PART II

CHAPTER I : BASIC PRINCIPLES OF PLEADINGS

BY: AEJAY V. BARIAS

CONCEPT & DEFINITION OF
PLEADINGS
Pleadings are the written statement of respective claims and
defences submitted to the court for appropriate judgement.
In a broad sense, the term “pleadings” embraces all
proceedings from the time of the filling of the complaint until the
issue is joined or even until the termination of the proceedings,
but the rules of court specifies the pleadings which a party may
file thus: a complaint, answer, counter-claim, cross claim, reply,
third/fourth-party complaint, and other similar complaints.
IMPORTANCE OF PLEADINGS
A pleading is a gauge not only of the worthiness,
capability and personality of a Lawyer but also the
worthiness of the issues, or the defences being raised
by him. If a pleading is filed with a lot a grammatical
errors, it will definitely irritate a judge or a learned
adversary who is reading it and more than this, the
lawyer’s capability is already known even before trial.
If a pleading is dirty, it manifest outright the kind of
personality of the lawyer who filed it. The same is true
if the format of the pleading is poor and awkward, or
PURPOSE OF PLEADINGS

The purpose of pleadings is to define the

issues and form the foundation of the proof to
be submitted at the trial. They narrow the case
down to a specific issue or issues which will be
submitted to the court for trial and judgment.
LAW GOVERNING PLEADINGS

The formal ad substantial requisites of a

pleading are governed by the law
prevailing at the time of its filing.
(Dimaisip vs CA, et al)
SYSTEM OF PLEADINGS IN THE
PHILIPPINES
The system of pleadings followed in this
jurisdiction is called and referred to as Code
Pleading, the system used in the States of the
Union that had adopted codes of procedure.
WHEN ARE PLEADINGS DEEMED
SUFFICIENT IN FORM & SUBSTANCE ?

Pleadings are deemed sufficient in form

when they substantially comply with the
requirements of the law as to form and
substance.
WHEN ARE PLEADINGS DEFECTIVE IN FORM
AND WHEN ARE PLEADINGS DEFECTIVE IN
SUBSTANCE ?
A defect in form occurs when, though enough facts are
stated, they are not stated n the manner required by law. A
formal or technical defect however, will not invalidate a pleading
which otherwise sufficiently states a cause of action. Hence,
deficiencies in the observance of the rules and imperfections of
form and technicalities of procedure should not vitiate the
pleading when the issues are clearly stated because a case
cannot be sacrificed on mere technical points.
 A defect in substance occurs when a pleader fails to
state enough facts to constitute a prima facie cause of
action, or a prima facie defence. Hence, a complaint is
not sufficient if it seeks judgment on mere hypothetical
questions, without any allegation of a factual nature, or
without presenting to the court n actual controversy or
dispute.
Test of sufficiency of a complaint id whether a
competent court could render valid judgment upon the
facts alleged therein if said facts were admitted or
proved. If it could, then the allegations are sufficient.
 HOW PLEADINGS ARE CONSTRUED ?
As a general rule, pleadings are liberally construed.
Exception:
• When the pleading is obviously vague and uncertain or indefinite for the court to understand what the pleader is
complaining about, the court will it allow itself to be led to “the commission of error or injustice by exploring in
the midst of uncertainty and dividing the intention of the parties or their counsel.”
• When there are statements or matters in the pleadings which are redundant, immaterial, impertinent or
scandalous, they can be stricken out by motion or upon the court’s own initiative at any time.
• When a pleading is resorted to by a party for the purpose of delaying the proceedings of a case.
• When the basis of inadequate allegations, it appears that the pleader is suppressing facts material to the
disposition of the case.
• When a pleading contains allegations which are ambiguous and evasive and they are apparently used to confuse
the plaintiff.
• When scandalous or indecent matters are inserted in the pleadings, the same may be stricken out either at the
court’s initiative or upon motion of the opposing counsel.
PRAYER

Part of the pleading which sates the relief or reliefs prayed

for by the parties. it is not a part of the cause of action.
A prayer for relief is not indispensably or necessarily
conclusive of the sufficiency of the complaint or of the right to
relief.
SIGNATURE AND ADDRESS

The complaint must be signed by the plaintiff or counsel representing

him indicating his address. This address should not be a post office box.
An unsigned pleading produces no legal effect. However, the court may,
in its discretion, allow such deficiency to be remedied if it shall appear
that the same was due to mere inadvertence and not intended for delay.
Counsel who deliberately files an unsigned pleading, or signs a pleading
in violation of this Rule, or alleges scandalous or indecent matter therein,
or fails to promptly report to the court a change of his address, shall be
subject to appropriate disciplinary action (Sec. 3, Rule 7)
VERIFICATION

Verification is not part of the pleading and does not

vest jurisdiction in the courts.
it is statement under oath that the pleading is true.
It secures good faith in the averments made by a
party in he pleading.
WHO MAY VERIFY A PLEADING ?

Verification may be made by the party, his representative,

Lawyer or any person who personally knows the truth of the
facts alleged in the pleadings. Where the verification is made
by the attorney who also signed the pleadings, the courts are
inclined to be liberal and accept substantial compliance with
the verification rule.
WHAT IS THE SIGNIFICANCE OF
VERIFICATION?

It is intended to secure an assurance that the

allegations in a pleading are true and correct and not
the product of the imagination or a matter of
speculation, and that the pleading is filed in good
faith. The absence of a proper verification is cause to
treat the pleading as unsigned and dismissible
 WHAT ARE THE PLEADINGS THAT SHOULD
BE VERIFIED?
The following should be verified:
1. Petition for relief from judgment
2. Petition for review from the RTCs to the CA
3. Petition for review from the CTA and quasi-judicial agencies to the CA
4. Appeal by certiorari from the CA to the SC
5. Petition for annulment of judgments or final orders and resolutions
6. Complaint for injunction
7. Application for appointment of receiver
8. Application for support pendente lite
9. Petition for certiorari against the judgments, final orders or resolutions of constitutional
commissions
10.Petition for certiorari, prohibition, mandamus, quo warranto
11.Complaint for expropriation
12.Complaint for forcible entry or unlawful detainer
13.Petition for indirect contempt
14.Petition for appointment of general guardian
15.Petition for leave to sell or encumber property of an estate by a guardian
16.Petition for the declaration of competency of a ward
17.Petition for habeas corpus
18.Petition for change of name
19.Petition for voluntary judicial dissolution of a corporation;
20.Petition for correction or cancellation of entries in Civil Registry.
CAPTION

What should the caption contain?

The caption sets forth the name of the court, the title of the action, and the
docket number if assigned. (Sec. 1, Rule 7)

What should the title of the caption indicate?

It should indicate 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. (Sec. 1, Rule 7)
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.
(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.
SIGNATURE AND ADDRESS
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.

The signature of counsel constitutes a certificate by him that he has read the pleading;
that to the best of his knowledge, information, and belief there is good ground to support
it; and that it is not interposed for delay.

An unsigned pleading produces no legal effect. However, the court may, in its
discretion, allow such deficiency to be remedied if it shall appear that the same was due
to mere inadvertence and not intended for delay. Counsel who deliberately files an
unsigned pleading, or signs a pleading in violation of this Rule, or alleges scandalous or
indecent matter therein, or fails promptly report to the court a change of his address,
shall be subject to appropriate disciplinary action.
VERIFICATION
Except when otherwise specifically required by law or rule, pleadings
need not be under oath, verified or accompanied by affidavit .
A pleading is verified by an affidavit that the affiant has read the
pleading and that the allegations therein are true and correct of his
knowledge and belief.
A pleading required to be verified which 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. 
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.
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. 
PART II
CHAPTER II: ALLEGATIONS IN A
PLEADING
WHAT IS THE RULE WHEN MAKING A
PLEADING?
Every pleading shall contain in a methodical and logical form a plain,
concise and direct statement of the ultimate facts, omitting the
statement of mere evidentiary facts. (Sec. 1, Rule 6)

What are Ultimate facts?

They refer to the essential facts of the claim. A fact is essential if it
cannot be stricken out without leaving the statement of the cause of
action insufficient. (Ceroferr Realty Corporation vs. Court of Appeals, 376
SCRA 144)
WHAT ARE THOSE THAT NEED NOT BE
ALLEGED IN THE PLEADING?

• Details of probative matter or particulars of evidence;

• Statement of law, interferences and arguments;
• Conclusiveness of Laws;
• Facts of which are of judicial cognizance; and
• Presumption of Law.
HOW MAN CLAIMS CAN A PLAINTIFF HAVE
IN ONE COMPLAINT?

The plaintiff may set forth in his complaint only

a single claim and this may be stated in one
paragraph or more.
The plaintiff may also set firth two or more
claims as he has and may demand relief in the
alternative.
HOW MANY DEFENCES CAN A
DEFENDANT HAVE IN HIS ANSWER?

The defendant may set forth as many defences and

counter-claims he may have.
The defendant may set up negative defences in one answer
and affirmative defences in another in the same action.
The defendant cannot be denied the right to set up
numerous defences. The failure of the defendant to prove one
defense shall not preclude him from proving another defense
whish is equally sufficient to defeat the action of the plaintiff.
A GENERAL AVERMENT OF THE
PERFORMANCE OR OCCURRENCE OF ALL
CONDITIONS PRECEDENT IS SUFFICIENT

Although a general averment of performance or occurrence

of a condition precedent is sufficient, the plaintiff whose right
of action depends upon it, should set forth and prove the
fulfilment of the condition or the legal excuse for its non-
fulfilment. This is an essential allegation and the failure to
allege this renders the complaint defective and it may even be
dismissed, upon motion, for lack of cause of action.
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.
WHAT IS THE RULE IN MAKING
AVERMENTS OF FRAUD OR MISTAKE?

The circumstances constituting such fraud or mistake must

be stated with particularity (Sec. 5, Rule 8). The complaint
must state with particularity the fraudulent acts of the adverse
party. These particulars would necessarily include the time,
place, and specific acts of fraud committed against him.
WHAT IS THE RULE IN MAKING AVERMENTS
OF MALICE, INTENT, KNOWLEDGE OR OTHER
CONDITIONS OF THE MIND OF A PERSON?

The circumstances constituting such may be

averred generally (Sec.5, Rule 8).
END OF PRESENTATION