Civil Procedure

CIVPRO
University of San Agustin
Judge Marie Yvette D. Go

Sources:
➢ 2019 Amendments to the 1997 Rules of Civil Procedure (A.M. No. 19-10-20-SC) 1
➢ Civil Procedure Compendium by Judge Regalado2
➢ Civil Procedure by Riano3
➢ Civil Procedure Reviewer by Clarence Tiu (2018)4
➢ Judge Marie Yvette Go’s lecture (2nd Semester A.Y. 2020-2021 Edition)
➢ Other sources as may be indicated

Table of Contents

Introduction to Remedial Law and Civil Procedure 1

Doctrines in Remedial Law 3

Rule 1: General Provisions 12

Rule 5: Uniform Procedure in Trial Courts 35

Rule 6: Kinds of Pleadings (underlined are new provisions) 40

Rule 7: Parts and Contents of a Pleading 47

Rule 8: Manner of Making Allegations in Proceedings 51

Rule 9: Effect of Failure to Plead 54

Rule 10: Amended and Supplemental Pleadings 56

Rule 11: When to File Responsive Pleadings 58

Rule 12: Bill of Particulars 61

Rule 13: Filing and Service of Pleadings, Judgments, and Other Papers 63

I. Introduction to Remedial Law and Civil Procedure

Remedial Law, defined:

❖ Prescribes the methods of enforcing rights and obligations created by substantive law by providing a procedural
system for obtaining redress for the invasion of rights and violations of duties.
❖ Prescribing rules as to how suits are filed, tried, and decided upon by the courts.
❖ Subjects in Remedial Law:
➢ Civil Procedure
➢ Criminal Procedure
➢ Evidence
➢ Special Procedure

1
https://lawphil.net/courts/rules/pdf/am_19-10-20-sc_2019.pdf
2
https://drive.google.com/file/d/1Kwu3gzAY5y9eIjAKZBywnJIT6d4RvWsR/view?usp=sharing
3
https://drive.google.com/file/d/18JzrKhuwvj0m_l52V4owZq3cteLgYrME/view?usp=sharing
4
https://drive.google.com/file/d/10CdXO7Kp4weNSdZA74I0N6hAEXM3aJKB/view?usp=sharing

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Civil Procedure, defined:
A. An aspect of Remedial Law that prescribes the institution of civil actions and other means to obtain relief

B. Procedural v. Substantive Law

a. Substantive law is that part of law which creates rights concerning life, liberty or property, or the powers of
instrumentalities for the administration of public affairs.
i. It creates, defines and regulates rights

b. Procedural law refers to the adjective laws which prescribe rules and forms of procedure in order that
courts may be able to administer justice.
i. Adjective or remedial laws prescribe the method of enforcing the rights or obtaining redress for
their invasion.
ii. Procedure is the mode of proceeding by which a legal right is enforced

C. Parties:
a. Plaintiff: party with the complaint
b. Defendant: party whom the complaint is against
c. Petitioner: party with the petition
d. Respondent: party whom the petition is against

D. Scope of Civil Procedure

a. Rules 1-56: Ordinary Civil Actions
b. Rules 57-61: Provisional Remedies
c. Rules 62-71: Special Civil Actions

E. Exempted Proceedings (RULE 1, SEC. 4):

a. Election cases
b. Land Registration Cases
c. Cadastral Proceedings
d. Naturalization
e. Insolvency

Promulgation of the Rules by the Supreme Court

❖ Under Sec. 5, Art. VIII of the 1987 Philippine Constitution, the Supreme Court has the power to promulgate Rules
❖ Limitation of the Rules:
➢ Simplified and inexpensive procedure for the speedy disposition of cases
➢ Uniform for all courts of the same grade
➢ Should not diminish, increase, or modify substantive rights
❖ Courts of law and equity
➢ Philippine courts are both courts of law and equity.

Definition of Terms
Term Definition

Cause of Action The delict or wrongful act or omission committed by the defendant in violation of the primary
rights of the plaintiff.

Right of Action The remedial right or right to relief granted by law to a party to institute an action against a person
who has committed a delict or wrong against him.

Actions

Real Action One brought for the protection of real rights, land, tenements or hereditaments or one founded on
privity of estate only.

Personal Action One which is NOT founded upon the privity of real rights or real property (e.g. action for sum of
money)

Mixed Action One brought for protection or recovery of real property and also for an award for damages
sustained. (e.g. Acion publiciana with a claim for damages)

Action in rem One which is not directed only against particular persons but against the thing itself and the
object of which is to bar indifferently all who might be minded to make any objection.

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 Binding against the whole world. (e.g. Expropriation)

Action in One which is directed against particular persons on the basis of their personal liability to establish
personam a claim against them and the judgment wherein is binding only upon the parties impleaded or
their successors in interest. (e.g. Action for breach of contract)

Action quasi in One directed against particular persons but the purpose of which is to bar and bind not only said
rem persons but any other person who claims any interest in the property or right subject of the suit.
(e.g. judicial foreclosure of mortgage).

Relief The redress, protection, award or coercive measure which the plaintiff prays the court to render in
his favor as a consequence of the delict committed by the defendant.

Remedy The procedure or type of action which may be availed of by the plaintiff as the means to obtain
the relief desired.

Subject-Matter The thing, wrongful act, contract or property which is directly involved in the action, concerning
which the wrong has been done and with respect to which the controversy has arisen.

Doctrines in Remedial Law

1. Doctrine of Hierarchy of Courts

❖ Definition: A higher court will not entertain direct resort to it unless the redress cannot be obtained in the appropriate
courts (Santiago v. Vasquez).
➢ E.g. A petitioner cannot seek relief from the Supreme Court where the issuance of such writ is also within
the competence of the RTC or the CA.

❖ Other Rules:
➢ If there is a concurrence of jurisdiction, the lower level court will be given priority
➢ This doctrine may be disregarded if warranted by the nature and importance of the issues raised in the
interest of speedy justice and to avoid future litigations.
■ Under the principle of liberal interpretation, the SC may take cognizance of a petition for certiorari

❖ EXCEPTIONS: Invocation of the Supreme Court’s original jurisdiction to issue writs of certiorari has been allowed in
certain instances on the ground of special and important reasons (Diocese of Bacolod v. COMELEC).
1. When there are genuine issues of constitutionality that must be addressed at the most immediate time
2. When the issues involved are of transcendental importance
3. When it involves cases of first impression
4. When constitutional issues raised are better decided by the Supreme Court
5. When the time element presented cannot be ignored
6. When the act challenged is of a constitutional organ
7. When there is no other plain, speedy, and adequate remedy in the ordinary course of law that could free
them from the injurious effects of acts in violation of fundamental rights.
8. When dictated by public welfare and the advancement of public policy, or demanded by the broader
interest of justice, or the orders complained of were found to be patent nullities, or the appeal was
considered as clearly an inappropriate remedy.

Hierarchy of Courts

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 Appeal Process

From Jurisdiction Appeal to Where to file Mode of review

MTC All cases involving questions of fact or purely RTC MTC Ordinary Appeal (Rule
questions of law 40)

RTC Exercising its appellate jurisdiction CA CA Petition for Review

under Rule 42

Exercising original jurisdiction where questions of fact CA RTC Ordinary Appeal

and law are involved

Exercising original jurisdiction where only questions of SC SC Petition for Review on

law are involved or where the constitutionality or Certiorari
validity of any treaty, law, ordinance or executive order
or regulation is in question or where the jurisdiction of
any inferior court is in issue

Where the imposable penalty is death CA Automatic Review

Where the imposable penalty is life imprisonment or CA RTC Ordinary Appeal

reclusion perpetua or a lesser penalty for offenses
committed on the same occasion or which arose from
the same occurrence that gave rise to the offense
punishable reclusion perpetua or life imprisonment

CA All judgments, final orders and resolution SC SC Petition for Review on

Certiorari

Sandiga Ordinary cases on questions of law SC SC Petition for Review on

nbayan Certiorari

Where the penalty is reclusion perpetua, life SC Ordinary Appeal

imprisonment or death penalty is imposed

Imposed penalty is death SC Automatic Review

2. Doctrine of Non-Interference or Judicial Stability

❖ Courts of equal and coordinate jurisdiction cannot interfere with each other’s orders.
➢ E.g. An RTC has no power to nullify or enjoin the enforcement of a writ of possession issued by another
RTC.
➢ A court is barred from reviewing or interfering with the judgment of a co-equal court over which it has no
appellate jurisdiction or power of review.
❖ This doctrine also applies with equal force to administrative bodies.

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 ➢ When the law provides for an appeal from the decision of an administrative body to the SC or CA, it means
that such body is co-equal with the RTC in terms of rank.

3. Principle of Adherence of Jurisdiction or Continuing Jurisdiction

❖ Once a court has acquired jurisdiction, that jurisdiction continues until the court has done all that it can do in the
exercise of that jurisdiction.
❖ A court shall continue to exercise jurisdiction until the final determination of the case and it is NOT affected by
subsequent legislation vesting jurisdiction over such proceedings in another tribunal.
➢ EXCEPT:
■ When the statute expressly so provides
■ When the statute is construed to the effect that it is intended to operate upon actions pending
before its enactment.
4. Doctrine of Primary Jurisdiction
❖ If a case is such that its determination requires the expertise, specialized training and knowledge of an administrative
body, relief must first be obtained in an administrative proceeding before resort to the courts, even if the matter may
well be within their proper jurisdiction.
➢ In Heirs of Nisperos v. Nisperos-Ducusin
➢ The proper administrative agency must be given a chance to correct its administrative and procedural
lapses. Moreover, it is in a better position to resolve the particular issue at hand, being the agency
possessing the required expertise on the matter and authority to hear the same.
❖ DARAB is bereft of jurisdiction to take cognizance of the case as it is the DAR Secretary who has authority to resolve
the dispute raised by petitioners. The DAR must be given a chance to correct its administrative and procedural lapses
in the issuance of a CLOA.

5. Doctrine of Ancillary Jurisdiction

❖ Incidental jurisdiction that the court has in order to carry out its function

Petition for Review on Certiorari v. Petition for Certiorari

PETITION FOR REVIEW ON PETITION FOR CERTIORARI

CERTIORARI (RULE 45) (RULE 65)

Nature of the Mode of appeal, thus a continuation of the Special civil action that is an original action, thus not
Remedy appellate process over the original case. a part of the appellate process, but an independent
action.

Directed against? Seeks to review final judgments or final May be directed against an interlocutory order or
orders matters where no appeal may be taken from

Scope Errors of Law Errors of Jurisdiction on grave abuse of discretion

amounting to lack of jurisdiction

Period of Filing Within fifteen (15) days from notice of Not later than sixty (60) days from notice of
judgment or final order or resolution judgment, order or resolution sought to be assailed
appealed from or notice of denial of the MR/MNT

Pre-requisite of an Does not require a prior motion for Requires, as a general rule, a prior motion for
MR reconsideration reconsideration

Effect on Execution Stays the judgment appealed from Does not stay the judgment or order subject of the
petition unless enjoined or restrained

Necessity of The parties are the original parties with the The tribunal, board, officer exercising judicial or
impleading the appealing party as the petitioner and the quasi-judicial functions is impleaded as respondent
lower court adverse party as respondent without
impleading the lower court or its judge

Where filed Filed only in the SC Either in the RTC, CA, or SC, as the case may be

II. Jurisdiction

Classification of Courts in the Philippines (in Annex A)

Classification of Jurisdiction (in Annex B)

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 Existence of Jurisdiction v. Exercise of Jurisdiction

Term EXISTENCE of Jurisdiction EXERCISE of Jurisdiction

Definition The power or authority of the court to decide The exercise of this power or authority. The decision of
all questions arising in the case.

Errors Error of Jurisdiction, reviewable in an original Error of judgment, correctable by Appeal

action for certiorari Rule 45 Petition for Review on Certiorari
Rule 65 Petition for Certiorari

Result of Error Judgment is rendered void (or voidable) Grounds for reversal, if it is show that prejudice has
been caused thereby

Other General Principles in Civil Procedure (Pp. 9-20):

1. Jurisdiction of the court is determined by the statute in force at the time of the commencement of action
a. Unless the statute provides for retroactive application

2. To determine jurisdiction where damages is sought, the total claim for damages and even attorney’s fees should be
calculated.

3. Jurisdiction attached to a court cannot be ousted and retains the same until it disposes of the case.
a. Even if subsequent happenings occur that would have otherwise prevented jurisdiction from attaching

4. Constitutionality of a statute must be questioned at the earliest opportunity

a. Exception
i. In criminal cases where the question may be raised at any stage
ii. In civil cases, if determination of the question is necessary for the decision of the case
iii. If presented in the appellate court, may be entertained if it involves the jurisdiction of the court a
quo.
5. Jurisdiction of a court over the subject-matter of an action is conferred only by the Constitution or the law
a. The Rules of Court yield to substantive law
b. Jurisdiction cannot be fixed by the agreement of the parties
c. It cannot be acquired through, or waived, enlarged or diminished by, any act or omission of the parties
d. It cannot be conferred by the acquiescence of the court

6. The principle of estoppel by laches may be availed in some cases

a. By appellate courts to bar attacks on jurisdiction
b. Applies to both civil and criminal cases
i. In a motion to dismiss the appeal, that was filed for the first time with the appellate court, after
paying the docket fee and cost of printing the record, the motion was barred by laches. (Santiago
et al. v. Valenzuela)
ii. Doctrine was abandoned since requirement regarding the perfection of an appeal is not only
mandatory, but also jurisdictional (Miranda v. Guanzon)

7. Jurisdiction over a person may be acquired if he voluntarily submits himself to the court
a. Even if that person was never impleaded nor summoned as a defendant
b. By voluntarily submitting himself, he is bound by estoppel
i. E.g. spouses voluntarily signed the agreement to guarantee the payment by the original
impleaded defendants. This agreement is voluntary submission and, through estoppel, they
cannot deny the authority which they invoked (Rodriguez, et al. v. Alikpala).

8. For RTCs, since they are a court of general jurisdiction that can handle cases under its general jurisdiction or
limited jurisdiction (like land registration), the question is not a matter or jurisdiction but of procedure.

9. Questions involving ownership or title to a real property should be litigated in an ordinary civil action
a. Or in the proceeding where the incident belongs, before a court of general jurisdiction and not a land
registration court (Santos v. Aquino)

10. Statutes regulating the procedure of courts will only apply to pending cases, not those which have already
become final and executory.
a. Procedural laws are retrospective only if the case is still pending, unless it would result to injustice
i. The application of the Rule on Summary Procedure is ineffective because it would mean the
dismissal of the appeal of the party (Laguio et al. v. Garnet)

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Substantive v. Procedural Law
❖ Determining whether a rule prescribed by the Supreme Court abridges, enlarges, or modifies substantive right
➢ Test: whether the rule really regulates procedure
■ Procedure = the judicial process for enforcing rights and duties recognized by the substantive
law
■ It is the nature and the purpose of the law which determines whether it is substantive or
procedural

Jurisdiction over Subject-Matter

Source Court Jurisdiction Coverage

B.P. 129 MTC Original 1. Those below the values of the RTC
Sec. 33 and P400k
a. Real property less than or equal to P20k, P50k MM
Exclusive P2,000,000
b. Personal property less than or equal to P300k, P400k MM
or equal
c. Actions demanding sums of money less than P100k, to P2,000,000
P200k MM

2. Actions for Forcible Entry and Unlawful Detainer

a. Irrespective of the amount of damages and unpaid rentals sought to be recovered.

B.P. 129 Delegated MetCs, MTCs, MCTCs may be assigned by the SC to hear and determine cadastral or
Sec. 34 land registration cases covering lots valued at less than P100,000.

B.P. 129 Special In the absence of RTC judges in a province or city, any MTC Judge may hear and decide
Sec. 35 petitions of habeas corpus, or applications for bail in criminal cases in the province or
city where the absent RTC Judge sits.

B.P. 129 Summary Cases of Forcible Entry and Unlawful Detainer (regardless of value), violations of traffic
Sec. 36 Procedure laws, rules and regulations, violations of the rental law, and other cases determined by
SC.
But Attorney’s Fees cannot exceed P20,000.00.

B.P. 129 Marine/ P2,000,000

Demand or claim is less than or equal to P300,000 (P400,000 in MM)
Admiralty

B.P. 129 Probate P2,000,000

Gross value of the estate is less than or equal to P300,000 (P400,000 in MM)
Sec. and
33(1) Intestate
Proceedin
gs

B.P. 129 RTC Original 1. The subject of the litigation is incapable of pecuniary estimation
Sec. 19 and
exclusive - 2. Real property’s assessed value exceeds P20,000.00P400,000
or P50,000.00 MM exclusive of
Civil interest, damages, litigation, atty’s fees, etc.
Cases
3. Contract of Marriage and Marital Relations

4. Juvenile and Domestic Relations Court, Court of Agrarian Relations

5. Other cases in which the demand, exclusive of interest, damages of whatever kind,
P2,000,000
attorney’s fees, litigation expenses, costs or value of property exceeds (P300,000.00),
or (P400,000.00) in Metro Manila.

B.P. 129 Original 1. Issuance of writs of certiorari, prohibition, mandamus, quo warranto, habeas
Sec. 21 corpus and injunction which may be enforced in any part of their respective regions;

2. Actions affecting ambassadors and other public ministers and consuls

B.P. 129 Admiralty Demand or claim exceeds P300,000P2,000,000

or (P400,000 in MM) also exclusive of interest,
Sec 19 and damages, etc.
(3), (4), Maritime

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as Probate, Gross value of the estate exceeds P300,000P2,000,000
or (P400,000 in MM)
amende Testate
d by and
R.A. Intestate
7691

B.P. 129 Special Criminal cases, juvenile and domestic relations cases, agrarian cases, urban land
Sec. 23 reform cases, which DO NOT FALL under the jurisdiction of quasi-judicial bodies, and/or
such other special cases as the SC may determine.

Concurren Actions affecting ambassadors, other public ministers, consuls

t with SC

Concurren 1. Petitions for certiorari, prohibition, and mandamus

t with CA 2. Petitions for habeas corpus and quo warranto
and SC

B.P. 129 Appellate All cases decided by lower courts in their respective territorial jurisdictions
Sec. 22

R.A. NOTE: SEC. 5, R.A. 7691 increased the values found in Sec. 19(3),(4), and (8), and Sec. 33(1) from
7691 P100,000 (P200k for MM) to P300,000 (P400k for MM) starting 2004 (10 years after promulgation)

B.P. 129 Court of Original Issuance of writs of mandamus, prohibition, certiorari, habeas corpus, and quo warranto,
Sec. 9 Appeals and auxiliary writs of processes, whether or not in aid of its appellate jurisdiction.

Exclusive Actions for annulment of judgments of Regional Trial Courts (RTCs)

Original

Appellate All final judgments, resolutions, orders or awards of RTCs and Family Courts
(Ordinary)

Appellate Civil Service Commission (CSC), Central Board of Assessment Appeals (CBAA),
(Petition Securities and Exchange Commission (SEC), Land Registration Authority (LRA),
for Social Security Commission (SSC), Office of the President (OP), Civil Aeronautics Board
Review) Bureaus under the Intellectual Property Office (IPO), National Electrification Administration
Appellate Energy Regulatory Board, National Telecommunications Commission (NTC),
(Petition Department of Agrarian Reform (DAR), Government Service Insurance System (GSIS),
for Agricultural Inventions Board, Insurance Commission, Philippine Atomic Energy
Review) Commission, Board of Investments, Construction Industry Arbitration Commission
Office of the Ombudsman, in administrative disciplinary cases; and
Any other quasi-judicial agency instrumentality, board or commission, exercising its
quasi-judicial functions

NOTE: NOT COA and COMELEC

Judgment from the Regional Trial Courts in cases appealed thereto from the lower courts

Art. VIII, Supreme Constitutio Original jurisdiction over cases affecting ambassadors, other public ministers and consuls,
Sec. 5 Court nal and over petitions for certiorari, prohibition, mandamus, quo warranto, habeas corpus.
Provision
Review, revise, reverse, modify, or affirm on appeal or certiorari, as the law or the Rules of
Court may provide, final judgments and orders of lower courts in:
a. All cases in which the constitutionality or validity of any treaty, international or
executive agreement, law, presidential decree, proclamation, order, instruction,
ordinance, or regulation is in question.
b. All cases involving the legality of any tax, impost, assessment, or toll, or any penalty
imposed in relation thereto.
c. All cases in which the jurisdiction of any lower court is in issue.
d. All criminal cases in which the penalty imposed is reclusion perpetua or higher.
e. All cases in which only an error or question of law is involved.

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 Assign temporarily judges of lower courts to other stations as public interest may require.
Such temporary assignments shall not exceed six months without the consent of the judge
concerned.

Order a change of venue or place of trial to avoid a miscarriage of justice.

Promulgate rules concerning the protection and enforcement of constitutional rights,

pleading, practice, and procedure in all courts, the admission to the practice of law, the
Integrated Bar, and legal assistance to the underprivileged. Such rules shall provide a
simplified and inexpensive procedure for the speedy disposition of cases, shall be uniform
for all courts of the same grade, and shall not diminish, increase, or modify substantive
rights. Rules of procedure of special courts and quasi-judicial bodies shall remain effective
unless disapproved by the Supreme Court.

Appoint all officials and employees of the Judiciary in accordance with the Civil Service
Law.

Art. VII, Appellate Sitting en banc, sole judge of all contests relating to the election, returns, and qualifications
Sec. 4 (Consti) of the President or Vice-President. (PET)

Art. VII, Review, in an appropriate proceeding filed by any citizen, the sufficiency of the factual
Sec. 18 basis of the proclamation of martial law, or the suspension of the privilege of the writ,
or the extension thereof, promulgating its decision within 30 days.

Art. IX, A case or matter brought before a Commission, and then decided upon, may be brought to
Sec. 7 the SC on certiorari by the aggrieved party within 30 days. CSC, COMELEC, COA

Original Issuance of writs of certiorari, prohibition and mandamus against the CA, COMELEC,
and COA, SB, CTA
Exclusive

Appellate RTC exercising original jurisdiction by Petition for Review on Certiorari (Rule 45) on pure
questions of law. Cases may involve:
- Constitutionality or validity of a treaty, international or executive agreement, law,
presidential decree, proclamation, order, instruction, ordinance, regulation.
- Legality of a tax, impos, assessment, toll or a penalty in relation thereto;
- Jurisdiction of a lower court; and
- Only errors or questions of law.

Over judgments rendered by the RTC, SB, CTA, CA

Concurrent Jurisdiction

Jurisdiction Over: RTC CA SC

Petitions for the issuance of writs of habeas corpus, habeas data, writ of amparo, quo warranto,
certiorari, mandamus, prohibition v. Lower Courts

Actions against members of the Bar

Issuance of writs of certiorari, prohibition, and mandamus against the NLRC, CSC

Issuance of writs of certiorari, prohibition, and mandamus against the RTC

Cases affecting ambassadors, other public ministers, consuls

RECALL: Doctrine on hierarchy of courts. If you can file with a lower court first, then file there.
- Once a court acquires jurisdiction, it excludes all other courts.

Acquisition of Jurisdiction

Jurisdiction Specific How acquired?

Over the:

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 Subject General ❖ Conferred by law; and
Matter ❖ Determined by (a) allegations of the complaint; and (b) character of the relief sought.
❖ Unlike jurisdiction over the parties, cannot be conferred on the court by the voluntary act or
agreement of the parties.

Exceptions:
❖ In a case of forcible entry, and tenancy is the real issue, the case should be dismissed for lack of
jurisdiction, and instead properly filed with the Court of Agrarian Relations (now, RTC)
❖ In a case where the complaint shows that the RTC can take cognizance, but actually shows unfair
labor practices, the case should be filed before the NLRC.

Special ❖ When the law confers, upon a court, “additional” jurisdiction to exercise power in addition to or
over and above its ordinary jurisdiction.
❖ E.g. Special Agrarian Courts

Person Plaintiff ❖ Through the filing of the complaint, petition or initiatory pleading, before the court by the
plaintiff or petitioner
❖ Filing of the complaints results to voluntary submission before the court

Defend ❖ Through voluntary appearance or submission by the defendant or respondent to the court
ant ➢ When the appearance is precisely to object to the jurisdiction of the court over his person, it
is not considered an appearance in Court.
❖ OR by coercive process issued by the court to him, generally by the service of summons
❖ Jurisdiction over the person of the defendant is required only in an action in personam

Res ❖ By actual or constructive seizure by the court of the thing in question

❖ The court places it in custodia legis, as in attachment or garnishment;
❖ OR by provision of law, which recognizes in the court the power to deal with the property or
subject-matter within its territorial jurisdiction
➢ As in land registration proceedings or suits involving civil status or real property in the
Philippines of a nonresident defendant.

❖ The court can acquire jurisdiction to try the case as long as it has jurisdiction over the res, even
if no jurisdiction over the person of a nonresident defendant
➢ Service of summons by publication and notice is for mere compliance of due process

Issues ❖ Determined and conferred by the pleadings filed in the case by the parties;
❖ OR by their agreement in a pre-trial order or stipulation;
❖ OR, at times, by their implied consent as by the failure of a party to object to evidence on an
issue not covered by the pleadings (Sec. 5, Rule 10)

Objecting against the Jurisdiction over the Subject-Matter

Raising objection against lack of jurisdiction:

❖ Raised by the Court
➢ Court can motu proprio dismiss the case if it appears from the pleadings or evidence on record that the
court has no jurisdiction over the subject matter (Rule 9, Sec. 1).
➢ Dismissal may be raised any time when it appears from the pleadings or evidence that such grounds exist.
➢ Dismissal may take place even if the same was not raised in the answer or in a motion to dismiss.

❖ Raise by the Party through MOTION to DISMISS

➢ Party can raise the issue of jurisdiction in a motion to dismiss filed before the filing or service of an
answer because lack of jurisdiction over the subject matter is a ground for a motion to dismiss (Rule 16,
Sec. 1[b])

❖ Raised by the Party through ANSWER

➢ If no motion to dismiss is filed, the defense of lack of jurisdiction may be raised as an affirmative defense
in the answer (Rule 16, Sec. 6).

When can it be raised?

❖ GEN RULE: At any stage of the proceedings, even for the first time on appeal
➢ Jurisdiction is conferred by law.
➢ Even if the petitioner has not raised the issue, the Court may still dismiss the case for lack of jurisdiction.

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 Cannot invoke the Doctrine of Continuing Jurisdiction because the Court has not acquired jurisdiction in the
➢
first place.
❖ EXCEPT: When the party invoking it is barred by estoppel or laches (Tijam v. Sibonghanoy)
➢ Laches: Failure or neglect for an unreasonable and unexplained length of time, to do that which, by
exercising due diligence, could or should have been done earlier (Regalado v. Go)
➢ A party who has invoked the jurisdiction of the Court over a particular matter to secure affirmative relief
cannot be permitted afterwards to deny that same jurisdiction to escape liability.
❖ NOTE:
➢ Tijam v. Sibonghanoy is only the exception. There, jurisdiction was questioned only after 15 years.
■ Estoppel by laches may be invoked only in cases where the facts are analogous to the case.

Effect of lack of jurisdiction over the subject-matter

❖ GEN RULE: The proceedings conducted or decisions made by a court are VOID.
➢ This is true even where the court in good faith believes that the subject matter is within its jurisdiction.
❖ EXCEPT: When the party raising the issue is barred by estoppel.

Ordinary Civil Actions (OCA)

OCA in a Nutshell (in Annex C)
❖ What is this?
➢ This is an overview of the process of Ordinary Civil Actions
➢ It was not discussed by Judge, but it explains the process thoroughly

Ordinary Civil Actions, illustrated. (In Annex D)

Rule 1: General Provisions

Section 1. Title of the Rules. — These Rules shall be known and cited as the Rules of Court. (1)

Section 2. In what courts applicable. — These Rules shall apply in all the courts, except as otherwise provided by the
Supreme Court. (n)

Section 3. Cases governed. — These Rules shall govern the procedure to be observed in actions, civil or criminal and
special proceedings.
(a) A civil action is one by which a party sues another for the enforcement or protection of a right, or the prevention or
redress of a wrong, (1a, R2). A civil action may either be ordinary or special. Both are governed by the rules for
ordinary civil actions, subject to the specific rules prescribed for a special civil action. (n)
(b) A criminal action is one by which the State prosecutes a person for an act or omission punishable by law. (n)
(c) A special proceeding is a remedy by which a party seeks to establish a status, a right, or a particular fact. (2a, R2)

Section 4. In what case not applicable. — These Rules shall not apply to election cases, land registration, cadastral,
naturalization and insolvency proceedings, and other cases not herein provided for, except by analogy or in a suppletory
character and whenever practicable and convenient. (R143a)

Section 5. Commencement of action. — A civil action is commenced by the filing of the original complaint in court. If an
additional defendant is impleaded in a later pleading, the action is commenced with regard to him on the date of the filing of
such later pleading, irrespective of whether the motion for its admission, if necessary, is denied by the court. (6a)

Section 6. Construction. — These Rules shall be liberally construed in order to promote their objective of securing a just,
speedy and inexpensive disposition of every action and proceeding. (2a)

What are the kinds of actions?

1. Civil actions
➢ One by which a party sues another for the enforcement or protection of a right, or the prevention or redress
of a wrong.5
➢ Proceedings are to be regarded as civil when the purpose is primarily compensatory or remedial.
2. Criminal actions
➢ One by which the State prosecutes a person for an act or omission punishable by law.6
➢ Proceedings are to be regarded as criminal when the purpose is primarily punishment.

Actions differentiated from a special proceeding

5
Rule 1, Sec. 3(a)
6
Rule 1, Sec. 3(b)

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 Subject Actions
Matter Special Proceeding7
Criminal Action Civil Action

Definition One by which One by which a party sues another for either: A remedy by which a party seeks to
the State (1) The enforcement or protection of a right, or establish either a:
prosecutes a (2) The prevention or redress of a wrong (1) Status
person for an act (2) Right
or omission (3) Particular fact
punishable by
law

Governed Rules on Ordinary Civil Actions: Rules of Civil Procedure Rule 72

by: Criminal Special Civil Actions: listed below Rules of Ordinary Civil Actions have
Procedure suppletory application

Ordinary Civil Action - Settlement of estate of deceased

Kinds: persons
Special Civil Action Rule - Escheat
- Guardianship and custody of
- Interpleader 62 children
- Declaratory relief and similar 63 - Trustees
remedies - Adoption
- Review of judgments and final 64 - Hospitalization of insane persons
orders or resolutions of the - Habeas corpus, amparo, habeas
COMELEC and COA data
- Certiorari, prohibition, mandamus 65 - Change of name
- Quo warranto 66 - Voluntary dissolution of
- Expropriation 67 corporations
- Foreclosure of real estate mortgage 68 - Judicial approval of voluntary
- Partition 69 recognition of minor and natural
- Forcible entry and unlawful detainer 70 children
- Contempt 71 - Constitution of family home
- Declaration of absence of death
- Cancellation or correction of entries
in the civil registry.

Overview of Commencement of an Action 8

1. Filing of the Original Complaint in the Court with jurisdiction
2. Payment of docket fees

Is the period of prescription interrupted upon the commencement of an action?

❖ YES.
❖ In civil cases, the commencement of an action interrupts the period of prescription as to all the parties to the action.

Does the filing of the complaint alone vest the court with jurisdiction over the subject matter?
❖ NO.
❖ The filing of the original complaint must be accompanied by the payment of docket fees. Without the latter, no original
complaint or pleading is considered. At the same time, non-payment of the complete amount of the docket fee means
that the prescriptive period will continue to run.

What if an additional defendant is impleaded in a later pleading, when did their date of filing start?
❖ On the date of filing of such later pleading.
❖ If an additional defendant is impleaded in a later pleading, the action is commenced with regard to him on the date of
the filing of such later pleading, irrespective of whether the motion for its admission, if necessary, is denied by the
court.
❖ Filing of motion for the admission of such amended complaints is only allowed when there has been an answer
served on the plaintiff.

Inapplicability. These rules do not apply to (INCEL)9:

❖ Insolvency Proceedings

7
Rule 1, Sec. 3(c)
8
Rule 1, Sec. 5
9
Rule 1, Sec. 4.

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 ❖ Naturalization Proceedings
❖ Cadastral Proceedings
❖ Election Cases
❖ Land Registration Cases
❖ Other cases not herein provided for

Construction10
❖ Rules are liberally construed to promote the objective of securing a just, speedy, and inexpensive disposition of
every action and proceeding.
❖ Requisites:
➢ There is a justifiable cause or plausible explanation for the non-compliance
➢ The outright dismissal would defeat the administration of justice.
❖ Grounds:
➢ Matter of life, liberty, honor, or property
➢ Existence of special or compelling circumstances
➢ The merits of the case
➢ A cause not entirely attributable to the fault or negligence of the party
➢ A lack of any showing that the review sought is merely frivolous and dilatory
➢ The other party will not be unjustly prejudiced thereby.

Rule 2: Cause of Action

Civil Actions
Ordinary Civil Actions
RULE 2
Cause of Action
Section 1. Ordinary civil actions, basis of. — Every ordinary civil action must be based on a cause of action. (n)

Section 2. Cause of action, defined. — A cause of action is the act or omission by which a party violates a right of another.

Section 3. One suit for a single cause of action. — A party may not institute more than one suit for a single cause of
action.

Section 4. Splitting a single cause of action; effect of. — If two or more suits are instituted on the basis of the same
cause of action, the filing of one or a judgment upon the merits in any one is available as a ground for the dismissal of the
others.

Section 5. Joinder of causes of action. — A party may in one pleading assert, in the alternative or otherwise, as many
causes of action as he may have against an opposing party, subject to the following conditions:
(a) The party joining the causes of action shall comply with the rules on joinder of parties;
(b) The joinder shall not include special civil actions or actions governed by special rules;
(c) Where the causes of action are between the same parties but pertain to different venues or jurisdictions, the
joinder may be allowed in the Regional Trial Court provided one of the causes of action falls within the jurisdiction
of said court and the venue lies therein; and
(d) Where the claims in all the causes action are principally for recovery of money, the aggregate amount claimed
shall be the test of jurisdiction. (5a)

Section 6. Misjoinder of causes of action. — Misjoinder of causes of action is not a ground for dismissal of an action. A
misjoined cause of action may, on motion of a party or on the initiative of the court, be severed and proceeded with
separately. (n)

Cause of Action
❖ Elements: (ROB)
➢ Legal Right - a right in favor of the plaintiff exists
➢ Legal Obligation - an obligation by the defendant to respect or not violate the right of the plaintiff.
➢ Breach - an act or omission by the defendant in violating the right of the plaintiff that constitutes a breach
of the obligation.

When must the cause of action exist?

❖ At the time the complaint is filed.

10
Rule 1, Sec. 6

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 ❖ A cause of action may only prosper if all of its elements (especially the breach) were present at the time of the filing
of the complaint. Otherwise, there would be a defect and the case would be dismissed for having no cause of action.

What if the cause of action has NOT yet accrued when the complaint was filed, but arose after such filing? Will the
defect be cured?
❖ E.g. A borrowed P10,000 from B, due and demandable on April 30. On April 27, by simply having no faith in B, A
concluded that B had no capacity to pay him back. On the same day, he instituted a claim for recovery of money.
While the action was pending, on April 30, B was not able to pay back the loan, prompting the subsequent demand
from A. B’s lawyer seeks for the dismissal due to the lack of cause of action. A’s lawyer asserts that the same has
been cured due to B’s inability to pay back as evidenced on April 30. Is A’s lawyer correct?
❖ NO. An action prematurely brought is a groundless suit.
➢ Unless the plaintiff has a valid and subsisting cause of action at the time his action is commenced, the
defect cannot be cured or remedied by the acquisition or accrual of one while the action is pending.
❖ The same could not be cured by an amended or supplemental pleading alleging the existence or accrual of a cause
of action during the pendency of the action.

What if the cause of action has NOT yet accrued when the complaint was filed, but there is certainty that the cause of
action will happen? Will the cause of action prosper?
❖ E.g. A borrowed P10,000 from B, due and demandable on April 30. On April 15, B was found to have been incapable
of paying the amount back because he expressed his intention of not paying. Does A already have a cause of action
even if the payment is not yet due?
❖ YES.
❖ If the obligor manifests an unqualified and positive refusal to perform a contract, though the performance of the same
is not yet due, this will entitle the injured party to bring his action at once.
❖ NOTE:
➢ If the renunciation covers the entire contract (to do several things), the breach is a complete breach and
only one action by the plaintiff may be instituted for the recovery of all the damages therein.

Must the cause of action be stated in the complaint to prosper?

❖ YES.
❖ Mere existence of a cause of action is not enough; the cause of action must be stated or alleged in the complaint or
that all the elements of the cause of action be included therein.
❖ The failure to state a cause of action in the pleading is a ground for dismissal.
➢ NOTE: this is different from the lack of cause of action that is proved during the trial stages only and is
raised through a demurrer to evidence.

How does the Court determine if there exists a cause of action based off of the pleading?
❖ The Court assumes that the facts, as alleged, are true. Thereafter, if the Court can render a valid judgment based off
of the prayer of the complaint, then the averments in the pleading are sufficient.
❖ The truth of the allegations of the complaint will be tested and determined in the trial stage.

Kinds of actions for purposes of venue

1. Real Action
2. Personal Action
❖ Why is this important?
➢ If it is a real action, the location of the real property dictates the venue.
■ Actions to recover possession of real property plus damages
■ Actions for unlawful detainer or forcible entry
■ Accion publiciana
■ Accion reivindicatoria
■ Quieting of title
➢ If it is a personal action, the residence of the plaintiff (or defendant) dictates the venue.
■ Declaration of the nullity of marriage
■ Action for specific performance with damages
➢ If a complaint may denote a combination of real and personal actions, the primary objective will determine.
■ E.g. A complaint for specific performance but prays for the issuance of a deed of sale for a parcel
of land to enable the plaintiff to acquire ownership is a real action.

Kinds of actions for purposes of the effect of judgment

Actions Description

In Definition ❖ An action against a person on the basis of his personal liability.

Personam ❖ A proceeding to enforce personal rights and obligations brought against the person and is
based on the jurisdiction of the person.

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 Purpose ❖ To impose, through the judgment of a court, some responsibility or liability directly upon
the person of the defendant.
❖ No one, other than the defendant, is sought to be held liable, not the whole world.
❖ Judgment will be binding against the parties only.

Examples Actions for damages

Actions to recover possession of real property
Action for ejectment (Forcible entry or unlawful detainer)

In Rem Definition ❖ An action against the thing itself, instead against the person. However, it is not the “thing”
that is the party.
❖ “Against the thing” means that resolution of the case affects the interests of others
whether direct or indirect. Also assumes that the interests--in the form of rights or
duties--attach to the thing which is the subject matter of litigation.11

Purpose ❖ Judgment will be binding against the whole world.

Examples Declaration of nullity of marriage

Land registration proceeding
Probate of a will

Quasi in Definition ❖ One wherein an individual is named as defendant, and the purpose of the proceeding is to
Rem subject his interest therein to the obligation or lien burdening the property.
❖ Deals with the status, ownership or liability of a particular property, but which are intended
to operate on these questions only as between the particular parties to the proceedings
and not to ascertain or cut-off the rights or interests of all possible claimants.

Examples Action to recover title and ownership of real property

Action for partition
Action for accounting
Attachment
Foreclosure of mortgage

Purpose of distinguishing whether an action is in personam, in rem, or quasi in rem

❖ Purposes
➢ To determine whether or not jurisdiction over the person of the defendant is required, and
➢ To determine the type of summons to be employed
❖ Determining jurisdiction
➢ In in personam, jurisdiction over the person of the defendant is a requisite for the court to gain jurisdiction
➢ In in rem or quasi in rem, jurisdiction over the person of the defendant is NOT a requisite
❖ Summons
➢ General note: summons is needed in all kinds of actions, but for different purposes
➢ In in personam, for purposes of jurisdiction over the person of the defendant
➢ In in rem or quasi in rem, for purposes of satisfying due process

Splitting & Joinder of Causes of Actions 12

General Rule: One Cause of Action for One Action/Suit

❖
❖ Exceptions:
➢ Splitting - Multiple actions/suits based off of one cause of action
■ NOT ALLOWED; leads to the dismissal of other suits 13

11
De Pedro v. Romasan Dev’t Corp. (2014)
12
Rule 2, Sec. 3, 4, 5
13
Rule 2, Section 4

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 ■
➢ Joinder - one action/suit based off of multiple cause of actions

■
■ ALLOWED in four conditions:14
● Party joining the causes of action complies with the rules set in Rule 3, Section 6.
● Joinder does not include special civil actions or actions governed by special rules.
● If the causes of action are between the same parties but pertain to different venues or
jurisdictions, the joinder is allowed at the RTC, provided the RTC has jurisdiction over
one of the causes of action.
● If the claims of the causes of actions are for the recovery of money, the aggregate
amount is the test of jurisdiction.

Splitting of Causes of Action

❖ Two or more suits are instituted on the basis of the same cause of action
➢ Suits with the same subject matter and subject of controversy cannot stand together.
➢ One will continue, the others will be dismissed.

Test of Splitting:
Check whether the entire amount arises from one and the same act or contract or the several parts arise from distinct and
different acts or contracts.
❖ If one contract or one same act → cause of action is single
❖ If distinct contracts and different acts → cause of action is separate.
➢ The cause of action should be split.
❖ Example:
➢ The act of a defendant in taking possession of the plaintiff’s land by means of force and intimidation
constitutes a single act of dispossession but gives rise to two reliefs: (a) recovery of possession, and (b)
damages arising from the loss of possession.
➢ The cause of action remains single because the reliefs, albeit being two, result from a single wrong. Both
remedies must be alleged and claimed in only one complaint.
➢ One act → one cause of action (but two reliefs) → one action for reliefs [NO SPLITTING]
❖ Example:
➢ A car owner sustains injuries to his person and damage to his car due to the negligent driving of the
defendant. Two rights were violated (personal and his property).
➢ The cause of action remains single because the rights violated, despite being many, came from a single
wrong. Recovery of damages from both injuries may be sought from one single action.
➢ One act → one cause of action (but two rights violated) → one action for recover [NO SPLITTING]

Tests to ascertain whether two or more suits relate to a single or common cause of action
1. If same evidence would support and sustain both the first and second causes of action.
2. If same defenses are used in one case to substantiate the complaint of another.
3. If same cause of action existed in the second case existed at the time of the filing of the first case.

Examples of causes of actions which cannot be split:

❖ Recovery of property and damages
❖ Annulment of foreclosure sale and damages
❖ Recovery of ownership of and income from same land
❖ Installments due and unpaid
❖ Recovery of income/rentals of co-owned property and the partition of the property itself

14
Rule 2, Sec. 5

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What if a single act of the defendant violates a number of rights of the plaintiff? Are there multiple causes of action?
❖ NO.
❖ Even if there are separate and distinct sources of obligations involved, there is only one cause of action which
cannot be split into multiple actions.
❖ When there is only one delict or wrong, there is but a single cause of action regardless of the number of rights that
may have been violated belonging to one person.15

In a contract to do several things at several times, is a judgment for a breach of a part of that contract a bar to a suit to
a subsequent breach?
❖ NO.
❖ In contracts to do several things at several times, the breaches are divisible. Therefore, a judgment for a single
breach of a continuing contract is not a bar to a suit for a subsequent breach.
❖ RECALL: A suit filed based off of a cause of action that was previously filed will be dismissed.
➢ E.g. A filed for a recovery of certain shares of stocks. After a judgment was rendered in favor of A, he filed
another action for recovery of dividends. The second action had already accrued when the first action was
filed.
■ The second action was not proper. The recovery of dividends should have been together with the
recovery of shares of stocks.
❖ Example:
➢ A was hired by B to water and weed the plants on April 15, paint the house on April 30, and build a
treehouse on May 15, with each task having its own price. If B fails to water and weed the plants and a
judgment is rendered against him, B is still entitled to perform the other tasks. Thereafter, if he
subsequently fails to perform the other tasks, A can still file another suit against B based off of the
independent cause of action arising from the independent obligations of B.
➢ The second suit filed by A in the event of B’s non-performance (of painting the house or building a
treehouse) will not be barred by res judicata based off of the first judgment (of not watering or weeding the
plants) since the obligations of B are independent from each other.
❖ Example:
➢ X entered into a Contract of Lease with Y, which provides for the payment of rentals in separate
installments. Each unpaid installment constitutes an independent cause of action.
➢ XPN:
■ When at the time the complaint is filed, there are several installments already due, all of them
constitute a single cause of action and should be in a single complaint.

If a contract is entire, would the breach be total or partial?

❖ Total.
❖ If the contract is entire, the breach is total and there can be only one action in which plaintiff must recover all
damages.

In cases of anticipatory/expected breach of contract, is the breach total or partial?

❖ Total.
❖ If the obligor manifests an unqualified and positive refusal to perform a contract, though the performance of the same
is not yet due, and the renunciation goes to the whole contract, it may be treated as a complete breach, which will
entitle the injured party to bring his action at once.

If there is a claim of money and also claims of damages (moral, exemplary) arising from the claim of money, is there
only one cause of action?
❖ YES.
❖ The claims for damages are mere incidents of the breach (failure to pay). Therefore, there is still only one cause of
action.

If there are several promissory notes, but only one loan, and no payment on all notes, is there a single cause of
action?
❖ NO.
❖ There are several causes of action because a cause of action is based off of each promissory note.

CASE: The defendant forcibly and unlawfully entered the leased properties of the plaintiff. Once inside, he barricaded the
entrance to the fishponds and set up a barbed wire fence along the road going to the fishponds. Then, after occupying the
premises, he harvested several tons of milkfish, fy, and fingerlings owned by the plaintiffs, ransacked and destroyed a chapel
built in the premises, stole religious icons and even decapitated the heads of some of them. All these happened after the act of
dispossession occurred. The plaintiff filed a complaint for forcible entry and another complaint for damages against the
defendant.
❖ Is the plaintiff right for having two separate complaints (one for forcible entry, the other for damages)?

15
Chua v. Metrobank, et al. G.R. No. 182311, August 19, 2009

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 ➢ YES.
➢ The claim for damages has no direct relations to the loss of possession of the premises but resulted from
acts separate from the forcible entry.16
➢ It will NOT be split if the claim for damages stemmed from the forcible entry case. The damages refers to
those sustained by the plaintiff in depriving him of the use and possession of the property.
■ Since the damages suffered and complained of have no direct relation to the loss of material
possession, a separate cause of action emerged.

May a bank file a civil action against the debtor for the collection of the debt and, then, subsequently file an action to
foreclose the mortgage?
❖ NO.
❖ This would be splitting a single cause of action.17
❖ While a loan contract is separate from a mortgage agreement, the contracts do not constitute separate causes of
action. They are parts of one and the same cause of action.

Joinder of Causes of Action

Concept
❖ It is the assertion of as many causes of action as a party may have against another in one pleading alone.
❖ The process of uniting two or more demands or rights of action in one action.
❖ Example:
➢ D is the debtor of C for P350,000 due on January 5, 2011. D likewise owes C P350,000 due on
February 13, 2011. Both debts are evidenced by distinct promissory notes and incurred for different
reasons. D has not paid the debts despite demand.
➢ Is each debt a separate cause of action?
■ YES.
■ Each debt is a separate cause of action because each is the subject of a different transaction.
➢ May C file a single suit through the rule on joinder of causes of action? YES.
■ C may file a single suit for the collection of both debts, despite the claims being actually separate
causes of action and having arisen out of different transactions.
➢ What if aside from the above claims, C, as lessor, also wants to eject D from the apartment
occupied by D as his lessee? May the action be joined with the claims for money?
■ NO.
■ An action for ejectment is a special civil action and cannot be joined with ordinary civil actions.18

Rules in case of Joinder of Causes of Actions 19

Rule: Comment:

1. The party must comply Permissive joinder under Rule 3, Sec. 6:

with the rules on
joinder of parties20
❖ RULE: Persons may be joined as plaintiffs or defendants in a complaint, provided the
requisites are present:
➢ The cause of action or claim involved arises out of the same transaction or series
of transactions
➢ The question of law or fact involved is common to all the plaintiffs or defendants
❖ XPN: as otherwise provided in these rules.
➢ Mandatory and compulsory joinder of parties are provided in Rule 3, Sections 7-9.

NOTE:
❖ This must only be followed if there are multiple defendants.
➢ Two (2) parties → can join as many causes of action, even if totally unrelated
➢ Multiple parties → can only join those that comply with the rules on joinder (from
series of actions, involving a common question of law)

2. Ordinary civil actions, Civil actions cannot be joined with:

special civil actions, or
actions governed by
special rules cannot
be joined together
❖ Special civil actions
❖ Actions governed by special rules
Examples of invalid joinders:
❖ Two special civil actions cannot be joined

16
CGR Corporation v. Treyes, G.R. No. 170916, April 27, 2007.
17
Industrial Finance Corp. v. Apostol, 177 SCRA 521, 524.
18
Rule 2, Sec. 5(b).
19
Rule 2, Sec. 5
20
Rule 2, Sec. 5(a). Rule 3, Sec. 6

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 ❖ One ordinary and one SCA cannot be joined
❖ Two actions governed by special rules cannot be joined
❖ Examples of invalid joinders:
➢ Ejectment case with money claims
➢ Action for injunction and quieting of title
➢ Money claims and foreclosure of a real estate mortgage
➢ Collection of a sum of money and forcible entry/unlawful detainer

Consequence: Misjoinder and severing of the cases.

❖ NOT dismissal of the action.

3. At least one cause of Requisites:

action must fall within ❖ The causes of action are between the same parties
the proper jurisdiction ❖ The causes of action pertain to different venues or jurisdictions
and venue of the
respective court where Application:
the pleading was filed ❖ If one of the causes of action falls within the jurisdiction of the RTC, the joinder may be
allowed in the RTC.

4. Where the claims in all The Totality Rule in case of money claims:
the cause of action are ❖ Where the claims in all causes of action are principally for recovery of money the
principally for aggregate amount shall be the test of jurisdiction.
recovery of money, the ❖ Application → to ALL actions for recovery of money.
aggregate amount ➢ The totality rule will not apply if you plan to join a real action and a personal action
claimed shall be the
test of jurisdiction.

Mental flow in determining if joinder is allowed

C is the creditor of D for P350,000 and also of E for P375,000. Both debts are due and these debts have been
contracted separately. May C join D and E as defendants in the same complaint?

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 ❖ NO.
❖ It is necessary for the causes of action to arise out of the same transaction or series of transactions and that there
should be a question of law or fact common to them.

P is a passenger in a bus owned by O and driven by D. because of the negligence of D, P sustained injuries when the
vehicle fell into a ditch by the roadside. May P, as plaintiff, join O and D as defendants in the same complaint based on
quasi-delict?
❖ YES.
❖ The liability of O and that of D arose out of the same accident which gave rise to a common question of law or fact.
❖ In this same accident, two or more injured passengers in the same mishap, may join as plaintiffs.

CO, P, and D all rode on CO’s car, with D as the driver. As a result of D’s negligent driving, the car crashed and injuries
were sustained by CO and P. May P file a complaint for the recovery of damages to his person and another complaint
later to recover damages to his car?
❖ NO.
❖ To do so would be to split a single cause of action. The rights that violated CO all came from a single act of
negligence by D.
❖ Since P was also injured, is his cause of action separate and distinct from those sustained by CO?
➢ YES.
➢ His cause of action is separate and distinct because distinct rights belonging to different persons have
been violated.
➢ P may file a suit against D separate from the suit filed by CO.

Misjoinder
❖ What is it?
➢ The act of the party wrongfully joining the causes of action of two separate suits, for violating the rules in
joinder under Rule 2, Sec. 5
❖ Effect
➢ NOT a ground for dismissal.
❖ Remedy
➢ File a motion with the court to have the misjoined cause of action severed

Rule 3: Parties to Civil Actions

RULE 3
Parties to Civil Actions

Section 1. Who may be parties; plaintiff and defendant. — Only natural or juridical persons, or entities authorized by law
may be parties in a civil action. The term "plaintiff" may refer to the claiming party, the counter-claimant, the cross-claimant,
or the third (fourth, etc.) — party plaintiff. The term "defendant" may refer to the original defending party, the defendant in a
counterclaim, the cross-defendant, or the third (fourth, etc.) — party defendant. (1a)

Section 2. Parties in interest. — A real party in interest is the party who stands to be benefited or injured by the judgment
in the suit, or the party entitled to the avails of the suit. Unless otherwise authorized by law or these Rules, every action must
be prosecuted or defended in the name of the real party in interest. (2a)

Section 3. Representatives as parties. — Where the action is allowed to be prosecuted and defended by a representative
or someone acting in a fiduciary capacity, the beneficiary shall be included in the title of the case and shall be deemed to be
the real party in interest. A representative may be a trustee of an expert trust, a guardian, an executor or administrator, or a
party authorized by law or these Rules. An agent acting in his own name and for the benefit of an undisclosed principal may
sue or be sued without joining the principal except when the contract involves things belonging to the principal. (3a)

Section 4. Spouses as parties. — Husband and wife shall sue or be sued jointly, except as provided by law. (4a)

Section 5. Minor or incompetent persons. — A minor or a person alleged to be incompetent, may sue or be sued with the
assistance of his father, mother, guardian, or if he has none, a guardian ad litem. (5a)

Section 6. Permissive joinder of parties. — All persons in whom or against whom any right to relief in respect to or arising
out of the same transaction or series of transactions is alleged to exist, whether jointly, severally, or in the alternative, may,
except as otherwise provided in these Rules, join as plaintiffs or be joined as defendants in one complaint, where any
question of law or fact common to all such plaintiffs or to all such defendants may arise in the action; but the court may make
such orders as may be just to prevent any plaintiff or defendant from being embarrassed or put to expense in connection
with any proceedings in which he may have no interest. (6n)

Section 7. Compulsory joinder of indispensable parties. — Parties in interest without whom no final determination can

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 be had of an action shall be joined either as plaintiffs or defendants. (7)

Section 8. Necessary party. — A necessary party is one who is not indispensable but who ought to be joined as a party if
complete relief is to be accorded as to those already parties, or for a complete determination or settlement of the claim
subject of the action. (8a)

Section 9. Non-joinder of necessary parties to be pleaded. — Whenever in any pleading in which a claim is asserted a
necessary party is not joined, the pleader shall set forth his name, if known, and shall state why he is omitted. Should the
court find the reason for the omission unmeritorious, it may order the inclusion of the omitted necessary party if jurisdiction
over his person may be obtained.
The failure to comply with the order for his inclusion, without justifiable cause, shall be deemed a waiver of the claim against
such party.
The non-inclusion of a necessary party does not prevent the court from proceeding in the action, and the judgment rendered
therein shall be without prejudice to the rights of such necessary party. (8a, 9a)

Section 10. Unwilling co-plaintiff. — If the consent of any party who should be joined as plaintiff can not be obtained, he
may be made a defendant and the reason therefore shall be stated in the complaint. (10)

Section 11. Misjoinder and non-joinder of parties. — Neither misjoinder nor non-joinder of parties is grounds for dismissal of
an action. Parties may be dropped or added by order of the court on motion of any party or on its own initiative at any stage
the action and on such terms as are just. Any claim against a misjoined party may be severed and proceeded with
separately. (11a)

Plaintiff Defendants
1. Claiming Party 1. Original defending party
2. Counter-claimant 2. Defendant in a counterclaim
3. Cross-claimant 3. Cross-defendant
4. Third (fourth, etc.)-Party Plaintiff 4. Third (fourth, etc.)-Party Defendant

Capacity to be parties to a Civil Action

Party Capacity

Natural Persons Provided, such person has full legal capacity and capacity to act
Other times, a Special Power of Attorney (SPA) may be necessary to represent a natural person.

Juridical Persons Includes:

a. The State and its political subdivisions
b. Other corporations, institutions and entities for public interest, created by law
c. Corporations, partnerships and associations for private interest or purpose
i. Which the law grants a juridical personality that is separate and distinct from
each shareholder, partner, member

Representation:
❖ Board resolution or certificate

Entities A. Foreign corporations

authorized by law B. Political parties
C. Labor unions
D. Roman Catholic Church
E. Estate (Rule 3, Sec. 20)
F. Entities without a juridical personality, as defendants (Rule 3, Sec. 15)
G. Executors or Administrators
H. Corporation by Estoppel
I. Dissolved Corporation
J. Partnership

Must the capacity of the parties be averred in the pleadings?

❖ YES.
❖ Facts showing the capacity of a party to sue or be sued or the authority of a party to sue or be sued must be averred
in the complaint.21

21
Rule 8, Sec. 4

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In suits against government employees, must the State be the Real Party in Interest (RPI)?
❖ YES.
❖ When the suit is against a government employee (like the zone administrator of an economic zone), the nature of the
suit is one against the State, and the Republic is the RPI.22

In a derivative suit (suit by a stockholder for the corporation), is the stockholder the RPI?
❖ NO.
❖ The corporation is the RPI and the suing stockholder is only a nominal party.23
❖ NOTE: forum-shopping is still not allowed. Therefore, two stockholders cannot file derivative suits, based on the
same facts, causes of actions, and reliefs, simultaneously.

What are the remedies when the person has no legal capacity to be a party?
❖ Motion to Dismiss; or Affirmative Defense in the Answer
❖ Grounds:
➢ Plaintiff has no capacity → ground that “plaintiff has no legal capacity to sue”
➢ Defendant has no capacity → pleading asserting the claim states no cause of action
■ Since a pleading cannot have a cause of action against one who cannot be a party to a civil
action.
Are sole proprietorships capacitated as parties?
❖ NO.
❖ Sole proprietorships cannot sue (but they can be sued under Rule 3, Sec. 15)
❖ Sole proprietorships are mere forms business organizations but the law does not vest juridical or legal personality
upon sole proprietorships.24

Real Parties in Interest25

❖ Definition:
➢ 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.
➢ The interest must be ‘real,’ which is a present substantial interest as distinguished from a mere expectancy
or a future, contingent subordinate or consequential interest.
■ E.g. when a managing director of a hotel files a complaint pertaining to a contract entered into by
the corporation, it is the corporation which is the real party, not the managing director. Their
interest is merely incidental.26

Navarro v. Escobido, G.R. No. 153788, November 27, 2009

❖ In suits to recover properties, all co-owners are real parties in interest.
❖ Any one of the co-owners may bring an action, any kind of action, for the recovery of co-owned properties.27
❖ Only one of the co-owners (the co-owner who filed the suit for the recovery of the co-owned property), is an
indispensable party thereto.
➢ The other co-owners are not indispensable parties nor necessary parties.
➢ A complete relief can be accorded in the suit even without their participation, since the suit is presumed to
have been filed for the benefit of all co-owners.

Representatives as Parties:28
❖ Application:
➢ In actions allowed to be prosecuted or defended by a representative or someone acting in a fiduciary
capacity
❖ Representatives:
1. Trustee of an express trust
2. Guardian
3. Executor or Administrator
4. Parties authorized by law or the Rules of Court (i.e. the parent of a minor)
❖ Role of the beneficiary
➢ To still be included in the title of the case
➢ To still be deemed to be the real party in interest.
➢ Remedy if the beneficiary’s name is not included:

22
Republic v. Coalbrine
23
Cua v. Tan (2009).
24
Navarro v. Escobedo, 2009)
25
Rule 3, Sec. 2.
26
Republic v. Coalbrine International, 2010.
27
Article 487, Civil Code of the Philippines.
28
Rule 3, Sec. 3.

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 ■ The defect can be cured by the simple expedient of requiring the representative (the association
in this case) to disclose the names of the principals and to amend the title and averments of the
petition accordingly.29
❖ XPN:
➢ An agent acting in his own name AND for the benefit of an undisclosed principal may sue or be sued
without joining the principal.
■ XPN to the XPN: when the contract involves things belonging to the principal.

Spouses as parties30
❖ RULE:
➢ Husband and wife shall sue or be sued jointly
➢ This is the case as generally both are co-administrators of the community property.
❖ XPN:
➢ Suit against each other
➢ Based on a criminal act
➢ If they are suing as owners of their exclusive property
➢ If their properties are governed by complete separation of property
➢ Abandonment
➢ If against the exclusive property of spouses
➢ Suits involving the practice of one’s profession.

Minors or incompetent persons31

❖ A minor or a person alleged to be incompetent, may sue or be sued.
➢ With the assistance of his father, mother, guardian, or guardian ad litem
❖ A person need not be judicially declared as incompetent.
➢ It is enough that he be alleged to be incompetent

Permissive Joinder32
❖ RULE: Persons may be joined as plaintiffs or defendants in a complaint, provided the requisites are present:
➢ The cause of action or claim involved arises out of the same transaction or series of transactions
➢ The question of law or fact involved is common to all the plaintiffs or defendants
❖ XPN: as otherwise provided in these rules.
➢ Mandatory and compulsory joinder of parties are provided in Rule 3, Sections 7-9.
❖ NOTE: The rule under this section is that is is permissive, through the word “may”
❖ RECALL: Rule 2, Sec. 5; conditions for the joinder of the causes of actions:
➢ Ordinary civil actions, special civil actions, or actions governed by special rules cannot be joined together
➢ At least one cause of action must fall within the proper jurisdiction and venue of the respective court where
the pleading was filed.
➢ 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.

Indispensable and Necessary Parties

Indispensable and Necessary Parties

Indispensable Party Necessary Party

Definition ❖ Parties in interest without whom no final
determination can be had of an action.33
❖ They are real parties in interest without
whom no final determination can be had
of an action.
❖ One who is not indispensable but who ought to
be joined as a party if complete relief is to be
accorded to those already parties, or for a
complete determination or settlement of the
claim subject of the action.34
❖ The plaintiff may choose to file a separate case
against the necessary party not impleaded.

Compulsory Yes No; it is discretionary on the court.

Joinder?

Consequence ❖ The Court orders the plaintiff to join the ❖ If in a pleading a necessary party is not joined,

29
MIAA v. Rivera, 2005.
30
Rule 3, Sec. 4.
31
Rule 3, Sec. 5
32
Rule 3, Sec. 6.
33
Rule 3, Section 7.
34
Rule 3, Section 8.

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 of absence indispensable parties as defendants.
➢ Outright dismissal is NOT the
remedy.
➢ The Court suspends the trial until
the inclusion of the party
❖ But when there is still failure from the
plaintiff to implead an indispensable party,
the Court may dismiss the case.
❖ The burden of procuring the presence of
all indispensable parties is on the plaintiff.
the pleader should:
➢ Name the necessary party
➢ State why the party was omitted.
❖ The court will decide. The rules:
➢ Meritorious omission:
■ Judgment will NOT prejudice the rights
of the necessary parties NOT
impleaded
➢ Unmeritorious omission:
■ Order the inclusion of the omitted
necessary party.
➢ Pleader failed to comply:
■ Deemed as a waiver of claim against
the necessary party.
■ Unless with justifiable cause

Examples ❖ Co-owners in an action for partition of an ❖ In an action to recover possession of property,

undivided interest of land. the holder of the title is a necessary party while
❖ Vendee in an action for annulment of a the actual possessor is an indispensable party.
contract of sale ❖ Joint debtors where the case is filed against
❖ Those with titled claims over the land in a another joint debtor alone.
petition for reconstitution of title.
❖ The contracting parties in a suit based on
a breach of contract.
❖ Person whose right to office is being
challenged.
❖ In actions for partition, all persons who
are co-heirs and having an interest

Misjoinder and Non-Joinder of Parties35

❖ Definitions:
➢ Misjoinder: a party is misjoined when he is made a party to the action although he should not be
impleaded
➢ Non-Joinder: a party is not joined when he is supposed to be joined but is not impleaded in the action.
❖ RULE:
➢ Misjoinder nor non-joinder of parties are NOT grounds for dismissal
■ Even the non-joinder of a Necessary Party with Court Order will not lead to its dismissal; it is
merely deemed as a waiver of the claim against such party.
➢ Parties may be dropped or added by order of the court on motion of any party or on its own initiative at any
stage of the action and on such terms as are just.
➢ If there is any claim against a party misjoined, the same may be severed and proceeded with separately.
❖ XPNS:
➢ Non-joinder of Indispensable Party with Court Order
■ Failure to comply with the order constitutes ground for dismissal of the action.

What if the Court fails to order the joinder of indispensable parties?

❖ The subsequent actions of the court are null and VOID for want of authority to act.
➢ Applies not only to the absent parties but even to those present.
❖ The fact the court failed to notice will not validate the judgment.

END OF PRELIMS36

START MIDTERMS

Rule 3: Parties to Civil Actions Part 2

Section 12. Class suit. — When the subject matter of the controversy is one of common or general interest to many
persons so numerous that it is impracticable to join all as parties, a number of them which the court finds to be sufficiently

35
Rule 3, Section 11.
36
AY 2020-2021

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numerous and representative as to fully protect the interests of all concerned may sue or defend for the benefit of all. Any
party in interest shall have the right to intervene to protect his individual interest. (12a)

Section 13. Alternative defendants. — Where the plaintiff is uncertain against who of several persons he is entitled to
relief, he may join any or all of them as defendants in the alternative, although a right to relief against one may be
inconsistent with a right of relief against the other. (13a)

Section 14. Unknown identity or name of defendant. — Whenever the identity or name of a defendant is unknown, he
may be sued as the unknown owner heir devisee, or by such other designation as the case may require, when his identity or
true name is discovered, the pleading must be amended accordingly. (14)

Section 15. Entity without juridical personality as defendant. — When two or more persons not organized as an entity
with juridical personality enter into a transaction, they may be sued under the name by which they are generally or
commonly known.
In the answer of such defendant, the name and addresses of the persons composing said entity must all be revealed. (15a)

Section 16. Death of party; duty of counsel. — Whenever a party to a pending action dies, and the claim is not thereby
extinguished, it shall be the duty of his counsel to inform the court within thirty (30) days after such death of the fact thereof,
and to give the name and address of his legal representative or representatives. Failure of counsel to comply with his duty
shall be a ground for disciplinary action.
The heirs of the deceased may be allowed to be substituted for the deceased, without requiring the appointment of an
executor or administrator and the court may appoint a guardian ad litem for the minor heirs.
The court shall forthwith order said legal representative or representatives to appear and be substituted within a period of
thirty (30) days from notice.
If no legal representative is named by the counsel for the deceased party, or if the one so named shall fail to appear within
the specified period, the court may order the opposing party, within a specified time to procure the appointment of an
executor or administrator for the estate of the deceased and the latter shall immediately appear for and on behalf of the
deceased. The court charges in procuring such an appointment, if defrayed by the opposing party, may be recovered as
costs. (16a, 17a)

Section 17. Death or separation of a party who is a public officer. — When a public officer is a party in an action in his
official capacity and during its pendency dies, resigns, or otherwise ceases to hold office, the action may be continued and
maintained by or against his successor if, within thirty (30) days after the successor takes office or such time as may be
granted by the court, it is satisfactorily shown to the court by any party that there is a substantial need for continuing or
maintaining it and that the successor adopts or continues or threatens to adopt or continue to adopt or continue the action of
his predecessor. Before a substitution is made, the party or officer to be affected, unless expressly assenting thereto, shall
be given reasonable notice of the application therefore and afforded an opportunity to be heard. (18a)

Section 18. Incompetency or incapacity. — If a party becomes incompetent or incapacitated, the court, upon motion with
notice, may allow the action to be continued by or against the incompetent or incapacitated person assisted by his legal
guardian or guardian ad litem. (19a)

Section 19. Transfer of interest. — In case of any transfer of interest, the action may be continued by or against the original
party, unless the court upon motion directs the person to whom the interest is transferred to be substituted in the action or
joined with the original party. (20)

Section 20. Action and contractual money claims. — When the action is for recovery of money arising from contract,
express or implied, and the defendant dies before entry of final judgment in the court in which the action was pending at the
time of such death, it shall not be dismissed but shall instead be allowed to continue until entry of final judgment. A favorable
judgment obtained by the plaintiff therein shall be enforced in the manner especially provided in these Rules for prosecuting
claims against the estate of a deceased person. (21a)

Section 21. Indigent party. — A party may be authorized to litigate his action, claim or defense as an indigent if the court,
upon an ex parte application and hearing, is satisfied that the party is one who has no money or property sufficient and
available for food, shelter and basic necessities for himself and his family.
Such authority shall include an exemption from payment of docket and other lawful fees, and of transcripts of stenographic
notes which the court may order to be furnished to him. The amount of the docket and other lawful fees which the indigent
was exempted from paying shall be a lien on any judgment rendered in the case favorable to the indigent, unless the court
otherwise provides.
Any adverse party may contest the grant of such authority at any time before judgment is rendered by the trial court. If the
court should determine after hearing that the party declared as an indigent is in fact a person with sufficient income or
property, the proper docket and other lawful fees shall be assessed and collected by the clerk of court. If payment is not
made within the time fixed by the court, execution shall issue or the payment thereof, without prejudice to such other
sanctions as the court may impose. (22a)

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 Section 22. Notice to the Solicitor General. — In any action involving the validity of any treaty, law, ordinance, executive
order, presidential decree, rules or regulations, the court, in its discretion, may require the appearance of the Solicitor
General who may be heard in person or a representative duly designated by him. (23a)

Class Suits37
❖ Defined:
➢ An action where a number of persons may bring the suit as representatives of a certain class of people
who share the same interests.
❖ Requisites:38 (CANB: Common Interest, Adequacy of Representation, Numerous persons, Benefit of All)
1. Subject matter of the case is on of common or general interest to many persons
a. “Subject Matter” pertains to the physical, the things real or personal, the money, land, chattels
and the like, in relation to the suit which is prosecuted.
b. It does not pertain to the delict or wrong committed by the defendant.39
2. The interested persons are so numerous that it is impracticable to join them all as parties
3. The parties bringing the class suit are sufficiently numerous or representative of the class and can fully
protect the interests of all concerned. (There is Adequacy of Representation)
4. The representatives sue or defend for the benefit of all.40

CASE: Juana Complex I Homeowners Association, Inc. v. Fil-Estate Land, Inc. G.R. No. 152272, March 5, 2012.

FACTS:
❖ Plaintiffs are residents of various subdivisions instituting a class suit against a developer and its affiliates.
❖ Plaintiffs were regular commuters and motorists who constantly traveled using the entry and exit toll gates of
SLEX through a right-of-way public road. They have been using it for more than 10 years.
❖ Defendants excavated, broke, and deliberately ruined and closed the road that led to SLEX.
❖ The act of excavating the road caused “damage, prejudice, inconvenience, annoyance, and loss of precious hours
to the commuters and motorists” due to the re-routing.
❖ Defendants sought dismissal due to the case being improperly instituted as a class suit.

ISSUE: W/N this is a class suit?

HELD: YES.
❖ The Court ruled that there was a class suit because the necessary elements for the maintenance of a class suit
were present.
❖ The suit is clearly one that benefits all commuters and motorists who use the road and the closure affected all
those who use the same.

How is the “adequacy of representation” determined?

❖ The court considers the following:41
➢ Whether the interest of the named party is coextensive with the interest of the other members of the class
➢ The proportion of those made a party, as it so bears, to the total membership of the class
➢ Any other factor bearing on the ability of the named party to speak for the rest of the class.
❖ Author’s note: There has to be parallelism with what the representatives in the class suit are petitioning in
representation of the others.
➢ Just like the story of Noah’s Ark. Not all the animals can ride the Ark. Only two from each animal can ride
the Ark, but in representation of all the other animals of its kind.

Does the mere fact that the complaint designates itself as a class suit convert the action into such?
❖ NO.
❖ An action does not become a class suit merely because it is designated as such in the pleadings. It must depend on
the facts of the case.42 Just because a person represents a number of people doesn’t mean it’s a class suit. It has to
comply with the requisites which will be determined by the Court.

Class suits v. Derivative suits v. Individual Suits

❖ Application:
➢ The distinction has to be made during corporate cases involving stockholders.

37
Rule 3, Sec. 12.
38
Lascona Land Co. v. CIR 2012.
39
Mathay v. Consolidated Bank & Trust Co., 58 SCRA 559, 571.
40
Sulo ng Bayan, Inc. v. Araneta, 72 SCRA 347, 356-357.
41
Banda v. Eduardo R. Ermita, G.R. No. 166620, April 20, 2010.
42
Mathay v. Consolidated Bank & Trust Company, 58 SCRA 559; Borlasa v. Polistico, 47 Phil. 345.

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 ❖ Class suits, distinguished:
➢ In corporate cases, these are instituted when the wrong is done to a group, such as stockholders. The
aggrieved party are the stockholders.
➢ Example:
■ When there is a violation of the rights of preferred stockholders. The wrong is done against a
certain group of class (stockholders) and may be a basis for a class suit if the stockholders are
so numerous.

❖ Derivative suits, distinguished:

➢ These are instituted by an individual stockholder on behalf of the corporation in order to protect or
vindicate corporate rights. The aggrieved party is the corporation and its rights.
➢ These are instituted in cases of mismanagement where the wrongful acts are committed by the directors or
trustees themselves.
➢ What is really happening:

Requisites of a Derivative Suit:43 (SED; Shareholder, Exhausted remedies, Devolves on the Corp)
➢
1. The party bringing suit should be a shareholder as of the time of the act or transaction
complained of, the number of his shares not being material.
2. He has tried to exhaust intra-corporate remedies, i.e., has made a demand on the board of
directors for the appropriate relief but the latter has failed or refused to heed his plea.
3. The cause of action actually devolves on the corporation, the wrongdoing or harm having
been, or being caused to the corporation and not particularly the stockholder bringing suit.
Must the corporation, for whom the derivative suit pertains to, be impleaded as a party?
❖ YES.44
❖ It is required that it be alleged in the complaint that the complainant is suing on a derivative cause of action on
behalf of the corporation.
❖ It is a condition sine qua non that the corporation be impleaded as a party.

❖ Individual suits, distinguished:

➢ These are instituted when a stockholder or member is denied of a right.
➢ Example:
■ A stockholder or member is denied the right of inspection.
■ His suit would be individual because the wrong is done to him personally and not to the other
stockholders or the corporation.

In an action instituted by homeowner’s association on behalf of the homeowners, is this a class suit?
❖ NO.
❖ It is an action in a representative capacity under Rule 3, Sec. 3.45

When Class Suits are NOT applicable:

1. When interests are conflicting
➢ When the interests of the parties in the subject matter are conflicting, a class suit will not prosper.
❖ Example:
➢ A class suit brought by 17 residents of a town with a population of 2,460 persons to recover possession of
a holy image was held not to qualify as a class suit because the plaintiffs did not represent membership of
the churches they purport to represent and that the interests of the plaintiffs conflict with those of the other
inhabitants who were opposed to the recovery.46
2. By a corporation to recover property of its members
➢ The corporation is an entity separate and distinct from its members. It has no interest in the individual
property of its members, unless transferred to the corporation.
➢ If there are no interests, a corporation has no personality to bring an action for the purpose of recovering
property, which belongs to the members, in their personal capacities.

43
Legaspi Towers 300 v. Muer, 2012.
44
Go v. Distinction Properties, 2012.
45
MIAA v. Rivera, 2005.
46
Ibanes v. Roman Catholic Church, 12 Phil. 227, 241.

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 ❖ Example:
➢ Non-stock corporations may not institute actions in behalf of its individual members, for the recovery of
certain members.
3. To recover real property individually held
➢ A class suit would not lie where each of the parties has an interest only in the particular portion of the land
he is occupying and not in the portions individually occupied by the other defendants.47
4. To recover damages for personal reputation
➢ If there is no common or general interest in the reputation of a specific individual, the class suit will not
prosper.
❖ Example
➢ There is no class suit in an action filed by associations of sugar planters to recover damages in behalf of
individual sugar planters for an allegedly libelous article in an international magazine. Each of the sugar
planters has a separate and distinct reputation in the community not share by the others.48

Alternative defendants49
❖ Defined:
➢ Where the plaintiff cannot definitely identify who among two or more persons should be impleaded as a
defendant, he may join all of them as defendants in the alternative.
❖ Codal provision:
➢ Where the plaintiff is uncertain against who of several persons he is entitled to relief, he may join any or all
of them as defendants in the alternative, although a right to relief against one may be inconsistent with a
right of relief against the other.50
❖ Examples:
➢ Assume that Mr. X, a pedestrian, was injured in the collision of two vehicles. He suffered injuries but does
not know with certainty which vehicle caused the mishap. What should Mr. X do if he wants to sue?
■ He should sue the vehicle drivers/owners in the alternative.
➢ P sent some goods to D pursuant to a contract. The goods were delivered to E, the known agent of D. D
did not pay P. D contends that he has not received the goods. P claims otherwise and insists that D had
received the goods. Should P sue D or should he sue E?
■ P should sue both, but in the alternative.
➢ In a case for the recovery of damages to goods shipped through a maritime vessel, may plaintiff sue the
shipping company and the arrastre operator alternatively?
■ YES.

What if the name of the defendant is unknown? May he still be sued?

❖ YES.
❖ He may be sued as the unknown owner, heir, devisee, or by such other designation as the case may require.
❖ But when his identity is discovered, the pleading must be amended accordingly.51

Entity without juridical personality as defendant52

❖ Application:
➢ This section applies to entities without juridical personality (such as unregistered partnership or
unincorporated corporations).
❖ Effect:
➢ Cannot SUE: As an entity, they cannot sue.
■ But they can sue as individuals.
➢ Can be SUED: As an entity, they can be sued.
■ Service of summons may be effected upon all the defendants by serving upon:
● Any one of them; or
● The person in charge of the office or place of business maintained under such name.
■ Answer:
● Must reveal the names and addresses of the persons composing it, so that judgment
rendered against them shall set out their individual or proper names.

Effect of the death of a party53

❖ Application:
➢ This applies when a party to a pending action dies.
❖ Immediate Effect:
➢ The claim is NOT extinguished.
❖ Duty of the counsel:

47
Ortigas & Company Limited Partnership v. Ruiz, 148 SCRA 326.
48
Newsweek, Inc. v. IAC, 142 SCRA 171, 176-177.
49
Rule 3, Sec. 13.
50
Rule 3, Sec. 13.
51
Rule 3, Sec. 14.
52
Rule 3, Sec. 15.
53
Rule 3, Sec. 16.

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 ➢ To inform the court within thirty (30) days after such death
➢ To give the name and address of his legal representative or representatives
■ They will be ordered to appear and substituted within thirty (30) days from notice.
■ If absent, or no legal representative is named
● The Court orders the appointment of an executor or administrator for the estate of the
deceased. He shall appear immediately on behalf of the deceased.
➢ Effect of failure:
■ Ground for disciplinary action.

❖ Other effects:
➢ The heirs of the deceased may be allowed to be substituted for the deceased.
■ No appointment of an executor or administrator is needed.
■ If the heirs are minors, the court may appoint a guardian ad litem.
❖ Rules to observe:

What is the effect of death of a party on the attorney-client relationship?

❖ It extinguishes the attorney-client relationship and divests a counsel of his authority to represent the client.
❖ Accordingly, a dead client has no personality and cannot be represented by an attorney.
❖ Neither does he become the counsel of the heirs of the deceased unless his services are engaged by said heirs.

What if no legal representative is named by the counsel for the deceased party, or if the one so named shall fail to
appear within the specified period (assuming there was a notice of death filed)?
❖ The court may order the opposing party, within a specified time, to procure the appointment of an executor or
administrator for the estate of the deceased and the latter shall immediately appear for and on behalf of the
deceased.
❖ The court charges in procuring such appointment, if defrayed by the opposing party, may be recovered as costs.

In relation to Rule 3, Sec. 20, regarding the death of the defendant when there is a pending contractual money claim
❖ When a defendant dies and the suit is about a contractual money claim, substitution is not necessary and the action
continues.
❖ Rule 3, Sec. 20 is the XPN to Sec. 16’s rules.

What are the consequences when there was no valid substitution because of either the fault of the counsel to notify
the court of the death or the failure of the court to order substitution?
❖ Generally: VOID
➢ Due to violation of due process.
➢ Non-compliance with the rules on substitution of a deceased party renders the proceedings of the trial court
infirm because the court acquired no jurisdiction over the person of the legal representative of heirs of the
deceased because no man should be affected by a proceeding to which he is a stranger.
❖ XPN: When the party to be substituted actively participates and voluntarily submits himself to the jurisdiction of
the Court, such that there is NO denial of due process.
➢ Formal substitution is not necessary if the heirs:54
■ Voluntarily appeared in the action,
■ Participated, and
■ Presented evidence in defense of deceased defendant.

54
Brioso v. Mariano.

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If there is a failure to substitute a deceased party, is this sufficient ground to nullify a trial court’s decision?
❖ NO.
❖ The party alleging nullity must also prove that there was an undeniable violation of due process.55
➢ Due process is denied if the heirs would be substantially affected by the decision rendered due to the
absence of being notified of the proceedings.

What if there are multiple parties, and only some died, but the court did not order substitution?
❖ Judgment will be VALID as to the parties who did not die.
➢ It will, however, be VOID, as to the parties who were not validly substituted.56

Action on contractual money claims57

❖ Application
➢ When the action is for recovery of money arising from a contract, and the defendant dies pending suit.
❖ Requisites:
1. Money claim from contract
2. Defendant dies (not the plaintiff)
3. The suit is still pending and the death was before entry of final judgment
❖ Effect:
➢ Action is NOT dismissed; it keeps going (padayon); it keeps going until the entry of final judgment.
➢ If the judgment is favorable to the plaintiff, the claim will be against the estate in the probate court.
❖ NOTE:
➢ This is the exception to Rule 3, Section 16. No substitution is needed since the action will go against the
deceased’s estate.
➢ If the money claim is based on a tort or delict, the claim will be filed against the executor or administrator.

Death or separation of a party who is a public officer58

❖ Application:
➢ When a public officer is a party and during the pendency of the case dies.
➢ Party → he is a party in his official capacity
➢ Dies → dies, resigns, or otherwise ceases to hold office.
❖ Effect:
➢ The action may be continued and maintained by or against his successor, provided:
■ Within thirty (30) days after the successor takes office or such time as may be granted by the
court, it is satisfactorily shown to the court by any party that there is a substantial need for
continuing or maintaining it.
■ The successor adopts or continues or threatens to adopt or continue the action of his
predecessor
■ The successor (party or officer to be affected) is given reasonable notice of the application
therefore and accorded an opportunity to be heard.

Incompetency or incapacity59
❖ Application:
➢ A party becomes incompetent or incapacitated
❖ Effect:
➢ The action may be continued by or against the incompetent or incapacitated person assisted by his legal
guardian or guardian ad litem.
❖ NOTE: There must be motion with notice that the party has become incompetent or incapacitated.

Transfer of interest60
❖ RULE: When there is transfer of interest, the action may be continued by or against the original party.
➢ The transferee that stands exactly in the shoes of the transferor (original party) is known as the transferee
pendente lite.
➢ Should transferees pendente lite be joined in actions as indispensable parties?
■ NO.61 They are not even necessary parties.
■ A transferee pendente lite stands in exactly the same position as its predecessor-in-interest, the
original defendant, and is bound by the proceedings had in the case before the property was
transferred to it.
■ The Rules of Court specificalyl allows the proceedings to proceed with the original parties while
binding the transferee.
❖ XPN: When the court, upon motion, directs the transferee, to either be:

55
Napere v. Barbarona, G.R. No. 160426, January 31, 2008.
56
Brioso v. Mariano.
57
Rule 3, Sec. 20.
58
Rule 3, Sec. 17.
59
Rule 3, Sec. 18.
60
Rule 3, Sec. 19.
61
Heritage Park Management v. CIAC, 2008.

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 ➢ Substituted in the action
■ When should the substitution be done?
■ (1) During the lifetime of the transferor of interest, and (2) while the manifesting counsel is still
the effective and authorized counsel for the client-transferor.62
➢ Joined with the original party
❖ Discretion of the Court:
➢ It is the Court’s discretion if joinder is approved, upon a motion of the adverse party, and substitution.

Summary of Rules on Substitution in case of Death

Sec Death: Rules

tion

16 Generally ❖ Claim is NOT extinguished if it principally involves property or property rights

❖ Duty of the counsel:
➢ To inform the court within thirty (30) days after such death
➢ To give the name and address of his legal representative or representatives
❖ Attorney-Client relationship is extinguished

17 Of Public ❖ Substitution when a public officer is a party and during the pendency of the case dies.
Officer ❖ The action may be continued and maintained by or against his successor, provided:
➢ Within thirty (30) days after the successor takes office or such time as may be granted by
the court, it is satisfactorily shown to the court by any party that there is a substantial
need for continuing or maintaining it.
➢ The successor adopts or continues or threatens to adopt or continue the action of his
predecessor
➢ The successor (party or officer to be affected) is given reasonable notice of the
application therefore and accorded an opportunity to be heard.

20 Involving ❖ Action is for recovery of money arising from a contract, and the defendant dies pending suit.
Money ❖ Action is NOT dismissed; it keeps going (padayon); it keeps going until the entry of final
Claims judgment.
❖ If the judgment is favorable to the plaintiff, the claim will be against the estate in the probate
court.

18 Incapacity ❖ Applies when a party becomes incompetent or incapacitated

❖ The action may be continued by or against the incompetent or incapacitated person assisted
by his legal guardian or guardian ad litem.
❖ There must be motion with notice that the party has become incompetent or incapacitated.

19 Transfer of ❖ When there is transfer of interest, the action may be continued by or against the original party.
Interest ❖ The transferee that stands exactly in the shoes of the transferor (original party) is known as the
transferee pendente lite.
❖ XPN: When the court, upon motion, directs the transferee, to either be:
➢ Substituted in the action
➢ Joined with the original party

Indigent Parties63
❖ Requisites for Indigents under Rule 3, Sec. 21.:
➢ A party who has no money or property sufficient and available for food, shelter and basic necessities for
himself and his family.64
➢ A party may be declared as an indigent by the court upon an ex parte application and hearing.

❖ Requisites for Indigent litigants under Rule 141, Sec. 9:65

1. Whose gross income and that of their immediate family do not exceed an amount double the monthly
minimum wage of an employee;
2. Who do not own real property with a fair market value as stated in the current tax declaration of more than
three hundred thousand (P300,000.00) pesos.

62
Sumaljag v. Literato, 2008.
63
Rule 3, Sec. 21.
64
Rule 3, Sec. 21.
65
Rule 141, Sec. 19.

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 3. The litigant execusets an affidavit that he and his immediate family do not earn a gross income
above-mentioned, nor do they own real property with the fair value aforementioned.
a. Current tax declaration, if any, shall be attached to the litigant’s affidavit.
4. A supporting affidavit of a disinterested person attesting to the truth of the litigant’s affidavit.

❖ Two-tier test in determining who are considered as indigent parties/litigants66

➢ Indigent litigant as a matter of right under Rule 141, Sec. 9.
■ If the indigent fits within the parameters above (requisites), it is mandatory upon the court to
declare him as an indigent.
■ RECALL: Requisites:
● Gross income does not exceed 2x monthly minimum wage
● No real property of more than P300,000
● Affidavits to support the same.
➢ Indigent litigant as a matter of discretion under Rule 3, Sec. 21.
■ If the litigant does not meet the requisites under Rule 141, the court is given the discretion to
determine whether he is an indigent under Rule 3, Sec. 21.

❖ Benefits of being an Indigent party:

➢ Exemption from payment of docket fees and other lawful fees
➢ Exemption from payment for transcripts of stenographic notes

May the grant of indigency be contested?

❖ YES.
❖ Any adverse party may contest the grant of such authority at any time before judgment is rendered by the trial court.
Then, the court should determine after hearing that the party declared as an indigent is in fact a person with sufficient
income or property.

What if it was later discovered that the party declared as indigent lacks the requirements?
❖ Under Rule 3, Section 21:
➢ The proper docket and lawful fees shall be assessed and collected by the clerk of court.
➢ If payment is not made within the time fixed by the court, execution shall issue or the payment thereof,
without prejudice to such other sanctions as the court may impose.
❖ Under Rule 141, Section 19:
➢ Any falsity in the affidavit of the litigant or the disinterested person shall be sufficient cause to dismiss the
complaint or action or to strike out the pleading of that party, without prejudice to whatever criminal liability
may have been incurred.

Notice to Solicitor General67

❖ Applies to acts involving the validity of:
➢ Any treaty
➢ Law
➢ Ordinance
➢ Executive order
➢ Presidential decree
➢ Rules or regulations
❖ Effect:
➢ The Solicitor General may be required by the court to appear.
■ Not necessarily the Sol Gen himself, but also through a representative duly designated by him.

Rule 4: Venue of Actions

Section 1. Venue of real actions. — Actions affecting title to or possession of real property, or interest therein, shall be
commenced and tried in the proper court which has jurisdiction over the area wherein the real property involved, or a portion
thereof, is situated.
Forcible entry and detainer actions shall be commenced and tried in the municipal trial court of the municipality or city
wherein the real property involved, or a portion thereof, is situated. (1[a], 2[a]a)

Section 2. Venue of personal actions. — All other actions may be commenced and tried where the plaintiff or any of the
principal plaintiffs resides, or where the defendant or any of the principal defendants resides, or in the case of a non-resident
defendant where he may be found, at the election of the plaintiff. (2[b]a)

Section 3. Venue of actions against nonresidents. — If any of the defendants does not reside and is not found in the

66
Algura v. LGU of the City of Naga, G.R. No. 150135, October 30, 2006.
67
Rule 3, Sec. 22.

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 Philippines, and the action affects the personal status of the plaintiff, or any property of said defendant located in the
Philippines, the action may be commenced and tried in the court of the place where the plaintiff resides, or where the
property or any portion thereof is situated or found. (2[c]a)

Section 4. When Rule not applicable. — This Rule shall not apply.
(a) In those cases where a specific rule or law provides otherwise; or
(b) Where the parties have validly agreed in writing before the filing of the action on the exclusive venue thereof. (3a,
5a)

Kinds of actions for purposes of venue

3. Real Action
4. Personal Action
❖ Why is this important?
➢ If it is a real action, the location of the real property dictates the venue.
■ Actions to recover possession of real property plus damages
■ Actions for unlawful detainer or forcible entry
■ Accion publiciana
■ Accion reivindicatoria
■ Quieting of title
➢ If it is a personal action, the residence of the plaintiff (or defendant) dictates the venue.
■ Declaration of the nullity of marriage
■ Action for specific performance with damages
➢ If a complaint may denote a combination of real and personal actions, the primary objective will determine.
■ E.g. A complaint for specific performance but prays for the issuance of a deed of sale for a parcel
of land to enable the plaintiff to acquire ownership is a real action.

Jurisdiction v. Venue

Term Jurisdiction Venue

Definition The authority to hear and determine a case The place where the case is to be heard or tried

Matter Substantive Procedural

Relation Court and the subject-matter Plaintiff and defendant, or petitioner and respondent

Conferment Fixed by law and cannot be conferred by the May be conferred by the act or agreement of the
parties parties

Rules on Venue

Real Actions Personal Actions Actions against Non-Residents Not in the

Philippines

Actions affecting (TIP):
❖ Title to Real Property
❖ Any Interest in Real
Property
❖ Possession of Real
Property
All actions which are not real actions, are
necessarily personal actions.
1. Any of the defendants does not reside and
is not found in the Philippines; and
2. The action is in rem or quasi in rem in that
either:
a. Affects the personal status of the
plaintiff;
b. Affects any property of the defendant
located in the Philippines.

In the court which has
jurisdiction over:
❖ The area wherein the
real property involved, or
a portion thereof, is
situated
In either any of the courts, at the choice Commenced and tried in either the court of:
of the plaintiff: 1. The place where the plaintiff resides; or
1. Place of the residence of plaintiff or 2. Where the property or any portion thereof is
any of the principal plaintiffs situated or found.
2. Place of residence of defendant or
any of the principal defendants
3. If non-resident defendant, where he
may be found (at plaintiff’s election)

Exception to the Rules: #1, In cases where a specific rule or law provide otherwise

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 Exception Venue

Quo Warranto RTC residence of the defendant

Action for nullity of marriage Where the plaintiff resides, where the defendant resides, or where their
conjugal home is located

Adoption Where the prospective adoptive parents reside

Probate settlement of Estate Where the deceased last resided at his time of death

Contempt in quasi-judicial agencies RTC where the contempt was committed

Petition for perpetration of testimony Court of the place where the prospective defendant resides

Writ of habeas corpus on custody of RTC where the minor is supposed to be found.
minors CA or SC if the place is unknown or minor cannot be found.

Extra-judicial foreclosure sales Sale cannot be made legally outside of the province which the property sold
is situated.

Exception to the Rules: #2, in cases where a specific rule or law provide otherwise
❖ Where parties validly agreed in writing before the filing of the addiction on the exclusive venue thereof:
❖ Requisites:
➢ Must be in writing
➢ Must be made before the filing of the action
➢ Must be exclusive as to the venue
■ “Only”; “exclusively”
■ If the words are not categorically limiting, then it is merely an “additional forum or venue”68
➢ Must not be contrary to the rules, law, or public policy

Rule 5: Uniform Procedure in Trial Courts

Section 1. Uniform procedure. — The procedure in the Municipal Trial Courts shall be the same as in the Regional Trial
Courts, except
(a) where a particular provision expressly or impliedly applies only to either of said courts, or
(b) in civil cases governed by the Rule on Summary Procedure. (n)

Section 2. Meaning of terms. — The term "Municipal Trial Courts" as used in these Rules shall include Metropolitan Trial
Courts, Municipal Trial Courts in Cities, Municipal Trial Courts, and Municipal Circuit Trial Courts. (1a)

RECALL: Jurisdiction of 1st Level Courts

Jurisdiction Coverage

Original and Those below the values of the RTC

Exclusive P400k
❖ Real property less than or equal to P20k, P50k MM
P2,000,000
❖ Personal property less than or equal to P300k, P400k MM
or equal
❖ Actions demanding sums of money less than P100k, to P2,000,000
P200k MM

Actions for Forcible Entry and Unlawful Detainer

❖ Irrespective of the amount of damages and unpaid rentals sought to be recovered.

Delegated MetCs, MTCs, MCTCs may be assigned by the SC to hear and determine cadastral or land registration
cases covering lots valued at less than P100,000.

Special In the absence of RTC judges in a province or city, any MTC Judge may hear and decide petitions of
habeas corpus, or applications for bail in criminal cases in the province or city where the absent RTC

68
Lantin v. Lantion, 2006.

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 Judge sits.

Summary Cases of Forcible Entry and Unlawful Detainer (regardless of value), violations of traffic laws, rules and
Procedure regulations, violations of the rental law, and other cases determined by SC.
But Attorney’s Fees cannot exceed P20,000.00.

Marine/ P2,000,000
Demand or claim is less than or equal to P300,000 (P400,000 in MM)
Admiralty

Probate and P2,000,000

Gross value of the estate is less than or equal to P300,000 (P400,000 in MM)
Intestate
Proceedings

Small Applicability: Subject Covered:

Claims ❖ Value of claims: ❖ Contractual Claims
➢ Does not exceed 400k if MeTC ❖ Loan
➢ Does not exceed 300k if MTC, ❖ Sales
MCTC ❖ Liquidated damages
❖ Enforcement of amicable settlement

Highlights of Rules on Summary Procedure

Sec. Title Description and Notes

1 Scope This rule shall govern the summary procedure in the Metropolitan Trial Courts, Municipal Trial Courts
in Cities, Municipal Circuit Trial Courts, and Municipal Trial Courts in the following cases falling
within their jurisdiction:
A. Civil Cases
(1) All cases of forcible entry and unlawful detainer, irrespective of the amount of damages
and unpaid rentals sought to be recovered. Where attorney’s fees are awarded, the same
shall not exceed 20,000.00
(2) All other cases, except probate proceedings, where the total amount of plaintiff’s claim
does not exceed 100,000.00 or 200,000.00 in Metro Manila, exclusive of interests and
costs. (As amended by A.M. 02-11-09-SC, effective November 25, 2002)

3 Pleadings A. Pleadings Allowed- The only pleadings allowed to be filed are: Complaints, Compulsory
Counterclaims and cross-claims pleaded in the answer; and the answers thereto.
B. Verification– All pleadings shall be verified.

5 Answer Within 10 days from service of summons, the defendant shall file his answer to the complaint and
30 daysserve a copy thereof on the plaintiff. Affirmative and negative defenses not pleaded therein
shall be deemed waived, except for lack of jurisdiction over the subject matter.
Cross-claims and compulsory counterclaims not asserted in the answer shall be considered barred.
The answer to counterclaims and cross-claims shall be filed and served within 10 days from the
service of the answer in which they are pleaded.

6 Effect of Should the defendant fail to answer the complaint within the period above provided, (10days), the
Failure to court, motu proprio or on motion of the plaintiff shall render judgment as may be warranted by the
Answer facts alleged in the complaint and limited to what is prayed for therein.
Provided, however, that the court may, in its discretion, reduce the amount of damages and
attorney’s fees claimed for being excessive or otherwise, unconscionable. This is without prejudice
to the applicability of Section 4, Rule 18 of the Rules of Court, if there are two or more defendants.

7 Preliminary Not later than 30 days after the last answer is filed, a preliminary conference shall be held. The rules
Conference on pre-trial in ordinary cases shall be applicable to the preliminary conference unless inconsistent
with the provisions of this Rule.
The failure of the plaintiff to appear in the preliminary conference shall be a cause for the dismissal
of his complaint. The defendant who appears in the absence of the plaintiff shall be entitled to
judgment of his counterclaim in accordance with section 6 hereof. All cross-claims shall be
dismissed.
If a sole defendant shall fail to appear, the plaintiff shall be entitled to judgment in accordance with
section 6 hereof. This rule shall not apply where one of two or more defendants sued under a
common cause of action who had pleaded a common defense shall appear at the preliminary
conference.

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 8 Record of Within 5 days after the termination of the preliminary conference, the court shall issue an order
Prelim. stating the matters taken up therein, including but not limited to:
Conference (a) Whether the parties have arrived at an amicable settlement, and if so, the terms thereof;
(b) The stipulations or admissions entered thereto;
(c) Whether, on the basis of the pleadings and the stipulations and admissions made by the
parties, judgment may be rendered without the need of further proceedings, in which
event the judgment shall be rendered within 30 days from issuance of the order;
(d) A clear specification of material facts which remain controverted;
(e) Such other matters intended to expedite the disposition of the case.

9 Submission Within 10 days from receipt of the order mentioned in the next preceding section, the parties shall
of Affidavit submit the affidavits of their witnesses and other evidence on the factual issues defined in the order,
and together with their position papers setting forth the law and the facts relied upon by them.
Position
Papers

10 Judgment Within 30 days after receipt of the last affidavits and position papers, or the expiration of the period
for filing the same, the court shall render judgment.
However, should the court find it necessary to clarify certain material facts, it may, during the said
period, issue an order specifying the matters to be clarified, and require the parties to submit
affidavits or other evidences on the said matters within 10 days from receipt of said order.
Judgment shall be rendered within 15 days after the receipt of the last clarificatory affidavits, or the
expiration of the period for filing the same.
The court shall not resort to the clarificatory procedure to gain time for the rendition of the judgment.

18 Referral to Cases requiring referral to Lupon for conciliation under the provisions of PD 1508, where there is no
Lupon showing of compliance with such requirement, shall be dismissed without prejudice, and may
be revived only after such requirement shall have been complied with. This provision shall not apply
to criminal cases where the accused was arrested without a warrant.

19 Prohibited The following pleadings, motions or petitions shall not be allowed in the cases covered by this rule.
pleadings (a) Motion to dismiss the complaint or to quash the complaint or information except on the
and ground of lack of jurisdiction over the subject matter or failure to comply with the preceding
motions section.
(b) Motion for a bill of particulars
(c) Motion for new trial, or for reconsideration of judgment, or for reopening of trial.
(d) Petition for relief from judgment
(e) Motion for extension of time to file pleadings, affidavits, or any other paper
(f) Memoranda
(g) Petition for certiorari, mandamus, or prohibition against any interlocutory order issued by
the court.
(h) Motion to declare the defendant in default
(i) Dilatory motions for postponement
(j) Reply
(k) Third-party complaints
(l) Interventions

21 Appeal The judgment or final order shall be appealable to the appropriate RTC which shall decide the
same in accordance with Section 22 of BP Blg. 129. The decision of the RTC in civil cases governed
by this Rule, including forcible entry and unlawful detainer, shall be immediately executory, without
prejudice to a further appeal that may be taken therefrom. Section 10 of Rule 70 shall be deemed
repealed.

Other notes:
❖ Judgment is rendered based on the complaint in Summary Procedure when no answer is filed
➢ Section 6 is clear that in case the defendant failed to file his answer, the court shall render judgment, either
motu proprio or upon plaintiff’s motion, based solely on the facts alleged in the complaint and limited
to what is prayed for. The failure of the defendant to timely file his answer and to controvert the claim
against him constitutes his acquiescence to every allegation stated in the complaint.69
❖ Failure to attach annexes is not fatal if the complaint alleges a sufficient cause of action; evidence need not
be attached to the complaint

69
Fairland Knitcraft v. Po, G.R. No. 217694, January 27, 2016.

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 ➢ The lower courts erroneously dismissed the complaint of Fairland simply on the ground that it failed to
establish by preponderance of evidence its ownership over the subject property. As can be gleaned above,
the rules do not compel the plaintiff to attach his evidence to the complaint because, at this inception stage,
he only has to file his complaint to establish his cause of action. Here, the court was only tasked to
determine whether the complaint of Fairland alleged a sufficient cause of action and to render judgment
thereon.70

Highlights of Rules on Small Claims Cases

Sec. Title Description and Notes

2 Scope These Rules shall govern the procedure in actions before the Metropolitan Trial Courts (MeTCs),
Municipal Trial Courts in Cities (MTCCs), Municipal Trial Courts (MTCs) and Municipal Circuit Trial
Courts (MCTCs) for payment of money where the value of the claim does not exceed Three
Hundred Thousand Pesos (P300,000.00) exclusive of interest and costs.71

5 Applicability The Metropolitan Trial Courts, Municipal Trial Courts in Cities, Municipal Trial Courts, and Municipal
Circuit Trial Courts shall apply this Rule in all actions that are purely civil in nature where the claim
or relief prayed for by the plaintiff is solely for payment or reimbursement of sum of money.
The claim or demand may be:
(a) For money owed under any of the following:
1. Contract of Lease;
2. Contract of Loan;
3. Contract of Services;
4. Contract of Sale; or
5. Contract of Mortgage;
(b) For liquidated damages arising from contracts;
(c) The enforcement of a barangay amicable settlement or an arbitration award involving a
money claim covered by this Rule pursuant to Sec. 417 of Republic Act 7160, otherwise
known as The Local Government Code of 1991.

6 Commence A small claims action is commenced by filing with the court an accomplished and verified Statement
ment of Claim (Form 1-SCC) in duplicate, accompanied by a Certification Against Forum Shopping,
Splitting a Single Cause of Action, and Multiplicity of Suits (Form 1-A-SCC), and two (2) duly
certified photocopies of the actionable document/s subject of the claim, as well as the affidavits of
witnesses and other evidence to support the claim. No evidence shall be allowed during the hearing
which was not attached to or submitted together with the Statement of Claim, unless good cause is
shown for the admission of additional evidence.
The plaintiff must state in the Statement of Claim if he/she/it is engaged in the business of lending,
banking and similar activities, and the number of small claims cases filed within the calendar year
regardless of judicial station.
No formal pleading, other than the Statement of Claim/s described in this Rule, is necessary to
initiate a small claims action.

7 Venue The regular rules on venue shall apply.

However, if the plaintiff is engaged in the business of lending, banking and similar activities, and has
a branch within the municipality or city where the defendant resides, the Statement of Claim/s shall
be filed where that branch is located.

8 Joinder Plaintiff may join in a single statement of claim one or more separate small claims against a
defendant provided that the total amount claimed, exclusive of interest and costs, does not
exceed Three Hundred Thousand Pesos (P300,000.00).

11 Dismissal of After the court determines that the case falls under these Rules, it may, from an examination of the
Claim allegations of the Statement of Claim/s and such evidence attached thereto, by itself, dismiss the
case outright on any of the grounds for the dismissal of the case. The order of dismissal shall state
if it is with or without prejudice.
If, during the hearing, the court is able to determine that there exists a ground for dismissal of the
Statement of Claim/s, the court may, by itself, dismiss the case even if such ground is not pleaded in
the defendant’s Response.
If plaintiff misrepresents that he/she/ it is not engaged in the business of banking, lending or
similar activities when in fact he/she/it is so engaged, the Statement of Claim/s shall be dismissed
with prejudice and plaintiff shall be meted the appropriate sanctions, such as direct contempt.

70
Ibid.
71
https://lawphil.net/courts/supreme/am/am_08_8_7_sc_2008.html

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 However, if the case does not fall under this Rule, but falls under summary or regular procedure,
the case shall not be dismissed. Instead, the case shall be re-docketed under the appropriate
procedure, and returned to the court where it was assigned, subject to payment of any deficiency
in the applicable regular rate of filing fees. If a case is filed under the regular or summary procedure,
but actually falls under this Rule, the case shall be referred to the Executive Judge for appropriate
assignment.

12 Summons If no ground for dismissal is found, the court shall forthwith issue Summons (Form 2-SCC) on the
and Notice day of receipt of the Statement of Claim/s, directing the defendant to submit a verified Response.
of Hearing The court shall also issue a Notice of Hearing (Form 4-SCC) to both parties, directing them to
appear before it on a specific date and time for hearing, with a warning that no unjustified
postponement shall be allowed, as provided in Section 21 of this Rule.
The Summons to be served on the defendant shall be accompanied by a copy of the Statement of
Claim/s and documents submitted by plaintiff, and a blank Response Form (Form 3-SCC) to be
accomplished by the defendant.
A Notice of Hearing shall accompany the Summons and shall contain: (a) the date of the hearing,
which shall not be more than thirty (30) days from the filing of the Statement of Claim/s; and (b) the
express prohibition against the filing of a motion to dismiss or any other motion under Section 16 of
this Rule.
If Summons is returned without being served on any or all of the defendants, the court shall order
the plaintiff to cause the service of summons and shall inform the court within thirty (30) days from
notice if said summons was served or not; otherwise, the Statement of Claim/ s shall be dismissed
without prejudice as to those who were not served with summons.

13 Response The defendant shall file with the court and serve on the plaintiff a duly accomplished and verified
Response within a non-extendible period of ten (10) days from receipt of summons. The
Response shall be accompanied by certified photocopies of documents, as well as affidavits of
witnesses and other evidence in support thereof. No evidence shall be allowed during the hearing
which was not attached to or submitted together with the Response, unless good cause is shown for
the admission of additional evidence.

14 Effect of Should the defendant fail to file his/her/its Response within the required period, and likewise fail to
Failure to appear on the date set for hearing, the court shall render judgment on the same day, as may be
File warranted by the facts alleged in the Statement of Claim/s.
Response Should the defendant fail to file his/her/its Response within the required period but appears on the
date set for hearing, the court shall ascertain what defense he/she/it has to offer which shall
constitute his/ her/its Response, and proceed to hear or adjudicate the case on the same day as
if a Response has been filed.

15 Counterclai If at the time the action is commenced, the defendant possesses a claim against the plaintiff that
ms (a) is within the coverage of this Rule, exclusive of interest and costs;
(b) arises out of the same transaction or event that is the subject matter of the plaintiff’s
claim;
(c) does not require for its adjudication the joinder of third parties; and
(d) is not the subject of another pending action, the claim shall be filed as a counterclaim in
the Response; otherwise, the defendant shall be barred from suing on the counterclaim.
The defendant may also elect to file a counterclaim against the plaintiff that does not arise out of the
same transaction or occurrence, provided that the amount and nature thereof are within the
coverage of this Rule and the prescribed docket and other legal fees are paid.

16 Prohibited The following pleadings, motions, or petitions shall not be allowed in the cases covered by this Rule:
Pleadings & (a) Motion to dismiss the Statement of Claim/s;
Motions (b) Motion for a bill of particulars;
(c) Motion for new trial, or for reconsideration of a judgment, or for reopening of trial;
(d) Petition for relief from judgment;
(e) Motion for extension of time to file pleadings, affidavits, or any other paper;
(f) Memoranda;
(g) Petition for certiorari, mandamus, or prohibition against any interlocutory order issued by
the court; (h) Motion to declare the defendant in default;
(h) Dilatory motions for postponement;
(i) Reply and rejoinder;
(j) Third-party complaints; and
(k) Interventions.

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 18 Appearance The parties shall personally appear on the designated date of hearing.
Appearance through a representative must be for a valid cause. The representative of an
individual-party must not be a lawyer, and must be related to or next-of-kin of the individual-party.
Juridical entities shall not be represented by a lawyer in any capacity.
The representative must be authorized under a Special Power of Attorney (Form 7-SCC) to enter
into an amicable settlement of the dispute and to enter into stipulations or admissions of facts and of
documentary exhibits.

19 Appearance No attorney shall appear in behalf of or represent a party at the hearing, unless the attorney is the
of Attorneys 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.

20 Non-appear Failure of the plaintiff to appear shall be cause for the dismissal of the Statement of Claim/s
ance of without prejudice. The defendant who appears in the absence of the plaintiff shall be entitled to
Parties judgment on a permissive counterclaim.
Failure of the defendant to appear shall have the same effect as failure to file a Response
under Section 14 of this Rule. This shall not apply where one of two or more defendants who are
sued under a common cause of action and have pleaded a common defense appears at the
hearing.
Failure of both parties to appear shall cause the dismissal with prejudice of both the
Statement of Claim/s and the counterclaim.

21 Postponeme A request for postponement of a hearing may be granted only upon proof of the physical inability of
nt the party to appear before the court on the scheduled date and time. A party may avail of only one
(1) postponement.

22 Duty of the At the beginning of the court session, the judge shall read aloud a short statement explaining the
Court nature, purpose and the rule of procedure of small claims cases.

23 Hearing At the hearing, the judge shall first exert efforts to bring the parties to an amicable settlement
of their dispute. If efforts at settlement fail, the hearing shall immediately proceed in an informal and
expeditious manner and be terminated within the same day.
Any settlement (Form 8-SCC) or resolution of the dispute shall be reduced into writing, signed by
the parties and submitted to the court for approval (Form 9-SCC and Form 10-SCC).

24 Decision After the hearing, the court shall render its decision based on the facts established by the evidence
(Form 11- SCC), within twenty-four (24) hours from termination of the hearing. The decision shall
immediately be entered by the Clerk of Court in the court docket for civil cases and a copy thereof
forthwith served on the parties.
The decision shall be final, executory and unappealable.

25 Execution When the decision is rendered, execution shall issue upon motion (Form 12-SCC) of the winning
party.

26 Applicability The Rules of Civil Procedure shall apply suppletorily insofar as they are not inconsistent with this
of CivPro Rule.

28 Non-applica The rules on mediation/judicial dispute resolution shall not apply, inasmuch as the parties may enter
bility into compromise at any stage of the proceedings.

Summary Procedure Small Claims

Applicability: Applicability:
❖ Forcible entry and unlawful detainer ❖ Value of claims:
❖ All other civil claims where demands does not ➢ Does not exceed 400k if MeTC
exceed 100k or 200k if in metro manila ➢ Does not exceed 300k if MTC, MCTC

Subject Covered: Subject Covered:

❖ Tort or quasi-delict ❖ Contractual Claims
❖ BP 22 ❖ Loan
❖ Traffic, rental, ordinance violations ❖ Sales

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 ❖ Imprisonment not exceeding 6 months - fine not ❖ Liquidated damages
exceeding 1k ❖ Enforcement of amicable settlement

Rule 6: Kinds of Pleadings (underlined are new provisions)

Section 1. Pleadings defined. — Pleadings are the written statements of the respective claims and defenses of the parties
submitted to the court for appropriate judgment. (1a)

Section 2. Pleadings allowed. — The claims of a party are asserted in a complaint, counterclaim, cross-claim, third (fourth,
etc.)-party complaint, or complaint-in-intervention.
The defenses of a party are alleged in the answer to the pleading asserting a claim against him or her.
An answer may be responded to by a reply only if the defending party attaches an actionable document to the answer. (2a)

Section 3. Complaint. — The complaint is the pleading alleging the plaintiff's or claiming party’s cause or causes of action.
The names and residences of the plaintiff and defendant must be stated in the complaint. (3a)

Section 4. Answer. — An answer is a pleading in which a defending party sets forth his or her defenses. (4a)

Section 5. Defenses. — Defenses may either be negative or affirmative.

(a) A negative defense is the specific denial of the material fact or facts alleged in the pleading of the claimant
essential to his cause or causes of action.
(b) An affirmative defense is an allegation of a new matter which, while hypothetically admitting the material
allegations in the pleading of the claimant, would nevertheless prevent or bar recovery by him. The affirmative
defenses include fraud, statute of limitations, release, payment, illegality, statute of frauds, estoppel, former
recovery, discharge in bankruptcy, and any other matter by way of confession and avoidance. (5a)

Affirmative defenses may also include grounds for the dismissal of a complaint, specifically, that the court has no jurisdiction
over the subject matter, that there is another action pending between the same parties for the same cause, or that the action
is barred by a prior judgment. (5a)

Section 6. Counterclaim. — A counterclaim is any claim which a defending party may have against an opposing party. (6a)

Section 7. Compulsory counterclaim. — A compulsory counterclaim is one which, being cognizable by the regular courts
of justice, arises out of or is connected with the transaction or occurrence constituting the subject matter of the opposing
party's claim and does not require for its adjudication the presence of third parties of whom the court cannot acquire
jurisdiction. Such a counterclaim must be within the jurisdiction of the court both as to the amount and the nature thereof,
except that in an original action before the Regional Trial Court, the counter-claim may be considered compulsory regardless
of the amount. A compulsory counterclaim not raised in the same action is barred, unless otherwise allowed by these Rules.
(7a)

Section 8. Cross-claim. — A cross-claim is any claim by one party against a co-party arising out of the transaction or
occurrence that is the subject matter either of the original action or of a counterclaim therein. Such cross-claim may cover all
or part of the original claim. (8a)

Section 9. Counter-counterclaims and counter-crossclaims. — A counter-claim may be asserted against an original

counter-claimant.
A cross-claim may also be filed against an original cross-claimant. (n)

Section 10. Reply. — All new matters alleged in the answer are deemed controverted. If the plaintiff wishes to interpose any
claims arising out of the new matters so alleged, such claims shall be set forth in an amended or supplemental complaint.
However, the plaintiff may file a reply only if the defending party attaches an actionable document to his or her answer.

A reply is a pleading, the office or function of which is to deny, or allege facts in denial or avoidance of new matters alleged
in, or relating to, said actionable document.

In the event of an actionable document attached to the reply, the defendant may file a rejoinder if the same is based solely
on an actionable document. (10a)

Section 11. Third, (fourth, etc.)—party complaint. — A third (fourth, etc.) — party complaint is a claim that a defending
party may, with leave of court, file against a person not a party to the action, called the third (fourth, etc.) — party defendant
for contribution, indemnity, subrogation or any other relief, in respect of his or her opponent's claim.

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 The third (fourth, etc.)-party complaint shall be denied admission, and the court shall require the defendant to institute a
separate action, where:
(a) The third (fourth, etc.)-party defendant cannot be located within thirty (30) calendar days from the grant of such
leave;
(b) Matters extraneous to the issue in the principal case are raised; or
(c) The effect would be to introduce a new and separate controversy into the action. (11a)

Section 12. Bringing new parties. — When the presence of parties other than those to the original action is required for
the granting of complete relief in the determination of a counterclaim or cross-claim, the court shall order them to be brought
in as defendants, if jurisdiction over them can be obtained. (14)

Section 13. Answer to third (fourth, etc.)—party complaint. — A third (fourth, etc.) — party defendant may allege in his
or her answer his or her defenses, counterclaims or cross-claims, including such defenses that the third (fourth, etc.) —
party plaintiff may have against the original plaintiff's claim. In proper cases, he may also assert a counterclaim against the
original plaintiff in respect of the latter's claim against the third-party plaintiff. (n)

Pleadings, defined:
❖ Pleadings are the written statements of the respective claims and defenses of the parties submitted to the court for
appropriate judgment.

Pleadings, in general:
❖ The claims of a party are asserted in a complaint, counterclaim, cross-claim, third (fourth, etc.)-party complaint, or
complaint-in-intervention.
❖ The defenses of a party are alleged in the answer to the pleading asserting a claim against him.
❖ An answer may be responded to by a reply.

Definition of Terms

Term Definition Notes

Complaint ❖ The complaint is the pleading alleging the plaintiff's cause or causes of action.
❖ Contents:
➢ The names and residences of the plaintiff and defendant.
➢ Concise statement of the ultimate facts constituting the plaintiff’s cause of action.
■ Only essential facts must be averred.
■ If actionable documents are included, the substance of the document or its whole
contents should be included.

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 ■ In case of allegations due to “fraud and mistake”, aver with particularity.
➢ Relief or prayer
❖ Significance of filing the original complaint:
➢ Signifies commencement of the civil action
➢ Court acquires jurisdiction over the person of the plaintiff
➢ Interrupts the prescription of actions under the Civil Code

Answer ❖ A pleading in which a defending party sets forth his defenses.

❖ The response to the complaint.
❖ It should be filed….See Rule 11

Defenses ❖ Defenses may either be negative or affirmative:

Negative Defense:72
❖ A specific denial of the material fact/s alleged in the pleading of the claimant.
❖ NOTE:
➢ General denials are still considered as admissions.
➢ Material averments in the complaint not specifically denied are deemed admitted (waiver)73
■ XPN: amount of unliquidated damages.

Affirmative Defense
❖ A hypothetical admission of the material allegations in the pleading of the claimant but, nevertheless,
prevents or bars recovery by him.
❖ Examples:
➢ Fraud, statute of limitations, release, payment, illegality, statute of frauds, estoppel, former
recovery, discharge in bankruptcy, and any other matter by way of confession and avoidance.
❖ May be a ground for dismissal
❖ It is better to raise affirmative defenses first in a motion to dismiss filed before an answer.74
❖ NEW:
➢ May also include grounds for dismissal of a complaint:
■ No jurisdiction over the subject matter
■ Litis pendencia
■ Res judicata

Counterclaim ❖ A counterclaim is any claim which a defending party may have against an opposing party.
➢ May refer to a claim for (1) money, or (2) some other relief against an opposing party.
❖ It is always directed against an opposing party, not against a co-party.
❖ Permitted to avoid multiplicity of suits.
❖ Period to respond to a counterclaim:
➢ Within 10 days from service, an answer against the counterclaim may be filed.75
❖ Can it be incorporated in the Answer?
➢ YES. “Answer With a Counterclaim.”
❖ Can it be incorporated in a Motion to Dismiss?
➢ NO. A party who desires to plead a compulsory counterclaim should NOT file a motion to
dismiss. If he files a motion to dismiss and the complaint is dismissed, there will be no chance
to invoke the counterclaim.
❖ Cases where counterclaims are prohibited:
➢ Where the law or rules itself provides, like in expropriation cases.
❖ Kinds of Counterclaims
➢ Compulsory → arises out of or is connected with the subject matter of the opposing party’s
claim
➢ Permissive → no logical connection with the subject matter of the complaint, does not arise out
of the plaintiff’s cause of action.
❖ If the original complaint is dismissed, will the counterclaim be dismissed also?
➢ NO.
➢ Counterclaims will stand on its own merits and will not be dismissed if the principal claim is
dismissed.76
❖ Do you need leave of court to file a counterclaim?
➢ NO.
➢ No need for leave of court as filing is up to the party involved. This applies to compulsory and

72
Sec. 10, Rule 8.
73
Sec. 11, Rule 8.
74
Clarence Tiu, p. 100.
75
Rule 11.
76
Sec. 2, Rule 17.

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 permissive counterclaims.

Compulsory ❖ A claim which arises out of or is connected with the transaction or occurrence constituting the subject
Counterclaim matter of the opposing party's claim
❖ Requisites:
➢ Claim arises out of or is connected with the subject matter of the opposing party’s claim
➢ Does not require for its adjudication the presence of third parties of whom the court cannot
acquire jurisdiction.
➢ It is cognizable by the regular courts of justice and the court has jurisdiction to entertain the
counterclaim both as to the amount and nature.
❖ That which a defending party has at the time he files his answer.
❖ XPN: that in an original action before the RTC, the counter-claim may be considered compulsory
regardless of the amount.
❖ NEW:
➢ If a compulsory counterclaim is NOT raised in the same action, it is barred.
■ Unless otherwise allowed by the Rules

Permissive ❖ Those which are not compulsory counterclaims.

Counterclaim ❖ There is an absence of a logical connection with the subject matter of the complaint, i.e., it does not
arise out of, or is not connected with the plaintiffs cause of action.
❖ Does not have to be raised in the same proceedings, because it can be invoked as an independent
action.

Example:
If P files an action for a sum of money against A and B, A may file a counterclaim against P, or B may also
file a counterclaim against P.

Compulsory v. Permissive Counterclaims

COMPULSORY PERMISSIVE

Need to be YES. NO.

filed with the A compulsory counterclaim which a party has at May be set up as an independent action and will not
Answer? the time the answer is filed shall be contained in be barred if not contained in the answer to the
the answer because a compulsory counterclaim complaint.
not set up shall be barred77

Certificate of NO. YES.

Forum No need for certificate of non-forum shopping Need for certificate of non-forum shopping because
Shopping since it’s not an initiatory pleading it is an initiatory pleading

Docket Fees YES, but suspended. YES.

Docket fees are now required for BOTH Before, docket fees are only required for permissive
compulsory and permissive counterclaims. But its counterclaims, but docket fees are now required to
payment for compulsory counterclaims is be paid in compulsory counterclaim or
suspended. cross-claims.78

Need to be NO. A permissive counterclaim must be answered by

responded by Failure to answer a compulsory counterclaim is
an Answer? not a cause for a default declaration. A
compulsory counterclaim that merely reiterates
special defenses are deemed controverted even
without a reply, or raises issues which are deemed
automatically joined by the allegations of the
complaint, need not be answered. In such a case,
failure to answer a compulsory counterclaim may
not be a cause for a declaration of default.
the party against whom it is interposed otherwise,
he may be declared in default as to the
counterclaim.
This is because it was ruled that “Any pleading
asserting a claim must be answered and the failure
to do so by the party against whom the claim is
asserted renders him to be declared in default in
respect of such claim.

Tests to determine if a Counterclaim is a Compulsory Counterclaim

1. Are the issues of fact and law raised by the claim and the counterclaim largely the same?

77
Sec. 8, Rule 11; Sec. 2, Rule 9.
78
Effective August 16. 2004, under Sec. 7 of Rule 141. as amended by A.M. No. 04-2-04-SC.

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 2. Would res judicata bar a subsequent suit on defendant’s claims, absent the compulsory counterclaim rule?
3. Will substantially the same evidence support or refute plaintiffs claim as well as the defendant’s counterclaim?
4. Is there any logical relation between the claim and the counterclaim?

- If the answer to all the questions is YES, the counterclaim is a COMPULSORY COUNTERCLAIM

Rule on Jurisdiction of Court over Counterclaims

1. In the RTC → No limit to the counterclaim

2. In the MTC → counterclaim is limited to the jurisdiction of the inferior court.
a. If the counterclaim is beyond the jurisdiction of the MTC, file it in the RTC as a separate action.

Cross-claims, Other Complaints and Answers, and Interventions

Cross-claim Definition:
❖ 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.
❖ If there are two or more defendants, and one of the defendants interposes a pleading against his
co-defendant.
❖ A pleading containing the claim of one party against a co-party.

Example:
❖ If P files an action for a sum of money against A and B, A may file a cross-claim against B, his
co-defendant. Here, A asserts that it was actually B who benefitted from the proceeds of the loan,
since A was merely an accommodation party.
❖ If XYZ Bank sues A and B for the collection of a loan, A who merely acted as an accommodation
party may file a cross-claim against his co-defendant, B, by asserting that it is B who is the actual and
true debtor and hence, should be ultimately liable for the payment of the loan.

Assertion
❖ It should be asserted in the Answer, 79 otherwise it will be barred.80
➢ XPN: If the non-assertion in the Answer was due to oversight, inadvertence, or excusable
negligence, it may be amended in the pleadings, with leave of court.

May a Cross-Claim be asserted on appeal?

❖ NO.
❖ If the cross-claim was not set-up with the Answer, it shall be barred. A cross-claim cannot be set up
for the first time on appeal.

Is leave of Court required for a Cross-Claim to be asserted?

❖ NO.
❖ Just like counterclaims, cross-claims are against a person already a party to the case and so the
court already has jurisdiction over him.

Are there “permissive cross-claims”?

❖ NO.
❖ Cross-claims must arise from the transaction or occurrence that is the subject matter of the original
complaint or counterclaim.

Counter-count ❖ Asserted against an original counter-claimant.

erclaim

Counter-cross ❖ Filed against an original cross-claimant.

claim

Reply ❖ A response to the defendant’s attached actionable document

❖ Recall: plaintiff gives a complaint, the defendant gives an answer with an actionable document, then,
the plaintiff may give his reply

79
Sec. 8, Rule 11.
80
Sec. 2, Rule 9.

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 An “actionable document” is a written instrument or document on which an action or defense is
founded. It may be pleaded in either of two ways:
(1) by setting forth the substance of such document in the pleading and attaching the document
thereto as an annex, or
(2) by setting forth said document verbatim in the pleading

For example, in an action for collection of a sum of money, the actionable document would be the
promissory note executed by the defendant in favor of the plaintiff.

Civil complaints or initiatory pleadings asserting claims for relief (including permissive counter-claims).
(See Sec. 5, Rule 7, Rules of Civil Procedure)

Purpose: To deny or allege facts that was written in the answer

NOTE:
❖ NO ACTIONABLE DOCUMENT, NO REPLY NECESSARY
❖ If there is an actionable document, HAVE TO reply, otherwise, deemed admitted

Effect of failure: Not result in the implied admission of the allegations in the answer.
❖ Filing a reply is NOT mandatory. No implied admission of the allegations in the answer.
❖ XPN: If the allegations in the answer are based upon an actionable document, the plaintiff HAS TO
file a reply.
➢ He should deny the genuineness and due execution of the actionable document, otherwise it
is deemed admitted.
➢ NOTE: what is admitted is merely the genuineness and due execution.

Example:
P files an action for a sum of money against A. A gives his answer. Thereafter, P gives his reply to A’s
answer.

Third (Fourt, ❖ A claim against a third person either for contribution, indemnity, subrogation, or any other relief in
etc.) - Party respect of the plaintiff’s claim.
Complaint ❖ The defendant may bring in the third person into the suit and implead him as a party by filing, with
leave of court, a third-party complaint
❖ With leave of court

Example:
P files an action for a sum of money against A and B. A believes that C is liable and impleads him, with
leave of court, through a third-party complaint.

Test to determine the propriety of a third-party complaint

❖ Does it arise out of the same transaction on which the plaintiff’s claim is based?
❖ Does the third-party’s claim arising out of another or different contract or transaction connect with the
plaintiff’s claim?
❖ If all YES, then the Third-Party Complaint may be given course.

What are the jurisdictional implications of a third-party complaint?

❖ If a court has jurisdiction over the main action, it has jurisdiction over the third-party complaint also.
➢ BUT, must yield to the jurisdiction and venue of the main action
❖ Summons are still needed to obtain jurisdiction over the third-party defendant.

Can third party complaints be filed on appeal?

❖ NO. These are not allowed in appellate courts.

What is the effect of a dismissal of the complaint on the third-party complaint?

❖ The third-party complaint will also necessarily be dismissed.

Answer to ❖ These defendants may allege in his answer his defenses, counterclaims or cross-claims, including
third (Fourth, such defenses that the third (fourth, etc.) — party plaintiff may have against the original plaintiff's
etc.) - Paty claim. In proper cases, he may also assert a counterclaim against the original plaintiff in respect of
Complaint the latter's claim against the third-party plaintiff.

Intervention ❖ The process done by a party who wants to be a party to the suit. This is the remedy of a party who
wants to be a party to the action but is not being impleaded as a defendant through a third-party

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 complaint by the other parties.

Example:
❖ P files an action for a sum of money against A and B. C also wants to be a party as a defendant.
However, neither A nor B are impleading him through a third-party complaint. C may file an
intervention.

Complaint-in-i ❖ When a party wants to assert a claim against one or all of the parties.
ntervention ❖ If, at any time before judgment, a person, not a party to the action, believes that he has a legal
interest in the matter in litigation in a case in which he is not a party, he may, with leave of court, file
a complaint-in-intervention.

Example:
❖ P files an action for a sum of money against A and B. D believes that he has a legal interest in the
matter. However, he is not a party. He, with leave of court, may file a complaint-in-intervention.

Answer-in-inte ❖ When the party unites with the defending party in resisting a claim against the said party, he may
rvention file this answer-in-intervention.

Rule 7: Parts and Contents of a Pleading

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

Section 2. The body. — The body of the pleading sets fourth its designation, the allegations of the party's claims or
defenses, the relief prayed for, and the date of the pleading. (n)
(a) Paragraphs. — The allegations in the body of a pleading shall be divided into paragraphs so numbered 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. (3a)
(b) Headings. — When two or more causes of action are joined the statement of the first shall be prefaced by the
words "first cause of action,'' of the second by "second cause of action", and so on for the others.
When one or more paragraphs in the answer are addressed to one of several causes of action in the complaint,
they shall be prefaced by the words "answer to the first cause of action" or "answer to the second cause of action"
and so on; and when one or more paragraphs of the answer are addressed to several causes of action, they shall
be prefaced by words to that effect. (4)
(c) Relief. — The pleading shall specify the relief sought, but it may add a general prayer for such further or other
relief as may be deemed just or equitable. (3a, R6)
(d) Date. — Every pleading shall be dated. (n)

Section 3. Signature and address. —

(a) Every pleading must be signed by the party or counsel representing him, stating in either case his address which
should not be a post office box.
(b) The signature of counsel constitutes a certificate by him or her that he or she has read the pleading and
document; that to the best of his or her knowledge, information, and belief, formed after an inquiry reasonable
under the circumstances:
(1) It is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or
needlessly increase the cost of litigation;
(2) The claims, defenses, and other legal contentions are warranted by existing law or jurisprudence, or by
a non-frivolous argument for extending, modifying, or reversing existing jurisprudence;
(3) The factual contentions have evidentiary support or, if specifically so identified, will likely have
evidentiary support after availment of the modes of discovery under these rules; and
(4) The denials of factual contentions are warranted on the evidence or, if specifically so identified, are
reasonable based
(c) If the court determines, on motion or motu proprio and after notice and hearing, that this rule has been violated, it
may impose an appropriate sanction or refer such violation to the proper office for disciplinary action, on any
attorney, law firm, or party that violated the rule, or is responsible for the violation. Absent exceptional
circumstances, a law firm shall be held jointly and severally liable for a violation committed by its partner,
associate, or employee. The sanction may include, but shall not be limited to, non-monetary directive or sanction;

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 an order to pay a penalty in court; or, if imposed on motion and warranted for effective deterrence, an order
deirecting payment to the movant of part or all of the reasonable attorney’s fees and other expenses directly
resulting from the violation, including attorney’s fees for the filing of the motion for sanction. The lawyer or law firm
cannot pass on the monetary penalty to the client. (3a)

Section 4. Verification. — Except when otherwise specifically required by law or rule, pleadings need not be under oath or
verified.
A pleading is verified by an affidavit of an affiant duly authorized to sign said verification. The authorization of the affiant to
act on behalf of a party, whether in the form of a secretary’s certificate or a special power of attorney, should be attached to
the pleading, and shall allege the following attestations:
(a) The allegations in the pleading are true and correct based on his or her personal knowledge, or based on
authentic documents;
(b) The pleading is not filed to harass, cause unnecessary delay, or needlessly increase the cost of litigation; and
(c) The factual allegations therein have evidentiary support or, if specifically so identified, will likewise have
evidentiary support after a reasonable opportunity for discovery.

The signature of the affiant shall further serve as a certification of the truthfulness of the allegations in the pleading.

A pleading required to be verified that contains a verification based on "information and belief,” or upon "knowledge,
information and belief,” or lacks a proper verification, shall be treated as an unsigned pleading. (4a)

Section 5. Certification against forum shopping. — The plaintiff or principal party shall certify under oath in the complaint
or other initiatory pleading asserting a claim for relief, or in a sworn certification annexed thereto and simultaneously filed
therewith:
(a) That he has not theretofore commenced any action or filed any claim involving the same issues in any court,
tribunal or quasi-judicial agency and, to the best of his knowledge, no such other action or claim is pending
therein;
(b) If there is such other pending action or claim, a complete statement of the present status thereof; and
(c) If he should thereafter learn that the same or similar action or claim has been filed or is pending, he shall report
that fact within five (5) days therefrom to the court wherein his aforesaid complaint or initiatory pleading has been
filed.

The authorization of the affiant to act on behalf of a party, whether in the form of a secretary’s certificate or a special power
of attorney, should be attached to the pleading.

Failure to comply with the foregoing requirements shall not be curable by mere amendment of the complaint or other
initiatory pleading but shall be cause for the dismissal of the case without prejudice, unless otherwise provided, upon motion
and after hearing. The submission of a false certification or non-compliance with any of the undertakings therein shall
constitute indirect contempt of court, without prejudice to the corresponding administrative and criminal actions. If the acts of
the party or his counsel clearly constitute willful and deliberate forum shopping, the same shall be ground for summary
dismissal with prejudice and shall constitute direct contempt, as well as a cause for administrative sanctions. (5a)

Section 6. Contents. — Every pleading stating a party’s claims or defenses shall, in addition to those mandated by Section
2, Rule 7, state the following:
(a) Names of witnesses who will be presented to prove a party’s claim or defense;
(b) Summary of the witnesses’ intended testimonies, provided that the judicial affidavits of said witnesses shall be
attached to the pleading and form an integral part thereof. Only witnesses whose judicial affidavits are attached to
the pleading shall be presented by the parties during trial. Except if a party presents meritorious reasons as basis
for the admission of additional witnesses, no other witness or affidavit shall be heard or admitted by the court; and
(c) Documentary and object evidence in support of the allegations contained in the pleading. (n)

Parts of a Pleading

Part Content

Caption 1. The name of the court

2. The title of the action
a. (See below for details)
3. The docket number, if assigned
a. Only assigned after payment of fees

Title 1. Names of the parties

Note:
❖ They shall all be named in the original complaint or petition; but in subsequent pleadings, it shall be

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 sufficient if the name of the first party on each side be stated with an appropriate indication when there
are other parties.
❖ Their respective participation in the case shall be indicated.

Body 1. Designation81

2. Allegations of the Party’s Claims or Defenses

Rules:
❖ Must be divided into paragraphs
➢ Each paragraph contains a statement of a single set of circumstances so far as that can be
done with convenience.82
❖ Must be numbered for ready identification
➢ For reference in subsequent pleadings.

Notes:
❖ When two or more causes of actions (CoA) are joined:83
➢ 1st CoA: “first cause of action”
➢ 2nd CoA: “second cause of action”
➢ The same rule for answers. “Answer to first cause of action” and so on.
❖ Only the ultimate facts should be alleged, not conclusions:
➢ Pleadings should not allege conclusions.
➢ Pleadings aver facts, courts make conclusions.

3. Relief prayed for. (Sometimes known as Prayer)84

Rules:
❖ Complaints must contain a statement of the relief sought from the court to which he believes he is
entitled.
Note:
❖ A court can grant the relief warranted by the allegation and the proof even if it is not specifically
sought by the injured party.85

4. Date of the Pleading

Signature and GEN RULE: All pleadings must have the signature of counsel
Address ❖ Signature includes:
➢ Address, Roll Number, Counsel’s IBP OR number
➢ Counsel’s PTR, MCLE
➢ Verification (when required)

EFFECT:
❖ Pleading is good
❖ Counsel certifies that:
➢ He read the pleading
➢ There is good ground to support it
➢ It is not interposed for delay

EFFECT if no signature:
❖ NO legal effect
❖ Counsel may be subjected to disciplinary action if:
➢ Deliberately files an unsigned pleading
➢ Signs a pleading in violation of the Rules
➢ Alleges in the pleading scandalous or indecent matter
➢ Fails to promptly report to the court a change of his address

Remedy if no signature:
❖ Application: if the lack of signature was due to mere inadvertence or not intended for delay
❖ Explain and justify to the court and simply sign the same.

Verification GEN RULE: No need for verification

81
Rule 7, Sec. 2.
82
Rule 7, Sec. 2(a).
83
Rule 7, Sec. 2(b).
84
Rule 7, Sec. 2(c).
85
Prince Transport, Inc. v. Garcia, 2011.

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 XPN: If specifically required by law or rule
❖ Pleadings that REQUIRE verification:
➢ Pleadings under the 1991 Revised Rules on Summary Procedure
➢ Petition for Review from the RTC to the SC on questions of law Rule 41, Sec. 2
➢ Petition for Review of RTC to the CA Rule 42, Sec. 1
➢ Petition for Review from Quasi-judicial bodies fto CA Rule 43, Sec. 5.
➢ Petition for Review before the SC Rule 45, Sec. 1
➢ Petition for annulment of judgments or final orders and resn’s Rule 47, Sec. 4
➢ Complaint for Injunction Rule 58, Sec. 4
➢ Application for preliminary injunction or TRO Rule 58, Sec. 4
➢ Application for appointment of a receiver Rule 59, Sec. 1
➢ Application for support pendente lite Rule 61, Sec. 1
➢ Petition for certiorari against judgment, orders of Con Comms Rule 64, Sec. 2
➢ Petition for Certiorari, prohibition, mandamus Rule 65
➢ Petition for quo warranto Rule 66, Sec. 1
➢ Complaint for expropriation Rule 67, Sec. 1
➢ Petition for indirect contempt Rule 71, Sec. 4
➢ Complaints or petitions involving intra-corporate controversies Interim Rules of
Procedure on Intra-corporate Controversies
➢ Complaints or petition for rehabilitations and suspension of payment Interim Rules on
Corporate Rehabilitation
➢ Petition for declaration of absolute nullity of void marriages and annulment of voidable
marriages, petition for summary proceedings Family Code

Compliance with verification requirement:

1. Execute an affidavit declaring:
a. Affiant has read the pleading
b. The allegations are true and correct based on either (1) his personal knowledge, (2) on
authentic records

Effect of lack of verification when required:

❖ Treated as an unsigned pleading and therefore has NO LEGAL EFFECT
❖ Remedy:
➢ Can be cured by amendment or requiring an oath; case will NOT be dismissed.

Certification Forum shopping, defined:

against ❖ The filing of multiple suits in different courts, either simultaneously or successively
Forum ❖ It involves the same parties to ask the courts to:
Shopping ➢ Rule on the same or related causes; and/or
➢ Grant the same or substantially the same relief

Forum shopping, commission:

❖ Litis pendencia:
➢ Filing multiple cases based on the same cause of action and with the same prayer, the
previous case not having been resolved yet.
❖ Res judicata:
➢ Filing multiple cases based on the same cause of action and with the same prayer, the
previous case having been finally resolved.
❖ Splitting of causes of action:
➢ Filing multiple cases based on the same cause of action, but with different prayers.

Certification of Forum shopping, requisites:

❖ Certify under oath in the complaint or other initiatory pleading (or sworn certification annexed thereto):
➢ 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 or claim
is pending therein;
➢ If there is such other pending action or claim, a complete statement of the present status
thereof; and
➢ if he should thereafter learn that the same or similar action or claim has been filed or is pending,
he shall report that fact within five (5) days therefrom to the court wherein his aforesaid
complaint or initiatory pleading has been filed.

Effect of failure to comply:

❖ Dismissal of the case, without prejudice

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 ➢ Requires motion and hearing
❖ NOT curable by mere amendment of the complaint or other initiatory pleading

Effect of submission of a false certification or non-compliance with the undertakings:

❖ Indirect contempt of court, without prejudice to the corresponding administrative and criminal actions.

Effect if there is willful and deliberate forum shopping:

❖ Ground for summary dismissal with prejudice
❖ Constitutes direct contempt, as well as a cause for administrative sanctions.

Rule 8: Manner of Making Allegations in Proceedings

Section 1. In general. — Every pleading shall contain in a methodical and logical form, a plain, concise and direct
statement of the ultimate facts, including the evidence on which the party pleading relies for his or her claim or defense, as
the case may be, omitting the statement of mere evidentiary facts. (1)

If a cause of action or defense relied on is based on law, the pertinent provisions thereof and their applicability to him shall
be clearly and concisely stated. (n)

Section 2. Alternative causes of action or defenses. — A party may set forth two or more statements of a claim or
defense alternatively or hypothetically, either in one cause of action or defense or in separate causes of action or defenses.
When two or more statements are made in the alternative and one of them if made independently would be sufficient, the
pleading is not made insufficient by the insufficiency of one or more of the alternative statements. (2)

Section 3. Conditions precedent. — In any pleading a general averment of the performance or occurrence of all conditions
precedent shall be sufficient. (3)

Section 4. Capacity. — 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 person that is made a party, must be
averred. A party desiring to raise an issue as to the legal existence of any party or the capacity of any party to sue or be
sued in a representative capacity, shall do so by specific denial, which shall include such supporting particulars as are
peculiarly within the pleader's knowledge. (4)

Section 5. Fraud, mistake, condition of the mind. — In all averments of fraud or mistake the circumstances constituting
fraud or mistake must be stated with particularity. Malice, intent, knowledge, or other condition of the mind of a person may
be averred generally.(5a)

Section 6. Judgment. — In pleading a judgment or decision of a domestic or foreign court, judicial or quasi-judicial tribunal,
or of a board or officer, it is sufficient to aver the judgment or decision without setting forth matter showing jurisdiction to
render it. An authenticated copy of the judgment or decision shall be attached to the pleading. (6a)

Section 7. Action or defense based on document. — Whenever an action or defense is based upon a written instrument
or document, the substance of such instrument or document shall be set forth in the pleading, and the original or a copy
thereof shall be attached to the pleading as an exhibit, which shall be deemed to be a part of the pleading, or said copy may
with like effect be set forth in the pleading. (7a)

Section 8. How to contest such documents. — When an action or defense is founded upon a written instrument, copied
in or attached to the corresponding pleading as provided in the preceding section, the genuineness and due execution of the
instrument shall be deemed admitted unless the adverse party, under oath specifically denies them, and sets forth what he
or she claims to be the facts, but the requirement of an oath does not apply when the adverse party does not appear to be a
party to the instrument or when compliance with an order for an inspection of the original instrument is refused. (8a)

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

Section 10. Specific denial. — A defendant must specify each material allegation of fact the truth of which he or she does
not admit and, whenever practicable, shall set forth the substance of the matters upon which he or she relies to support his
denial. Where a defendant desires to deny only a part of an averment, he or she shall specify so much of it as is true and
material and shall deny only the remainder. Where a defendant is without knowledge or information sufficient to form a belief
as to the truth of a material averment made to the complaint, he or she shall so state, and this shall have the effect of a
denial. (10a)

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Section 11. Allegations not specifically denied deemed admitted. — Material averments in a pleading asserting a claim
or claims, other than those as to the amount of unliquidated damages, shall be deemed admitted when not specifically
denied. (11a)

Section 12. Affirmative defenses. —

(a) A defendant shall raise his or her affirmative defenses in his or her answer, which shall be limited to the reasons
set forth under Section 5(b), Rule 6, and the following grounds:
(1) The the court has no jurisdiction over the person of the defending party;
(2) That venue is improperly laid;
(3) That the plaintiff has no legal capacity to sue;
(4) That the pleading asserting the claim states no cause of action; and
(5) That a condition precedent for filing the claim has not been complied with.
(b) Failure to raise the affirmative defenses at the earliest opportunity shall constitute a waiver thereof.
(c) The court shall motu proprio resolve the above affirmative defenses within thirty (30) calendar days from the filing
of the answer.
(d) As to the other affirmative defenses under the first paragraph of Section 5(b), Rule 6, the court may conduct a
summary hearing within fifteen (15) calendar days from the filing of the answer. Such affirmative defenses shall be
resolved by the court within thirty (30) calendar days from the termination of the summary hearing.
(e) Affirmative defenses, if denied, shall not be the subject of a motion for reconsideration or petition for certiorari,
prohibition or mandamus, but may be among the matters to be raised on appeal after a judgment on the merits.
(n)

Section 13. Striking out of pleading or matter contained therein. — Upon motion made by a party before responding to
a pleading or, if no responsive pleading is permitted by these Rules, upon motion made by a party within twenty (20) days
after the service of the pleading upon him, or upon the court's own initiative at any time, 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.
(5, R9)

Pleadings

Manner ❖ Methodical and logical form, a plain, concise and direct statement of the ultimate facts
(Sec. 1) ➢ Including the evidence on which the party pleading relies for his or her claim or defense
❖ If a cause of action or defense relied on is based on law, the pertinent provisions thereof and their
applicability to him or her shall be clearly and concisely stated.

❖ Averment of Fraud or Mistake (FM) (Sec. 5)

➢ Has to be averred with particularity
➢ To help apprise the judge of the kind of fraud or mistake, since under the CCP, there are various
types of frauds, each of which has its own legal mistakes
➢ What if the complaint fails to state fraud or mistake with particularity?
■ It will not result to outright dismissal
■ It may be cured by a Motion of Bill of Particulars

❖ Averment of Malice, Intent, Knowledge, or Other Conditions (MIKO)

➢ May be averred generally

Capacity ❖ GEN RULE:

➢ 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 must be averred.
❖ Effect of failure of one statement:
➢

Alternative ❖ GEN RULE:

Causes of ➢ A party may set forth two or more statements of a claim
Actions ❖ Effect of failure of one statement:
➢ When two or more statements are made in the alternative and one of them if made independently
would be sufficient, the pleading is not made insufficient by the insufficiency of one or more of the
alternative statements.
❖

Judgment ❖ Applicability:
➢ In pleading a judgment or decision of a domestic or foreign court, judicial or quasi-judicial tribunal,
or of a board or officer.

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 ❖ GEN RULE:
➢ It is sufficient to aver the judgment or decision
➢ No need to set forth matter showing the jurisdiction to render it.
➢ An authenticated copy of the judgment or decision shall be attached to the pleading

Defenses

Alternative ❖ GEN RULE:

defenses ➢ A party may set forth two or more statements of defense alternatively or hypothetically
(Sec. 2) ❖ Effect of failure of one statement:
➢ When two or more statements are made in the alternative and one of them if made independently
would be sufficient, the pleading is not made insufficient by the insufficiency of one or more of the
alternative statements.
❖ The defendant has the right to set up negative defenses in one cause of action and affirmative defenses
in the same action.

No capacity ❖ GEN RULE:

➢ 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 must be averred.
❖ Effect of plaintiff has NO capacity to sue
➢ Defendant must raise this defense by specific denial, which shall include such supporting
particulars as are peculiarly within the pleader’s knowledge

Conditions ❖ An affirmative defense

Precedent ❖ The compliance or non-compliance of the same must be alleged in the pleading
❖ Examples:
➢ Barangay conciliation process
➢ Exhaustion of administrative remedies
➢ Arbitration
➢ Earnest efforts toward a compromise when the suit is between members of the same family

Affirmative ❖ GEN RULE:

defenses ➢ The affirmative defenses are to be raised in the answer, limited to the reasons in Rule 6, Sec. 5(b)
(Sec. 12) ■ No jurisdiction over the person of the defending party
■ Wrong venue
■ Plaintiff has no legal capacity to sue
■ Pleading states no cause of action
■ A condition precedent has not been complied
➢ These are defenses that hypothetically admit, but nevertheless bars the plaintiff from pursuing the
action
➢ EFFECT of failure to include in the answer:
■ Results to the waiver
➢ Court to resolve motu proprio the above affirmative defenses within thirty (30) days from filing of
answer

❖ Affirmative defenses that can be raised any time before judgment (will not result to waiver if not
pleaded in answer)
➢ No jurisdiction over the subject matter
➢ Litis Pendentia
➢ Res Judicata
➢ Prescription
➢ Here, Court to conduct a summary hearing within fifteen (15) days from filing of answer.

Actionable document

Actionable Document, defined:

❖ The written document from which the breach, validity, or defect results to a cause of action or defense from the
parties.
❖ Examples:
➢ In an action for collection of a sum of money, the actionable document would be the promissory note
executed by the defendant in favor of the plaintiff
➢ In an action for foreclosure of a mortgage, the actionable document would be the deed of mortgage.

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 Plaintiff

❖ If an action or defense is based upon an actionable document, the substance of such instrument shall be set forth in
the pleading
❖ The original copy shall be attached to the pleading as an exhibit

Contesting the documents

❖ What is being contested?

➢ Genuineness of the document → that the instrument is not spurious, counterfeit or of different import on its face
from the one executed
➢ Due execution of the document → that it was done with authority

❖ How does a party contest the genuineness or due execution of an actionable document?
1. He/she must specifically deny the genuineness and due execution of such actionable document
2. He/she must do so under oath
3. He/she must set for what he claims to be the facts

❖ How is denial made?

➢ Deny in good faith
■ If lack in knowledge: must not be about matters ought to be known
➢ Denial must not be a negative pregnant
■ If you are to deny, deny all points
■ Do not qualify, or else denial is with regards to the qualification

❖ What is specific denial?

➢ A defendant must specify each material allegation of fact the truth of which he or she does not admit
■ Set for the substance of the matters to support the denial
➢ Denial in part
■ The defendant may do so, but specify so much of it as is true and material and deny only the remainder.

❖ What if the denial is merely a general denial?

➢ General denials are considered as admissions
➢ Example: “we deny the allegations set forth in the pleadings of the plaintiff”

❖ What happens if there is no denial at all?

➢ Failure to contest an actionable document results in the admission to the genuineness of the instrument and due
execution, only.
➢ XPN:
■ If the allegation is on unliquidated damages, and there was no denial, it does not automatically result to
admission.

❖ What are the consequences of the admission of genuine and due execution of an actionable document?
➢ Certain defenses are cut.
➢ Waives the authentication process
➢ Admission of voluntarily signing the document
➢ Admission of delivery of document
➢ Admission that any formalities required by law (seal, stamp, etc.) are waived
➢ Eliminates all other defenses relating to the authenticity and due execution of the document

❖ Even if the party admits to the genuineness and due execution, he does NOT admit:
➢ The true nature or true intention
➢ Payment or non-payment
➢ Want of consideration
➢ Illegality of consideration
➢ Usury
➢ Fraud
➢ Mistake
➢ Compromise
➢ Prescription
➢ Estoppel

Striking out a pleading

❖ Applicability:
➢ If a pleading has any sham or false, redundant, immaterial, impertinent, or scandalous matter
❖ Requisites
➢ Motion by a party before responding to a pleading; or
➢ No responsive pleading permitted by the rules; or
➢ Within twenty (20) calendar days after service to the party; or
➢ Court’s own initiative at any time

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Rule 9: Effect of Failure to Plead

RULE 9
Effect of Failure to Plead

Section 1. Defenses and objections not pleaded. — Defenses and objections not pleaded either in a motion to dismiss or
in the answer are deemed waived. However, when it appears from the pleadings or the evidence on record that the court
has no jurisdiction over the subject matter, that there is another action pending between the same parties for the same
cause, or that the action is barred by a prior judgment or by statute of limitations, the court shall dismiss the claim. (1)

Section 2. Compulsory counterclaim, or cross-claim, not set up barred. — A compulsory counterclaim, or a

cross-claim, not set up shall be barred. (2)

Section 3. Default; declaration of. — If the defending party fails to answer within the time allowed therefor, the court shall,
upon motion of the claiming party with notice to the defending party, and proof of such failure, declare the defending party in
default. Thereupon, the court shall proceed to render judgment granting the claimant such relief as his or her pleading may
warrant, unless the court in its discretion requires the claimant to submit evidence. Such reception of evidence may be
delegated to the clerk of court.

(a) Effect of order of default. — A party in default shall be entitled to notice of subsequent proceedings but shall not
take part in the trial.
(b) Relief from order of default. — A party declared in default may at any time after notice thereof and before
judgment file a motion under oath to set aside the order of default upon proper showing that his failure to answer
was due to fraud, accident, mistake or excusable negligence and that he has a meritorious defense. In such case,
the order of default may be set aside on such terms and conditions as the judge may impose in the interest of
justice.
(c) Effect of partial default. — When a pleading asserting a claim states a common cause of action against several
defending parties, some of whom answer and the others fail to do so, the court shall try the case against all upon
the answers thus filed and render judgment upon the evidence presented.
(d) Extent of relief to be awarded. — A judgment rendered against a party in default shall not exceed the amount or
be different in kind from that prayed for nor award unliquidated damages.
(e) Where no defaults allowed. — If the defending party in an action for annulment or declaration of nullity of
marriage or for legal separation fails to answer, the court shall order the Solicitor General or his or her deputized
public prosecutor, to investigate whether or not a collusion between the parties exists, and if there is no collusion,
to intervene for the State in order to see to it that the evidence submitted is not fabricated. (6a, R18)

Effect of Default:
❖ Party will be notified of subsequent proceedings but cannot take part in the trial
❖ If partial default:
➢ The court will render a judgment against the answers and based off of the evidence presented
❖ Ultimately: The Court will render judgment based off of the merits of the plaintiff

Remedies of a defaulting party

Before Judgment Motion to set aside

After Judgment before lapse of 15 days New trial

Motion for Reconsideration

After finality of Judgment Relief from Judgment

Rule 65

Three (3) Instances to be in default:

❖ Failure to file a responsive pleading
❖ Failure to appear on pre-trial
➢ Being absent in trial is not a ground to be in default
➢ But waiver of his opportunity to object to the presented evidence
➢ He may still attend the hearing as he is not in default

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 ➢ If he’s on sched to present evidence but is absent, only waives his right to present his own evidence
❖ Refusal to comply with the modes of discovery

Failure to raise following affirmative defenses constitute as waiver

❖ Lack of jurisdiction over the person
❖ Lack of capacity to sue
❖ Improper venue
❖ Failure to comply with a condition precedent
❖ States no cause of action

Grounds NOT waived even if not pleaded in the Motion to Dismiss or Answer (See Rule 8):
❖ Lack of jurisdiction over the subject-matter
❖ Litis Pendentia
❖ Res Judicata
❖ Prescription
❖ Effect:
➢ Grounds where the court can dismiss the claim motu proprio

No defaults allowed:
❖ Applicability:
➢ Actions for annulment or declaration of nullity of marriage or legal separation
❖ RULE:
➢ The Court will order the OSG or his/her deputized public prosecutor to investigate if there is collusion
between the parties, and give an affidavit attesting to the results.

Rule 10: Amended and Supplemental Pleadings

RULE 10
Amended and Supplemental Pleadings

Section 1. Amendments in general. — Pleadings may be amended by adding or striking out an allegation or the name of
any party, or by correcting a mistake in the name of a party or a mistaken or inadequate allegation or description in any other
respect, so that the actual merits of the controversy may speedily be determined, without regard to technicalities, and in the
most expeditious and inexpensive manner. (1a)

Section 2. Amendments as a matter of right. — A party may amend his pleading once as a matter of right at any time
before a responsive pleading is served or, in the case of a reply, at any time within ten (10) calendar days after it is served.
(2a)

Section 3. Amendments by leave of court. — Except as provided in the next preceding section, substantial amendments
may be made only upon leave of court. But such leave shall be refused if it appears to the court that the motion was made
with intent to delay or confer jurisdiction on the court, or the pleading stated no cause of action from the beginning which
could be amended. Orders of the court upon the matters provided in this section shall be made upon motion filed in court,
and after notice to the adverse party, and an opportunity to be heard. (3a)

Section 4. Formal amendments. — A defect in the designation of the parties and other clearly clerical or typographical
errors may be summarily corrected by the court at any stage of the action, at its initiative or on motion, provided no prejudice
is caused thereby to the adverse party. (4)

Section 5. No amendment necessary to conform to or authorize presentation of evidence. — When issues not raised
by the pleadings are tried with the express or implied consent of the parties they shall be treated in all respects as if they
had been raised in the pleadings. No amendment of such pleadings deemed amended is necessary to cause them to
conform to the evidence. (5a)

Section 6. Supplemental pleadings. — Upon motion of a party the court may, upon reasonable notice and upon such
terms as are just, permit him or her to serve a supplemental pleading setting forth transactions, occurrences or events which
have happened since the date of the pleading sought to be supplemented. The adverse party may plead thereto within ten
(10) calendar days from notice of the order admitting the supplemental pleading. (6a)

Section 7. Filing of 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. (7a)

Section 8. Effect of amended pleadings. — An amended pleading supersedes the pleading that it amends. However,

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 admissions in superseded pleadings may be offered in evidence against the pleader, and claims or defenses alleged therein
not incorporated in the amended pleading shall be deemed waived. (n)

Amendments, overview:
❖ They are proper in order to allege facts which occurred prior to the filing of the original pleadings, but which for some
reason, such as oversight, inadvertence, or subsequent discovery, were not alleged therein.
❖ Pleadings may be amended
➢ By striking out an allegation; or
➢ name of any party, or
➢ correcting a mistake in the name of the party or inadequate allegation or description
❖ So that actual merits of the controversy may be speedily determined
❖ Without regard to technicalities and in the most expeditious and inexpensive manner

Matter of Right By Leave of Court

Available when: Before responsive pleading is filed After responsive pleading

If reply, within ten (10) days after service

Other Rules: ❖ A party may amend his pleading ONCE ❖ Except before a responsive pleading is
❖ AS A MATTER OF RIGHT served or within 10 days after reply has been
❖ At any time before a responsive pleading is served
served ❖ Substantial amendments may only be made
❖ Motion to dismiss is not a responsive upon leave of court.
pleading ❖ Such leave is to be refused when:
❖ Or in case of a reply, within 10 calendar ➢ The intent appears to be to delay
days after it is served ➢ confer jurisdiction on the court
➢ Or if the pleading fails to state a
cause of action to begin with which
could be amended
❖ Orders of the court upon this matter
➢ Shall only be made upon motion filed
in court
➢ And after notice to the adverse party
➢ And an opportunity to be heard
❖ Before 2019
➢ Only deny if due to delay
❖ After the 2019 amendment
➢ Includes to confer jurisdiction
➢ Did not state a cause of action

What is the party’s remedy when the Court refuses to admit an amended pleading when its exercise is a matter of
right?
❖ Petition for Mandamus under Rule 65.

Can the amendment of pleadings cover substantial changes or alterations in the cause of action?
❖ YES, provided that the original cause of action should have existed at the time the complaint was filed

Is an amendment which substantially changes the cause of action considered a new action?
❖ YES.

Formal Amendments
❖ Defect in the designation of parties, clearly clerical or typographical error
❖ May be summarily corrected
❖ By the court at any stage
➢ At its initiative or by motion
➢ Provided that no prejudice is caused to the adverse party

Instances when the court, in its own instance, may order an amendment

Where Kind of Amendment

In pleadings in general Mere formal amendments

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 In case a bill of particulars is filed Court can order compliance or an amendment

In case a motion to dismiss is filed Courts can grant, deny, or order an amendment

No Amendment necessary to conform to or authorize presentation of evidence

❖ When issues not in pleadings are tried
❖ With express or implied consent of the parties
❖ Are treated in all respect as if they have been raised In the pleading
❖ No amendment of such pleadings deemed amended is necessary to cause them to conform to the evidence

Supplemental Pleadings
❖ Upon motion of a party
❖ Court MAY upon reasonable notice and terms as are just
❖ Permit the party to serve supplemental a pleading
➢ Setting forth transaction, occurrences or events
➢ Which happened since the date of the pleading sought to be supplemented (after filing)
➢ If it has already happened, must be amended not supplemented
❖ The adverse party may plead thereto within 10 calendar days from notice of the order admitting the supplemental
pleading

Amended Pleadings
❖ Filing of amended pleadings
➢ When pleading is amended
➢ New copy of the entire pleading
■ With the amendments
■ Which shall be indicated with appropriate marks
➢ Shall be filed
❖ Effect of Amended Pleading
➢ An amended pleading supersedes the pleading it amends
➢ Admissions in superseded pleadings may be offered in evidence against the pleader
■ Extra-judicial admissions – needs to be proven
■ Needs to be offered
➢ Claims or defenses alleged not incorporated in the amended pleading are deemed waived

Supplemental v. Amended Pleadings

Supplemental Amendment

When the facts to be Transactions, occurrences or Omission of a fact that happened BEFORE filing; it was there
alleged happened events which have happened at the time of the pleading
AFTER the date of the pleading
sought to be supplemented

Leave of court? Always with leave of court Without leave if matter of right (before pleading is served, or if
reply, within 10 days after service)

With leave if it is a substantial amendment (not a matter of

right)

Rule 11: When to File Responsive Pleadings

RULE 11
When to File Responsive Pleadings

Section 1. Answer to the complaint. — The defendant shall file his or her answer to the complaint within thirty (30)
calendar days after service of summons, unless a different period is fixed by the court. (la)

Section 2. Answer of a defendant foreign private juridical entity. — Where the defendant is a foreign private juridical
entity and service of summons is made on the government official designated by law to receive the same, the answer shall
be filed within sixty (60) calendar days after receipt of summons by such entity. (2a)

Section 3. Answer to amended complaint. — When the plaintiff files an amended complaint as a matter of right, the
defendant shall answer the same within thirty (30) calendar days after being served with a copy thereof.

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Where its filing is not a matter of right, the defendant shall answer the amended complaint within fifteen (15) calendar days
from notice of the order admitting the same. An answer earlier filed may serve as the answer to the amended complaint if no
new answer is filed.

This Rule shall apply to the answer to an amended counterclaim, amended cross-claim, amended third (fourth, etc.)—party
complaint, and amended complaint-in-intervention. (3a)

Section 4. Answer to counterclaim or cross-claim. — A counterclaim or cross-claim must be answered within twenty (20)
days from service. (4)

Section 5. Answer to third (fourth, etc.)-party complaint. — The time to answer a third (fourth, etc.)—party complaint
shall be governed by the same rule as the answer to the complaint. (5)

Section 6. Reply. — A reply, if allowed under Section 10, Rule 6 hereof, may be filed within fifteen (15) calendar days from
service of the pleading responded to. (6a)

Section 7. Answer to supplemental complaint. — A supplemental complaint may be answered within twenty (20)
calendar days from notice of the order admitting the same, unless a different period is fixed by the court. The answer to the
complaint shall serve as the answer to the supplemental complaint if no new or supplemental answer is filed. (n)

Section 8. Existing counterclaim or cross-claim. — A compulsory counterclaim or a cross-claim that a defending party
has at the time he or she files his or her answer shall be contained therein. (8a, R6)

Section 9. Counterclaim or cross-claim arising after answer. — A counterclaim or a cross-claim which either matured or
was acquired by a party after serving his or her pleading may, with the permission of the court, be presented as a
counterclaim or a cross-claim by supplemental pleading before judgment. (9, R6)

Section 10. Omitted counterclaim or cross-claim. — When a pleader fails to set up a counterclaim or a cross-claim
through oversight, inadvertence, or excusable neglect, or when justice requires, he or she may, by leave of court, set up the
counterclaim or cross-claim by amendment before judgment. (10a)

Section 11. Extension of time to file an answer. — A defendant may, for meritorious reasons, be granted an additional
period of not more than thirty (30) calendar days to file an answer. A defendant is only allowed to file one (1) motion for
extension of time to file an answer.

A motion for extension to file any pleading, other than an answer, is prohibited and considered a mere scrap of paper. The
court, however, may allow any other pleading to be filed after the time fixed by these Rules. (11a)

General flow:

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 When the ANSWER should be filed by the DEFENDANT

Response to: When

Ordinary service of summons86 w/in thirty (30) days after service of summons

Summons, where defendant is a foreign private juridical entity87 w/in sixty (60) days after receipt of summons

Amended complaint (matter of RIGHT)88 w//in thirty (30) days after service

Amended complaint (NOT matter of right)89 w/in fifteen (15) days after notice of order

A supplemental complaint w/in twenty (20) days from notice of order

Third (fourth, etc.)-party complaint w/in thirty (30) days from notice

Counterclaim w/in twenty (20) days from service

Cross-claim w/in tetwenty (20) days from service

Extension Up to thirty (30) days, but only up to one (1) motion

When the REPLY should be filed by the PLAINTIFF

Reply to: When

86
Sec. 1, Rule 11.
87
Sec. 2, Rule 11.
88
Sec. 3, Rule 11.
89
Sec. 3, Rule 11.

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 An Answer w/in fifteen (15) days from service

Answer, Motion for Bill of Particulars w/in ten (10) days

Answer to an amended complaint (matter of right) w/in ten (10) days

NOTES:
❖ Answer to the Complaint (Sec. 1)
➢ 30 calendar days after service of summons

❖ Answer of a defendant Foreign Private Juridical Entity (Sec. 2)

➢ Made to the government designated official
➢ Answer to be filed within 60 days after the receipt of summons by the entity
➢ Under the RCC
■ Condition precedent to granting a license is the execution of SPA
■ To a resident of the Philippines to whom summons are to be served
● Corporation consenting that service upon the agent has the effect of valid service upon
its duly authorized officers at its home office
■ Without resident agent in the Philippines to whom summons may be served
● Service be made to the Commission
◆ Arising from any transaction in the PH
◆ Same effect as if made upon the authorized officers in its home office
● Commission shall within 10 days transmit by mail a copy of such summons at its home
office
◆ Sending of the Commission is necessary to complete the service

❖ Answer to Amended Complaints (Sec. 3)

➢ As a matter of right
■ within 30 calendar days after being served of a copy
➢ Not a matter of right
■ Within 15 calendar days from notice of the order admitting the same
■ If no answer is filed, the answer earlier will serve as the answer to the amended complaint
■ Same rule to an amended counterclaim, amended cross- and third-party claim

❖ Answer to counterclaim or cross-claim (Sec. 4)

➢ Within 20 calendar days from service
➢ Compulsory counterclaim, need not be answered
■ Case law states your complain is your answer
➢ If counterclaim is only permissive
■ You have to answer
■ 20 days from service (but permissive is independent; still unsure if it applies)

❖ Answer to third-party complaint (Sec. 5)

➢ Within 30 calendar days from service

❖ Answer to supplemental complaint (Sec. 7)

➢ Within 20 calendar days from notice of the order admitting the same
■ RECALL: Sec. 6, Rule 10 provides for the submission of the supplemental complaint by the
plaintiff.
■ Plaintiff discovering new events → motions to the court for submission of supplemental pleading
→ court gives notice of order → plaintiff to fulfill supplemental pleading within 10 days
➢ If no answer is given, the answer to the complaint shall serve as the answer to the supplemental answer

❖ Reply (Sec. 6)
➢ If allowed, within 15 days from the service of the pleading responding to

❖ Existing counterclaim or cross-claim (Sec. 8)

➢ Compulsory counter or cross claim which the defendant has at the time the answer is filed must be
contained therein

❖ Counterclaim or cross-claim arising after the answer (Sec. 9)

➢ If it matured or acquired after serving the pleading
➢ With permission of court, be presented as a crossclaim or counterclaim by supplemental pleading
➢ Before judgement

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 ❖ Omitted counterclaim or cross-claim (Sec. 10)
➢ If pleader fails to set-up through
■ Oversight
■ Inadvertence
■ Excusable negligence
■ Justice requires
➢ May, with leave of court be allowed to set up crossclaim or counterclaim
■ By amendment
■ Before judgement

❖ Extension of time to file an answer (Sec. 11)

➢ Requisites:
■ Meritorious reasons
■ Motion for extension of time to file an answer
● NOTE: this motion is only applicable for an Answer. For other pleadings, the Court has
to allow.
➢ Result: grant of an extension of not more than thirty (30) calendar days to file an answer
■ Only up to one (1) motion for extension of time to file an answer

Rule 12: Bill of Particulars

RULE 12
Bill of Particulars

Section 1. When applied for; purpose. — Before responding to a pleading, a party may move for a definite statement or
for a bill of particulars of any matter which is not averred with sufficient definiteness or particularity to enable him or her
properly to prepare his or her responsive pleading. If the pleading is a reply, the motion must be filed within ten (10) calendar
days from service thereof. Such motion shall point out the defects complained of, the paragraphs wherein they are
contained, and the details desired. (1a)

Section 2. Action by the court. — Upon the filing of the motion, the clerk of court must immediately bring it to the attention
of the court which may either deny or grant it outright, or allow the parties the opportunity to be heard. (2)

Section 3. Compliance with order. — If the motion is granted, either in whole or in part, the compliance therewith must be
effected within ten (10) calendar days from notice of the order, unless a different period is fixed by the court. The bill of
particulars or a more definite statement ordered by the court may be filed either in a separate or in an amended pleading,
serving a copy thereof on the adverse party. (3a)

Section 4. Effect of non-compliance. — If the order is not obeyed, or in case of insufficient compliance therewith, the court
may order the striking out of the pleading or the portions thereof to which the order was directed or make such other order as
it deems just. (4)

Section 5. Stay of period to file responsive pleading. — After service of the bill of particulars or of a more definite
pleading, or after notice of denial of his or her motion, the moving party may file his or her responsive pleading within the
period to which he or she was entitled at the time of filing his or her motion, which shall not be less than five (5) days in any
event. (5a)

Section 6. Bill a part of pleading. — A bill of particulars becomes part of the pleading for which it is intended. (6)

Process of the issuance of Bill of Particulars

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RECALL:
❖ Motion of Bill of Particulars is one of the remedies of the defendant upon receipt of the complaint.
➢ Other remedies include:
■ Motion to dismiss
■ Filing an answer to the complaint
■ Motion for summary judgment

Motion of Bill of Particulars, defined:

❖ A motion filed before responding through an answer or reply, to sort out the ambiguity in some allegations of the
complaint or the failure to allege facts with sufficient particularity.
➢ E.g. Fraud and Mistake alleged are vague
❖ It is a motion that applies to any pleading which in the perception of the movant contains matters which are not
alleged with sufficient definiteness or particularity.

Stay Period
❖ After service of Bill of Particulars or after notice of denial of such motion
❖ Moving party may file his responsive pleading
➢ Within the period she was entitled at the time the motion was filed (time left)
➢ Which shall not be less than 5 calendar days in any event
■ Generally, up to the court but most likely, the remaining days from the 30 days to file an answer
which should not be less than 5 day

Rule 13: Filing and Service of Pleadings, Judgments, and Other Papers

RULE 13
Filing and Service of Pleadings, Judgments and Other Papers

Section 1. Coverage. — This Rule shall govern the filing of all pleadings, motions, and other court submissions, as well as
the service thereof, except those for which a different mode of service is prescribed. (1a)

Section 2. Filing and service, defined. — Filing is the act of submitting the pleading or other paper to the court.

Service is the act of providing a party with a copy of the pleading or any other court submission. If a party has appeared by
counsel, service upon such party shall be made upon his or her counsel, unless service upon the party and the party’s
counsel is ordered by the court. Where one counsel appears for several parties, such counsel shall only be entitled to one
copy of any paper served upon him by the opposite side.

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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 if there is no designation of a lead counsel. (2a)

Section 3. Manner of filing. — The filing of pleadings and other court submissions shall be made by:
(a) Submitting personally the original thereof, plainly indicated as such, to the court;
(b) Sending them by registered mail;
(c) Sending them by accredited courier; or
(d) Transmitting them by electronic mail or other electronic means as may be authorized by the Court in places where
the court is electronically equipped.

In the first case, the clerk of court shall endorse on the pleading the date and hour of filing. In the second and third cases,
the date of the mailing of motions, pleadings, or any other papers or payments or deposits, as shown by the post office
stamp on the envelope or the registry receipt, shall be considered as the date of their filing, payment, or deposit in court. The
envelope shall be attached to the record of the case. In the fourth case, the date of electronic transmission shall be
considered as the date of filing. (3a)

Section 4. Papers required to be filed and served. — Every judgment, resolution, order, pleading subsequent to the
complaint, written motion, notice, appearance, demand, offer of judgment or similar papers shall be filed with the court, and
served upon the parties affected. (2a)

Section 5. Modes of service. — Pleadings, motions, notices, orders, judgments, and other court submissions shall be
served personally or by registered mail, accredited courier, electronic mail, facsimile transmission, other electronic means as
may be authorized by the Court, or as provided for in international conventions to which the Philippines is a party. (5a)

Section 6. Personal service. — Court submissions may be served by personal delivery of a copy to the party or to the
party’s counsel, or to their authorized representative named in the appropriate pleading or motion, or by leaving it in his or
her office with his or her clerk, or with a person having charge thereof. If no person is found in his or her office, or his or her
office is not known, or he or she has no office, then by leaving the copy, between the hours of eight in the morning and six in
the evening, at the party's or counsel's residence, if known, with a person of sufficient age and discretion then residing
therein. (4a)

Section 7. Service by mail. — Service by registered mail shall be made by depositing the copy in the post office in a sealed
envelope, plainly addressed to the party or to the party’s counsel at his or her office, if known, otherwise at his or her
residence, if known, with postage fully prepaid, and with instructions to the postmaster to return the mail to the sender after
ten (10) calendar days if undelivered. If no registry service is available in the locality of either the senders or the addressee,
service may be done by ordinary mail. (7a)

Section 8. Substituted service. — If service of pleadings, motions, notices, resolutions, orders and other papers cannot be
made under the two preceding sections, the office and place of residence of the party or his or her counsel being unknown,
service may be made by delivering the copy to the clerk of court, with proof of failure of both personal service and service by
mail. The service is complete at the time of such delivery. (6a)

Section 9. Service by electronic means and facsimile. — Service by electronic means and facsimile shall be made if the
party concerned consents to such modes of service.

Service by electronic means shall be made by sending an e-mail to the party’s or counsel’s electronic mail address, or
through other electronic means of transmission as the parties may agree on, or upon direction of the court.

Service by facsimile shall be made by sending a facsimile copy to the party’s or counsel’s given facsimile number. (n)

Section 10. Presumptive service. — There shall be presumptive notice to a party of a court setting if such notice appears
on the records to have been mailed at least twenty (20) calendar days prior to the scheduled date of hearing and if the
addressee is from within the same judicial region of the court where the case is pending, or at least thirty (30) calendar days
if the addressee is from outside the judicial region. (n)

Section 11. Change of electronic mail address or facsimile number.. — A party who changes his or her electronic mail
address or facsimile number while the action is pending must promptly file, within five (5) calendar days from such change, a
notice of change of e-mail address or facsimile number with the court and serve the notice on all other parties.

Service through the electronic mail address or facsimile number of a party shall be presumed valid unless such party notifies
the court of any change, as aforementioned. (n)

Section 12. Electronic mail and facsimile subject and title of pleadings and other documents. — The subject of the

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electronic mail and facsimile must follow the prescribed format: case number, case title and the pleading, order or document
title. The title of each electronically-filed or served pleading or other document, and each submission served by facsimile
shall contain sufficient information to enable the court to ascertain from the title:
(a) The party or parties filing or serving the paper,
(b) Nature of the paper,
(c) The party or parties against whom relief, if any, is sought, and
(d) The nature of the relief sought. (n)

Section 13. Service of Judgments, Final Orders, or Resolutions. — Judgments, final orders or resolutions shall be
served either personally or by registered mail. Upon ex parte motion of any party in the case, a copy of the judgment, final
order, or resolution may be delivered by accredited courier at the expense of such party. When a party summoned by
publication has failed to appear in the action, judgments, final orders or resolutions against him or her shall be served upon
him or her also by publication at the expense of the prevailing party. (9a)

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

Section 15. Completeness of service. — Personal service is complete upon actual delivery. Service by ordinary mail is
complete upon the expiration of ten (10) calendar days after mailing, unless the court otherwise provides. Service by
registered mail is complete upon actual receipt by the addressee, or after five (5) calendar days from the date he or she
received the first notice of the postmaster, whichever date is earlier. Service by accredited courier is complete upon actual
receipt by the addressee, or after at least two (2) attempts to deliver by the courier service, or upon the expiration of the five
(calendar) days after the first attempt to deliver, whichever is earlier.

Electronic service is complete at the time of the electronic transmission of the document, or when available, at the time that
the electronic notification of service of the document is sent. Electronic service is not effective or complete if the party
serving the document learns that it did not reach the addressee or person to be served.

Service by facsimile transmission is complete upon receipt by the other party, as indicated in the facsimile transmission
printout.(10a)

Section 16. Proof of filing. — The filing of a pleading or any other court submission shall be proved by its existence in the
record of the case.
(a) If the pleading or any other court submission is not in the record, but is claimed to have been filed personally, the
filing shall be proven by the written or stamped acknowledgment of its filing by the clerk of court on a copy of the
pleading or court submission;
(b) If the pleading or any other court submission was filed by registered mail, the filing shall be proven by the registry
receipt and by the affidavit of the person who mailed it, containing a full statement of the date and place of deposit
of the mail in the post office in a sealed envelope addressed to the court, with postage fully prepaid, and with
instructions to the postmaster to return the mail to the sender after ten (10) calendar days if not delivered.
(c) If the pleading or any other court submission was filed through an accredited courier service, the filing shall be
proven by an affidavit of service of the person who brought the pleading or other document to the service provider,
together with the courier’s official receipt and document tracking number.
(d) If the pleading or any other court submission was filed by electronic mail, the same shall be proven by an affidavit
of electronic filing of the filing party accompanied by a paper copy of the pleading or other document transmitted
or a written or stamped acknowledgement of its filing by the clerk of court. If the paper copy sent by electronic mail
was filed by registered mail, paragraph (b) of this Section applies.
(e) If the pleading or any other court submission was filed through other authorized electronic means, the same shall
be proven by an affidavit of electronic filing of the filing party accompanied by a copy of the electronic
acknowledgment of its filing by the court. (12a)

Section 17. Proof of Service. — Proof of personal service shall consist of a written admission of the party served, or the
official return of the server, or the affidavit of the party serving, containing a full statement of the date, place and manner of
service. If the service is by:
(a) Ordinary mail. — Proof shall consist of an affidavit of the person mailing stating the facts showing compliance with
section 7 of this Rule.
(b) Registered mail. — Proof shall be made by the affidavit mentioned above and the registry receipt issued by the
mailing office. The registry return card shall be filed immediately upon its receipt by the sender, or in lieu thereof

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 the unclaimed letter together with the certified or sworn copy of the notice given by the postmaster to the
addressee.
(c) Accredited courier service. — Proof shall be made by an affidavit of service executed by the person who brought
the pleading or paper to the service provider, together with the courier’s official receipt or document tracking
number.
(d) Electronic mail, facsimile, or other authorized electronic means of transmission. — Proof shall be made by an
affidavit of service executed by the person who sent the e-mail, facsimile, or other electronic transmission,
together with a printed proof of transmittal.(13a)

Section 18. Court-issued orders and other documents. — The court may electronically serve orders and other
documents to all the parties in the case which shall have the same effect and validity as provided herein. A paper copy of the
order or other document electronically served shall be retained and attached to the record of the case. (n)

Section 19. Notice of lis pendens. — In an action affecting the title or the right of possession of real property, the plaintiff
and the defendant, when affirmative relief is claimed in his or her answer, may record in the office of the registry of deeds of
the province in which the property is situated notice of the pendency of the action. Said notice shall contain the names of the
parties and the object of the action or defense, and a description of the property in that province affected thereby. Only from
the time of filing such notice for record shall a purchaser, or encumbrancer of the property affected thereby, be deemed to
have constructive notice of the pendency of the action, and only of its pendency against the parties designated by their real
names.

The notice of lis pendens hereinabove mentioned may be cancelled only upon order of the court, after proper showing that
the notice is for the purpose of molesting the adverse party, or that it is not necessary to protect the rights of the party who
caused it to be recorded. (14a)

Filing v. Service

Filing Service

Definition ❖ The act of submitting the pleading or other ❖ The act of providing a party with a copy of the pleading
(Sec. 1) paper to the court or any other court submission.

Directed ❖ The court ❖ The party (if without counsel)

to

Given by ❖ The complainant/petitioner ❖ The complainant/petitioner, if pleadings, complaint, etc.

❖ The Court, if judgments, final orders, resolutions, etc.

Others? ❖ No, only the court ❖ The counsel (if party appears with counsel)
❖ Counsel for several parties → 1 copy to counsel
❖ Party with several counsels → 1 copy to the lead
counsel (with proof and admission of being the lead
counsel before the court)

Manner/ Manner Inclusions Manner Inclusions

Mode and
Date of Personally ❖ Endorse on the pleading Personally ❖ Personal delivery to:
Filing the date and hour of (Sec. 6) ➢ Party’s counsel;
(Sec. 3, 5) filing ➢ Authorized representative
❖ Clerk of court stamps, ➢ In counsel’s office with clerk
dates, and signs it ➢ Leaving the copy 8AM-6PM at
party or counsel’s residence with
person of sufficient age residing
therein
❖ Delivery above is NOT alternative.
Choose above options first.

Registered ❖ Date of mailing, as
mail shown by the mail
stamp, registry receipt, is
the date of filing.
❖ Envelope attached as
record
Registered ❖ Depositing the copy (sealed) in the post
mail office, addressed to:
(Sec. 7) ➢ Party or party’s counsel (office)
➢ Party or counsel (residence)
❖ Postage fully prepaid
❖ Postmaster to return to sender after 10

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 days if undelivered

The following must be served or filed personally or by registered mail:90

a. Initiatory pleadings and initial responsive pleadings, such as an answer;
b. Subpoena, protection orders, and writs;
c. Appendices and exhibits to motions, or other documents that are not readily amenable to electronic
scanning may, at the option of the party filing such, be filed and served conventionally
d. Sealed and confidential documents or records.

Electronic means or other means may be allowed with express permission by the Court.

Accredited ❖ Date of mailing, as Accredited ❖ Ordinary mail may be served if no

courier shown by the mail courier registry service is available in the locality
stamp, is the date of of either the senders or addressee
filing. ❖ Same rules above apply
❖ Envelope attached as
record Substituted ❖ Only if personal/registered mail service
(Sec. 8) cannot be made
❖ Service may be made by delivering the
copy to the clerk of court.
❖ Proof of failure should be presented

E-mail ❖ Date of electronic Email ❖ Party concerned must consent first

transmission is date of (Sec. 9) ❖ To the party’s or counsel’s e-mail
filing
Facsimile ❖ Party concerned must consent first
(Fax) ❖ Sending a fax copy to the party’s or
(Sec. 9) counsel’s fax number

Other ❖ Party concerned must consent first

electronic ❖ If Email is not resorted to.
means ➢ Upon agreement of parties, or
(Sec. 9) direction of the court.

Papers Every judgment, resolution, order, pleading subsequent to the complaint, written motion, notice,
required appearance, demand, offer of judgment or similar papers shall be filed with the court, and served upon the
(Sec. 4) parties affected.

Proof Filing Service

Manner Proof Manner Proof

Personally Written or stamped Ordinary Affidavit of the person mailing, stating facts
acknowledgment of filing by mail showing compliance under Sec. 7.
clerk of court

Registered Registry receipt Registered Affidavit of the person mailing, stating facts
mail Affidavit by mailer with date mail showing compliance under Sec. 7
and place of deposit, Registry receipt by the mailing office
instructions to postmaster to
return to sender w/in 10 days
if undelivered.

Accredited Affidavit of service by Accredited Affidavit of service by person who brought

courier person who brought pleading courier pleading to the service provider
to the service provider Courier’s Official Receipt and tracking
Courier’s Official Receipt number
and tracking number

Email Affidavit of electronic filing Email Affidavit of service by the person who sent
by filing party, with paper the e-mail
copy of the pleading with With printed proof of transmittal

90
Sec. 14, Rule 13.

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 written or stamped
acknowledgement by clerk of
court

Other Affidavit of electronic filing Other Affidavit of service by the person who sent
electronic by filing party with a copy of electronic the facsimile, or other electronic
means the electronic means transmission
acknowledgment of filing by With printed proof of transmittal
the court.

Other Rules:
❖ Emails or Faxes (Sec. 12)
➢ Subject: case number, case title and the pleading, order or document title
➢ Title should contain enough information to ascertain:
■ The party/parties filing or serving the paper
■ Nature of the paper
■ The party or parties against whom the relief, if any, is sought
■ The nature of the relief

❖ Change of Electronic Mail Address or Facsimile Number (Sec. 11)

➢ Applicability:
■ While the action is pending
➢ Act:
■ Party changes his or her e-mail address
■ Party changes his or her fax number
➢ Effect:
■ Party must file within five (5) calendar days from such change, a notice of change of e-mail
address or facsimile number
■ To: the court and all other parties

❖ Presumptive Service (Sec. 10)

➢ Act:
■ Notice was mailed at least twenty (20) calendar days prior to the scheduled date of hearing
● Addressee is within the same judicial region of the court where case is pending
■ Notice was mailed at least thirty (30) calendar days prior to the scheduled date of hearing
● Addressee is from outside the judicial region of the court where case is pending
➢ Effect:
■ There is presumptive notice to a party of a court setting

❖ Service of Judgments, Final Orders, or Resolutions (Sec. 13)

➢ How:
■ Personally, registered mail
➢ Acquisition of a copy of the judgment, final order, or resolution
■ Rules:
● By ex parte motion
● By any party in the case
● By delivery by accredited courier
● At the expense of such party
➢ Service to party who failed to appear in the action
■ Applicability:
● the party was summoned by publication
● The party failed to appear in the action
■ Result:
● He or she shall be served the judgments, final orders, or resolutions
● Service will be done by publication
● Publication is at the expense of the prevailing party.
❖ Court-issued orders and other documents
➢ Discretion of the court:
■ By electronic means, serve orders and other documents
■ To all the parties in the case
➢ Effect of service
■ Same effect and validity
➢ Caveat:
■ A paper copy of the order or other document electronically served shall be retained and attached

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 to the record of the case.

❖ Notice of lis pendens

➢ Application: Actions affecting the title or the right of possession of real property
■ When affirmative relief is claimed
➢ Act of plaintiff or defendant
■ Record in the office of the Registry of Deeds
● Of the province in which the property is situated
● Record of notice of the pendency of the action
➢ Content of the notice
■ Names of the parties
■ Object of the action or defense
■ Description of the property
➢ Result of notice
■ Purchaser or encumbrancer of the property is given constructive notice of the pendency of the
action, and only of its pendency against the parties.
➢ Cancellation:
■ Requisites:
● Upon order of the court
● Proper showing that the notice is for the purpose of molesting the adverse party, or
● That it is not necessary to protect the rights of the party who caused it to be recorded.

END MIDTERMS
FINALS REVIEWER
in https://docs.google.com/document/d/1v0ZQrxqM_ScxvudiIS6GBaubif0wFk3oG2iBgfrJM7A/edit?usp=sharing

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