____] with [TRANSFER/ORIGINAL CERTIFICATE TITLE
NO.__________], issued by the Register of Deeds of [CITY/MUNICIPALITY] and more particularly
described as follows:

(Technical Description of property as indicated in the title)

That the SELLER for and in consideration of the amount of [AMOUNT IN WORDS PESOS] (PhP
xxx,xxx.xx), does hereby SELL, TRANSFER and CONVEY absolutely and unconditionally unto the
BUYER that certain parcel(s) of land, together with the buildings and improvements thereon free from all
liens and encumbrances whatsoever.

That it is hereby mutually agreed that the BUYER shall bear all expenses for the execution and
registration of this deed of sale.

IN WITNESS WHEREOF, I have signed this instrument this __th day of [MONTH, YEAR] at [PLACE OF
SIGNING].

(sgd.) (sgd.)
[NAME OF BUYER] [NAME OF SELLER]
BUYER SELLER

[If Seller is married, include spousal consent as follows:]

With my consent:

(sgd.) (sgd.)
[NAME OF SPOUSE OF BUYER] [NAME OF SPOUSE OF SELLER]

SIGNED IN THE PRESENCE OF:

_________________ _________________

[PLUS ACKNOWLEDGMENT FOR TWO-PARTY INSTRUMENT]

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C. Contract of Lease
CONTRACT OF LEASE

KNOW ALL MEN BY THESE PRESENTS:

This Agreement made and entered into at [PLACE] this ____ day of [MONTH, YEAR] by and
between [NAME OF LESSOR], of legal age, single/married to [SPOUSE, IF APPLICABLE],
(LESSOR) and resident of [ADDRESS], and [NAME OF LESSEE], of legal age, single and resident
of [ADDRESS] (LESSEE), WITNESSETH that:

1. In consideration of a monthly rental of [AMOUNT IN WORDS PESOS] (PhP xxx,xxx.xx)

and the covenants made below, the LESSOR hereby LEASES to the LESSEE a(n) [PROPERTY]
located at [ADDRESS OF PROPERTY TO BE LEASED] covered by [TCT/TAX DEC. NO.] for a
period of TWELVE (12) MONTHS from signing of this contract.

2. The LESSEE covenants, as follows:

2.1. To pay the rentals on or before the fifth day of each month, without need of demand at
the residence of LESSOR;

2.2. To keep the premises in good and habitable condition, making the necessary repairs
inside and outside the house;

2.3. Not to make major alterations and improvements without the written consent of the
LESSOR and in the event of such unauthorized major alterations and improvements,
surrendering ownership over such improvements and alterations to the LESSOR upon
expiration of this lease;

IN WITNESS WHEREOF, the parties have signed this contract on the date and the place first
mentioned.

(sgd.) (sgd.)
[NAME OF LESSOR] [NAME OF LESSEE]
LESSOR LESSEE

[If Seller is married, include spousal consent as follows:]

With my consent:

(sgd.)
[NAME OF SPOUSE OF LESSOR]

SIGNED IN THE PRESENCE OF:

_________________ _________________

[PLUS ACKNOWLEDGMENT FOR TWO-PARTY INSTRUMENT]

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D. Special Power of Attorney
Special Power of Attorney for Sale of Real Property
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

SPECIAL POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS:

I, [NAME], of legal age, Filipino citizen, with residence and postal address at [ADDRESS], do
hereby NAME, CONSTITUTE, AND APPOINT [NAME OF AGENT/ATTORNEY IN FACT], of legal
age, Filipino citizen, with postal address at [ADDRESS], as my true and lawful attorney-in-fact to
act for and in my name, place and stead and to perform the following acts:

(A) To sell, offer for sale, and come to an agreement as to the purchase price;
(B) To sign for me and in my name; and
(C) To receive payment from the sale of my property more particularly described as follows:

[DESCRIPTION OF PROPERTY]

HEREBY GRANTING unto said attorney-in-fact full power and authority to execute and perform
every act necessary to render effective the power to sell the foregoing properties, as though I myself
have performed it, and HEREBY APPROVING ALL that he/she may do by virtue hereof with full
right of substitution of his/her person and revocation of this instrument.

IN WITNESS WHEREOF, I have hereunto affixed my signature on this ____th day of [MONTH,
YEAR], in [PLACE OF EXECUTION OF INSTRUMENT].

__________________ __________________
[NAME OF PRINCIPAL] [NAME OF AGENT]

Signed in the presence of:

__________________ __________________

[PLUS ACKNOWLEDGMENT]

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Special Power of Attorney for Sale of Real Property/Purchase of Real Property
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

SPECIAL POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS:

I, [NAME], of legal age, Filipino citizen, with residence and postal address at [ADDRESS], do
hereby NAME, CONSTITUTE, AND APPOINT [NAME OF AGENT/ATTORNEY IN FACT], of legal
age, Filipino citizen, with postal address at [ADDRESS], as my true and lawful attorney-in-fact to
act for and in my name, place and stead and to perform the following acts:

(A) To purchase real property or properties situated anywhere in the Philippines, in an amount
acceptable to him/her;
(B) To sign and/or execute any deed conveyance to effect the sale of the property in my name;
and
(C) To receive all documents pertinent to the purchase of any property:

HEREBY GRANTING unto said attorney-in-fact full power and authority to execute and perform
every act necessary to render effective the power to sell the foregoing properties, as though I myself
have performed it, and HEREBY APPROVING ALL that he/she may do by virtue hereof with full
right of substitution of his/her person and revocation of this instrument.

IN WITNESS WHEREOF, I have hereunto affixed my signature on this ____th day of [MONTH,
YEAR], in [PLACE OF EXECUTION OF INSTRUMENT].

__________________ __________________
[NAME OF PRINCIPAL] [NAME OF AGENT]

Signed in the presence of:

__________________ __________________

[PLUS ACKNOWLEDGMENT]

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Special Power of Attorney for Representation in Actions
REPUBLIC OF THE PHILIPPINES )
City/Municipality of ____________ ) S.S.

SPECIAL POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS:

I, [NAME], of legal age, Filipino citizen, Corporate Secretary of [CORPORATION] (“ABC”), a corporation duly
organized and existing under Philippine laws, by virtue of this authority given to me pursuant to Board Resolution
duly issued by the Board of Directors of [“ABC”] in its meeting on [DAY MONTH YEAR], as evidenced by the
secretary’s certificate attached hereto, do hereby NAME, CONSTITUTE, AND APPOINT [NAME OF
AGENT/ATTORNEY IN FACT], of legal age, Filipino citizen, with postal address at [ADDRESS], to be [“ABC”]’s
true and lawful attorney-in-fact in Civil Case No. 21324 entitled [TITLE] (“Case”), to act for on its behalf to:

(A) Appear for and represent [ABC] whether at the original or appellate stage, and whether as appellant
of appellee, petitioner or respondent;
(B) Sign, under oath or otherwise, all necessary and appropriate pleadings, motions, verifications, certifications,
papers and documents;
(C) Act as agent and appear on behalf of [ABC] in the mandatory conciliation, mediation conference, judicial
dispute resolution, and pre-trial proceedings and all other hearings in the Case, with full power and authority
to consider
(i) The possibility of an amicable settlement or of submission to alternative modes of dispute
resolution;
(ii) The simplification of issues;
(iii) The necessity or desirability of amending the pleadings;
(iv) The possibility of obtaining stipulations or admissions of fact and of documents to avoid
unnecessary proof;
(v) The limitation of the number of witnesses;
(vi) The advisability of a preliminary reference of issues to a commissioner;
(vii) The propriety of rendering judgment on the pleadings, or summary judgment, or of
dismissing the Case should a valid ground therefore be found to exist;
(viii) The advisability or necessity of suspending proceedings; and
(ix) Such other matters as may aid in the prompt disposition of this Case.

(D) Negotiate, conclude, enter into, and execute a compromise or amicable settlement of the Case, if
appropriate.

HEREBY GRANTING unto said attorney-in-fact full power and authority to execute and perform every act necessary
to render effective the power to sell the foregoing properties, as though I myself have performed it, and HEREBY
APPROVING ALL that he/she may do by virtue hereof with full right of substitution of his/her person and revocation
of this instrument.

IN WITNESS WHEREOF, I have hereunto affixed my signature on this ____th day of [MONTH, YEAR], in [PLACE
OF EXECUTION OF INSTRUMENT].

__________________ __________________
[NAME OF PRINCIPAL] [NAME OF AGENT]

Signed in the presence of:

__________________ __________________

[PLUS ACKNOWLEDGMENT]

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E. Verification and Certificate of Non-Forum Shopping

VERIFICATION AND CERTIFICATE OF NON-FORUM SHOPPING

I, [NAME], Filipino, of legal age, with residence at [ADDRESS] do hereby state that:

1. I am the [PARTY e.g. COMPLAINANT/PETITIONER etc.] in the above-entitled case;

2. I caused the preparation of the foregoing [DESIGNATION OF THE PLEADING e.g.

PETITION, COMPLAINT etc.];

3. I have read its contents and affirm that they are true and correct to the best of my own
personal knowledge and authentic documents in our possession;

4. I have not commenced any other action or proceeding involving the same issues in the
Supreme Court, the Court of Appeals, or any other tribunal or agency;

5. To the best of my knowledge no other such action or proceeding is pending in the Supreme
Court, the Court of Appeals, or any other tribunal or agency and if I should thereafter learn
that a similar action or proceeding has been filed or is pending before the Supreme Court,
the Court of Appeals, or any other tribunal or agency, I undertake to report that fact within
five (5) days therefrom to this Honorable Court.

IN WITNESS WHEREOF, I have hereunto signed this instrument this __th day of [MONTH, YEAR]
at [PLACE OF SIGNING].

(sgd.)
[NAME OF AFFIANT]
Affiant

[PLUS JURAT]

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F. Judicial Affidavit

JUDICIAL AFFIDAVIT

I, [NAME], of legal age, [SINGLE/MARRIED], [CITIZENSHIP], residing at [ADDRESS], employed as

[OCCUPATION/PROFESSION] at [OFFICE ADDRESS], after having been duly sworn to in accordance with law
and fully conscious that I do so under oath and that I may face criminal liability for false testimony or perjury in way
of answers to the questions propounded to me during the examination conducted on [DATE] by [NAME OF
LAWYER], with office address [OFFICE ADDRESS OF LAWYER], do hereby depose and state:

Q1: [QUESTION]

A: [ANSWER]

Q2: [QUESTION]

A: [ANSWER]

Q3: [QUESTION]

A: [ANSWER]

Q4: [QUESTION]

A: [ANSWER]

Q5: [QUESTION]

A: [ANSWER]

IN WITNESS WHEREOF, I have hereunto signed this instrument this __th day of [MONTH,
YEAR] at [PLACE OF SIGNING].

(sgd.)
[NAME OF AFFIANT]
Affiant

ATTESTATION AND OFFER

I, [NAME OF LAWYER], of legal age, with office address [OFFICE ADDRESS OF LAWYER], do hereby certify that:

I propounded questions to [NAME] and faithfully recorded or caused to be recorded the questions I asked and the
corresponding answers that [NAME] gave, as above stated.

Neither I nor any other person then present or assisting [HIM/HER] coached [HIM/HER] regarding [HIS/HER]
answers and which testimony is being offered to prove: [ENUMERATE THE PURPOSE OF THE OFFER].

IN WITNESS WHEREOF, I have hereunto signed this instrument [__]th day of [MONTH, YEAR] at [PLACE OF
SIGNING].

(sgd.)
[NAME OF LAWYER]

[PLUS JURAT WHICH INCLUDES THE DETAILS OF THE WITNESS AND LAWYER]

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G. Notarial Certificates
1. Jurat

JURAT

Republic of the Philippines _____)

Citt of _________ ) S.S.

SUBSCRIBED AND SWORN TO BEFORE ME in the [CITY/MUNICIPALITY of

_______________] on this ___ day of [MONTH, YEAR], affiant exhibiting before me his
Government Issued ID no. _______________ issued on [DATE OF ISSUANCE] at [PLACE OF
ISSUANCE] and valid until [DATE OF EXPIRY].

(Sgd.)
NOTARY PUBLIC

Doc. No.
Page No.
Book No.
Series of [YEAR]

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2. Acknowledgment

Two-Party Instrument

Republic of the Philippines )

City of ____________ ) S.S.

BEFORE ME, this ___ day of [MONTH, YEAR] in the [CITY/ MUNICIPALITY OF
__________], personally appeared:
NAME TYPE OF I.D AND I.D NO. DATE/PLACE ISSUED
__________________________________ _____________________________
__________________________________ _____________________________
__________________________________ _____________________________

Known to me and to me known to be the same persons who executed the foregoing instrument, and
who acknowledged to me that the same is their free act and deed.

IN WITNESS WHEREOF, I have set my hand and affixed my Notarial seal on the day, year
and place written.

(Sgd.)
NOTARY PUBLIC

Doc. No.
Page No.
Book No.
Series of [YEAR]
Note: If the instrument consists of 2 or more pages, include the following after the 1st paragraph:

This instrument, consisting of ___ pages, including the page on which this acknowledgment is written,
has been signed on the left margin of each and every page thereof by ___________ and his witnesses
(if any), and sealed with my Notarial seal.

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Multi-Party Instrument
Republic of the Philippines )
City of ____________ ) S.S.

BEFORE ME, a Notary Public for and in the (Province/City/Municipality) of _____________,

personally appeared the following persons, with their respective Community Tax Certificates as
follows:

Name C.T.C. No. Date / Place Issued

1. _____________ _____________ _____________

2. _____________ _____________ _____________

3. _____________ _____________ _____________

all known to me and to me known to be the same persons who executed the foregoing instrument
which they acknowledged to me to be their free and voluntary act and deed, consisting of only
______ (____) page/s, including this page in which this Acknowledgement is written, duly signed
by them and their instrumental witnesses on each and every page hereof.

(Sgd.)
NOTARY PUBLIC

Doc. No.
Page No.
Book No.
Series of [YEAR]

Affiant Representing a Corporation

Republic of the Philippines )
City of ____________ ) S.S.

BEFORE ME, this ___ day of [MONTH, YEAR] in the [CITY/ MUNICIPALITY OF
__________], personally appeared [NAME OF AFFIANT], representing to be [POSITION IN THE
CORPORATION] of [NAME OF CORPORATION] with [VALID IDENTIFICATION DOCUMENT]
(No.________________) issued by the [OFFICIAL AGENCY] on [DATE OF ISSUANCE], known to
me to be the same person who executed the foregoing instrument, and who acknowledged to me that
the same is his free act and deed.

IN WITNESS WHEREOF, I have set my hand and affixed my Notarial seal on the day, year
and place written.

(Sgd.)
NOTARY PUBLIC

Doc. No.
Page No.
Book No.
Series of [YEAR]

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H. Motions
1. Motion for Summary Judgment
REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

[PLAINTIFF] Civil Case No.: 123984

Plaintiff,
-versus- For: [NATURE OF ACTION]

[DEFENDANT],
Defendant.
x-------------------------------------------------------------------x.

MOTION FOR SUMMARY JUDGMENT

Plaintiff, [NAME OF PLAINTIFF], by undersigned counsel, respectfully files this Motion for
Summary Judgment and in support thereof states:

[DISCUSSION OF FACTS AND BASIS]

PRAYER

PREMISES CONSIDERED, plaintiff [NAME OF PLAINTIFF] respectfully prays that that the
Honorable Court render judgement as prayed for in the Complaint.

There being no genuine issue left to be resolved in this case, it is most respectfully prayed
of this Honorable Court to render summary judgment by as prayed for in the Complaint.

Other reliefs just and equitable under the premises are also prayed for.

[VENUE], [DATE].

[NAME OF COUNSEL]
Attorney for Defendant
[ADDRESS]
Roll No. [1234]
PTR No. [1234] / [Place] / [Date]
IBP No. [[1234] / [Place] / [Date]
MCLE Compliance No. [1234]

COPIES FURNISHED

[NAME OF COUNSEL FOR DEFENDANT]

Counsel for defendant
[ADDRESS]

EXPLANATION
(In accordance with Rule 13 of the 1997 Rules of Civil Procedure)
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This Motion was served upon the defendant by registered mail due to the distance and lack
of personnel to effect personal service.

The undersigned will submit the foregoing Motion to Dismiss for the consideration and
approval of the Honorable Court on [DATE] at [TIME].

NOTICE

[BRANCH CLERK OF COURT]

Regional Trial Court of [VENUE]
Branch [NUMBER]

Please submit the foregoing motion for the kind consideration and resolution of the Honorable Court
unless in its discretion it finds it necessary to conduct a hearing thereon in which case the
undersigned counsel requests the Honorable Court to set the foregoing motion for hearing on
[DATE, TIME].

2. Motion to Dismiss
REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

[PLAINTIFF] Civil Case No.: 123984

Plaintiff,
-versus- For: [NATURE OF ACTION]

[DEFENDANT],
Defendant.
x-------------------------------------------------------------------x.

MOTION TO DISMISS

COMES NOW the defendant by his undersigned counsel, and to this Honorable Court
respectfully moves that the complaint be dismissed on the following grounds:

[GROUNDS]

Discussion

[ARGUMENTS]

PRAYER

WHEREFORE, it is respectfully prayed that the complaint be dismissed.

[VENUE], [DATE].

[NAME OF COUNSEL]
Attorney for Defendant

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[ADDRESS]
Roll No. [1234]
PTR No. [1234] / [Place] / [Date]
IBP No. [[1234] / [Place] / [Date]
MCLE Compliance No. [1234]

NOTICE OF HEARING
The undersigned will submit the foregoing Motion to Dismiss for the consideration and
approval of the Honorable Court on [DATE] at [TIME].

COPIES FURNISHED
[NAME OF COUNSEL]
Attorney for Plaintiff
[ADDRESS]

[BRANCH CLERK OF COURT]

Regional Trial Court of [VENUE]
Branch [NUMBER]

EXPLANATION
This motion will be served on Plaintiff’s counsel by registered mail due to lack of time and
distance between his office and the office of the undersigned.

3. Motion to Declare in Default

REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

[PLAINTIFF] Civil Case No.: 123984

Plaintiff,
-versus- For: [NATURE OF ACTION]

[DEFENDANT],
Defendant.
x-------------------------------------------------------------------x.

MOTION TO DECLARE DEFENDANT IN DEFAULT

COMES NOW the Plaintiff by his undersigned counsel and to this Honorable Court
respectfully moves that the Defendant be declared in default. Plaintiff respectfully states that:
1. The records of the Honorable Court show that the Defendant was served with
copy of the summons and of the complaint, together with annexes thereto on
[DATE];
2. Upon verification however, the records show that Defendant [NAME] has failed
to file his Answer within the reglementary period specified by the Rules of Court
despite the service of the summons and the complaint;

PRAYER

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WHEREFORE, it is respectfully prayed that the Defendant [NAME] be declared in default

pursuant to the Rules of Court and that the Honorable Court proceed to render judgment as the
complaint may warrant.
Other just and equitable reliefs prayed for.

[VENUE], [DATE].

[DETAILS OF COUNSEL]
Attorney for Plaintiff
[ADDRESS]
Roll No. [1234]
PTR No. [1234] / [Place] / [Date]
IBP No. [[1234] / [Place] / [Date]
MCLE Compliance No. [1234]

NOTICE OF HEARING
The undersigned will submit the foregoing Motion to Declare in Default for the consideration
and approval of the Honorable Court on [DATE] at [TIME].

COPIES FURNISHED
[DETAILS OF COUNSEL]
Attorney for Defendant
[ADDRESS]

[BRANCH CLERK OF COURT]

Regional Trial Court of [VENUE]
Branch [NUMBER]

EXPLANATION
This motion will be served on Defendant’s counsel by registered mail due to lack of time
and distance between his office and the office of the undersigned.

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I. Quitclaims in Labor Cases

Republic of the Philippines )

City/Municipality of ____________ ) S.S.

WAIVER, RELEASE AND QUITCLAIM

I, [NAME], of legal age, [SINGLE/MARRIED], [CITIZENSHIP], residing at [ADDRESS], after being

sworn to in accordance with law, depose and state:

1. That by these presents, I hereby state that I have voluntarily resigned as [POSITION HELD] of
[EMPLOYER];

2. That I hereby acknowledge to have received from my employer the sum of [AMOUNT IN
WORDS] ([P###.##]) which is in full and final satisfaction of my salary and other benefits that may
be due me for the service which I have rendered for the latter employer;

3. That I hereby declare that I have no further claims whatsoever against my employer, its President,
members of the Board, officers or any of its staff and that I hereby release and forever discharge all
of them from any and all claims, demands, cause of action of whatever nature arising out of my
employment with the latter;

4. I further agree that this WAIVER, RELEASE AND QUITCLAIM may be pleaded in bar to any suit
or proceeding (Civil, SSS, PhilHealth, Medicare, Labor, etc.) to which either I, or my heirs and
assigns, may have against my employer in connection with my employment with the latter and that
the payment which I have received as provided herein should not in any way be construed as an
admission of liability on the part of my employer and is voluntarily accepted by me and will, if need
be, serve as full and final settlement of any amount(s) due me or any claims or cause of action,
either past, present, future, which I may have in connection with my employment with my employer;

5. As such, I finally make manifest that I have no further claim(s) or cause of action against my
employer nor against any person(s) connected with the administration and operation of the latter
and forever release the latter from any and all liability.

IN WITNESS WHEREOF, I have hereunto signed this instrument this ___th day of [MONTH, YEAR]
at [PLACE OF SIGNING].

(Sgd.)
[NAME OF AFFIANT]
Affiant

(JURAT)

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J. Information in Criminal Cases
1. Bigamy
REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

PEOPLE OF THE PHILIPPINES, Criminal Case No.: 123984

Plaintiff,

- versus - For: Bigamy

[ACCUSED]
Accused.
x-------------------------------------------------------------------x.

INFORMATION

The Undersigned accuses _____________________ of the crime of Bigamy, committed as

follows:

That on or about ________ 200_, in the City of ________ and within the jurisdiction of this
Honorable Court, the said accused, being then legally married to _____________________, and
without such marriage having been legally dissolved and thus valid and existing, did wilfully,
unlawfully and feloniously contract a second marriage with _____________________ in the City of
________.

CONTRARY TO LAW.
_____________________
Assistant City Prosecutor

CERTIFICATE OF PRELIMINARY INVESTIGATION

I hereby certify that a preliminary investigation in this case was conducted by me in

accordance with law; that I examined the Complainant and her witnesses; that there is reasonable
ground to believe that the offense charged had been committed and that the accused is probably
guilty thereof; that the accused was informed of the Complaint and of the evidence submitted against
him and was given the opportunity to submit controverting evidence; and that the filing of this
Information is with the prior authority and approval of the City Prosecutor.
_____________________
Assistant City Prosecutor

SUBSCRIBED AND SWORN TO BEFORE ME this __th day of _________ 200_ in ________ City.

_____________________
City Prosecutor
Bail Recommended: P10,000.00
Notes: Refer to Rule 110, section 6-13, RoC

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2. Theft
REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

PEOPLE OF THE PHILIPPINES, Criminal Case No.: 123984

Plaintiff,

- versus - For: Theft

[ACCUSED]
Accused.
x-------------------------------------------------------------------x.

INFORMATION

The Undersigned accuses _____________________ of the crime of Theft, committed as follows:

That on or about ________ 200_, in the City of ________ and within the jurisdiction of this
Honorable Court, the said accused, then ___ years old and without any known address, willfully,
unlawfully and feloniously, with intent to gain, without force upon things or violence upon persons and
without the knowledge and consent of _____________________, the owner, took a _____________
valued at __________________ Pesos (P________.00) to the prejudice of said owner.

CONTRARY TO LAW.
_____________________
Assistant City Prosecutor

CERTIFICATION AS TO CONDUCT OF INQUEST

I hereby certify that the accused was lawfully arrested without a warrant and that, upon being
informed of his rights, refused to waive the provisions of Article 125 of the Revised Penal Code and, for
this reason, an Inquest was conducted; that based on the complaint and the evidence presented before
me without any countervailing evidence submitted by the accused, despite opportunity to do so, there is
reasonable ground to believe that the accused has committed the crime of theft and should, thus, be held
for said crime; that this Information was with the prior authority of the City Prosecutor.
_____________________
Assistant City Prosecutor

SUBSCRIBED AND SWORN TO BEFORE ME this __th day of _________ 200_ in ________ City.

_____________________
City Prosecutor

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3. Attempted Rape
REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

PEOPLE OF THE PHILIPPINES, Criminal Case No.: 123984

Plaintiff,

- versus - For: Attempted Rape

[ACCUSED]
Accused.
x-------------------------------------------------------------------x.

INFORMATION

The undersigned accuses _____________________ of attempted rape committed as

follows:

That on or about ________ 200_, in ________ City, the accused did then and there wilfully,
unlawfully and feloniously enter the house of _____________________, a married woman, and
finding that her husband was away, with lewd designs and by means of force and intimidation,
commenced directly by overt acts to commit the crime of attempted rape upon her person, to wit:
while _____________________ was cooking lunch, the accused seized her from behind, threw her
to the floor, raised her skirt, pulled down her underwear and attempted to penetrate her with his
sexual organ and would have succeeded in doing so had not her loud protests and vigorous
resistance brought her neighbors to her assistance, causing the accused to flee from the premises
without completing all the acts of execution.

CONTRARY TO LAW with the aggravating circumstance of dwelling.

_____________________
Assistant City Prosecutor

CERTIFICATE OF PRELIMINARY INVESTIGATION

I hereby certify that a preliminary investigation in this case was conducted by me in

accordance with law; that I examined the Complainant and her witnesses; that there is reasonable
ground to believe that the offense charged had been committed and that the accused is probably
guilty thereof; that the accused was informed of the Complaint and of the evidence submitted against
him and was given the opportunity to submit controverting evidence; and that the filing of this
Information is with the prior authority and approval of the City Prosecutor.
_____________________
Assistant City Prosecutor

SUBSCRIBED AND SWORN TO BEFORE ME this __th day of _________ 200_ in ________ City.

_____________________
City Prosecutor

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4. Frustrated Murder
REPUBLIC OF THE PHILIPPINES
REGIONAL TRIAL COURT
NATIONAL CAPITAL REGION
BRANCH [#], [VENUE]

PEOPLE OF THE PHILIPPINES, Criminal Case No.: 123984

Plaintiff,

- versus - For: Frustrated Murder

[ACCUSED]
Accused.
x-------------------------------------------------------------------x.

INFORMATION

The undersigned accuses _____________________ of frustrated murder committed as

follows:

That on or about ________ 200_, in ________ City, the accused did then and there take a
loaded ________ pistol, directly aim the same firearm at the person of _____________________,
an invalid septuagenarian, and, at point-blank range, with intent to kill, discharge the firearm twice
against the person of said _____________________, inflicting on said _____________________
two (2) wounds on his chest and stomach, which wounds would have been fatal had not timely
medical assistance been rendered to the said _____________________.

CONTRARY TO LAW with the aggravating circumstances of evident premeditation, use of firearm
and disregard of age.
_____________________
Assistant City Prosecutor

CERTIFICATE OF PRELIMINARY INVESTIGATION

I hereby certify that a preliminary investigation in this case was conducted by me in

accordance with law; that I examined the Complainant and her witnesses; that there is reasonable
ground to believe that the offense charged had been committed and that the accused is probably
guilty thereof; that the accused was informed of the Complaint and of the evidence submitted against
him and was given the opportunity to submit controverting evidence; and that the filing of this
Information is with the prior authority and approval of the City Prosecutor.
_____________________
Assistant City Prosecutor

SUBSCRIBED AND SWORN TO BEFORE ME this __th day of _________ 200_ in ________ City.

_____________________
City Prosecutor

025069REM Page 466 of 466

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