3.

The rules shall not diminish, increase, or modify

I. GENERAL PRINCIPLES substantive rights

2. POWER OF THE SUPREME COURT

A. CONCEPT OF REMEDIAL LAW TO AMEND AND SUSPEND
B. SUBSTANTIVE LAW AS PROCEDURAL RULES
DISTINGUISHED FROM REMEDIAL
LAW The courts have the power to relax or suspend
C. RULE-MAKING POWER OF THE technical or procedural rules or to except a case from
their operation when compelling reasons so warrant
SUPREME COURT or when the purpose of justice requires it; what
1. Limitations on the rule-making power constitutes good and sufficient cause that would
pf the Supreme Court merit suspension of the rules is discretionary upon
2. Power of the Supreme Court to amend the courts. (Commissioner of Internal Revenue v.
and suspend procedural rules Migrant Pagbilao Corporation, G.R. No. 159593,
D. NATURE OF PHILIPPINE COURTS 2006)
1. Meaning of a court
2. Court as distinguished from a judge What impel the Court to set aside its rules is not the
3. Classification of Philippine courts party‘s empty invocations of liberality but the merits
4. Courts of original and appellate of a party‘s position so that the same may not be
jurisdiction obstructed by mere deficiencies in form. (Munoz v.
5. Courts of general and special jurisdiction People, G.R. No. 162772, 2008)
6. Constitutional and statutory courts
7. Courts of law and equity Compliance with the procedural rules is the general
8. Principle of judicial hierarchy rule, and abandonment thereof should only be done
9. Doctrine of non-interference or doctrine in the most exceptional circumstances. (Pilapil v.
of judicial stability Heirs of Briones, G.R. No. 150175, 2007)
The Supreme Court may promulgate procedural rules
26
A. CONCEPT OF REMEDIAL LAW in all courts. It has the sole prerogative to amend,
repeal or even establish new rules for a more
simplified and inexpensive process, and the speedy
REMEDIAL LAW disposition of cases. In the rules governing appeals
It is a branch of law that prescribes the methods of to it and to the Court of Appeals, particularly Rules
enforcing rights and obligations created by 27 28 29
42, 43 and 45, the Court allows extensions of
substantive law. It provides a procedural system for time, based on justifiable and compelling reasons, for
obtaining redress for the invasion of rights and parties to file their appeals. These extensions may
violations of duties. It also prescribes rules as to how consist of 15 days or more.
suits are filed, tried and decided upon by the courts. To standardize the appeal periods provided in the
Rules and to afford litigants fair opportunity to appeal
B. SUBSTANTIVE LAW AS their cases, the Court deems it practical to allow a
fresh period of 15 days within which to file the notice
DISTINGUISHED FROM of appeal in the Regional Trial Court, counted from
REMEDIAL LAW receipt of the order dismissing a motion for a new
trial or motion for reconsideration (Neypes v. Court of
SUBSTANTIVE LAW Appeals, G.R. No. 141524)
Creates, defines and regulates rights and duties
concerning life, liberty or property which when Its constitutional power to promulgate rules of
violated gives rise to a cause of action. practice and procedure and to amend or repeal the
same necessarily carries with it the power to overturn
judicial precedents on points of remedial law through
C. RULE-MAKING POWER OF THE the amendment of the Rules of Court. (Pinga v. Heirs
SUPREME COURT of Santiago, G.R. No. 170354, 2006)

CONSTITUTIONAL POWERS
1. LIMITATIONS ON THE RULE- Sec 5 [5], Article VIII Judicial Department
MAKING POWER OF THE SUPREME The Supreme Court shall have the power to
COURT promulgate rules concerning the protection and
enforcement of constitutional rights, pleading,
SEC 5 [5], ARTICLE VIII JUDICIAL DEPARTMENT practice, and procedure in all courts, the admission to
the practice of law, the Integrated Bar, and legal
1. The rules shall provide a simplified and assistance to the under-privileged.
inexpensive procedure for the speedy disposition
of cases Cases where the rules of court will not be
2. The rules shall be uniform for courts of the same applicable
grade. The Rules Will NOT be Applicable in the
Following Cases:

1
1. Election Cases; judge presiding over it. In other words, the judge may
2. Land Registration; resign, become incapacitated, or be disqualified to
3. Cadastral Cases; hold office, but the court remains.
4. Naturalization;
5. Insolvency proceedings; and 3. CLASSIFICATION OF PHILIPPINE
6. Other cases not provided for in the Rules of COURTS
Court.

Exception: Superior and Inferior Courts

The Rules of Court will be applicable in the SUPERIOR COURTS are courts with controlling
abovementioned cases by analogy or in a suppletory authority over some other court or courts, and with
character and whenever practicable and convenient. certain original jurisdiction of its own.

INFERIOR COURTS are those which are

D. NATURE OF PHILIPPINE subordinate to other courts and whose judgments
COURTS and decrees can be reviewed by the higher tribunals.

Courts of Record and Not of Record

1. MEANING OF A COURT A COURT OF RECORD is one keeping a written
account of its proceedings which import verity, or
It is an organ of the government belonging to the which is so denominated by the statute of its
judicial department the function of which is the creation.
application of the laws to controversies brought
before it as well as the public administration of A COURT NOT OF RECORD is one which is not
th
justice. (Black’s, 5 Edition, 356 as cited in Riano, keeping a written account of its proceedings.
nd
Civil Procedure: A Restatement for the bar, 2 ed,
2009) PROBATE COURTS
Courts whose basic jurisdiction is to administer
It is noted that where an administrative tribunal‘s justice in matters relating to decedent estates.
function partakes of the judicial, its exercise is styled
―QUASI-JUDICIAL‖, but such administrative agencies
are NOT considered courts; they are neither part of 4. COURTS OF ORIGINAL AND
the judicial system nor are they deemed judicial APPELLATE JURISDICTION
tribunals. (De Leon, Administrative Law: Text and
th
Cases, 6 ed, 2010) ORIGINAL COURTS are those wherein a case
arises. On the other hand, APPELLATE COURTS
2. COURT AS DISTINGUISHED FROM are those wherein a case is reviewed.
A JUDGE
5. COURTS OF GENERAL AND
JUDGE SPECIAL JURISDICTION
A public officer appointed to preside over a court for
the purpose of administering law. GENERAL COURTS are courts which take
cognizance of all cases, civil or criminal, of a
Although the terms have often been erroneously
particular nature, or courts whose judgment are
used interchangeably, they are not strictly
conclusive until modified or reversed on direct attack,
synonymous as they have the following distinctions:
and who are competent to decide on their own
jurisdiction.
COURT JUDGE
SPECIAL COURTS are those which can take
A tribunal officially Is simply an officer of cognizance of special jurisdiction for a particular
assembled under such tribunal; a public purpose, or are clothed with special powers for the
authority of law; an office officer performance of specified duties, beyond which they
have no authority of any kind.

EXCLUSIVE vs. CONCURRENT JURISDICTION

Is an organ of the Person who sits on the
government with a court EXCLUSIVE JURISDICTION – courts which have
personality separate and jurisdiction over a subject matter to the exclusion of
distinct from the judge other courts.

CONCURRENTJURISDICTION – courts which have

jurisdiction over the same subject matter and within
the same territory and wherein litigants may in the
The continuity of a court and the efficacy of its first instance resort to either court indifferently.
proceedings are not affected by the death,
resignation, or cessation from the service of the

2
6. CONSTITUTIONAL AND c. Replevin, through intervention since the main
STATUTORY COURTS action is still pending. (Rule 60, Section 7)

END OF TOPIC
CONSTITUTIONAL COURTS are created by the
Constitution (i.e. the Supreme Court) while
STATUTORY COURTS are created by mere statute.
II. JURISDICTION
7. COURTS OF LAW AND EQUITY

A COURT OF LAW is any tribunal duly administering A. JURISDICTION OVER THE PARTIES
the laws of the land. 1. How jurisdiction over the plaintiff is
acquired
A COURT OF EQUITY is one which administers 2. How jurisdiction over the defendant is
justice according to the rules and principles of equity. acquired
B. JURISDICTION OVER THE
8. PRINCIPLE OF JUDICIAL SUBJECT MATTER
HEIRARCHY 1. Meaning of jurisdiction over the subject
matter
2. Jurisdiction versus the exercise of
The judicial system follows a ladderized scheme jurisdiction
which in essence requires the lower courts initially 3. Error of jurisdiction as distinguished
decide on a case before it is considered by a higher from error of judgment
court. 4. How jurisdiction is conferred and
determined
A higher court will not entertain direct resort to it 5. Doctrine of primary jurisdiction
unless the redress cannot be obtained in the 6. Doctrine of adherence of jurisdiction
appropriate courts. (Santiago v. Vasquez, G.R. Nos. 7. Objections to jurisdiction over the
99289-90, 1993) subject matter
8. Effect of estoppel on objections to
9. DOCTRINE OF NON- jurisdiction
INTERFERENCE OR DOCTRINE C. JURISDICTION OVER THE ISSUES
OF JUDICIAL STABILITY D. JURISDICTION OVER THE RES OR
PROPERTY IN LITIGATION
This principle holds that courts of equal and E. JURISDICTION OF COURTS
coordinate jurisdiction cannot interfere with each 1. Supreme Court
other‘s orders. (Lapu-lapu Development and Housing 2. Court of Appeals
Corporation v. Group Management Corporation, G.R. 3. Court of Tax Appeals
No. 141407, 2002) 4. Sandiganbayan
5. Regional Trial Courts
Hence, a Regional Trial Court has no power or 6. Family Courts
authority to nullify or enjoin the enforcement of a writ 7. Metropolitan Trial Courts/Municipal Trial
of possession issued by another Regional Trial Courts
Court. (Suico Industrial Corporation v. Court of 8. Shariah Courts
Appeals, G.R. No. 123050, 1999)
F. JURISDICTION OVER SMALL
The principle also bars a court from reviewing or CLAIMS, CASES COVERED BY THE
interfering with the judgment of a co-equal court over RULES ON SUMMARY
which it has no appellate jurisdiction or power of PROCEDURE AND BARANGAY
review. (Villamor v. Salas, G.R. No. L-101041, 1991) CONCILIATION
This doctrine applies with equal force to
G. TOTALITY RULE
administrative bodies; when the law provides for an
appeal from the decision of an administrative body to JURISDICTION
the Supreme Court or Court of Appeals, it means that The power and authority of the court to hear, try and
such body is co-equal with the Regional Trial Court in decide a case. It is also the power to enforce its
terms of rank and stature, and logically beyond the determination as it is only through the judgment and
control of the latter. (Philippine Sinter Corporation v. its execution that the power of the court is made
Cagayan Electric Power and Light Co., Inc., G.R. No. efficacious and its jurisdiction complete.
127371, 2002)
It is not the power of the judge but of the court.
Exceptions: THIRD-PARTY CLAIM
a. Execution through a separate action. (Rule 39, A. JURISDICTION OVER THE
Section 16)
b. Preliminary Attachment (Rule 57, Section 14) PARTIES

3
 It is the power to deal with the general subject
The manner by which the court acquires jurisdiction involved in the action. It refers to jurisdiction of the
over the parties depends on whether the party is class of cases to which the particular case belongs.
the plaintiff or the defendant and is a matter of
procedural law 2. JURISDICTION vs. EXERCISE OF
The following modes of acquisition of jurisdiction JURISDICTION
apply to BOTH ordinary and special civil actions like
mandamus or unlawful detainer cases: JURISDICTION is the power or authority of the court

EXERCISE OF JURISDICTION refers to the exercise

1. HOW JURISDICTION OVER THE of this power or authority.
PLAINTIFF IS ACQUIRED:
Jurisdiction is the authority to decide a case and not
Jurisdiction over the plaintiff is acquired by his filing the decision rendered therein. (Republic of the
of the complaint or petition, even through his counsel. Philippines v. Asset Privatization Trust, G.R. No.
141241, 2005)
2. HOW JURISDICTION OVER THE
Where there is jurisdiction over the subject matter,
DEFENDANT IS ACQUIRED the decision on all other questions arising in the case
is but an exercise of jurisdiction. (Republic of the
Jurisdiction over the defendant is obtained either by a Philippines v. Asset Privatization Trust, G.R. No.
valid service of summons upon him or by his 141241, 2005)
voluntary submission to the court‘s authority. It is
required only in an action in personam.
3. ERROR OF JURISDICTION AS
Submission to the court‘s jurisdiction takes the form DISTINGUISHED FROM ERROR OF
of an appearance that seeks affirmative relief except JUDGMENT
when the relief sought is for the purpose of objecting
to the jurisdiction of the court over the person of the ERROR OF JUDGMENT
defendant. One which the court may commit in the exercise of
its jurisdiction.
Lack of jurisdiction over the defendant may be raised
as a ground for a motion to dismiss. As long as the court acts within its jurisdiction, any
alleged errors committed in the exercise of its
If a motion has been filed and objection to the lack of discretion will amount to nothing more than mere
jurisdiction, which ground was already available at errors of judgment which are correctible by appeal.
the time of filing, was not pleaded, it is DEEMED (Cabrera v. Lapid, G.R. No. 129098, 2006); these
WAIVED pursuant to the omnibus motion rule. errors include errors of procedure or mistakes in the
However when it appears from the pleadings or the court‘s findings. (Banco Filipino Savings and
evidence on record that the court has no jurisdiction Mortgage Bank v. Court of Appeals, G.R. No.
over the subject matter, that there is another action 132703, 2000)
pending between the same parties for the same
cause, or that the action is barred by a prior judgment ERROR OF JURISDICTION
or by stature of limitations, the COURT SHALL On the other hand, an error of jurisdiction is one
DISMISS THE CLAIM. where the act complained of was issued by the court
without or in excess of jurisdiction. (Cabrera v. Lapid,
If no motion to dismiss has been filed at all, the G.R. No. 129098, 2006)
objection of lack of jurisdiction over the person may
be pleaded as an affirmative defense in the It may happen either when a court exercises a
defendant‘s answer. jurisdiction not conferred upon it by law or when the
court, although with jurisdiction, acts in excess of its
B. JURISDICTION OVER THE jurisdiction or with grave abuse of discretion
amounting to lack of jurisdiction. (GSIS v. Olisa, G.R.
SUBJECT MATTER No. 126874, 1999)

The item with respect to which the controversy has Errors of jurisdiction are correctible only by the
arisen, or concerning which the wrong has been extraordinary writ of certiorari. (Tolentino v. Leviste,
done, and it is ordinarily the right, the thing, or the G.R. No. 156118, 2004)
contract under dispute.
4. HOW JURISDICTION IS CONFERRED
1. MEANING OF JURISDICTION OVER AND DETERMINED
THE SUBJECT MATTER:
How Jurisdiction is conferred
Jurisdiction over the subject matter is conferred by
law which may either be the Constitution or a statute.

4
 Once jurisdiction has attached, it cannot be ousted
The law that confers such jurisdiction refers to a by subsequent happenings or events, although of a
substantive law, not a procedural law. character which would have prevented jurisdiction
from attaching in the first instance; the court, once
Such Jurisdiction CANNOT be conferred by the jurisdiction has been acquired, retains that
Following: jurisdiction until it finally disposes of the case.
1. Administrative policy of any court; (Baritua v. Mercader, G.R. No. 136048, 2001)
2. A court‘s unilateral assumption of jurisdiction;
3. An erroneous belief by the court that it has 7. OBJECTIONS TO JURISDICTION
jurisdiction; and OVER SUBJECT MATTER
4. The parties by agreement, silence, acquiescence
or consent. The earliest opportunity of a party to raise the issue
of jurisdiction is in a motion to dismiss filed before
How Jurisdiction is Determined the filing or service of an answer. Failure to raise
Jurisdiction over the subject matter is determined by such objection shall NOT be deemed as a waiver.
the allegations of the complaint. It is not determined
either by the defenses of by the pieces of evidence Unlike lack of jurisdiction over the person, failure to
presented in the trial. include the defense of lack of jurisdiction over the
subject matter in a motion to dismiss, when such
Jurisdiction is based on the allegations in the ground was already available at the time of filing,
initiatory pleading and the defenses in the answer are does NOT bar the defendant to subsequently raise it
deemed irrelevant and immaterial in its as an affirmative defense.
determination. De la Cruz v. Court of Appeals, [G.R. If no motion to dismiss has been filed, such defense
No. 139442, December 6, 2006] may be raised as an affirmative defense in the
answer.
Thus, if by the averments of the complaint, the court
has jurisdiction, it does not lose that jurisdiction just Thus, the prevailing rule is that jurisdiction over the
because the defendant makes a contrary allegation subject matter may be raised at ANY stage of the
in his motion or answer or because the court believes proceedings, even for the first time on appeal.
that the plaintiff‘s claims are ridiculous and therefore, (Calimlim v. Ramirez, G.R. No. L-34362, 1982)
untrue. [Tomas Claudio Memorial College, Inc., v.
Court of Appeals, G.R. No. 124262, 1999] Furthermore, courts may take cognizance of the
issue even if not raised by the parties themselves.
5. DOCTRINE OF PRIMARY (Asia International Auctioneers, Inc. v. Parayno, G.R.
JURISDICTION No. 163445, 2007)

When the court dismisses the complaint based on

Under this doctrine, courts will not resolve a such ground, its only authority is to dismiss the
controversy involving a question which is within the complaint and not to refer or forward the case to
jurisdiction of an administrative tribunal, especially another court with the proper jurisdiction.
where the question demands the exercise of sound
administrative discretion requiring the special
knowledge, experience and services of the 8. EFFECTS OF ESTOPPEL ON
administrative tribunal to determine technical and OBJECTIONS TO JURISDICTION
intricate matters of fact. (Paloma v. Mora, G.R. No.
157783, 2005) While it is true that jurisdiction over the subject matter
may be raised at any stage of the proceedings, it is
The doctrine of primary jurisdiction precludes the nevertheless settled that a party may be barred from
courts from resolving a controversy over which raising it on the ground of estoppel.
jurisdiction has initially been lodged in an
administrative body of special competence. The doctrine of estoppel by laches in relation to
(See also Sta. Ana v. Carpo, GR No. 164340, 2008) objections to jurisdiction first appeared in the
landmark case of (Tijam v. Sibonghanoy, G.R. No. L-
The practice is to refer specialized disputes to 21450, 1968)
administrative agencies of specialized competence
and the courts will not determine a controversy prior The fact pattern common among cases wherein the
to the resolution of the question by the administrative Court invoked estoppel to prevent a party from
tribunal. (Fabia v. Court of Appeals, G.R. No. questioning jurisdiction is a party‘s active
132684, 2002) participation in all stages of a case which is
tantamount to recognition of court‘s jurisdiction.
6. DOCTRINE OF ADHERENCE OF
JURISDICTION (CONTINUITY OF The general rule as it has always been, is that the
issue of jurisdiction may be raised at any stage of the
JURISDICTION) proceedings, even on appeal, and is not lost by
waiver or by estoppel. Estoppel by laches, to bar a
litigant from asserting the court‘s absence or lack of

5
jurisdiction, only supervenes in exceptional cases In civil actions, particularly actions in rem or quasi in
similar to the factual milieu of Tijam v. Sibonghanoy. rem, jurisdiction over the res and the subject matter
The fact that a person attempts to invoke is sufficient to vest jurisdiction in the court even in the
unauthorized jurisdiction of a court does not estop absence of jurisdiction over the person of the
him from thereafter challenging its jurisdiction over defendant.
the subject matter, since such jurisdiction must arise
by law and not by mere consent of the parties.
(Figueroa v. People, GR No. 147406, 2008)

Courts are not only courts of law but also of equity.

Thus, where the respondent did not vigorously
question the jurisdiction of the court and instead
actively participated for ten years, a motion to
dismiss based on lack of jurisdiction would render the
effort, time and expenses of the parties for naught.
(Bernardo v. Heirs of Villegas, G.R. No. 183357,
2010)

C. JURISDICTION OVER THE

ISSUES
The power of the court to try and decide the issues
raised in the pleadings of the parties.

An ISSUE is a disputed point or question to which

parties to an action have narrowed down their
several allegations and upon which they are desirous
of obtaining a decision.

With respect to an issue raised by the pleadings, an

issue arises because the material allegations of a
claiming party are specifically denied by the
defending party.

How conferred and determined:

General Rule: It is conferred and determined by the
pleadings of the parties that present the issues to be
tried and determine whether or not the issues are of
fact or of law. Whether or not a court has jurisdiction
over a specific issue is a question that requires
nothing but an examination of the pleadings.

Exceptions:
It may be conferred:
1. By stipulation of the parties - as when in the
pre-trial, the parties enter into stipulations of facts
and documents or enter into an agreement
simplifying the issues of the case.
2. By waiver or failure to object to the
presentation of evidence on a matter not raised
in the pleadings; the parties try with the other
party‘s express or implied consent issues not
raised by the pleadings; such issues shall be
treated in all respects as if they had been raised
in the pleadings.

D. JURISDICTION OVER THE RES

OR PROPERTY IN LITIGATION

Jurisdiction over the res or property in litigation is

acquired either by seizure of the property under legal
process or as a result of the institution of legal
proceedings, in which the power of the court is
recognized and made effective.

6
 E. JURISDICTION OF COURTS
†
NOTE: The Jurisdiction tables below are taken from Feria , Justice Jose Y. and Atty. Maria Concepcion S.
Noche. Civil Procedure Annotated. Vol. 1. 2013 Ed. Quezon City: Central Book Supply, Inc., 2013. 665-
700.

1. SUPREME COURT (Feria and Noche, pp.665-668)

SUPREME COURT

I. ORIGINAL JURISDICTION

A. Original and Exclusive

Petitions for the issuance of writs of certiorari, prohibition and mandamus against:
1. Court of Appeals.
2. Commission on Elections.
3. Commission on Audit.
4. Sandiganbayan.
5. Court of Tax Appeals.
B. Original and Concurrent

1. With the CA 1. Petitions for the issuance of writs of certiorari, prohibition and mandamus against:
a. NLRC. [However, the petitions should be filed with the CA; otherwise, they shall be
dismissed.]
b. CSC.
c. Quasi-Judicial Agencies. [However, the petitions should be filed with the CA.]
d. RTC and lower courts.
2. Petitions for the issuance of a writ of kalikasan.

2. With the CA, 1. Petition for writ of amparo.

SB and RTC 2. Petition for writ of habeas data.

3. With the CA 1. Petitions for habeas corpus and quo warranto.

and RTC 2. Petitions for the issuance of writs of certiorari, prohibition and mandamus against lower
courts or bodies.
3. Petitions for the issuance of writ of continuing mandamus in environmental cases.

4. With the Actions affecting ambassadors, other public ministers and consuls.
RTC

II. APPELLATE JURISDICTION

7
1. Appeal by From the RTC or the SB in all criminal cases in which the penalty imposed is reclusion perpetua
Notice of or higher, and those involving other offenses which, although not so punished, arose out of the
Appeal same occurrence or which may have been committed by the accused on the same occasion, as
that giving rise to the more serious offense, regardless of whether the accused are charged
principals, accomplices or accessories, or whether they have been tried jointly or separately.

By appeal, the SC reviews the questions of law and of fact decided by the court a quo.

2. Appeal by Appeals from the:

Petition for 1. Court of Appeals
Review on 2. Sandiganbayan - on pure questions of law, except in cases where the penalty imposed
Certiorari is reclusion perpetua, life imprisonment or death
3. Court of Tax Appeals.
4. Regional Trial Courts - exercising original jurisdiction in the following cases:
a. If no question of fact is involved and the cases involves:
(i) Constitutionality or validity of any treaty, international or executive
agreement, law, presidential decree, proclamation, order, instruction,
ordinance or regulation in question;
(ii) Legality of any tax, impost, assessment, or toll, or any penalty imposed in
relation thereto; or
(iii) Jurisdiction of lower courts is in issue.

(Note: If, in addition to constitutional, tax, or jurisdictional questions, the cases

mentioned in (i), (ii) and (iii) above also involve questions of fact or mixed questions of
fact and law, the aggrieved party shall appeal to the CA; and the final judgment or
decision of the latter may be reviewed, revised, reversed, modified or affirmed by the
SC on writ of certiorari)

b. All cases in which only errors of questions of law are involved.

3. Special Civil Decision, order or ruling of:

Action of 1. Commission on Elections.
Certiorari 2. Commission on Audit.
within 30
days

2. COURT OF APPEALS (Feria and Noche, pp. 669-672)

COURT OF APPEALS

I. ORIGINAL JURISDICTION

A. Original and Exclusive

Actions for annulment of judgments of the RTC on the grounds of extrinsic fraud and lack of jurisdiction.

B. Original and Concurrent

8
 1. With the SC 1. Petitions for the issuance of writs of certiorari, prohibition and mandamus against:
a. NLRC. [However, the petitions should be filed with the CA; otherwise, they shall be
dismissed.]
b. CSC.
c. Quasi-Judicial Agencies. [However, the petitions should be filed with the CA.]
d. RTC and lower courts.
2. Petitions for the issuance of a writ of kalikasan.

2. With the SC, 1. Petition for writ of amparo.

SB, and RTC 2. Petition for writ of habeas data.

3. With the SC 1. Petitions for habeas corpus and quo warranto.

and RTC 2. Petitions for the issuance of writs of certiorari, prohibition and mandamus against
lower courts or bodies.
3. Petitions for the issuance of writ of continuing mandamus in environmental cases.

II. APPELLATE JURISDICTION

Exclusive Appellate

1. Ordinary Appeal by Appeals from:

Notice of Appeal or 1. RTC in the exercise of its original jurisdiction, except in all cases where only
Record on Appeal questions of law are raised or involved, which are appealable to the SC by
petition for review on certiorari in accordance with Rule 45.
2. RTC on constitutional and jurisdictional questions which involve questions of
fact.
3. Family Courts.

9
2. Appeal by Petition An appeal may be taken to the CA whether the appeal involves questions of fact, mixed
for Review questions of fact and law, or questions of law, in the following cases:

Regular
1. Appeals from RTC in the exercise of its appellate jurisdiction.
Special
1. Appeals from CSC.
2. Appeals from Quasi-Judicial Agencies:
a. Securities and Exchange Commission
b. Office of the President
c. Land Registration Authority
d. Social Security Commission
e. Civil and Aeronautics Board
f. Intellectual Property Office
g. National Electrification Administration
h. Energy Regulatory Commission
i. National Telecommunications Commission
j. Department of Agrarian Reform under RA 6657
k. Government Service Insurance System
l. Employees‘ Compensation Commission
m. Insurance Commission
n. Philippine Atomic Energy Commission
o. Board of Investments
p. Construction Industry Arbitration Commission
q. Voluntary Arbitrators authorized by law
r. Ombudsman, in administrative disciplinary cases
s. National Commission on Indigenous Peoples
From the judgments or final orders or resolutions of the CA, the aggrieved party may
appeal by certiorari to the SC as provided in Rule 45.

Judgments and final orders of the CTA en banc are now appealable to the SC through a
petition for review under Rule 45, pursuant to RA 9282.

3. SANDIGANBAYAN

SANDIGANBAYAN
(as amended by Section 4, R.A. 10660, promulgated April 16, 2015)

A. EXCLUSIVE ORIGINAL

10
1. Violations of Republic Act No. 3019, as amended, otherwise known as the Anti-Graft and Corrupt Practices
Act, Republic Act No. 1379, otherwise known as An Act Declaring Forfeiture in favor of the State any
Property Found to have been Unlawfully Acquired by any Public Officer or Employee and Providing for the
Proceedings therefor, and Chapter II, Section 2, Title VII, Book II of the Revised Penal Code, where one or
more of the accused are officials occupying the following positions in the government, whether in a
permanent, acting or interim capacity, at the time of the commission of the offense:
a. Officials of the executive branch occupying the positions of regional director and higher, otherwise
classified as Grade ’27’ and higher, of the Compensation and Position Classification Act of 1989
(Republic Act No. 6758), specifically including:
i. Provincial governors, vice-governors, members of the sangguniang panlalawigan, and provincial
treasurers, assessors, engineers, and other provincial department heads:
ii. City mayors, vice-mayors, members of the sangguniang panlungsod, city treasurers, assessors,
engineers, and other city department heads;
iii. Officials of the diplomatic service occupying the position of consul and higher;
iv. Philippine army and air force colonels, naval captains, and all officers of higher rank;
v. Officers of the Philippine National Police while occupying the position of provincial director and
those holding the rank of senior superintendent and higher;
vi. City and provincial prosecutors and their assistants, and officials and prosecutors in the Office of
the Ombudsman and special prosecutor;
vii. Presidents, directors or trustees, or managers of government-owned or controlled corporations,
state universities or educational institutions or foundations.
b. Members of Congress and officials thereof classified as Grade ’27’ and higher under the
Compensation and Position Classification Act of 1989;
c. Members of the judiciary without prejudice to the provisions of the Constitution;
d. Chairmen and members of the Constitutional Commissions, without prejudice to the provisions of the
Constitution; and
e. All other national and local officials classified as Grade ’27’ and higher under the Compensation and
Position Classification Act of 1989.

Note: In case private individuals are charged as co-principals, accomplices or accessories with the public
officers or employees, including those employed in government-owned or controlled corporations, they shall
be tried jointly with said public officers and employees in the proper courts which shall exercise exclusive
jurisdiction over them.

Note: In cases where none of the accused are occupying positions corresponding to Salary Grade ‘27‘ or
higher, as prescribed in the said Republic Act No. 6758, or military and PNP officers mentioned above,
exclusive original jurisdiction thereof shall be vested in the proper regional trial court, metropolitan trial court,
municipal trial court, and municipal circuit trial court, as the case may be, pursuant to their respective
jurisdictions as provided in Batas Pambansa Blg. 129, as amended.

2. Other offenses or felonies whether simple or complexed with other crimes committed by the public officials
and employees mentioned in subsection a. of this section in relation to their office.

3. Civil and criminal cases filed pursuant to and in connection with Executive Order Nos. 1, 2, 14 and 14-A,
issued in 1986.

Note: Any provisions of law or Rules of Court to the contrary notwithstanding, the criminal action and the
corresponding civil action for the recovery of civil liability shall at all times be simultaneously instituted with, and
jointly determined in, the same proceeding by the Sandiganbayan or the appropriate courts, the filing of the
criminal action being deemed to necessarily carry with it the filing of the civil action, and no right to reserve the
filing of such civil action separately from the criminal action shall be recognized.

Note: Where the civil action had heretofore been filed separately but judgment therein has not yet been
rendered, and the criminal case is hereafter filed with the Sandiganbayan or the appropriate court, said civil
action shall be transferred to the Sandiganbayan or the appropriate court, as the case may be, for consolidation
and joint determination with the criminal action, otherwise the separate civil action shall be deemed abandoned.

4. Petitions for the issuance of the writs of mandamus, prohibition, certiorari, habeas corpus, injunctions, and
other ancillary writs and processes in aid of its appellate jurisdiction and over petitions of similar nature,
including quo warranto, arising or that may arise in cases filed or which may be filed under Executive Order
Nos. 1, 2, 14 and 14-A, issued in 1986.
Note: That the jurisdiction over these petitions shall not be exclusive of the Supreme Court.

11
 B. EXCLUSIVE APPELLATE

The Sandiganbayan shall exercise exclusive appellate jurisdiction over final judgments, resolutions or orders of
Regional Trial Courts whether in the exercise of their own original jurisdiction or of their appellate jurisdiction as
provided in R.A. 10660.

Note: The procedure prescribed in Batas Pambansa Blg. 129, as well as the implementing rules that the
Supreme Court has promulgated and may hereafter promulgate, relative to appeals/petitions for review to the
Court of Appeals, shall apply to appeals and petitions for review filed with the Sandiganbayan. In all cases
elevated to the Sandiganbayan and from the Sandiganbayan to the Supreme Court, the Office of the
Ombudsman, through its special prosecutor, shall represent the People of the Philippines, except in cases filed
pursuant to Executive Order Nos. 1, 2, 14 and 14-A, issued in 1986.

4. COURT OF TAX APPEALS (Feria and Noche, pp.676-680)

COURT OF TAX APPEALS

A. EXCLUSIVE APPELLATE JURISDICTION: By APPEAL

1. Decisions from the COMMISSIONER OF INTERNAL REVENUE
- in cases involving disputed assessments, refunds of internal revenue taxes, fees or other charges,
penalties in relation thereto, or other matters arising under the National Internal Revenue Code
(NIRC) or other laws administered by the Bureau of Internal Revenue (BIR).
2. Inaction by the COMMISSIONER INTERNAL REVENUE
- in cases involving disputed assessments, refunds of internal revenue taxes, fees or other charges,
penalties in relation thereto, or other matters arising under the NIRC or other laws administered by
the BIR, where the NIRC provides a specific period of action, in which case the inaction shall be
deemed a denial.
3. Decisions, orders or resolutions of REGIONAL TRIAL COURTS
- in local tax cases originally decided or resolved by them in the exercise of their original and
appellate jurisdiction.
4. Decisions of the COMMISSIONER OF CUSTOMS
- in cases involving liability for custom duties, fees or other money charges, seizure, detention or
release of property affected, fines, forfeitures or other penalties in relation thereto, or other matters
arising under the Customs Law or other laws administered by the Bureau of Customs.
5. Decisions of the CENTRAL BOARD OF ASSESSMENT APPEALS in the exercise of its appellate
jurisdiction
- over cases involving the assessment and taxation of real property originally decided by the
provincial or city board of assessment appeals.
6. Decisions of the SECRETARY OF FINANCE
- on customs cases elevated to him/her automatically for review from decisions of the Commissioner
of Customs which are adverse to the Government under Section 2315 of the Tariff and Customs
Code.
7. Decisions of the SECRETARY OF TRADE AND INDUSTRY
- in the case of non-agricultural product, commodity or article; and
Decisions of the SECRETARY OF AGRICULTURE
- in the case of agricultural product, commodity or article involving dumping and countervailing duties
under Sections 301 and 302, respectively, of the Tariff and Customs Code and safeguard
measures under the RA 8800, where either party may appeal the decision to impose or not to
impose said duties.

12
 B. CRIMINAL CASES
1. Exclusive Original Criminal cases arising from violations of the:
Jurisdiction 1. National Internal Revenue Code.
2. Tariff and Customs Code.
3. Other laws administered by the BIR or the Bureau of Customs.
Provided, however, that offenses or felonies mentioned in this paragraph where the
principal amount of taxes and fees, exclusive of charges and penalties, claimed in
less than P1M or where there is no specified amount claimed shall be tried by the
regular courts and the jurisdiction of the CTA shall be appellate.

Any provision of law or the Rules of Court to the contrary notwithstanding, the criminal
action and the corresponding civil action for the recovery of civil liability for taxes and
penalties shall be at all times be simultaneously instituted with, and jointly determined
in the same proceeding by the CTA, the filing of the criminal action being deemed to
necessarily carry with it the filing of the civil action, and no right to reserve the filing of
such civil action separately from the criminal action will be recognized.

2. Exclusive 1. Over appeals from the judgments, resolutions or orders of the RTC in tax cases
Appellate originally decided by them, in their respective territorial jurisdiction.
Jurisdiction 2. Over petitions for review of the judgments, resolutions or orders of the RTC in
the exercise of their appellate jurisdiction over tax cases originally decided the
MeTC, MTC and MCTC in their respective jurisdiction.

3. TAX COLLECTION CASES

1. Exclusive Original Cases involving final and executory assessment for taxes, fees, charges and
Jurisdiction penalties: Provided, however, that collection cases where the principal amount of
taxes and fees, exclusive of charges and penalties, claimed is less than P1M shall be
tried by the proper MTC, MeTC and RTC.

2. Exclusive In tax collection cases:

Appellate 1. Over appeals from the judgments, resolutions or orders of the RTC in tax
Jurisdiction collection cases originally decided by them, in their respective territorial
jurisdiction.
2. Over petitions for review of judgments, resolutions or orders of the RTC in the
exercise of their appellate jurisdiction over tax collection cases originally
decided the MeTC, MTC and MCTC in their respective jurisdiction.

5. REGIONAL TRIAL COURTS (Feria and Noche, pp. 680-684)

IMPORTANT:

REGIONAL TRIAL COURTS

I. ORIGINAL JURISDICTION

A. Original and Exclusive

13
1. CIVIL Cases 1. Civil actions in which the subject of litigation is incapable of pecuniary estimation
3. Civil actions which involve the title to, or possession of, REAL property, or any
interest therein, where the assessed value of the property involved exceeds P20K,
or P50K if in Metro Manila, except actions forcible entry and unlawful detainer which
are cognizable by the MeTC, MTC, MCTC.
3. Actions in admiralty and maritime jurisdiction where the demand or claim exceeds
P300K, or P400K if in Metro Manila.
4. Matters of probate, both testate and intestate, where the gross value of the estate
exceeds P300K, or P400K if in Metro Manila.
5. Cases not within the exclusive jurisdiction of any court, tribunal, person or body
exercising judicial or quasi-judicial functions.
6. Actions involving the contract of marriage and marital relations.
7. Civil actions and special proceedings falling within the exclusive original jurisdiction
of a Juvenile and Domestic Relations Court and of the Special Agrarian Courts as
now provided by law.
8. Other cases in which the demand, exclusive of interest, damages of whatever kind,
attorney‘s fees, litigation expenses, and costs or the value of the property in
controversy, exceeds P300K, or P400K if in Metro Manila.
IMPORTANT: If the claim for damages is the main cause of action, the amount
thereof shall be considered in determining the jurisdiction of the court.

2. CRIMINAL Criminal cases not within the exclusive jurisdiction of any court, tribunal or body, such as
Cases the following:
1. Penalty provided by law exceeds 6 years imprisonment, irrespective of fine.
2. Under (a) above not falling under the original jurisdiction of the Sandiganbayan
where none of the principal accused are occupying positions corresponding to
salary grade ―27‖ or higher, or military and PNP officers occupying the rank of
superintendent or higher, or their equivalent.
3. Only penalty provided by law is a fine exceeding P4K.
4. Violations of the:
a. Comprehensive Dangerous Drugs Act of 2002.
b. Anti-Violence against Women and their Children Act of 2004 (specifically,
those involving violence against women and children as defined under
Section 5).
c. Comprehensive Agrarian Reform Law.
d. Omnibus Election Code.
N.B.: Family Courts have exclusive original jurisdiction over criminal cases where one or
more of the accused is below 18 years old, or when one or more of the victims is a minor
at the time of the commission of the offense.

14
3. OTHER Cases 1. Actions for recognition and enforcement of an arbitration agreement or for vacation,
setting aside, correction or modification of an arbitral award, and any application
with a court for arbitration assistance and supervision.
2. Actions for determination of just compensation to land under the CARL.
3. R.A. 10660 (promulgated April 16, 2015):
The REGIONAL TRIAL COURT shall have exclusive original jurisdiction where the
information involving civil and criminal cases filed pursuant to and in connection with
Executive Order Nos. 1, 2, 14 and 14-A (1986):
a. Does not allege any damage to the government or any bribery; or
b. Alleges damage to the government or bribery arising from the same or closely
related transactions or acts in an amount not exceeding One million pesos
(P1,000,000.00).

Note: Subject to the rules promulgated by the Supreme Court, the cases falling
under the jurisdiction of the Regional Trial Court under Section 4 of R.A. 10660 shall
be tried in a judicial region other than where the official holds office.

B. Original and Concurrent

1. With the SC Actions affecting ambassadors and other public ministers and consuls.

2. With the SC 1. Issuance of writs of certiorari, prohibition, mandamus, quo warranto, habeas corpus,
and CA and injunction which may be enforced in any part of their respective regions.
2. Petition for the issuance of writ of continuing mandamus in environmental cases.

3. With the SC, 1. Petition for writ of amparo.

CA and SB 2. Petition for writ of habeas data.
4. With the Claims not exceeding P100K. This is applicable if subject of the action is incapable of
Insurance pecuniary estimation; otherwise, jurisdiction is concurrent with the MeTC.
Commissioner

II. APPELLATE JURISDICTION

Cases decided by the MeTC, MTC, MTCC and MCTC in their respective territorial Jurisdiction.

III. SPECIAL JURISDICTION

The SC may designate certain branches of the RTC to handle exclusively criminal cases, juvenile and domestic
relations cases, agrarian cases, urban land reform cases which do not fall under the jurisdiction of quasi-judicial
bodies and agencies, and/or such other special cases as the SC may determine in the interest of a speedy and
efficient administration of justice.

6. FAMILY COURTS (Feria and Noche, pp. 690-692)

15
 FAMILY COURTS

ORIGINAL AND EXCLUSIVE JURISDICTION

1. Criminal cases where one or more of the accused is 15≤x<18 years old, or where one or more of the
victims is a minor at the time of the commission of the offense: provided, that if the minor is found guilty,
the court shall promulgate sentence and ascertain any civil liability which the accused may have
incurred. The sentence, however, shall be suspended without need of application pursuant to the Child
and Youth Welfare Code (PD 603).
2. Petitions for guardianship, custody of children, habeas corpus in relation to the latter.
3. Petitions for adoption of children and revocation thereof.
4. Complaints for annulment of marriage, declaration of nullity of marriage and those relating to marital
status and property relations of husband and wife or those living together under different status and
agreements, and petitions for dissolution of conjugal partnership or gains
5. Petitions for support and/or acknowledgment.
6. Summary judicial proceedings brought under the provisions of the Family Code of the Philippines (E.O
No. 209).
7. Petitions for declaration of status of children as abandoned, dependent or neglected children; petitions
for voluntary or involuntary commitment of children; the suspension, termination, or restoration of
parental authority and other cases cognizable under the Child and Youth Welfare Code (PD 603),
Authorizing the Ministry of Social Services and Development to Take Protective Custody of Child
Prostitutes and Sexually Exploited Children, and for Other Purposes (E.O. 56), and other related laws.
8. Petitions for constitution of the family home.
9. Cases against minors cognizable under the Comprehensive Dangerous Drugs Act of 2005.
10. Violations of Special Protection of Children against Child Abuse, Exploitation and Discrimination Act
(RA 7610), as amended by RA 7658 and RA 9231.
11. Cases of domestic violence against:
a. Women – which are acts of gender-based violence that results, or are likely to result in
physical, sexual or psychological harm or suffering to women; and other forms of physical
abuse such as battering or threats and coercion which violate a woman‘s personhood, integrity
and freedom of movement; and
b. Children – which include the commission of all forms of abuse, neglect, cruelty, exploitation,
violence, and discrimination and all other conditions prejudicial to their development

If an act constitutes a criminal offense, the accused or batterer shall be subject to criminal proceedings
and the corresponding penalties.

If any question involving any of the above matters should arise as an incident in any case pending in the
regular courts, said incident shall be determined in that court.

7. MUNICIPAL TRIAL COURTS – MeTC, MTC and MCTC (Feria and Noche, pp.685-689)

MUNICIPAL TRIAL COURTS

I. ORIGINAL JURISDICTION

2. Original and Exclusive

16
1. CIVIL cases 1. Civil actions and probate proceedings, testate and intestate, including the grant of
provisional remedies in proper cases, where the value of the personal property,
estate or amount of demand does NOT exceed P300K, or P400K if in Metro
Manila, exclusive of interest, damages of whatever kind, attorney‘s fees, litigation
expenses, and costs, the amount of which must be specifically alleged. However,
interest, damages of whatever kind, attorney‘s fees, litigation expenses, and
costs shall be included in the determination of the filing fees.
2. Admiralty and maritime cases where the demand or claim does NOT exceed
P300K, or P400K if in Metro Manila.
Where there are several claims or causes of action between the same or different
parties, embodied in the same complaint, the amount of the demand shall be the
totality of the claims in all the causes of action irrespective of whether the causes
of action arose out of the same or different transactions.
3. Forcible entry and unlawful detainer, with jurisdiction to determine the issue of
ownership only to resolve the issue of possession.
4. Civil actions which involve title to, or possession of, REAL property, or any
interest therein where the assessed value of the property or interest therein does
NOT exceed P20K, or P50K if in Metro Manila, exclusive of interest, damages of
whatever kind, attorney‘s fees, litigation expenses, and costs. In cases of land
not declared for taxation purposes, the value of such property shall be
determined by the assessed value of the adjacent lots.
5. Inclusion and exclusion of voters.

2. CRIMINAL cases EXCEPT in cases falling within the exclusive original jurisdiction of the RTC or SB—
1. Violations of city or municipal ordinances committed within their respective
territorial jurisdiction.
2. Offenses punishable with imprisonment NOT exceeding 6 years irrespective of
the amount of fine, and regardless of other imposable accessory or other
penalties, including the civil liability arising from such offenses or predicated
thereon, irrespective of kind, nature, value or amount thereof.
3. Offenses under (2) above include those NOT falling within the exclusive original
jurisdiction of the SB where none of the accused is occupying positions
corresponding to salary grade ―27‖ or higher.
4. Offenses involving damage to property through criminal negligence.
5. In cases where the only penalty provided by law is a fine of not more than P4K.

II. DELEGATED JURISDICTION

Cadastral or land registration cases covering lots where there is no controversy or opposition, or contested lots
where the value of which does NOT exceed P100K, such value to be ascertained by the affidavit of the claimant
or by agreement of the respective claimants if there are more than one, or from the corresponding tax declaration
of the real property.

III. SPECIAL JURISDICTION

17
 In the absence of all the RTC Judges in a province of city—
1. Hear and decide petitions for writ of habeas corpus.
2. Hear and decide applications for bail in criminal cases.

IV. SUMMARY PROCEDURE

1. CIVIL cases 1. Forcible entry and unlawful detainer, irrespective of the amount of damages or
unpaid rentals sought to be recovered.
2. All other cases, except probate proceedings, where the total amount of the
plaintiff's claim does not exceed one hundred thousand pesos (P100,000) or two
hundred thousand pesos (P200,000) in Metropolitan Manila, exclusive of interest
and costs. (A.M. No. 02-11-09-SC)

2. CRIMINAL cases 1. Traffic violations.

2. Rental law violations.
3. Violations of city or municipal ordinances.
4. Violations of B.P. 22 (Bouncing Checks Law).
5. All other cases where penalty does NOT exceed 6 months and/or fine of P1K.

8. THE COURTS OF MUSLIM MINDANAO

1. THE SHARI’AH APPELLATE COURT (Feria and Noche, p. 697)

THE SHARI’AH APPELLATE COURT

I. ORIGINAL JURISDICTION

Petitions for certiorari, prohibition, mandamus, habeas corpus, and other auxiliary writs and processes only in aid of
its appellate jurisdiction

II. APPELLATE JURISDICTION

All cases tried in the Shari‘ah District Courts as established by law

2. THE SHARI’AH DISTRICT COURT (Feria and Noche, pp. 698-699)

THE SHARI’AH DISTRICT COURT

I. ORIGINAL JURISDICTION

18
 1. Original and 1. All cases involving the custody, guardianship, legitimacy, paternity and filiation
Exclusive arising under the Code of Muslim Personal Laws of the Philippines (PD 1083).
2. All cases involving the disposition, distribution and settlement of the estate of
deceased Muslims, probate of wills, issuance of letters of administration or
appointment of administrators or executors, regardless of the nature or the
aggregate value of the property.
3. Petitions for the declaration of absence and death and for the cancellation or
correction of entries in the Muslim Registries mentioned in Title VI of Book 2 of
PD 1083.
4. All actions arising from customary contracts in which the parties are Muslims, if
they have not specified which law shall govern their relations.
5. All petitions for mandamus, prohibition, injunction, certiorari, habeas corpus,
and all other auxiliary writs and processes in aid of its appellate jurisdiction.

2. Original and 1. Petitions by Muslims for the constitution of a family home, change of name
Concurrent with and commitment of an insane person to an asylum.
Civil Courts 2. All other personal and real actions NOT mentioned in paragraph 1(4) above
wherein the parties involved are Muslims except those for forcible entry
and unlawful detainer, which shall fall under the exclusive original
jurisdiction of the MTC.
3. All special civil actions for interpleader or declaratory relief wherein the
parties are Muslims or the property involved belongs exclusively to Muslims.

II. APPELLATE JURISDICTION

Over all cases tried in the Shari‘ah Circuit Courts within their territorial jurisdiction.

3. THE SHARI’AH CIRCUIT COURTS (Feria and Noche, pp. 699-700)

THE SHARI’AH CIRCUIT COURTS

ORIGINAL and EXCLUSIVE JURISDICTION

1. All cases involving offenses denied and punished under the Code of Muslim Personal Laws of the Philippines
(PD 1083).
2. All civil actions and proceedings between parties who are Muslims or have been married in accordance with
Article 13 of PD 1083 involving disputes relating to:
a. Marriage;
b. Divorce under PD 1083;
c. Betrothal or breach of contract to marry;
d. Customary dower (marh);
e. Disposition and distribution of property upon divorce;
f. Maintenance and support, and consolatory gifts (mut‘a); and
g. Restitution of marital rights.
3. All cases involving disputes relative to communal properties.

4. THE TRIBAL COURTS (Feria and Noche, p. 700)

19
 THE TRIBAL COURTS

1. Determine, settle and decide controversies and enforce decisions involving personal, family and property rights
in accordance with the tribal codes of the tribal communities.
2. Exercise exclusive jurisdiction over crimes committed by members of indigenous cultural communities where the
imposable penalty as prescribed by RPC or other pertinent laws does NOT exceed imprisonment of 6 years or a
fine NOT exceeding P50K or both such imprisonment and fine and where the offended party or parties are also
members of the indigenous cultural community concerned.

20
 2. Where one party is a public officer or employee
F. JURISDICTION OVER SMALL and the dispute relates to the performance of his
CLAIMS, CASES COVERED BY official functions;
THE RULES ON SUMMARY 3. Where the dispute involves real properties
located in different cities and municipalities,
PROCEDURE AND BARANGAY unless the parties thereto agree to submit their
CONCILIATION difference to amicable settlement by an
appropriate Lupon;
SMALL CLAIMS 4. Any complaint by or against corporations,
partnerships or juridical entities, since only
Actions before the Metropolitan Trial Courts, individuals shall be parties to Barangay
Municipal Trial Courts in Cities, Municipal Trial conciliation proceedings either as complainants
Courts and Municipal Circuit Trial Courts for or respondents [Sec. 1, Rule VI, Katarungang
payment of money where the value of the claim Pambarangay Rules];
does not exceed One Hundred Thousand Pesos 5. Disputes involving parties who actually reside in
(P100,000.00), exclusive of interest and costs. barangays of different cities or municipalities,
except where such barangay units adjoin each
Cases Covered: other and the parties thereto agree to submit
1. Purely civil in nature where the claim or relief their differences to amicable settlement by an
prayed for by the plaintiff is solely for payment or appropriate Lupon;
reimbursement of sum of money; and 6. Offenses for which the law prescribes a
2. The civil aspect of criminal actions, either filed maximum penalty of imprisonment exceeding
before the institution of the criminal action, or one [1] year or a fine of over P5, 000.00;
reserved upon the filing of the criminal action in 7. Offenses where there is no private offended
court. (Rule 111 of the Revised Rules of party;
Criminal Procedure) 8. Disputes where urgent legal action is necessary
to prevent injustice from being committed or
Claims or Demands Covered: further continued, specifically the following:
1. For money owed under any of the following: a) Criminal cases where accused is under
a) Contract of Lease; police custody or detention [Sec. 412 (b) (1),
b) Contract of Loan; Revised Katarungang Pambarangay Law];
c) Contract of Services; b) Petitions for habeas corpus by a person
d) Contract of Sale; or illegally deprived of his rightful custody over
e) Contract of Mortgage. another or a person illegally deprived of or on
2. For damages arising from any of the following: acting in his behalf;
a) Fault or negligence; c) Actions coupled with provisional remedies
b) Quasi-contract; or such as preliminary injunction, attachment,
c) Contract. delivery of personal property and support
3. The enforcement of a barangay amicable during the pendency of the action;
settlement or an arbitration award involving a d) Actions which may be barred by the Statute
money claim covered by the Rule of Limitations.
9. Any class of disputes, which the President may
KATARUNGANG PAMBARANGAY determine in the interest of justice or upon the
(A.C. No. 14-93) recommendation of the Secretary of Justice;
10. Where the dispute arises from the
General Rule: Comprehensive Agrarian Reform Law (Secs.
ALL disputes between individuals/natural persons 46 & 47, R. A. 6657);
are subject to Barangay conciliation pursuant to the 11. Labor disputes or controversies arising from
Revised Katarungang Pambarangay Law and prior employer-employee relations (Montoya v.
recourse thereto is a pre-condition before filing a Escayo, et al., G.R. No. 82211-12, 1989); (Art.
complaint in court or any government offices is 226, Labor Code)
allowed. 12. Actions to annul judgment upon a compromise
that may be filed directly in court (Sanchez v.
There must have been confrontation between the Tupaz, G.R. No. 76690, 1988)
parties before the lupon chairman or pangkat and a
showing that there was no settlement reached or
that it was repudiated by the parties before a A case filed in court WITHOUT compliance with
complaint, petition, action or proceeding may be prior Barangay conciliation, which is a pre-condition
filed or instituted in court or in a government office for formal adjudication, may be dismissed upon
for adjudication. motion of defendant/s on the ground of failure to
comply with a condition precedent. The non-referral
Exceptions: of a case for barangay conciliation is not
1. Where one party is the government, or any jurisdictional in nature, thus it necessitates a motion
subdivision or instrumentality thereof; to dismiss before it may be considered by the Court.

21
A prior recourse to Barangay conciliation is a pre- govern where the imposable fine does not
condition before filing a complaint in court or any exceed ten thousand pesos (P10,000).
government offices. Non-compliance with the said
condition precedent could affect the sufficiency of Exception:
the plaintiff‘s cause of action and make his The Rule on Summary Proceedings shall not apply
complaint vulnerable to dismissal on ground of lack to a civil case where the plaintiff‘s cause of action is
of cause of action or prematurity; but the same pleaded in the same complaint with another cause
would not prevent a court of competent jurisdiction of action subject to the ordinary procedure.
from exercising its power of adjudication over the
case before it, where the defendants failed to object Nor is it applicable to a criminal case where the
to such exercise of jurisdiction. (Sps. Santos v. Sps. offense charged is necessarily related to another
Lumbao, G.R. No. 169129, 2007) criminal case subject to the ordinary procedure.

Interruption of Prescriptive Period: Prohibited Pleadings:

While the dispute under mediation, conciliation, or 1. Motion to dismiss the complaint or to quash the
arbitration, the prescriptive periods for offenses and complaint or information except on the ground
cause of action under existing laws shall be of a) lack of jurisdiction over the subject matter,
interrupted upon filing of the complaint with the or b) failure to comply with the preceding
Punong Barangay. section;
2. Motion for a bill of particulars;
Agreement to Arbitrate:
The parties may, at any stage of the proceedings,
3. Motion for new trial, or for reconsideration of
judgment, or for reopening of trial;
agree in writing to have the matter in dispute
decided by arbitration by the Lupon Chairman or 4. Petition for relief from judgment;
Pangkat. 5. Motion for extension of time to file pleadings,
affidavits or any other paper;
RULE ON SUMMARY PROCEDURE 6. Memoranda;
7. Petition for certiorari, mandamus, or prohibition
The rule shall govern the summary procedure in the against any interlocutory order issued by the
Metropolitan Trial Courts, Municipal Trial Courts in court;
Cities, Municipal Trial Courts, and the Municipal
8. Motion to declare the defendant in default;
Circuit Trial Courts in cases falling within their
jurisdiction. 9. Dilatory motions for postponement;
10. Reply;
Cases Covered: 11. Third party complaints; and
1. Civil Cases 12. Interventions.
a) All cases of forcible entry and unlawful
detainer, irrespective of the amount of Appeal:
damages or unpaid rentals sough to be The judgment or final order shall be appealable to
recovered. Where attorney‘s fees are the appropriate Regional Trial Court.
awarded, the same shall not exceed twenty
thousand pesos (P20,000) The decision of the Regional Trial Court in civil
b) All other cases, except probate cases governed by this Rule, including forcible entry
proceedings, where the total amount of the and unlawful detainer, shall be immediately
plaintiff's claim does not exceed one hundred executory, without prejudice to further appeal that
thousand pesos (P100,000) or two hundred may be taken therefrom.
thousand pesos (P200,000) in Metropolitan
Manila, exclusive of interest and costs. (A.M. Execution Pending Appeal
No. 02-11-09-SC) On motion of the prevailing party with notice to the
adverse party filed in the trial court while it has
2. Criminal Cases jurisdiction over the case and is in possession of
a) Violations of traffic laws, rules and either the original record or the record on appeal, as
regulations; the case may be, at the time of the filing of such
b) Violations of the rental law; motion, said court may, in its discretion, order
c) Violations of municipal or city ordinances; execution of a judgment or final order even before
the expiration of the period to appeal. After the trial
d) Violations of B.P. 22 (Bouncing Checks Law) court has lost jurisdiction the motion for execution
e) All other criminal cases where the penalty pending appeal may be filed in the appellate court.
prescribed by law for the offense charged is Discretionary execution may only issue upon good
imprisonment not exceeding six (6) months, reasons to be stated in a special order after due
or a fine not exceeding (P1,000), or both, hearing. (Rule 39, Section 2)
irrespective of other imposable penalties,
accessory or otherwise, or of the civil liability
arising therefrom; Provided, however, that in
offenses involving damage to property
through criminal negligence, this Rule shall

22
 With the modifications introduced by R.A. No. 7691
G. TOTALITY RULE in 1994, the jurisdiction of the first level courts has
been expanded to include jurisdiction over other
Under this rule, where there are several claims or real actions where the assessed value does not
causes of action between the same or different exceed P20,000, P50,000 where the action is filed
parties, embodied in the same complaint, the in Metro Manila. The first level courts thus have
amount of the demands shall be the totality of the exclusive original jurisdiction over accion publiciana
claims in all the causes of action, irrespective of and accion reivindicatoria where the assessed
whether the causes of action arose out of the same value of the real property does not exceed the
or different transactions. aforestated amounts. Accordingly, the jurisdictional
Concepts in jurisdiction – element is the assessed value of the
property.(Barrera v. Legaspo, GR No. 174346,
Hierarchy of courts
2008 )
Petitions for the issuance of a writ of certiorari
against the acts or issuances of a court, tribunal or Referral to Lupon when appropriate
any government agency should be filed with the
The barangay justice system is accomplished
Regional Trial Court. The jurisdiction of the RTC
through a proceeding before the barangay courts
over petitions for certiorari is concurrent with the
which is essentially arbitration in character; and to
Supreme Court.
make it truly effective, it should also be compulsory.
It would be wholly in keeping with the underlying
However, such concurrence does not allow
philosophy of Presidential Decree No. 1508
unrestricted freedom of choice of the court forum. A
(Katarungang Pambarangay Law), if an out-of-court
direct invocation of the Supreme Court‘s original
settlement of the case is reached voluntarily by the
jurisdiction to issue this writ should be allowed only
parties. To ensure this objective, Section 6 of
when there are special and important reasons,
Presidential Decree No. 1508 requires the parties to
clearly and specifically set out in the petition.(First
undergo a conciliation process before the Lupon
United v. Poro Point, GR No. 178799, 2009)
Chairman or the Pangkat ng Tagapagkasundo as a
precondition to filing a complaint in court subject to
SC power to discipline judiciary employees
certain exceptions. The said section has been
The CSC has administrative jurisdiction over the declared compulsory in nature. (Wee v. De Castro,
civil service. However, the Constitution provides GR No. 176405, 2008 )
that the Supreme Court is given exclusive
administrative supervision over all courts and Referral to Lupon NOT jurisdictional
judicial personnel. By virtue of this power, it is only
It is true that the precise technical effect of failure to
the Supreme Court that can oversee the judges‘
comply with the requirement of Section 412 of the
and court personnel‘s compliance with all laws,
Local Government Code on barangay conciliation is
rules and regulations. No other branch of
much the same effect produced by non-exhaustion
government may intrude into this power, without
of administrative remedies—the complaint becomes
running afoul of the doctrine of separation of
afflicted with the vice of pre-maturity; and the
powers.
controversy there alleged is not ripe for judicial
determination. Nevertheless, the conciliation
Administrative jurisdiction over a court employee
process is not a jurisdictional requirement, so that
belongs to the Supreme Court, regardless of
non-compliance therewith cannot affect the
whether the offense was committed before or after
jurisdiction which the court has otherwise acquired
employment in the judiciary.(Sarah Ampong v. CSC
over the subject matter or over the person of the
GR No. 167916, 26 August 2008)
defendant.
(Aquino v. Aure, GR No. 253567, 2008)
Intra-corporate case
Not every allegation of fraud done in a corporate END OF TOPIC
setting or perpetrated by corporate officers will bring
the case within the special commercial court‘s
jurisdiction. There must be sufficient nexus showing
that the corporation‘s nature, structure, or powers
were used to facilitate the fraudulent device or
scheme.

In cases governed by the Interim Rules of

Procedure on Intra-Corporate Controversies, a bill
of particulars is a prohibited pleading. It is essential
for the complaint to show on its face what are
claimed to be the fraudulent corporate acts if the
complainant wishes to invoke the court‘s special
commercial jurisdiction. (Oscar Reyes v. RTC
Makati, GR No. 265744, 2008)

Basis for determining jurisdiction for real actions

23
 5. When the rules on venue do not
apply
CIVIL PROCEDURE 6. Effects of stipulations on venue

E. PLEADINGS
A. ACTIONS 1. Kinds of pleadings
1. Meaning of ordinary civil a. Complaint
actions b. Answer
2. Meaning of special civil actions i. Negative defenses
3. Meaning of criminal actions ii. Negative pregnant
4. Civil actions versus special iii. Affirmative defenses
proceedings c. Counterclaims
i. Compulsory
5. Personal actions and real counterclaim
actions ii. Permissive
6. Local and transitory actions counterclaim
7. Actions in rem, in personam iii. Effect on the
counterclaim when the
and quasi in rem complaint is dismissed
8. Independent Civil Actions d. Cross-claims
e. Third (fourth, etc.) party
B. CAUSE OF ACTION complaints
1. Meaning of cause of action f. Complaint-in-intervention
2. Right of action versus cause of g. Reply
action 2. Pleadings allowed in small
3. Failure to state a cause of claim cases and cases
action covered by the Rules on
4. Test of the sufficiency of a Summary Procedure
cause of action 3. Parts of a pleading
5. Splitting a single cause of a. Caption
action and its effects b. Signature and address
6. Joinder and misjoinder of c. Verification and certification
against forum shopping
causes of action i. Requirements of a
corporation executing
C. PARTIES TO CIVIL ACTIONS the
1. Real parties in interest; verification/certificatio
n of non-forum
indispensable parties; shopping
Representatives as parties; d. Effect of the signature of
necessary parties; indigent counsel in a pleading
parties; alternative defendants 4. Allegations in a pleading
2. Compulsory and permissive a. Manner of making allegations
joinder of parties i. Condition precedent
3. Misjoinder and non-joinder of ii. Fraud, mistake, malice,
intent, knowledge and
parties other condition of the
4. Class suit mind, judgments,
5. Suits against entities without official documents or
juridical personality acts
6. Effect of death of party litigant b. Pleading an actionable
document
c. Specific denials
D. VENUE i. Effect of failure to
1. Venue versus jurisdiction make specific denials
2. Venue of real actions ii. When a specific denial
requires an oath
3. Venue of personal actions
4. Venue of actions against non- 5. Effect of failure to plead
residents a. Failure to plead defenses and
objections

24
 b. Failure to plead a compulsory b. Service upon residents
counterclaim and cross-claim temporarily outside the
6. Default Philippines
a. When a declaration of default 6. Extra-territorial service, when
is proper
allowed
b. Effect of an order of default
7. Service upon prisoners and
c. Relief from an order of default
minors
d. Effect of a partial default
e. Extent of relief
8. Proof of service
f. Actions where default are not
allowed G. MOTIONS
7. Filing and service of pleadings 1. Motions in general
a. Payment of docket fees a. Definition of a motion
b. Filing versus service of b. Motions versus pleadings
pleadings c. Contents and form of motions
c. Periods of filing of pleadings d. Notice of hearing and hearing
d. Manner of filing of motions
e. Modes of service e. Omnibus motion rule
i. Personal service f. Litigated and ex parte motions
ii. Service by mail g. Pro-forma motions
iii. Substituted service
iv. Service of judgments,
2. Motions for bill of particulars
final orders or a. Purpose and when applied for
resolutions b. Actions of the court
v. Priorities in modes of c. Compliance with the order and
service and filing effect of noncompliance
vi. When service is d. Effect on the period to file a
deemed complete responsive pleading
vii. Proof of filing and
service
3. Motion to dismiss
8. Amendment a. Grounds
a. Amendment as a matter of b. Resolution of motion
right c. Remedies of plaintiff when the
complaint is dismissed
b. Amendments by leave of court
c. Formal amendment
d. Remedies of the defendant
when the motion is denied
d. Amendments to conform to or
e. Effect of dismissal of
authorize presentation of
complaint on certain grounds
evidence
e. Different from supplemental
f. When grounds pleaded as
affirmative defenses
pleadings
f. Effect of amended pleading
g. Bar by dismissal
h. Distinguished from demurrer
to evidence under Rule 33
F. SUMMONS
1. Nature and purpose of H. DISMISSAL OF ACTIONS
summons in relation to
1. Dismissal upon notice by
actions in personam, in rem
plaintiff; two-dismissal rule
and quasi in rem
2. Dismissal upon motion by
2. Voluntary appearance
plaintiff; effect on existing
3. Personal service
counterclaim
4. Substituted service
3. Dismissal due to the fault of
5. Constructive service (by
plaintiff
publication)
4. Dismissal of counterclaim,
a. Service upon a
cross-claim or third-party
defendant where his
complaint
identity is unknown or
where his whereabouts
are unknown I. PRE-TRIAL
1. Concept of pre-trial

25
 2. Nature and purpose 5. Physical and mental
3. Notice of pre-trial examination of persons
4. Appearance of parties; effect of 6. Consequences of refusal to
failure to appear comply with modes of
5. Pre-trial brief; effect of failure to discovery
appear
6. Distinction between pre-trial in M. TRIAL
civil case and pre-trial in 1. Adjournments and
criminal case postponements
7. Alternative Dispute Resolution 2. Requisites of motion to
(ADR) postpone trial
a. Special Rules of Court on ADR a. For absence of evidence
(A.M. No. 07-11-08-SC) b. For illness of party or counsel
3. Agreed statement of facts
J. INTERVENTION 4. Order of trial; reversal of order
1. Requisites for intervention 5. Consolidation or severance of
2. Time to intervene hearing or trial
3. Remedy for the denial of motion 6. Delegation of reception of
to intervene evidence
7. Trial by commissioners
K. SUBPOENA a. Reference by consent or
1. Subpoena duces tecum ordered on motion
2. Subpoena ad testificandum b. Powers of the commissioner
3. Service of subpoena c. Commissioner’s report; notice
to parties and hearing on the
4. Compelling attendance of report
witnesses; contempt
5. Quashing of subpoena
N. DEMURRER TO EVIDENCE
1. Ground
L. MODES OF DISCOVERY 2. Effect of denial
1. Depositions pending action; 3. Effect of grant
depositions before action or 4. Waiver of right to present
pending appeal evidence
a. Meaning of deposition 5. Demurrer to evidence in a civil
b. Uses; scope of examination case versus demurrer to
c. When may objections to evidence in a criminal case
admissibility be made
d. When may taking of
deposition be terminated or its O. JUDGMENTS AND FINAL
scope limited ORDERS
2. Written interrogatories to 1. Judgment without trial
adverse parties 2. Contents of a judgment
a. Consequences of refusal to 3. Judgment on the pleadings
answer
4. Summary judgments
b. Effect of failure to serve
written interrogatories a. For the claimant
3. Request for admission b. For the defendant
a. Implied admission by adverse c. When the case not fully
adjudicated
party
b. Consequences of failure to
d. Affidavits and attachments
answer request for admission 5. Judgment on the pleadings
c. Effect of admission versus summary judgments
d. Effect of failure to file and 6. Rendition of judgments and
serve request for admission final orders
4. Production or inspection of 7. Entry of judgment and final
documents or things order

26
 Q. EXECUTION, SATISFACTION
P. POST-JUDGMENT REMEDIES AND EFFECT OF JUDGMENTS
1. Motion for new trial or 1. Difference between finality of
reconsideration judgment for purposes of
a. Grounds appeal; for purposes of
b. When to file execution
c. Denial of the motion; effect 2. When execution shall issue
d. Grant of the motion; effect a. Execution as a matter of right
e. Remedy when motion is b. Discretionary execution
denied, fresh 15-day period 3. How a judgment is executed
rule
a. Execution by motion or by
2. Appeals in general independent action
a. Judgments and final orders b. Issuance and contents of a
subject to appeal writ of execution
b. Matters not appealable c. Execution of judgments for
c. Remedy against judgments money
and orders which are not d. Execution of judgments for
appealable specific acts
d. Modes of appeal e. Execution of special
i. Ordinary appeal judgments
ii. Petition for review
iii. Petition for review on
f. Effect of levy on third persons
certiorari 4. Properties exempt from
e. Issues to be raised on appeal execution
f. Period of appeal 5. Proceedings where property is
g. Perfection of appeal claimed by third persons
h. Appeal from judgments or a. In relation to third party claim
final orders of the MTC in attachment and replevin
i. Appeal from judgments or 6. Rules on redemption
final orders of the RTC 7. Examination of judgment
j. Appeal from judgments or obligor when judgment is
final orders of the CA unsatisfied
k. Appeal from judgments or 8. Examination of obligor of
final orders of the CTA
judgment obligor
l. Review of final judgments or
final orders of the Comelec 9. Effect of judgment or final
m. Review of final judgments or orders
final orders of the 10. Enforcement and effect of
Ombudsman foreign judgments or final
n. Review of final judgments or orders
final orders of the NLRC
o. Review of final judgments or
final orders of quasi-judicial R. PROVISIONAL REMEDIES
agencies 1. Nature of provisional remedies
3. Relief from judgments, orders 2. Jurisdiction over provisional
and other proceedings remedies
a. Grounds for availing of the 3. Preliminary attachment
remedy a. Grounds for issuance of writ
b. Time to file petition of attachment
c. Contents of petition b. Requisites
4. Annulment of judgments or c. Issuance and contents of
final orders and resolutions order of attachment; affidavit
and bond
a. Grounds for annulment
b. Period to file action d. Rule on prior or
contemporaneous service of
c. Effects of judgment of summons
annulment
e. Manner of attaching real and
5. Collateral attack of judgments personal property; when

27
 property attached is claimed b. Requisites of action for
by third person declaratory relief
f. Discharge of attachment and c. When court may refuse to
the counter-bond make judicial declaration
g. Satisfaction of judgment out d. Conversion to ordinary action
of property attached
e. Proceedings considered as
4. Preliminary injunction similar remedies
a. Definitions and differences: i. Reformation of an
preliminary injunction and instrument
temporary restraining order; ii. Consolidation of
status quo ante order ownership
b. Requisites iii. Quieting of title to real
c. Kinds of injunction property
d. When writ may be issued 6. Review of judgments and final
e. Grounds for issuance of orders or resolution of the
preliminary injunction Comelec and COA
f. Grounds for objection to, or a. Application of Rule 65 under
for the dissolution of Rule 64
injunction or restraining order b. Distinction in the application
g. Duration of TRO of Rule 65 to judgments of the
h. In relation to R.A. 8975, ban on Comelec and COA and the
issuance of TRO or writ of application of Rule 65 to other
injunction in cases involving tribunals, persons and officers
government infrastructure 7. Certiorari, prohibition and
projects mandamus
i. Rule on prior or a. Definitions and distinctions
contemporaneous service of
summons in relation to
i. Certiorari
distinguished from
attachment
peal by certiorari
5. Receivership ii. Prohibition and
a. Cases when receiver may be mandamus
appointed distinguished from
b. Requisites injunction
c. Requirements before issuance b. Requisites
of an order c. When petition for certiorari,
d. General powers of a receiver prohibition and mandamus is
e. Two kinds of bonds proper
f. Termination of receivership d. Injunctive relief
6. Replevin e. Exceptions to filing of motion
a. When may writ be issued for reconsideration before
filing petition
b. Requisites
c. Affidavit and bond; redelivery f. Reliefs petitioner is entitled to
bond g. Actions/omissions of
MTC/RTC in election cases
d. Sheriff’s duty in the
implementation of the writ; h. When and where to file
when property is claimed by petition
third party i. Effects of filing of an
unmeritorious petition
S. SPECIAL CIVIL ACTIONS 8. Quo warranto
1. Nature of special civil actions a. Distinguish from quo warranto
in the omnibus election code
2. Ordinary civil actions versus b. When government commence
special civil actions an action against individuals
3. Jurisdiction and venue c. When individual may
4. Interpleader commence an action
a. Requisites for interpleader d. Judgment in quo warranto
b. When to file action
5. Declaratory reliefs and similar e. Rights of a person adjudged
remedies entitled to public office
a. Who may file the action 9. Expropriation

28
 a. Matters to allege in complaint a. Definitions and distinction
for expropriation b. Distinguished from accion
b. Two stages in every action for publiciana, accion
expropriation reivindicatoria and accion
c. When plaintiff can immediately interdictal
enter into possession of the c. How to determine jurisdiction
real property, in relation to in accion publiciana, accion
R.A. 8974 reivindicatoria and accion
d. New system of immediate interdictal
payment of initial just d. Who may institute the action
compensation and when; against whom the
e. Defenses and objections action may be maintained
f. Order of expropriation e. Pleadings allowed
g. Ascertainment of just f. Action on the complaint
compensation g. When demand is necessary
h. Appointment of h. Preliminary injunction and
commissioners; preliminary mandatory
commissioner’s report; court injunction
action upon commissioner’s i. Resolving defense of
report ownership
i. Rights of plaintiff upon j. How to stay the immediate
judgment and payment execution of judgment
j. Effect of recording of k. Summary procedure,
judgment prohibited pleadings
10. Foreclosure of real estate 13. Contempt
mortgage a. Kinds of contempt
a. Judgment on foreclosure for b. Purpose and nature of each
payment or sale c. Remedy against direct
b. Sale of mortgaged property; contempt; penalty
effect d. Remedy against indirect
c. Disposition of proceeds of contempt; penalty
sale e. How contempt proceedings
d. Deficiency judgment are commenced
i. Instances when court f. Acts deemed punishable as
cannot render indirect contempt
deficiency judgment
g. When imprisonment shall be
e. Judicial foreclosure versus imposed
extrajudicial foreclosure
h. Contempt against quasi-
f. Equity of redemption versus judicial bodies
right of redemption
11. Partition
a. Who may file complaint; who
should be made defendants
b. Matters to allege in the
complaint for partition
c. Two stages in every action for
partition
d. Order of partition and partition
by agreement
e. Partition by commissioners;
appointment of
commissioners,
commissioner’s report; court
action upon commissioner’s
report
f. Judgment and its effects
g. Partition of personal property
h. Prescription of action
12. Forcible entry and unlawful
detainer

29
 A. ACTIONS PERSONAL ACTION - on the other hand, when
personal property is sought to be recovered or
where damages for breach of contract are sought,
the action is personal.
1. MEANING OF ORDINARY CIVIL
ACTIONS While a real action is founded on privity of real
2. MEANING OF SPECIAL CIVIL estate, a personal action is founded on privity of
contract.
ACTIONS
3. MEANING OF CRIMINAL ACTIONS
4. CIVIL ACTIONS VERSUS SPECIAL 6. LOCAL AND TRANSITORY
PROCEEDINGS ACTIONS
5. PERSONAL ACTIONS AND REAL
The distinction between a real and personal action
ACTIONS is significant in determining the venue of an action.
6. LOCAL AND TRANSITORY
ACTIONS A real action is LOCAL, i.e., its venue depends
7. ACTIONS IN REM, IN PERSONAM upon the location of the property involved in the
AND QUASI IN REM litigation. It is filed in the court where the property
or any part thereof is situated. An example of such
action is recovery of real property.
1. MEANING OF ORDINARY CIVIL
ACTIONS A personal action is TRANSITORY, i.e., its venue
depends upon the residence of the plaintiff or the
It is a formal demand of one‘s legal rights in a court defendant at the option of the plaintiff. An example
of justice in a manner prescribed by the court for by of such action is recovery of sum of money.
the law. It is governed by ordinary rules.
7. ACTIONS IN REM, IN PERSONAM
2. MEANING OF SPECIAL CIVIL AND QUASI IN REM
ACTIONS
The distinction is important to determine whether or
A special civil action contains special features not not jurisdiction over the person of the defendant is
found in ordinary civil actions. It is also governed required and consequently to determine the type of
by ordinary rules but subject to specific rules summons to be employed.
prescribed (Rules 62-71).
a) In Rem
1. A proceeding to determine the state or condition
3. MEANING OF CRIMINAL ACTIONS of a thing.
2. Directed against the thing itself.
A criminal action is one by which the State 3. Jurisdiction over the person of the defendant is
prosecutes a person for an act or omission not required.
punishable by law. 4. Judgment is binding on the whole world.

Examples: probate and cadastral proceedings.

4. CIVIL ACTIONS VERSUS SPECIAL
PROCEEDINGS b) In Personam
1. An action to impose a responsibility or liability
A CIVIL ACTION is one by which a party sues upon a person directly.
another for the enforcement or protection of a right, 2. Directed against a particular person.
or the prevention or redress of a wrong. 3. Jurisdiction over the person of the defendant is
Proceedings are to be regarded as civil when the required.
purpose is primarily compensatory. 4. Judgment is binding only upon the parties
impleaded or their successors in interest.
On the other hand, the purpose of a SPECIAL
PROCEEDING is to establish a status, a right or a Examples: actions for specific performance and
particular fact. actions for breach of contract.

c) Quasi In Rem
5. PERSONAL ACTIONS AND REAL 1. It is a proceeding, the purpose of which is to
ACTIONS subject the interest of a named defendant over a
particular property to an obligation or lien
burdening it.
REAL ACTION - when it affects title to or
2. Directed against particular persons.
possession of real property or an interest therein.

30
3. Jurisdiction over the person of the defendant is Exception to the exception: When justice so
not required as long as jurisdiction over the res warrants or upon showing that it would cause
is acquired. injustice.
4. Judgment is binding upon the particular persons.

Examples: actions for partition and foreclosure of 8. INDEPENDENT CIVIL ACTIONS

real estate mortgages.
Definition
In what cases NOT applicable: Independent civil actions refer to those provided for
1. Election cases, in Articles 32, 33, 34 and 2176 of the Civil Code of
2. Land registration, the Philippines.
3. Cadastral,
4. Naturalization; Purpose: To make the court‘s disposition of the
5. Insolvency proceedings; and criminal case of no effect whatsoever on the
6. Cases not herein provided for, except by separate civil case.
analogy or in a suppletory character.
Requisites
Commencement of action 1. May be brought by the offended party;
An action commences upon filing of the complaint in 2. Shall proceed independently of criminal action;
court. For additional defendants, the action is and
commenced upon filing of the amended complaint.
To vest the court with jurisdiction over the subject
3. Shall require only a preponderance of
evidence. (Rule 111, Section 3)
matter, however, the complaint should be filed AND
the docket fees should be paid. This is also
Note: An offended party cannot recover damages
applicable to permissive counterclaims, pleadings
twice for the same act or omission charged in the
and third party claims. (Sun Insurance Office Ltd. v.
criminal action. (Rule 111, Section 3)
Asuncion GR No. 79937-38, 1989)
Recall
Note: The date of mailing is the date of
Article 32, Civil Code
commencement of action in cases where the action
General Rule
is commenced by registered mail.
Violation, impediment or impairment of a person‘s
rights and liberties by any public officer or
Construction
employee, or any private individual.
These rules shall be liberally construed in order to
promote their objective of securing a just, speedy
Exception
and inexpensive disposition of every action and
Not demandable from a judge unless his act or
proceeding.
omission constitutes a violation of the Penal Code
or other penal statute.
The courts have the power to relax or suspend
technical or procedural rules or to except a case
Note: The indemnity shall include moral damages.
from their operation when compelling reasons so
Exemplary damages may also be adjudicated.
warrant or when the purpose of justice requires it;
what constitutes good and sufficient cause that
Article 33, Civil Code
would merit suspension of the rules is discretionary
Cases of defamation, fraud, and physical injuries a
upon the courts. (Commissioner of Internal
civil action for damages, entirely separate and
Revenue v. Migrant Pagbilao Corporation, G.R. No.
distinct from the criminal action.
159593, 2006)
Article 34, Civil Code
The liberal interpretation and application of rules
When a member of a city or municipal police force
apply only in proper cases of demonstrable merit
refuses or fails to render aid or protection to any
and under justifiable causes and circumstances.
person in case of danger to life or property, such
The Court cannot be expected to be liberal or
peace officer shall be primarily liable for damages,
indulgent when petitioner is without a valid
and the city or municipality shall be subsidiarily
explanation for failure to submit a verification with
responsible therefor.
her appeal to the SEC en banc. (Rural Bank of
Seven Lakes v. Dan, G.R. No. 174109, 2008)
Article 2176, Civil Code
Whoever by act or omission causes damage to
Procedural laws do not come within the legal
another, there being fault or negligence, is obliged
conception of a retroactive law, or the general rule
to pay for the damage done. Such fault or
against the retroactive operation of statutes. (Makati
negligence, if there is no pre-existing contractual
Ins. v. Reyes, G.R. No. 167403, 2008)
relation between the parties, is called a quasi-delict
and is governed by the provisions of this Chapter
However, reglementary periods, rules on forum
(Quasi-Delicts).
shopping and rules on service of summons must be
followed strictly.
END OF TOPIC

31
 RIGHT OF ACTION
A remedial right or right to relief granted by law to a
B. CAUSE OF ACTION party to institute an action against a person who has
(Rule 2) committed a delict or wrong against him/her; it is the
right of a person to bring and prosecute an action to
obtain a judgment, the elements of which are as
follows:
1. MEANING OF CAUSE OF ACTION 1. There must be a cause of action;
2. RIGHT OF ACTION VERSUS CAUSE 2. Compliance with all the conditions precedents;
OF ACTION and
3. Action must be instituted by the proper party.
3. FAILURE TO STATE A CAUSE OF
ACTION While the ―cause of action‖ is the reason for the
4. TEST OF THE SUFFICIENCY OF A action (e.g. breach of contract), the ―right of action‖
CAUSE OF ACTION is the remedy or means afforded or the consequent
5. SPLITTING A SINGLE CAUSE OF relief (e.g., filing a civil action for recovery of
damages on the ground of breach of contract).
ACTION AND ITS EFFECTS
6. JOINDER AND MISJOINDER OF While a cause of action depends on substantive
CAUSES OF ACTION law, the right of action is a matter of procedure (a
remedial right) and depends on the pleadings filed
Basis of Ordinary Civil Actions by the parties.
Every ordinary civil action must be based on a
cause of action. Lastly, a cause of action is not affected by
affirmative defenses (fraud, prescription, estoppel
etc.). On the other hand, a right of action may be
1. MEANING OF CAUSE OF ACTION lost or waived (e.g. through prescription if a
complaint is not filed within the prescriptive period.)
CAUSE OF ACTION is the act or omission by
which a party violates the rights of another, the
elements of which are as follows:
3. FAILURE TO STATE A CAUSE OF
1. Legal right of the plaintiff; ACTION
2. Correlative obligation of the defendant to respect
plaintiff‘s right; It refers to insufficiency in the allegations of the
complaint. To avoid dismissal, the cause of action
3. Act or omission of the defendant in violation of must unmistakably be stated or alleged in the
plaintiff‘s legal right. complaint or that all the elements of the cause of
action required by substantive law must clearly
Whether one is a party or not in a contract is not
appear from the mere reading of the complaint.
determinative of the existence of a cause of
action—participation in a contract is not an element
in considering whether or not a complaint states a The curing effect under Section 5 is applicable only
cause of action because even a third party outside if a cause of action in fact exists at the time the
the contract can have a cause of action against complaint is filed, but the complaint is defective for
either or both contracting parties. (Camarines Sur failure to allege the essential facts. For example, if a
IV Electric Cooperative, Inc. v. Aquino, G.R. No. complaint failed to allege the fulfillment of a
167691, 2008) condition precedent upon which the cause of action
depends, evidence showing that such condition had
The phrase “financial and business difficulties‖ already been fulfilled when the complaint was filed
in the complaint is a vague notion, ambiguous in may be presented during the trial, and the complaint
concept. With no ―particular injury‖ alleged in the may accordingly be amended thereafter. It thus
complaint, there is no delict or wrongful act or follows that a complaint whose cause of action has
omission attributable to the petitioner that would not yet accrued cannot be cured or remedied by an
violate the primary rights of the respondent and amended or supplemental pleading alleging the
there is failure to state a cause of action. (Vinzons- existence or accrual of a cause of action while the
Chato v. Fortune, G.R. No. 141309, 2008) case is pending. Such an action is prematurely
brought and is, therefore, a groundless suit, which
should be dismissed by the court upon proper
2. RIGHT OF ACTION VERSUS motion seasonably filed by the defendant. The
CAUSE OF ACTION underlying reason for this rule is that a person
should not be summoned before the public tribunals
CAUSE OF ACTION to answer for complaints which are immature.
A delict or wrongful act or omission committed by (Swagman v. Court of Appeals, G.R. No. 161135,
the defendant in violation of the primary rights of the 2005)
plaintiff.

32
 counterclaims and cross-claims. (Mariscal v. Court
4. TEST OF SUFFICIENCY OF A of Appeals, G.R. No. 123926, 1999)
CAUSE OF ACTION
If two or more suits are instituted for a single cause
The test of the sufficiency of the facts alleged in the of action, the filing of one or a judgment upon the
complaint as constituting a cause of action is merits in any of one is available as a ground for
whether or not admitting the facts alleged, the court dismissal of others. The remedy then of the
could render a valid verdict in accordance with the defendant is to file a motion to dismiss.
prayer of the complaint.
Hence, if the first action is pending when the
If the allegations in the complaint furnish sufficient second action is filed, the latter may be dismissed
basis by which the complaint can be maintained, based on LITIS PENDENTIA. On the other hand, if
the same should not be dismissed regardless of the a final judgment had been rendered in the first
defense that may be assessed by the defendants. action when the second action is filed, the latter
(Ceroferr Realty Corp. v. Court of Appeals, G.R. No. may be dismissed based on RES JUDICATA. Note
139539, 2002) that it need not be the second action filed that
should be dismissed.

Anticipatory Breach JOINDER AND MISJOINDER OF CAUSES OF

As a general rule, a contract to do several things at ACTION
several times is divisible in its nature. This kind of
obligation authorizes successive actions and a A party may in one pleading assert, in the
judgment recovered for a single breach does not alternative or otherwise, as many causes of action
bar a suit for a subsequent breach. If the obligor as he may have against an opposing party, subject
manifests an unqualified and positive refusal to to the following conditions:
perform a contract, though the performance of the (a) The party joining the causes of action shall
same is not yet due, and the renunciation goes to comply with the rules on joinder of parties;
the whole contract, it may be treated as a complete (b) The joinder shall not include special civil actions
breach, which will entitle the injured party to bring or actions governed by special rules;
his action at once. In this case, the breach is (c) Where the causes of action are between the
considered a total breach and there can only be one same parties but pertain to different venues or
action and the plaintiff must recover all his damages jurisdictions, the joinder may be allowed in the
therein (Blos- soms & Co. v. Manila Gas Regional Trial Court provided one of the causes of
Corporation, 55 Phil. 226,240-241) action falls within the jurisdiction of said court and
the venue lies therein; and
One suit for a single cause of action (d) Where the claims in all the causes action are
A party may not institute more than 1 suit for a principally for recovery of money, the aggregate
single cause of action amount claimed shall be the test of jurisdiction.
(Rule 2, Section 5)
The true rule which determines whether a party has The assertion of as many causes of action as a
only a single and entire cause of action, or has a party may have against another in one pleading
severable demand for which he may maintain alone. It is not compulsory, but merely permissive.
separate suits, is whether the entire amount arises It is the process of uniting two or more demands or
from one and the same act or contract or the rights of action in one action.
several parts arise from distinct and different acts or
contracts. (BPI Family v. Vda. De Coscolluela, G.R. When there are two or more defendants, or one or
No. 167724, 2006) more plaintiffs, the causes of action against the
defendants can only be joined if there is compliance
with the rules on joinder of parties. (Flores v.
5. SPLITTING A SINGLE CAUSE OF Mallare-Philipps, G.R. No. L-66620, 1986)
ACTION AND ITS EFFECTS
However, joinder does NOT include special civil
Splitting a single cause of action is the act of actions or those actions governed by special rules,
instituting two or more suits for the same cause of i.e., ejectment, REM foreclosure and partition.
action.
And where the causes of action are between the
The pleader divides a single cause of action, claim same parties but pertain to different venues or
or demand into two or more parts, brings a suit for jurisdictions, the joinder may be allowed in the
one of such parts with the intent to reserve the rest Regional Trial Court provided one of the causes of
for another separate action. (Quadra v. Court of action falls within the jurisdiction of said court and
Appeals, G.R. No. 147593, 2006) the venue lies therein (Section5(c), Rule 2.

It is to be noted that splitting a cause of action is TOTALITY RULE

NOT allowed by the Rules of Court and such Note: Rule will only apply if ALL cases of action
prohibition applies not only to complaints but also to are for recovery of money

33
When there are several claims or causes of actions
between the same or different parties, embodied in
the same complaint, the amount of the demand Who May Be Parties: (NJE)
shall be the totality of the claims in all causes of Only the following may be parties to a civil action
action, irrespective of whether the causes of action 1. Natural persons;
arose out of the same or different transaction. 2. Juridical persons; and
3. Entities authorized by law.
The aggregate amount claimed shall be the test of
jurisdiction. (Section 5(c), Rules of Court) PLAINTIFF DEFENDANT

The Jurisdictional Amount Excludes: Generally refers to the Does not only refer to the
1. Interest; claiming party or more original defending party.
2. Damages of whatever kind; appropriately, the
3. Attorney‘s fees; and original claiming party,
and is the one who files
4. Litigation expenses and costs. the complaint.
Misjoinder of causes of action
When there is a misjoinder of causes of action, the
erroneously joined cause of action can be severed
and proceeded with separately upon motion by a
party or upon the court‘s own initiative. The term may refer to If a counterclaim is filed
the claiming party, the against the original
When after severance the case falls outside the counter-claimant, the plaintiff, the latter
jurisdiction of the court, the case may be dismissed cross-claimant or the becomes a defendant
motu propio or on motion. third-party plaintiff. and the former, a plaintiff
in the counterclaim.
Note that unlike splitting of cause of action, a
misjoinder is NOT a ground for the dismissal of an
action.

If no one objects to the misjoinder, it would be

tried and decided together with the other
causes of action. It may also apply to a It may also pertain to a
defendant who files a defendant in a
END OF TOPIC counterclaim, a cross- counterclaim, the cross-
claim or a third party defendant, or the third-
complaint. (Rule 3, party defendant. (Rule 3,
Section 1) Section 1)
C. PARTIES TO CIVIL ACTION
(Rule 3)

The JURIDICAL persons who may be parties to

1. REAL PARTIES IN INTEREST; a civil action:
1. The State and its political subdivisions;
INDISPENSABLE PARTIES; 2. Other corporations, institutions and entities for
REPRESENTATIVES AS PARTIES; public interest or purpose, created by law; and
NECESSARY PARTIES; INDIGENT 3. Corporations, partnerships and associations for
PARTIES; ALTERNATIVE private interest or purpose to which the law
grants a juridical personality, separate and
DEFENDANTS distinct from that of each shareholder, partner or
2. COMPULSORY AND PERMISSIVE member (Art. 44, Civil Code)
JOINDER OF PARTIES
3. MISJOINDER AND NON-JOINDER Entities authorized by law to be parties:
OF PARTIES 1. A corporation by estoppel;
2. A contract of partnership having a capital of
4. CLASS SUIT three thousand pesos or more but which fails to
5. SUITS AGAINST ENTITIES comply with the registration requirements;
WITHOUT JURIDICAL 3. Estate of a deceased person;
PERSONALITY 4. A legitimate labor organization;
5. The Roman Catholic Church; and
6. EFFECT OF DEATH OF PARTY 6. A dissolved corporation for suits that occur
LITIGANT within 3 years after its dissolution and suits in

34
 connection with the settlement and closure of its (c) To avoid a multiplicity of suits; and
affairs (Riano 2014 p. 264) (d) To discourage litigation and keep it within
certain bounds, pursuant to sound public
Remedies when a party impleaded is not policy. (Stronghold Insurance Company, Inc. v.
authorized to be a party: Cuenca, G.R. No. 173297, 2013)
1. If PLAINTIFF- a motion to dismiss may be filed
on the round that the plaintiff has no legal General Rule: Only parties to a contract may sue.
capacity to sue. (Sec. 1 [d], Rule 16, ROC) Exceptions:
2. If DEFENDANT- the complaint may be 1. A beneficiary of a stipulation pour autrui may
dismissed on the ground of failure to state a demand fulfillment of the contract. (Art. 1311,
cause of action. (Rule 16, Sec. 1[g],) Civil Code)
2. Those who are not principally or subsidiarily
obligated in a contract ma show the detriment
1. REAL PARTIES IN INTEREST; that could result from it i.e., when contracts
INDISPENSABLE PARTIES; entered into in fraud of creditors may be
REPRESENTATIVES AS PARTIES; rescinded when the creditors cannot collect the
NECESSARY PARTIES; INDIGENT claims due them. (Art. 1318, Civil Code)
PARTIES; ALTERNATIVE
The attorney in fact of the principal plaintiff filed the
DEFENDANTS complaint in his residence. An attorney in fact is not
a real party in interest. Hence, his residence is
Real Party in Interest immaterial. A real party in interest is the party who,
One who stands to be benefited or injured by the by the substantive law has the right sought to be
judgment in the suit, or the party entitled to the enforced. Nowhere in Rule 3, Sec. 3 is it stated or
avails of the suit. (Rule 3, Section 2) implied that the representative is likewise deemed
as the real party in interest. The Rule simply states
“Interest,” within the meaning of the rule, means that in actions which are allowed to be prosecuted
material interest, an interest in issue and to be or defended by a representative, the beneficiary
affected by the decree, as distinguished from mere shall be deemed the real party in interest and
interest in the question involved, or a mere hence, should be included in the title of the case.
incidental interest. (Republic v. Coalbrine (Ang v. Ang, 22 August 2012, 678 SCRA 699.)
International Philippines, Inc., G.R. No. 161838,
2010) Indispensable Party
A real party-in-interest without whom NO final
His interest must be real which is a present determination can be had of an action. They are
substantial interest as distinguished from a mere those with such an interest in the controversy that a
expectancy or a future, contingent subordinate or final adjudication cannot be made, in his absence,
consequential interest (Rayo v. Metrobank, G.R. without injuring or affecting that interest. (Rule 3,
No. 165142, 2007) Section 7)

[We find] no merit to petitioners contention that they Without the presence of this party the judgment of a
are not real parties-in-interest since they are not court cannot attain real finality. (Servicewide
parties nor signatories to the contract and hence Specialists, Inc. v. Court of Appeals, G.R. No.
should not have been impleaded as defendants. It 110048, 1999)
is undeniable that petitioner Chan is an heir of
Ramon Chan and, together with petitioner Co, was Absence of an indispensable party renders all
a successor-in-interest to the restaurant business of subsequent actions of the court null and void for
the late Ramon Chan. Both continued to operate want of authority to act, not only as to the absent
the business after the death of Ramon. Thus, they parties but even as those present. (MWSS v. Court
are real parties-in-interest in the case filed by of Appeals, G.R. No. 126000, 1998)
private respondent, notwithstanding that they are
not signatories to the Contract of Lease. (Sui Man When an indispensable party is not before the
Hui Chan v. Court of Appeals, G.R. No. 147999, court, the action should be dismissed. However,
2004) outright dismissal is not the immediate remedy for
failure to implead an indispensable party; parties
Every action must be prosecuted and defended in may be dropped or added at any stage upon motion
the name of the real party-in-interest. of any party or on court‘s own initiative; only when
the order of the court to implead an indispensable
The purposes of the requirement for the real party party goes unheeded may the case be dismissed.
in interest prosecuting or defending an action at law (Riano, 2014, p. 279)
are:
(a) To prevent the prosecution of actions by In an action for the cancellation of memorandum
persons without any right, title or interest in the annotated at the back of a certificate of title, the
case; persons considered as indispensable include those
(b) To require that the actual party entitled to legal whose liens appear as annotations pursuant to
relief be the one to prosecute the action; Section 108 of Presidential Decree (PD) No. 1529.

35
The reason behind the compulsory joinder of deemed to be the real party in interest (Rule 3,
indispensable parties is the complete determination Section 3)
of all possible issues, not only between the parties
themselves but also as regards other persons who NOTE: Impleading the beneficiary as a party is
may be affected by the judgment. (Crisologo v. mandatory
JEWM Agro 3 March 2014, 717 SCRA 644)
Indigent Party
NOTE: While the general rule is that joinder of A party may be authorized to litigate as an indigent
parties is permissive, it becomes compulsory when if the court is satisfied that the party is one who has
the one involved is an indispensable party. no money or property sufficient and available for
food, shelter and basic necessities.
Necessary Party
A necessary party is not an indispensable party. He The application and the hearing to litigate as an
is ought to be joined as a party if COMPLETE relief indigent litigant may be made ex parte.
is to be accorded as to those already parties; he
should be joined whenever possible. If one is authorized to litigate as an indigent, such
authority shall include an exemption from the
The non-inclusion of a necessary party does NOT payment of docket fees, and of transcripts of
prevent the court from proceeding in the action, and stenographic notes, which the court may order to be
the judgment rendered therein shall be without furnished by him
prejudice to the rights of such necessary party.
(Agro Conglomerates, Inc. v. CA, G.R. No. 117660, However, the amount of the docket and other lawful
2000) fees, which the indigent was exempt from paying,
shall be lien on the judgment rendered in the case
Distinction between an Indispensable and a favorable to the indigent
Necessary Party
A lien on the judgment shall not arise if the court
provides otherwise. (Rule 3, Section 21)
Indispensable Party Necessary Party
When an application to litigate as an indigent litigant
Must be joined under any Should be joined is filed, the court shall determine if the applicant
and all conditions whenever possible complies with the income and property standards
prescribed in the present Section 19 of Rule 141—
that is, the applicant‘s gross income and that of the
No final decree can be A final decree can be applicant‘s immediate family do not exceed an
had in case of absence had despite absence amount double the monthly minimum wage of an
employee; and the applicant does not own real
(Riano, 2014, p. 281) property with a fair market value of more than Three
Hundred Thousand Pesos (PhP 300,000.00).
Duty of a Pleader When a Necessary Party is
NOT Joined: If the trial court finds that the applicant meets the
1. Set forth the name of the said necessary party, if income and property requirements, the authority to
known; and litigate as indigent litigant is automatically granted
2. State the reason why the necessary party is and the grant is a matter of right. However, if the
omitted (Rule 3, Section 9) trial court finds that one or both requirements have
not been met, then it would set a hearing to enable
NOTE: If the reason given for the non-joinder of the the applicant to prove that the applicant has ―no
necessary party is found by the court to be money or property sufficient and available for food,
unmeritorious, it may order the pleader to join the shelter and basic necessities for himself and his
omitted party if jurisdiction over his person may be family.‖ (Spouses Algura v. LGU, GR No. 150135,
obtained. Failure to comply with such order without 2006)
justifiable cause shall be deemed a waiver of the
claim against such party. (Rule 3, Section 9) Alternative Defendant
Where the plaintiff cannot definitely identify who
Where the obligation of the parties is solidary, either among two or more persons should be impleaded
of the parties is indispensable, and the other is not as a defendant, he may join all of them as
even a necessary party because complete relief is defendants in the alternative, although a right to
available from either. (Cerezo v. Tuazon, G.R. No. relief against one may be inconsistent with a right of
141538, 2004) relief against the other. (Rule 3, Section 13)

Representatives as Parties Spouses as Parties

Even where the action is allowed to be prosecuted Husband and wife shall sue or be sued jointly
or defended by a representative party or someone except when the litigation pertains to the exclusive
acting in a fiduciary capacity, the beneficiary shall property of a spouse or when there is
be included in the title of the case and shall be abandonment.

36
Minors or Incompetents as Parties
A suit may be brought by OR against a minor or Requisites of a Class Suit:
incompetent but with the assistance of his parents 1. Subject matter of the controversy of common or
or his guardian. (Rule 3, Section 4) general interest to many persons;
2. Persons are so numerous that it is
impracticable to join all as parties;
2. COMPULSORY AND PERMISSIVE 3. The parties actually before the court are
JOINDER OF PARTIES sufficiently numerous and representative; and
4. The representatives sue or defend for the
General Rule: Joinder of parties is not compulsory, benefit of all.
but merely permissive.
Exception: When it refers to joinder of COMMON INTEREST – as a requisite for a class
indispensable parties. (Rule 3, Section 7) suit to prosper, common interest in the subject
matter (e.g. money, land, chattel) of the litigation is
Requisites for Joinder of Parties: required. It does not pertain to the delict or wrong
1. The right to relief should arise out of the SAME committed by the defendant.
transaction or series of transactions; and
2. That there exists a common question of law or
fact.
5. SUITS AGAINST ENTITIES
WITHOUT JURIDICAL
NOTE: Same transaction means that it pertains to PERSONALITY
transactions connected with the same subject
matter of the suit. When two or more persons not organized as an
entity with juridical personality enter into a
NOTE: The plaintiff is mandated to implead all the transaction, they may be sued under the name by
indispensable parties, considering that the absence which they are generally or commonly known.
of one such party renders all subsequent actions of
the court null and void for want of authority to act, Under the same provision, the responsive pleading
not only as to the absent parties, but even as to of the entity sued must disclose the names and
those present. (Riano, 2014, p. 278) addresses of its members since they are the
persons ultimately liable to the plaintiff. (Rule 3,
3. MISJOINDER AND NON-JOINDER Section 15)
OF PARTIES
NOTE: These entities may be a defendant but not a
plaintiff as the provision states ―may be sued.‖
A party is MISJOINED when he is made a party to
the action although he should not be impleaded. An unlicensed foreign corporation doing business in
the Philippines cannot sue before Philippine
A party is NOT JOINED when he is supposed to be courts. On the other hand, an unlicensed foreign
joined but is not impleaded in the action. corporation not doing business in the Philippines
can sue before Philippine courts. (Van Zuiden v.
Neither of the two is a ground for the dismissal of an GTVL, G.R. No. 147905, 2007)
action, as parties may be dropped or added by
order of the court or on motion of any party OR on
its own initiative at any stage of the action and on 6. EFFECT OF DEATH OF PARTY
such terms as are just. LITIGANT
In contract, in misjoinder of cause of action, the
court can order severance. There is no rule on
The death of the client extinguishes the attorney-
consolidation. (Rule 3, Section 11)
client relationship and divests a counsel of his
authority to represent the client; neither does he
NOTE: However, the failure to obey the order of the
become the counsel of the heirs of the deceased
court to drop or add a party is a ground for the
unless said heirs engage his services.
dismissal of the complaint, because it is a
disobedience to the order of a court.
Whenever a party to a pending action dies, and the
claim is not thereby extinguished, it shall be the
4. CLASS SUIT 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
A class suit is an action where one or more may
representative or representatives. Failure of counsel
sue for the benefit of all if the requisites for said
to comply with this duty shall be a ground for
action are complied with.
disciplinary action. The heirs of the deceased may
be allowed to be substituted for the deceased,
An action does not become a class suit merely
without requiring the appointment of an executor or
because it is designated as such in the pleadings; it
depends upon the attendant facts. (Banda v. administrator and the court may appoint a guardian
ad litem for the minor heirs.( Rule 3, Section 16)
Ermita, 618 SCRA 488)

37
The purpose behind this rule is the protection of the Where the deceased has no heirs, the court shall
right to due process of every party to the litigation require the appointment of an executor or
who may be affected by the intervening death. The administrator; if the heir is a minor, a guardian ad
deceased litigant is herself or himself protected as litem. (Rule 3, Section 16)
he/she continues to be properly represented in the
suit through the duly appointed legal representative An unlicensed foreign corporation doing business in
of his estate. the Philippines cannot sue before Philippine
The rule on substitution in case of death of a party courts. On the other hand, an unlicensed foreign
is governed by Section 16, Rule 3 of the 1997 Rules corporation not doing business in the Philippines
of Civil Procedure, as amended, which provides: can sue before Philippine courts. (Van Zuiden v.
Section 16. Death of a party; duty of counsel.— GTVL, G.R. No. 147905, 2007)
Whenever a party to a pending action dies, and the
claim is not thereby extinguished, it shall be the It Is Possible That the Court May Order the
duty of his counsel to inform the court within thirty Opposing Party to Procure the Appointment of
(30) days after such death of the fact thereof, and to an Executor or Administrator for the Estate of
give the name and address of his legal the Deceased When:
representative or representatives. Failure of counsel 1. The counsel for the deceased does not name a
to comply with this duty shall be a ground for legal representative; or
disciplinary action. The heirs of the deceased may 2. There is a representative named but he fails to
be allowed to be substituted for the deceased, appear within the specified period. (Rule 3,
without requiring the appointment of an executor or Section 16)
administrator and the court may appoint a guardian
ad litem for the minor heirs. (Sumaljag v. Literato, All court charges in procuring such appointment, if
GR No. 149787, 2008 defrayed by the opposing party may be recovered
as costs. (Rule 3, Section 17)
Duty of the Counsel upon Death of His Client
Whenever a party to a pending action dies, it is the END OF TOPIC
duty of the counsel of the deceased party to inform
the court of such fact within 30 days after such
death.

Counsel also has the obligation to give the name D. VENUE

and address of the legal representative of the
deceased.

Such duty is MANDATORY and failure to comply is

1. VENUE VERSUS JURISDICTION
a ground for disciplinary action 2. VENUE OF REAL ACTIONS
3. VENUE OF PERSONAL ACTIONS
Actions of the Court upon Notice of Death 4. VENUE OF ACTIONS AGAINST
Upon receipt of the notice of death, the court shall NON-RESIDENTS
determine whether or not the claim is extinguished
by such death. 5. WHEN THE RULES ON VENUE DO
NOT APPLY
Examples of claims NOT extinguished by death 6. EFFECTS OF STIPULATIONS ON
are: VENUE
1. Recovery of real and personal property against
the estate;
2. Enforcement of liens on such properties; and 1. VENUE VERSUS JURISDICTION
3. Recovery for an injury to person or property by
reason of tort or delict committed by the VENUE is the place, or the geographical area
deceased. (Riano, 2014, p. 289) where an action is to be filed and tried. (Manila
Railroad Company v. Attorney General, G.R. No. L-
If the deceased left an heir and the claim is not 7688, 1912)
extinguished by death, the heir may be allowed to
be substituted for the deceased without need for an JURISDICTION is the power and authority of the
appointment of an administrator or executor. tribunal to hear, try and decide a case. (Veneracion
Service of summons is NOT necessary to effect v. Mancilla, G.R. No. 158238, 2006)
such substitution as the court shall order such legal
representative to appear and be substituted for the In the absence of qualifying or restrictive words (i.e.,
deceased within thirty (30) days from notice. solely, exclusively, particularly, etc.), venue
stipulation is merely permissive and NOT exclusive.
Substitution of the deceased by his representative This implies that the stipulated venue will only be in
or heir is effected by the order of substitution and its addition to the venue provided for in the Rules.
service, and not by the amendment of the pleading
VENUE JURISDICTION

38
The place where the case The authority to hear Forcible entry and detainer actions shall be
is to be heard or tried and determine a case commenced and tried in the municipal trial court of
(e.g., Regional Trial Court the municipality or city wherein the real property
of Makati City or Quezon involved, or a portion thereof, is situated.
City)
Real actions, as so opposed to personal actions,
are those which affect the title to or possession of
real property. Where a contrary claim to ownership
A matter of procedural A matter of substantive
is made by an adverse party, and where the relief
law law
prayed for cannot be granted without the court
deciding on the merits, the issue of ownership and
Establishes a relation Establishes a relation title, more specifically, as to who, between the
between plaintiff and between the court and contending parties, would have a better right to the
defendant, or petitioner the subject matter property, the case can only be but a real action.
and respondent (Gumabon v. Larin, G.R. No. 142523, 2001)

The Court explicitly pronounced that ―[t]he court

acquires jurisdiction over any case only upon the
payment of the prescribed docket fee.‖ Hence, the
May be conferred by the Fixed by law and payment of docket fees is not only mandatory, but
act or agreement of the cannot be conferred by also jurisdictional. A real action indisputably
parties (e.g. the parties agreement of the involves real property. The docket fees for a real
can include the following parties action would still be determined in accordance with
stipulation in a contract of the value of the real property involved therein; the
lease: ―In case of dispute only difference is in what constitutes the acceptable
arising from this contract, value. In computing the docket fees for cases
a party shall file a suit involving real properties, the courts, instead of
with the Regional Trial relying on the assessed or estimated value, would
Court of Pasig City‖ OR now be using the fair market value of the real
―In case of dispute arising properties (as stated in the Tax Declaration or the
from this contract, a party Zonal Valuation of the Bureau of Internal Revenue,
shall file a suit whichever is higher) or, in the absence thereof, the
exclusively with the stated value of the same. (Ruby Shelter v. Hon.
Regional Trial Court of Formaran III, G.R. No. 175914, 2009)
Pasig City‖
An action to recover the deficiency after
extrajudicial foreclosure of a real property mortgage
is a personal action because it does not affect title
to or possession of real property, or any interest
therein.
(BPI Family v. Yujuico, G.R. 175796, 2015)

3. VENUE OF PERSONAL ACTIONS

Not a ground for a motu Lack of jurisdiction over
Venue is Transitory. Hence, the Action May Be
proprio dismissal (except the subject matter is a
Commenced and Tried:
in cases subject to ground for a motu
1. Where the plaintiff or any of the principal
Summary Procedure) proprio dismissal
plaintiffs reside;
2. Where the defendant or any of the principal
defendants resides; or
3. In the case of a non-resident defendant, where
May be waived only in Cannot be waived he may be found.
civil cases. In criminal All at the election of the PLAINTIFF.
cases, venue is
jurisdictional. RESIDENCE means physical or actual habitation.

When there is more than one plaintiff in a personal

action case, the residences of the principal parties
should be the basis for determining proper venue.
2. VENUE OF REAL ACTIONS According to Justice Feria, ―the word ‗principal‘ has
been added in order to prevent the plaintiff from
choosing the residence of a minor plaintiff or
It shall be commenced and tried in the proper court defendant as the venue.‖ Eliminate the qualifying
which has jurisdiction over the area wherein the real term ―principal‖ and the purpose of the Rule would
property involved, or a portion thereof, is situated. be defeated where a nominal or formal party is

39
impleaded in the action since the latter would not
have the degree of interest in the subject of the 5. WHEN RULE ON VENUE NOT
action which would warrant and entail the desirably APPLICABLE
active participation expected of litigants in a
case.(Marcos-Araneta v. Cam GR No. 154096, The Rule on Venue is INAPPLICABLE in Cases
2008.) Where a specific rule or law provides otherwise.

As regards the venue of derivative suits, Section 5, Venue of Derivative Suits

Rule 1 of A.M. No. 01-2-04-SC states: SEC. 5. Regional Trial Court which has jurisdiction over the
Venue. All actions covered by these Rules shall be principal office of the corporation, partnership, or
commenced and tried in the Regional Trial Court, association concerned.
which has jurisdiction over the principal office of the
corporation, partnership, or association concerned. Where the principal office of the corporation,
Where the principal office of the corporation, partnership or association is registered in the
partnership or association is registered in the Securities and Exchange Commission as Metro
Securities and Exchange Commission as Metro Manila, the action must be filed in the city or
Manila, the action must be filed in the city or municipality where the head office is located. (Rule
municipality where the head office is located. (Hi- 1 of A.M. No. 01-2-04-SC, Section 5)
Yield Realty, Inc. v. Court of Appeals, G.R. No.
168863, 2009) Venue of Action of Nullity of Marriage
Where plaintiff resides, where the defendant resides
4. VENUE OF ACTIONS AGAINST or where their conjugal home is located.
NON-RESIDENTS Venue of Adoption
Where the prospective parents reside.
If Defendant Does Not Reside But IS FOUND in
the Philippines Venue of Probate
When it is a PERSONAL action, the action may be If the decedent died in the Philippines: Where the
commenced and tried in the court of the place deceased last resided at his time of death.
where the plaintiff resides or where the defendant
may be found (e.g. If the defendant is U.S. resident, If the decedent died abroad: In any of the province
but is on vacation in Makati, summons may be where he has property.
served on defendant in Makati).
Writ of habeas corpus on residence of minor:
If there are several defendants, but one of them is a General Rule: Regional Trial Court where the
resident or a nonresident but can be found in the minor is supposed to be found.
Philippines, the action may be commenced where
the plaintiff resides or where the resident defendant Exception: When place is unknown or
resides or where the nonresident defendant may be minor cannot be found, it can be filed in
found. the Court of Appeals or the Supreme
Court.
When it is a REAL action (e.g., recovery of real
property), the action may be commenced where the 2. Where the parties have validly agreed in writing
property or any portion thereof is situated or found. before the filing of the action on the exclusive venue
thereof.
If None of the Defendants Reside in the
Philippines and None are Found in the Example: ―In case of dispute arising from this
Philippines contract, a party shall file a suit exclusively with the
When the action affects the PERSONAL STATUS Regional Trial Court of Pasig City‖.
of the PLAINTIFF, the action may be commenced
and tried in the court of the place where the plaintiff Venue of Libel
resides. General rule:
The criminal and civil action for damages in cases
When the action affects the PROPERTY of the of written defamations shall be filed simultaneously
DEFENDANT located in the Philippines, the action or separately with the RTC of the province or city
may be commenced where the property or any where the libelous article is printed and first
portion thereof is situated or found. published or where any of the offended parties
actually resides at the time of the commission of the
The proper venue in an action for revival of offense.
judgment depends on the determination of whether
the present action for revival of judgment is a real Exception:
action or a personal action. The allegations in the Where one of the offended parties is a public
complaint for revival of judgment determine whether officer whose office is in the City of Manila at the
it is a real action or a personal action. (Infante v. time of the commission of the offense, the action
Aran Builders, G.R. No. 156596, 2006) shall be filed in the RTC of the City of Manila, or
of the city or province where the libelous article

40
 is printed and first published, and in case such bound by the exclusive venue stipulation contained
public officer does not hold office in the City of therein and should be filed in accordance with the
Manila, the action shall be filed in the RTC of the general rules on venue. It would be inherently
province or city where he held office at the time inconsistent for a complaint of this nature to
of the commission of the offense or where the recognize the exclusive venue stipulation when it, in
libelous article is printed and first published and fact, precisely assails the validity of the instrument
in case one of the offended parties is a private in which such stipulation is contained. (Briones v.
individual, the action shall be filed in the RTC of Court of Appeals, G.R. No. 204444, 2015)
the province or city where he actually resides at Waiver of Venue
the time of the commission of the offense or The ground of improperly laid venue must be raised
where the libelous matter is printed and first seasonably, else it is deemed waived. Where the
published. (Article 360, Revised Penal Code) defendant failed to either file a motion to dismiss on
the ground of improper venue or include the same
Note: The civil action shall be filed in the same as an affirmative defense, he is deemed to have
court where the criminal action is filed and vice waived his right to object to improper venue.
versa. (Article 360, Revised Penal Code)
In the case at bench, petitioners raised at the
Note: The court where the criminal action or civil earliest time possible, meaning ―within the time for
action for damages is first filed, shall acquire but before filing the answer to the complaint,‖ the
jurisdiction to the exclusion of other courts. (Article matter of improper venue. (Marcos-Araneta v. Court
360, Revised Penal Code) of Appeals, G.R. No. 154096, 2008)

6. EFFECTS OF STIPULATIONS ON Venue for a case for revival of judgment

The proper venue depends on the determination of
VENUE whether the present action for revival of judgment is
a real action or a personal action. Applying the
The Stipulation on Venue Must Be: afore-quoted rules on venue, if the action for revival
1. In writing; of judgment affects title to or possession of real
2. Made before the filing of the action; and property, or interest therein, then it is a real action
3. Exclusive as to the venue. that must be filed with the court of the place where
the real property is located. If such action does not
The mere stipulation on the venue of an action is fall under the category of real actions, it is then a
not enough to preclude parties from bringing a case personal action that may be filed with the court of
in other venues. In the absence of qualifying or the place where the plaintiff or defendant resides.
restrictive words, the stipulation should be (Infante v. Aran Builders, GR No. 156596, 2007 )
deemed as merely an agreement on an additional
forum, not as limiting venue to the specified place. END OF TOPIC
(Sps. Lantin v. Lantion, G.R. No. 160053, 2006)

If the intention of the parties were to restrict venue,

there must be accompanying language clearly and
categorically expressing their purpose and design E. PLEADINGS
that actions between them be litigated only at the
place named by them. (Riano, Civil Procedure: A
nd
Restatement for the bar, 2 ed, 2009)
1. KINDS OF PLEADINGS
Examples of qualifying or restrictive a. Complaint
words: "exclusively" and "waiving for this b. Answer
purpose any other venue," "shall only" preceding i. Affirmative defenses
the designation of venue, "to the exclusion of the ii. Negative defenses
other courts," or words of similar import. (Auction in iii. Negative pregnant
Malinta, Inc. v. Luyaben, G.R. No. 173979, 2007) c. Counterclaims
i. Compulsory counterclaim
Exclusive venue stipulation embodied in a contract ii. Permissive counterclaim
restricts or confines parties thereto ONLY when the iii. Effect on the counterclaim when
suit relates to breach of said contract. Since the the complaint is dismissed
other causes of action in petitioner‘s complaint do d. Cross-claims
not relate to the breach of the agreement it forged
embodying the exclusive venue stipulation, they e. Third (fourth, etc.) party complaints
should not be subject to the exclusive venue. The f. Complaint-in-intervention
stipulation should be strictly confined to the specific g. Reply
undertaking or agreement. (Uniwide v. Cruz, G.R. 2. PLEADINGS ALLOWED IN SMALL
No. 171456, 2007) CLAIM CASES AND CASES
If the complaint was assailing the validity of the COVERED BY THE RULES ON
written instrument itself, the parties should not be SUMMARY PROCEDURE

41
3. PARTS OF A PLEADING f. Effect of amended pleading
a. Caption
b. Signature and address 1. KINDS OF PLEADINGS
c. Verification and certification against
forum shopping PLEADING
i. Requirements of a corporation The written statements of the respective claims and
executing the defenses of the parties submitted to the court for
verification/certification of non- appropriate judgment (Section 1, Rule 6 of the
forum shopping Rules of Court)
d. Effect of the signature of counsel in a
pleading MOTION
4. ALLEGATIONS IN A PLEADING An application for relief other than by a pleading.
a. Manner of making allegations The rules that apply to pleadings shall also apply to
i. Condition precedent written motions so far as concerns caption,
ii. Fraud, mistake, malice, intent, designation, signature, and other matters of form.
knowledge and other condition of (Rule 15, Section 10)
the mind, judgments, official
documents or acts PLEADING MOTION
b. Pleading an actionable document
c. Specific denials Is a submission of Is an application for an
i. Effect of failure to make specific claims or defenses for order not included in the
denials appropriate judgment judgment
ii. When a specific denial requires an
oath
5. EFFECT OF FAILURE TO PLEAD May be initiatory Cannot be initiatory as
a. Failure to plead defenses and motions are made in a
objections case already filed in court
b. Failure to plead a compulsory
counterclaim and cross-claim
6. DEFAULT
a. When a declaration of default is proper Must be written May be oral when made
b. Effect of an order of default in open court or in the
c. Relief from an order of default course of a hearing or a
d. Effect of a partial default trial
e. Extent of relief
f. Actions where default are not allowed Must be filed before May be filed after
7. FILING AND SERVICE OF judgment judgment
PLEADINGS
a. Payment of docket fees PLEADINGS ALLOWED BY THE RULES OF
b. Filing versus service of pleadings COURT:
c. Periods of filing of pleadings 1. Complaint
d. Manner of filing 2. Answer
e. Modes of service 3. Counterclaim
i. Personal service 4. Cross-claim
ii. Service by mail 5. Third (fourth, etc. – party complaint)
iii. Substituted service 6. Complaint-in-intervention
iv. Service of judgments, final orders 7. Reply
or resolutions
v. Priorities in modes of service and a. COMPLAINT
filing
vi. When service is deemed complete The complaint is the pleading alleging the plaintiff‘s
vii. Proof of filing and service cause or causes of action. The names and
residences of the plaintiff and defendant must be
8. AMENDMENT stated in the complaint. (Rule 6, Section 3)
a. Amendment as a matter of right
b. Amendments by leave of court A pleading should only contain ULTIMATE FACTS,
c. Formal amendment which are essential to a party‘s cause of action or
d. Amendments to conform to or defense. It must be stated in a logical form and in a
authorize presentation of evidence plain and concise manner.
e. Different from supplemental pleadings
What are NOT Ultimate Facts:

42
1. Evidentiary or immaterial facts;
2. Legal conclusions, conclusions or inferences of Denial Amounting to Admissions:
facts not stated, or incorrect inferences or 1. General Denial
conclusions from facts stated;
A general denial is one which puts in issue all the
3. The details of probative matter or particulars of
material averments of the complaint or petition, and
evidence, statements of law, inferences and
permits the defendant to prove any and all facts
arguments; or
which tend to negative those averments or some
4. An allegation that a contract is valid or void is a one or all of them.( Loyola vs. House of
mere conclusion of law.
Representatives Electoral Tribunal, G.R. No.
109026. January 4, 1994.)
b. ANSWER

An answer is a pleading in which a defending party (iii) NEGATIVE PREGNANT

sets forth his defenses. A negative implying also an affirmative and which
although is stated in a negative form, really admits
It may be an answer to a complaint, a counterclaim the allegations to which it relates. (Cramer v. Aiken,
or a cross-claim. 63 App. D.C. 16, 68 F 2d 761, 762, 1933) This
usually arises when the leader merely repeats the
Defenses allegations in a negative form.

(i) Affirmative Defenses Where a fact is alleged with some qualifying or

modifying language, and the denial is conjunctive, a
An affirmative defense is an allegation of a new ‗negative pregnant‘ exists, and only the qualification
matter which, while hypothetically admitting the or modification is denied, while the fact itself is
material allegations in the pleading of the claimant admitted. A denial in the form of a negative
would nevertheless prevent or bar recovery by pregnant is an ambiguous pleading, since it cannot
him. The affirmative defenses include fraud, statute be ascertained whether it is the fact or only the
of limitations, release, payment, illegality, statute of qualification that is intended to be denied. (Galofa v.
frauds, estoppel, former recovery, discharge in Nee Bon Sing, G.R. No. L-22018, 1968)
bankruptcy, and any other matter by way of
confession and avoidance. Example: There is a negative pregnant where a
respondent denies having ―personal knowledge‖ of
Before an allegation qualifies as an affirmative the plaintiff‘s daughter Y‘s Certificate of Live Birth.
defense, it must be of such nature as to bar the In said certificate, the plaintiff named respondent—a
plaintiff from claiming on his cause of action ―lawyer,‖ 38 years old—as the child‘s father. And
(Pesane Animas Mongao v. Pryce Properties the phrase ―NOT MARRIED‖ is entered on the
Corp., G.R. No. 156474, 2005) desired information on ―DATE AND PLACE OF
MARRIAGE.‖ A comparison of the signature
(ii) NEGATIVE DEFENSES attributed to the plaintiff‘s in the certificate with her
signature on the Marriage Certificate shows that
they were affixed by one and the same person.
Negative defense refer to the specific denial of the
Notatu dignum is that, as the Investigating
material fact or facts alleged in the pleading of the
Commissioner noted, respondent never denied
claimant essential to his cause or causes of action. being the father of the child. (Guevarra vs. Eala,
A.C. No. 7136., 2007)
Denials in the answer must be specific, or based on
a lack of information sufficient to form a belief as to Example: A complaint, in par. 4, alleged that the
the truth of the allegation in the complaint.
plaintiff was unable to take actual possession of the
property because of the ―unwarranted adverse
Specific Denial – A specific denial is made by
claim of rights of ownership and possession by the
specifying each material allegation of fact, the truth
defendant, alleging sale by a certain Fe of said
of which the defendant does not admit and,
property to defendant, which if true, had no right
whenever practicable, setting forth the substance of
whatsoever to legally dispose the above-described
the matters upon which he relies to support his
property not being the owner thereof.‖ In response,
denial. ( UA vs. Wallem Philippines Shipping, Inc
the answer of the defendant stated: ―The defendant
G.R. No. 171337. July 11, 2012)
denies the material averments contained in par. 4,
the truth being, that the defendant never asserted
The purpose of requiring the defendant to make a
title of ownership to the property described in the
specific denial is to make him disclose the matters
complaint to anybody, much less to the herein
alleged in the complaint which he succinctly intends
plaintiff in virtue of any deed of conveyance
to disprove at the trial, together with the matter
executed in favor of the defendant by one Fe, nor
which he relied upon to support the denial.
claimed any possessory right over the said
(Aquintey vs. Tibong, G.R. No. 166704. December
property, either by himself or through another. The
20, 2006)
Court held that there was a negative pregnant in the
The failure to make a specific denial will be
defendant‘s reply, which is to be construed as an
considered an admission of that particular allegation
implied admission. Particularly, when the
in the complaint.

43
plaintiff alleged that his inability to take actual claim (Maceda v. Court of Appeals, G.R. No. 83545,
possession of the parcel of land due to "an 1989)
unwarranted adverse claim of rights of ownership
and possession by the defendant," followed by an A party who desires to plead a compulsory
allegation of how such claim was exercised, the counterclaim should NOT file a motion to dismiss. If
defendant‘s denial is as to "the material averments he files a motion to dismiss and the complaint is
contained in par. 4 of the Complaint," conjoined with dismissed there will be no chance to invoke the
his disclaimer of dominical or possessory rights in counterclaim. (Riano, Civil Procedure: A
the manner alleged in the complaint. It thus Restatement for the bar, 2nd ed, 2009)
appeared that he denied the averments in par. 4,
but he did not deny the fact of ownership and right A dismissal of the complaint does not carry with it
to possession of the plaintiff. (Galofa v. Nee Bon the dismissal of the counterclaim.
Sing, G.R. No. L-22018, 1968)
A compulsory counterclaim not initially set up
It does not qualify as a specific denial but is because of the pleader‘s oversight, inadvertence,
conceded to be actually an admission. (Riano, Civil excusable neglect or when justice requires, may be
nd
Procedure: A Restatement for the Bar, 2 ed, 2009) set up, by leave of court by amendment of the
pleadings before judgment (Rule 11, Section 10). If
c. COUNTERCLAIMS not set up in the action, the compulsory
counterclaim shall be barred (Rule 9, Section 2)
A counterclaim is any claim, which a defending
party may have against an opposing party. If a compulsory counterclaim matures or was
acquired by a party after serving his answer, the
When a defendant files a counterclaim against the compulsory counterclaim is not deemed barred and
plaintiff, he becomes the plaintiff in the counterclaim may be pleaded by filing a supplemental answer or
and the original plaintiff becomes the defendant. pleading before judgment.

A counterclaim may be COMPULSORY or Difference between Counterclaims filed in the

PERMISSIVE. Municipal Trial Court and in the Regional Trial
Court:
(i) COMPULSORY COUNTERCLAIM A counterclaim filed in the Municipal Trial Court or
in the Metropolitan Trial Court must be within the
Elements: court‘s jurisdiction both as to the nature and to the
1. Arises out of or is necessarily connected with amount of the claim.
the transaction or occurrence which is the
subject matter of the opposing party‘s claim; A counterclaim filed in the Regional Trial Court may
2. It does not require for its adjudication the be deemed compulsory regardless of the amount
presence of third parties over whom the court but it must be within its jurisdiction as to nature –
cannot acquire jurisdiction; i.e., an RTC cannot try an unlawful detainer case as
3. The court has jurisdiction over the amount and a counterclaim, but it may take cognizance of a
nature of the case; and counterclaim involving an amount below its
4. It must be cognizable by the regular courts of jurisdictional threshold (i.e. small amounts).
justice.
(ii) PERMISSIVE COUNTERCLAIM
To determine whether a counterclaim is compulsory
or not, the Supreme Court have devised the A counterclaim is permissive if any of the elements
following tests: (1) Are the issues of fact or law of a compulsory counterclaim is absent (see
raised by the claim and the counterclaim largely the above). The most commonly treated feature of a
same? (2) Would res judicata bar a subsequent suit permissive counterclaim is its absence of a logical
on defendant‘s claim absent the compulsory connection with the subject matter of the complaint.
counterclaim rule? (3) Will substantially the same (International Container Terminal Services Inc. v.
evidence support or refute plaintiff‘s claim as well as CA, G.R. No. 90530, 1992)
the defendant‘s counterclaim? and (4) Is there any
logical relation between the claim and the In contrast, a permissive counterclaim does not
counterclaim? Affirmative answers to the above necessarily arise out of or is not directly connected
queries indicate the existence of a compulsory with the subject matter of the first claim; it can be
counterclaim. (See Financial Building v. FPA, GR filed as a separate case altogether. There is a need
No. 133119, 2000) to pay for docket fees since it is seen as a different
action altogether with defendants becoming
Despite the lack of jurisdiction of the court to ‗plaintiffs‘ in respect of such counterclaim. (Reillo v.
adjudicate on the counterclaim, the same may San Jose, G.R. No. 166393, 2009)
nevertheless be pleaded in the same action, not to The counterclaim must be existing at the time of the
obtain affirmative relief because the court, for want filing the answer, though not at the commencement
of jurisdiction cannot do so. The purpose would of the action for under Section 3 of the former Rule
merely be as a defense to weaken the plaintiff‘s 10, the counterclaim or cross-claim must be one
which he may have ―at the time‖ against the

44
 One which arises out or It does not arise out of
opposing party. (Banco de Oro v. Court of Appeals, is necessarily nor is it necessarily
G.R. No. 160354, 2005) connected with the connected with the
If the compulsory counterclaim is by reason of an transaction or subject matter of the
unfounded suit then it may prosper even with the occurrence that is the opposing party‘s claim
main complaint having been dismissed. The cause subject matter of the
of action of the counterclaimant is not eliminated by opposing party‘s claim
the mere dismissal of the main complaint. (Padilla v.
Globe Asiatique, G.R. No. 207376, 2014)
The rule that ―the additional docket fee therefor
shall constitute a lien on the judgment‖ applies only
to damages arising after the filing of the complaint No requirement for the May require for its
or similar pleading, for then it will not be possible for presence of third adjudication the
the claimant to specify nor speculate as to the parties whom the court presence of third parties
amount thereof. (GSIS v. Caballero, G.R. No. cannot acquire over whom the court
158090, 2010) jurisdiction over for its cannot acquire
adjudication jurisdiction
COMPULSORY PERMISSIVE
COUNTERCLAIM COUNTERCLAIM
Shall be contained in May be set up as an
the answer. If not set independent action and (iii) EFFECT ON THE COUNTERCLAIM
up it shall be barred. will not be barred if not WHEN THE COMPLAINT IS
contained in the answer DISMISSED
to the complaint.
The defending party has the right to prosecute the
counterclaim in the same or separate action
notwithstanding the dismissal of the complaint, and
without regard as to the permissive or compulsory
Not an initiatory An initiatory pleading nature of the counterclaim. (Rule 17, Sections 2 and
pleading 3)

Does not require Should be accompanied d. CROSS-CLAIMS

certification of forum by a certification against
shopping forum shopping and A cross-claim is any claim by one party against a
whenever required by co-party arising out of the transaction or occurrence
law, a certificate to file that is the subject matter either of the original action
action issued by Lupong or of a counterclaim therein.
Tagapamayapa Such cross-claim may include a claim that the party
against whom it is asserted is or may be liable to
the cross-claimant for all or part of a claim asserted
in the action against the cross-claimant. (Section 8,
Rule 6 of the Rules of Court)

A compulsory Must be answered by the A cross-claim that a party has at the time the
counterclaim that party against whom it is answer is filed shall be contained in the answer.
merely reiterates interposed otherwise, he
special defenses are may be declared in Requirements:
deemed controverted default as to the
even without a reply. counterclaim. 1. A claim by one party against a co-party;
2. Must arise out of the transaction or occurrence
Issues raised in a The answer must be that is the subject matter either of the original
counterclaim are made within ten (10) action or of a counterclaim; and
deemed automatically days from service. 3. The cross-claimant is prejudiced by the claim
joined by the against him by the opposing party.
allegations of the
complaint, which need If It is Not Set Up in the Action, It is Barred
not be answered. EXCEPT:
1. When it is outside the jurisdiction of the court;
2. If the court cannot acquire jurisdiction over third
parties whose presence is necessary for the
adjudication of said cross-claim. In which case,
the cross-claim is considered PERMISSIVE;
3. Cross claim that may mature or maybe acquired
after service of the answer.

45
The dismissal of the complaint carries with it the arising out of another or different transaction, is
dismissal of a cross-claim which is purely defensive, connected with the plaintiff‘s claim;
but not a cross-claim seeking an affirmative relief. 2. Whether the third-party defendant would be
liable to the plaintiff or to the defendant for all or
Counter-counterclaims and counter-cross- part of the plaintiff‘s claim against the original
claims defendant; and
A counter-counter claim is filed when there is a 3. Whether the third party defendant may assert
claim against the original counterclaimant. On the any defenses that the third-party plaintiff has or
other hand, a counter-cross-claim is filed against an may have to plaintiff‘s claim.
original cross claimant.
Summons on third, fourth etc.-party defendant must
be served for the court to obtain jurisdiction over his
CROSS COUNTER- 3RD PARTY
person, since he is not an original party.
CLAIM CLAIM COMPLAINT
Against a co- Against an Against a Where the trial court has jurisdiction over the main
party opposing party person not a case, it also has jurisdiction over the third party
party to the complaint; regardless of the amount involved as a
action third party complaint is merely auxiliary to and is a
continuation of the main action.
Must arise out May arise out Must be in
of the of or be respect of the A prerequisite to the exercise of such right is that
transaction that necessarily opponent‘s some substantive basis for a third-party claim be
is the subject connected with (Plaintiff) claim found to exist, whether the basis be one of
matter of the the transaction indemnity, subrogation, contribution or other
original action or that is the substantive right. There must be a causal
or of a subject matter connection between the claim of the plaintiff in his
counterclaim of the opposing complaint and a claim for contribution, indemnity or
therein party‘s claim in other relief of the defendant against the third-party
which case, it defendant. The Court made out the following tests:
is called a (1) whether it arises out of the same transaction on
compulsory which the plaintiff‘s claim is based; or whether the
counterclaim, third-party claim, although arising out of another or
or it may not, in different contract or transaction, is connected with
which case it is the plaintiff‘s claim; (2) whether the third-party
called a defendant would be liable to the plaintiff or to the
permissive defendant for all or part of the plaintiff‘s claim
counterclaim against the original defendant, although the third-
party defendant‘s liability arises out of another
transaction; and (3) whether the third-party
defendant may assert any defenses which the third-
party plaintiff has or may have to the plaintiff‘s
claim. (Asian Construction v. Court of Appeals, G.R.
No. 160242, 2005)

Bringing new parties

This is availed of when none of the parties desired
to be brought into the action is a part of the main
No need for No need for Leave of court
action.
leave of court leave of court is required
f. COMPLAINT-IN-INTERVENTION

e. THIRD, (FOURTH, ETC.) PARTY INTERVENTION

COMPLAINT A legal proceeding by w/c a person who is not a
party to the action is permitted by the court to
A claim that a defending party may, with leave of become a party by intervening in a pending action
court, file against a person not a party to the action, after meeting the conditions and requirements of
called the third (fourth, etc.)—party defendant, for the Rules of Court. (Riano, Civil Procedure: A
contribution, indemnity, subrogation or any other Restatement for the bar, 2nd ed, 2009)
relief, in respect of his opponent‘s claim.
If the purpose of the motion for intervention is to
assert a claim against either or all of the original
Tests to Determine Whether the Third-Party parties, the pleading shall be called a COMPLAINT-
Complaint is in Respect of Plaintiff‘s Claim: IN-INTERVENTION.
1. Whether it arises out of the same transaction on
which the plaintiff‘s claim is based, or although Intervention is an action that is neither compulsory
nor mandatory but only optional and permissive; the

46
court has the full discretion in permitting or allowing court. (Section 4, Rule of Procedure for Small
the same. Claims Cases)

Requisites: A small claims action is commenced by filing with

1 Motion for intervention must be filed before the court an accomplished and verified Statement
judgment; of Claim in duplicate, accompanied by a
2. Movant must show that he has the ff. legal Certification of Non-forum Shopping, and two (2)
interest in the (a) matter in litigation, (b) the duly certified photocopies of the actionable
success of either parties, or (c) against both document/s subject of the claim, as well as the
parties; affidavits of witnesses and other evidence to
3. Movant will be adversely affected by the support the claim. (Section 5, Rule of Procedure for
judgment; and Small Claims Cases)
4. Intervention must NOT unduly delay or
prejudice the adjudication of the rights of the The defendant shall file his Response and serve
original parties and that the movant‘s rights may the same upon the plaintiff. He shall file a
not be fully protected by a separate proceeding. Counterclaim with the Response IF the
(Riano, Civil Procedure: A Restatement for the counterclaim is
bar, 2nd ed, 2009) 1. Within the coverage of the Rule exclusive of
interests and costs;
2. Arises out of the same transaction or event that
The motion to intervene may be filed at any time
is the subject matter of the plaintiff‘s claim;
before rendition of judgment by the trial court.
3. Does not require the joinder of third parties; and
4. Is not the subject of another pending action.
g. REPLY
Prohibited Pleadings in Small Claims Cases
A pleading, the office or function of which is to 1. Motion to dismiss the complaint;
deny, or allege facts in denial or avoidance of 2. Motion for a bill of particulars;
new matters alleged by way of defense in the
answer and thereby join or make issue as to such
3. Motion for new trial, or for reconsideration of a
judgment, or for reopening of trial;
new matters.
4. Petition for relief from judgment;
If a party does not file such reply, all the new 5. Motion for extension of time to file pleadings,
matters alleged in the answer are deemed affidavits or any other paper;
controverted or denied. No admission follows from 6. Memoranda;
the failure to file a reply (Section 10, Rule 6 of the 7. Petition for certiorari, mandamus, or prohibition
Rules of Court) against any interlocutory order issued by the
court;
Filing of a Reply is NOT Mandatory, EXCEPT: 8. Motion to declare the defendant in default;
1. When the defense in the answer is based upon 9. Dilatory motions for postponement;
an actionable document (Rule 8, Section 7); or
2. To set up affirmative defenses on the 10. Reply;
counterclaim. 11. Third-party complaints; and
12. Interventions
Thus, where the defense in the Answer is based on
an actionable document, a Reply specifically The RULE ON SUMMARY PROCEDURE shall
denying it under oath must be made; otherwise, the apply to the following:
genuineness and due execution of the document 1. All cases of forcible entry and unlawful detainer,
will be deemed admitted. (Casent Realty v. irrespective of the amount of damages or unpaid
Philbanking, G.R. No. 150731, 2007) rentals sought to be recovered.
2. All other cases, except probate proceedings,
where the total amount of the plaintiff‘s claim
2. PLEADINGS ALLOWED IN SMALL does not exceed one hundred thousand pesos
CLAIMS CASES AND CASES (P100,000) or two hundred thousand pesos
COVERED BY THE RULES ON (P200,000) in Metropolitan Manila, exclusive of
SUMMARY PROCEDURE interests and costs. (A.M. No. 02-11-09-SC)

Allowed Pleadings in Summary Procedure

The RULES OF PROCEDURE FOR SMALL Cases
CLAIMS CASES shall apply in All Actions which 1. Complaint
are: 2. Compulsory Counterclaim
1. Purely civil in nature where the claim or relief 3. Cross-Claims pleaded in the Answer
prayed for by the plaintiff is solely for payment or 4. Answers to these pleadings (Section 3, Rules on
reimbursement of sum of money. Summary Procedure)
2. The civil aspect of criminal actions either filed
before the institution of the criminal action, or Prohibited Pleadings
reserved upon the filing of the criminal action in

47
1. Motion to dismiss the complaint or to quash the Generally, a pleading need not be verified EXCEPT
complaint or information except on the ground of only when verification is required by a law or by a
lack of jurisdiction over the subject matter, or rule. (Rule 7, Section 4)
failure to comply with the preceding section;
2. Motion for a bill of particulars; A pleading which is required to be verified but lacks
3. Motion for new trial, or for reconsideration of the proper verification shall be treated as an
judgment, or for opening of trial; unsigned pleading which produces no legal effect
4. Petition for relief from judgment; and is dismissible.
5. Motion for extension of time to file pleadings,
affidavits or any other paper; However, it has been held that the requirement
6. Memoranda; regarding verification of a pleading is formal, not
7. Petition for certiorari, mandamus, or prohibition jurisdictional—non-compliance with which does not
against any interlocutory order issued by the necessarily render the pleading fatally defective.
court; The court may order the correction of the pleading if
8. Motion to declare the defendant in default; verification is lacking or act on the pleading
9. Dilatory motions for postponement; although it is not verified, if the attending
10. Reply; circumstances are such that the strict compliance
11. Third party complaints; with the rules may be dispensed with in order that
12. Interventions the ends of justice may thereby be served.
(Republic v. Coalbrine International Philippines,
Inc., G.R. No. 161838, 2010)
3. PARTS OF A PLEADING
A Pleading is verified by an AFFIDAVIT which
a. CAPTION declares that:
1. The affiant has read the pleading; and
The caption contains the following: 2. That the allegations therein are true and correct
1. The name of the court; of his personal knowledge or based on authentic
2. The title of the action; and records on file. (Rule 7, Section 4)
3. The docket number, if assigned.
CERTIFICATION AGAINST FORUM SHOPPING
Body
The body sets forth: FORUM SHOPPING
1. Its designation; It consists of filing multiple suits in different courts,
2. The allegation of the party‘s claims and either simultaneously or successively, involving the
defenses; same parties, to ask the courts to rule on the same
3. The reliefs prayed for; and related causes and/or to grant the same or
4. The date of the pleading. substantially the same relief.

b. SIGNATURE AND ADDRESS The CERTIFICATION AGAINST FORUM

SHOPPING is executed by the PLAINTIFF or the
PRINCIPAL PARTY under oath and must be signed
The complaint must be signed by the plaintiff OR by the party himself/herself and not merely by his
counsel representing him/her indicating his/her attorney.
address.
A certification against forum shopping signed by
Insufficiency in form and substance, as a ground for counsel is a defective certification that is equivalent
dismissal of the complaint, should not be based on to non-compliance with the requirement and
the title or caption, especially when the allegations constitutes a valid cause for the dismissal of the
of the pleading support an action. (Sps. Munsalud v. petition. (Ty-De Zuzuarregui v. Villarosa, G.R. No.
NHA, G.R. No. 167181, 2008) 183788, 2010)
An UNSIGNED PLEADING produces NO LEGAL The Certification Against Forum Shopping is a
EFFECT. The court is authorized, however, to Sworn Statement Certifying to the Following
allow the pleader to correct the deficiency if the Matters:
pleader shows, to the satisfaction of the court, that 1. That the party has not commenced any action or
the failure to sign the pleading was due to the mere filed any claim involving the same issues in any
inadvertence and not to delay the proceedings. court, tribunal, or quasi-judicial agency and, to
(Section 3, Rule 7 of the Rules of Court) the best of his/her knowledge, no such other
action or claim is pending therein;
c. VERIFICATION and CERTIFICATION AGAINST 2. That if there is such other pending action or
FORUM SHOPPING claim, a complete statement of the present
status thereof; and
VERIFICATION 3. That if he/she should thereafter learn that the
same or similar action or claim has been filed or
is pending, he/she shall report that fact within 5

48
 days therefrom to the court wherein his/her land Pasig Land Development Co. v. Mario
complaint or initiatory pleading was been filed. Tablante, G.R. No. 162924, 2010)
(Rule 7, Section 5)
Effect of Submission of False Certification or
The certificate of non-forum shopping is a Non-Compliance with the Undertakings Therein:
mandatory requirement in filing a complaint and 1. Indirect contempt; and
other initiatory pleadings asserting a claim or 2. Without prejudice to the filing of administrative
relief. (Rule 7, Section 5) and criminal actions.

An initiatory pleading includes: Effects of Willful and Deliberate Forum

1. Permissive counterclaim; Shopping:
2. Cross-claim; 1. Shall be ground for summary dismissal of the
3. Third (fourth, etc.)-Party complaint; case with;
4. Complaint-in-intervention; and 2. Direct contempt; and
5. Petition or any application in which a party 3. A cause for administrative sanctions
asserts his claim for relief.
In order to be held liable for willful an deliberate
Failure to comply with the requirements is not forum shopping, there should be, on the party‘s
curable by mere amendment of the pleading but part, either a failure to include the certification in
shall be cause for dismissal of the case, WITHOUT one's initiatory pleading, or a misrepresentation as
prejudice, unless otherwise provided. Dismissal to the pendency of another case involving the same
shall be UPON MOTION and AFTER hearing. issues, parties, and causes of actions with the
second complaint. But where plaintiff files his
To determine Forum Shopping, the test is to see second complaint, after the court with jurisdiction
whether, in the two or more cases pending, over the first complaint had granted a dismissal
there is: order, and such dismissal order has attained finality,
1. Identity of parties; the plaintiff cannot be made liable for forum
2. Identity of rights and causes; and shopping. (Daswani v. BDO Universal, G.R. No.
3. Identity of reliefs sought. 190983, 2015)
(Huibonhoa v. Concepcion, G.R. No. 153785,
2006) There is substantial compliance with the rules
regarding the need for an authorized person to sign
Thus, forum shopping exists when the elements of the certificate when a corporate officer, previously
litis pendentia are present or where a final judgment empowered via board resolution to sign the
in one case will amount to res judicata in another. certification against forum shopping, executes a
special power of attorney in favor of a manager of
the corporation, and it is the latter who signs the
i) REQUIREMENT OF A CORPORATION
verification and certificate against forum shopping.
EXECUTING THE
In other words, the power granted by a corporation
VERIFICATION/CERTIFICATION OF
to a corporate officer to sign the verification and
NON-FORUM SHOPPING
certificate may be further delegated, via special
power of attorney, to another. (Fuji Television
The certification may be executed by an authorized Network v. Espiritu, G.R. No. 204944-45, 2014)
person as long as he/she is duly authorized by the
.
corporation and has personal knowledge of the
Verification and Certification Against Forum
facts required to be disclosed in the certification
Shopping When Petitioner is a Government
against forum shopping, the certification may be
Entity:
signed by the authorized lawyer. (National Steel
Where the petitioner is government entity created
Corporation v. CA, G.R. No. 134468, 2002)
by the Constitution, and headed by its Chairman,
there is no need for the Chairman himself to sign
Where a general manager of a corporation signs the verification. Its representative, lawyer or any
the verification and certification against forum person who personally knew the truth of the facts
shopping without attaching therewith a alleged in the petition could sign the verification.
Corporate Secretary’s certificate or board HOWEVER, with regard to the certification of non-
resolution that he is authorized to sign for and on forum shopping, the established rule is that it must
behalf of the petitioner-corporation, such failure is be executed by the plaintiff or any of the principal
NOT fatal to the complaint of the corporation. This parties and not by counsel. Failure to show such
is especially true where the requisite board authority to execute the petition on behalf of the
resolution was subsequently submitted to the plaintiff or principal party renders the petition
court together with the pertinent documents. The dismissible. (People v. Iroy, G.R. No. 187743, 2010)
dismissal on a purely technical ground is frowned
upon especially if it will result in unfairness. The
d. EFFECT OF THE SIGNATURE OF COUNSEL
rules of procedure ought not to be applied in a very
IN A PLEADING
rigid, technical sense for they have been adopted to
help secure, not override, substantial justice. (Mid-

49
The signature of a counsel in a pleading Every pleading shall contain in a
constitutes a certification by him/her that: methodical and logical form, a plain,
1. He/she has read the pleading; concise and direct statement of the ultimate facts
2. That to the best of his/her knowledge, on which the party pleading relies for his claim or
information and belief there is good ground to defense, as the case may be, omitting the
support it; statement of mere evidentiary facts. (Rule 8,
3. That it is not interposed for delay. Section 1)

A Counsel Shall be Subject to Disciplinary a. MANNER OF MAKING ALLEGATIONS

Action in the Following Cases:
1. When he/she deliberately files an unsigned The pleading must contain only ULTIMATE FACTS,
pleading; which refer to the essential facts of the claim. It
2. When he/she signs a pleading in violation of the must omit the statement of mere evidentiary facts.
Rules;
3. When he/she alleges in the pleading scandalous The ULTIMATE FACTS are the important and
or indecent matter; substantial facts which form the basis of the primary
4. When he/she fails to promptly report to the court right of the plaintiff and which make up the wrongful
a change of his/her address. (Rule 7, Section 3) act or omission of the defendant. If the ultimate
facts are not alleged, the cause of action would be
Differentiating Rules on Verification and insufficient (Riano, Civil Procedure: A Restatement
Certificate Against Forum Shopping (Fuji for the bar, 2nd ed, 2009)
Television Network v. Espiritu, G.R. No. 204944-45,
2014) EVIDENTIARY FACTS – refer to those which are
necessary to prove the ultimate fact or which furnish
evidence of the existence of some other facts
VERIFICATION CERTIFICATE AGAINST
FORUM SHOPPING
i) CONDITION PRECEDENT

CONDITIONS PRECEDENT are matters which

Non-compliance or a Non-compliance or a must be complied with before a cause of action
defect therein does not defect therein, is arises. (Riano, Civil Procedure: A Restatement for
necessarily render the generally not curable by the bar, 2nd ed, 2009)
pleading fatally its subsequent
defective. The court submission or correction Conditions precedent and a general averment of its
may order its thereof, unless there is a occurrence must be stated in the pleading.
submission, correction need to relax the Rule on
or act on the pleading the ground of "substantial Otherwise, it will subject the complaint to dismissal,
depending on the compliance" or presence even on appeal, on the ground that a condition
attending of "special circumstances precedent for filing the claim has not be complied
circumstances. or compelling reasons. with. (Section 1[j], Rule 16 of the Rules of Court).

ii) FRAUD, MISTAKE, MALICE, INTENT,

KNOWLEDGE AND OTHER CONDITION
Substantially complied Must be signed by all the OF THE MIND, JUDGMENTS, OFFICIAL
with when one who has plaintiffs in a case; those DOCUMENTS, AND ACTS
ample knowledge to who did not sign will be
swear to the truth of the dropped as parties. In averments of fraud or mistake, the
allegations in the Under justifiable circumstances constituting such fraud or mistake
complaint signs the circumstances, however, must be stated with PARTICULARITY. Malice,
verification as when all the plaintiffs intent, knowledge or other conditions of the
or petitioners share a mind of a person may be averred GENERALLY.
common interest and (Rule 8, Section 5)
invoke a common cause
of action or defense, the In pleading a judgment, it is sufficient to aver the
signature of only one of judgment or decision without alleging matters
them substantially showing the jurisdiction to render judgment or
complies with the Rule. decision (Rule 8, Section 6)

In pleading a document or an act, it is sufficient to

aver that the document or act was issued or done in
compliance with law. (Rule 8, Section 9)
4. ALLEGATIONS IN A PLEADING Facts that May be Averred Generally
1. Conditions precedent (BUT there must still be an
allegation that the specific condition precedent

50
 has been complied with, otherwise, it will be fails to file a Reply with specific denials under oath
dismissed); (Section 3) of documents attached in the Answer, his failure
2. Capacity to sue or be sued; (Section 4) constitutes a judicial admission which should be
3. Capacity to sue or be sued in a representative considered by the judge, even in resolving a
capacity; (Section 4) demurrer to evidence. (Casent Realty v.
4. Legal existence of an organization (Section 4) Philbanking, G.R. No. 150731, 2007)
5. A party desiring to raise an issue as to the legal
existence or capacity of any party to sue or be GENUINENESS Means that the Instrument is
sued in a representative capacity shall do so by 1. Not spurious, counterfeit, or of different import
SPECIFIC DENIAL which shall include on its face from the one executed by the party or
supporting particulars within the pleader‘s 2. That the party whose signature it hears has
knowledge. signed it
6. Malice, intent, knowledge, or other condition of 3. That at the time it was signed, it was in words
the mind; (Section 5) and figures exactly as set out in the pleadings.
7. Judgments of domestic or foreign courts,
tribunals, boards, or officers (no need to show DUE EXECUTION Means that the Document Was
jurisdiction); and (Section 6) 1. Signed voluntarily and knowingly by the party
8. Official document or act. (Section 9) whose signature appears thereon,
2. If signed by somebody else such representative
Facts that must be averred particularly had the authority to do so,
Circumstances showing FRAUD or MISTAKE in all 3. It was duly delivered, and that the formalities
averments of fraud or mistake. (Section 5) were complied.

b. PLEADING AN ACTIONABLE DOCUMENT The Following Defenses are NOT Waived

Despite Failure to Deny under Oath:
1. Payment;
An ACTIONABLE DOCUMENT refers to a written
2. Want or illegality of consideration;
instrument upon which the action or defense is
3. Fraud;
based.
4. Mistake;
5. Compromise;
Pleading an Actionable Document: The Pleader
6. Statute of Limitations;
Must
7. Estoppel;
1. Set forth in the pleading the substance of the
8. Duress; and
instrument or the document, and to attach the
9. Minority or imbecility.
original or the copy of the document to the pleading
as an exhibit and which shall form part of the
The aforementioned defenses are NOT inconsistent
pleading; or
with the genuineness and due execution of the
2. Set forth in the pleading said copy of the
document.
instrument or document (Section 7, Rule 8 of the
Rules of Court) The Following Defenses are Waived:
1. Forgery in the signature;
How to Contest an Actionable Document
2. Unauthorized signature, as in the case of an
1. By specific denial under oath; and
agent signing for his principal;
2. By setting forth what is claimed to be the facts.
3. The corporation was not authorized under its
charter to sign the instrument;
Where the Actionable Document is Properly 4. Want of delivery; or
Alleged, the Failure to Specifically Deny UNDER 5. At the time the document was signed, it was not
OATH the Same Results in: in words and figures exactly as set out in the
1. The admission of the genuineness and due pleading.
execution of said document, EXCEPT that an
oath is NOT required: Failure to specifically deny under oath the
a. When the adverse party was not a party to genuineness and due execution of an actionable
the instrument; or document generally implies an admission of the
b. When compliance with an order for an same by the other party. However, such IMPLIED
inspection was refused. ADMISSION IS DEEMED WAIVED if the party
2. The document need not be formally offered in asserting the same has allowed the adverse party
evidence. For it may be considered an admitted to present evidence contrary to the contents of such
fact. (Philamgen v. Sweet Lines, G.R. No. document without objection. (Central Surety v.
87434, 1992) Hodges, G.R. No. L-28633, 1971)

Even documents submitted in an Answer must be c. SPECIFIC DENIALS

specifically denied under oath in a Reply, or else
the genuineness and due execution of the Types of Specific Denials:
documents attached to the Answer are deemed
admitted. This is the case even if it is true that a 1. ABSOLUTE DENIAL – The defendant specifies
Reply is generally optional. Thus, where a plaintiff each material allegation of fact the truth of which

51
 he does not admit and, whenever practicable, 2. Denial of allegations of usury in a complaint to
sets forth the substance of the matters upon recover usurious interest (Rule 8, Section 11)
which he relies to support his denial. (Rule 8,
Section 10) When a Specific Denial Does NOT Require an
Oath
2. PARTIAL DENIAL – The defendant specifies 1. The adverse party does not appear to be a party
the part of truth of which he admits and denies to the document;
only the remainder. 2. Compliance with an order for an inspection of
the original document is refused. (Rule 8,
3. DENIAL BY DISAVOWAL OF KNOWLEDGE – Section 8)
The defendant alleges that he is without
knowledge or information to form a belief as to Striking Out of Pleading or Matter Contained
the truth of a material averment made in the therein is initiated
complaint. This must be made sincerely and in 1. Upon motion by a party before responding to a
good faith. pleading;
2. Upon motion by a party within 20 days after
In a case where a copy of the mortgage deed is service of the pleading upon him if no
attached to the complaint, it is error for the responsive pleading is permitted; or
defendants, in their answer, to deny the underlying 3. Upon court‘s own initiative at any time.
debt by saying that they ―are without knowledge or
information sufficient to form a belief as to the truth Allegations of merely evidentiary or immaterial facts
of the material averments.‖ Since a copy of the may be expunged from the pleading or may be
deed was given to the defendants, it was within stricken out upon motion.
their power to thoroughly attack the complaint on
the basis of more specific denials, rather than a 5. EFFECT OF FAILURE TO PLEAD
general denial claiming lack of knowledge as to the
truth. The rule, which specifically authorizes an a. FAILURE TO PLEAD DEFENSES AND
answer of the defendant that he has no knowledge OBJECTIONS (Implied Admissions)
or information sufficient to form a belief to the truth
of an averment and which would have an effect of a General Rule: Defenses and objections not
denial, does not apply where the fact as to which pleaded either in a motion to dismiss or in the
want of knowledge is asserted is to the knowledge answer are deemed waived. (Rule 9, Section 1)
of the court as plainly and necessarily within the
defendant‘s knowledge that his averment of Exceptions:
ignorance must be palpably untrue. (Warner Barnes Grounds Not Deemed Waived (LLRP)
v. Reyes, G.R. No. L-9531, 1958) 1. Lack of jurisdiction over the matter;
2. Litis pendentia;
Where an answer states that the defendants 3. Res judicata or
―specifically deny the allegations in pars. 2 and 3 of 4. Prescription (Statute of limitations)
the complaint for want of knowledge or information
sufficient to form a belief as to the truth thereof, the
b. FAILURE TO PLEAD A COMPULSORY
truth of the matter being those alleged in the special
COUNTERCLAIM OR CROSS-CLAIM
and affirmative defenses of the defendants...," this
is considered a valid denial, as the explanation is
A compulsory counterclaim, or cross-claim, not set
said to be provided for in the affirmative and special
up at the time a defending party files his answer,
defenses. (Gaza v. Lim, G.R. No. 126863, 2003)
shall be BARRED.

(i) EFFECT OF FAILURE TO MAKE A An AMENDED ANSWER is proper if the

SPECIFIC DENIAL counterclaim or cross claim ALREADY EXISTED at
the time the original answer was filed, but due to
General Rule: Allegations NOT specifically denied oversight, inadvertence, or excusable neglect, it
are deemed admitted. was not set up.

Exceptions: A SUPPLEMENTAL ANSWER is proper if the

1. Allegations as to the amount of unliquidated counterclaim or cross-claim matures or is acquired
damages;
2. Allegations immaterial as to the cause of action;
AFTER the answer is filed.
and
3. Conclusion of law. 6. DEFAULT
(ii) WHEN A SPECIFIC DENIAL REQUIRES DEFAULT (Rule 9)
AN OATH Procedural concept when the defending party fails
to file his ANSWER within the reglementary period.
1. Denial of an actionable document (Rule 8, It does not occur from the failure of the defendant to
Section) attend

52
 Despite an answer being filed, a JUDGMENT BY
The defendant‘s non-appearance in the hearing and DEFAULT may still be rendered in the following
the failure to adduce evidence does NOT constitute circumstances
default when an answer has been filed within the 1. If a party refuses to obey an order requiring him
reglementary period. Instead, it amounts to a waiver to comply with the various modes of discovery;
of the defendant‘s right to object to the evidence or
presented during such hearings and to cross- 2. If a party of officer or managing agent of a party
examine the witness presented. (Monzon v. Sps willfully fails to appear before the officer who is
Relova v. Addio Properties, G.R. No. 17182, 2008) to take his deposition

a. WHEN A DECLARATION OF DEFAULT IS ORDER OF DEFAULT JUDGMENT BY

PROPER DEFAULT

Requisites Before a Party May be declared in Issued by the court Rendered by a court
Default: upon plaintiff‘s motion after a default order has
1. There must be a MOTION TO DECLARE the for failure of the been issued or after it
defendant in default; defendant to file his has received, ex parte,
2. Summons has been validly and previously responsive pleading plaintiff‘s evidence
SERVED upon him within the reglementary
3. Defendant FAILS TO ANSWER within the time period
allowed therefore;
4. There must be PROOF of such failure to
answer. Interlocutory Order – Final Order - Appealable
5. There must be NOTICE to the defendant by Not appealable
serving upon him a copy of such motion; and
6. There must be a HEARING of the motion to
declare the defendant in default (Riano, Civil
Procedure: A Restatement for the bar, 2nd ed, Failure to File an Answer in a Summary
2009) Proceeding
The defendant who fails to file an answer
The following are the remedies of a party declared seasonably is NOT supposed to be declared in
in default: default. Instead, the court, motu proprio OR upon
1. Before judgment: motion under oath to set aside motion of the plaintiff, shall render judgment as may
order of default when failure to answer is based be warranted by the facts alleged in the complaint
on fraud, accident, mistake, excusable and limited to what is prayed for.
negligence and the defendant has a meritorious
defense
b. EFFECT OF AN ORDER OF DEFAULT
2. Before judgment becomes final and executor:
motion for new trial
3. When judgment is final and executor: petition for The Court may, upon its own discretion:
relief 1. Proceed to render judgment; OR
4. Appeal judgment rendered against him as 2. Require the plaintiff to present his evidence ex
contrary to evidence or law parte according to judicial discretion. The
5. Petition for certiorari to declare nullity of judgment reception of the evidence may be done by the
by default (Gomez v. Montalban, G.R. No. court or delegated to the clerk of court.
174414, 2008)
The party declared in default LOSES his standing
The court has NO authority to motu proprio declare in court.
the defendant in default. A MOTION to declare the
defending party MUST BE FILED by the claiming Perfecta Cavili and her brothers were involved
party before a declaration of default is made by the in a case for the partition, accounting and
court. (Rule 9, Section 3) damages and they were declared in default due
to their failure to file an answer within the
Filing a motion to dismiss or a motion for a bill of prescribed period.
particulars will interrupt the running of the period to A motion for new trial was filed with the reason
file an answer. Thus, if these two motions are filed, that the counsel employed by Perfecta was only
a defendant may NOT be declared in default representing her and not her brothers and the
pending the resolution of these two motions. court approved this motion.
In the new trial, the brothers presented Perfecta
General Rule: A default order and consequently, a as a witness but the defendants opposed this
default judgment are triggered by the failure to file stating that since Perfecta is already declared in
the required answer by the defending party. default, she cannot participate in the case any
capacity, even as a witness.
Exceptions: The court ruled for the brothers. “Loss of
Pending” must only mean the forfeiture of one’s
right as a party litigant, contestant or legal

53
adversary. When a pleading asserts a claim against several
defending parties and some file and serve their
While the defendant can no longer take part in the answers but the others do not, the court shall try the
trial, he is nevertheless entitled to notices of case against ALL the defending parties based on
subsequent proceedings. He may participate in the the answers filed and render judgment upon the
trial not as a party but as a witness. (Cavili v. evidence presented where the claim states a
Florendo, 9 October 1987, 154 SCRA 610) common cause of action against them. (Rule 9,
Section 3)
A Party in Default is entitled to Notice of
1. Motion to declare him in default; e. EXTENT OF RELIEF
2. Order declaring him in default;
3. Subsequent proceedings; and A Judgment Rendered Against a Party Declared
4. Service of final orders and judgments. in Default Shall NOT
1. Exceed the amount prayed for;
A declaration of default is NOT an admission of the 2. Be different in kind from that prayed for;
truth or the validity of the plaintiff‘s claims. (Monarch 3. Award unliquidated damages.
Insurance v. CA, G.R. No. 92735, 2000)
f. ACTIONS WHERE DEFAULT IS NOT
Complainants are not automatically entitled to the ALLOWED
relief prayed for, once the defendants are declared
in default. Favorable relief can be granted only after 1. Annulment of marriage;
the court has ascertained that the relief is warranted 2. Declaration of nullity of marriage;
by the evidence offered and the facts proven by the 3. Legal Separation;
presenting party. Quantum of proof of plaintiff 4. Special civil actions of certiorari, prohibition and
remains the same even with defendant‘s default. mandamus where comment instead of an
(Gajudo v. Traders Royal Bank, G.R. No. 151098, answer is required to be filed; and
2006) 5. Summary procedure.

Default should be treated as the exception rather 7. FILING AND SERVICE OF

than the rule because the policy of the law is to
have every litigant‘s case tried on the merits as PLEADINGS
much as possible.
FILING
c. RELIEF FROM AN ORDER OF DEFAULT The act of presenting the pleading or other papers
to the CLERK OF COURT. (Rule 13, Section 2) For
After Notice of Order and Before Judgment the purpose of filing, the original must be presented
The defendant must file a MOTION TO SET ASIDE personally to the clerk of court or by sending the
ORDER OF DEFAULT under oath and show that same by registered mail. (Rule 13, Section 3)
1. The failure to answer was due to fraud, accident,
mistake or excusable negligence and that; SERVICE
2. The defendant has a meritorious defense – The act of providing a party with a COPY of the
affidavit of merit pleading or paper concerned.

After Judgment and Before Judgment Becomes The Following Papers Are required to be FILED
Final and Executory in Court and SERVED upon the parties affected:
The defendant may file a MOTION FOR NEW 1. Judgments;
TRIAL under Rule 37 of the Rules of Court. He may 2. Resolutions;
also appeal from the judgment as being contrary to 3. Orders;
the evidence or the law. 4. Pleadings subsequent to the complaint;
5. Written motion;
After Judgment Becomes Final and Executory 6. Notices;
File a PETITION FOR RELIEF OF JUDGMENT 7. Appearances;
under Rule 38 of the Rules of Court. 8. Demands;
9. Offers of judgment; and
d. EFFECT OF A PARTIAL DEFAULT 10. Similar papers. (Rule 13, Section 4)

Partial Default a. PAYMENT OF DOCKET FEES

1. The default asserting a claim states a common
cause of action against several defending The payment of the docket fee vests the court with
parties; jurisdiction over the subject matter.
2. Some of the defending parties answer and the
others fail to do so; and The court requires that all complaints, petitions,
3. The answer interposes a common defense. answers, and similar pleadings must specify the
amount of damages being prayed for both in the
Effect of Partial Default body of the pleading and in the prayer. (Manchester
Development Corp v. CA, G.R. No. 75919, 1987)

54
 c. PERIODS OF FILING OF PLEADINGS
Any defect in the original pleading resulting in the
underpayment of the docket fee cannot be cured by ANSWER TO COMPLAINT
amendment, such as by the reduction of the claim The defendant shall file his answer to the complaint
as, for all legal purposes, there is no original within fifteen (15) days after service of summons,
complaint over which the court has acquired unless a different period is fixed by the court.
jurisdiction.
Where the Defendant is a Foreign Private
Plainly, while the payment of the prescribed docket Juridical Entity
fee is a jurisdictional requirement, even its non- 1. Within fifteen (15) days after service of
payment at the time of filing does not automatically summons if there exists a resident agent.
cause the dismissal of the case, as long as the fee 2. Within fifteen (15) days after service of
is paid within the applicable prescriptive or summons if there is no resident agent but there
reglementary period, more so when the party is an agent or officer in the Philippines.
involved demonstrates a willingness to abide by the 3. Within thirty (30) days after receipt of summons
rules prescribing such payment. (Heirs of Bertuldo by the home office of the foreign private entity if
Hinog v. Hon. Achilles Melicor, G.R. No. 140954, there is no resident agent nor agent or officer in
2005) the Philippines and summons is made to the
proper government office which is tasked to
b. FILING VERSUS SERVICE OF PLEADINGS send a copy of such to the home office of the
foreign private entity.
FILING OF SERVICE OF
PLEADINGS PLEADINGS If the service of summons was made by publication,
within the time specified in the order granting leave
Act of presenting the Act providing a party to serve summons by publication, which shall not be
pleading or other paper with a copy of the less than sixty (60) days after notice.
to the clerk of court pleading or paper
concerned If the service of summons was made by
Modes of Filing Judgment, pleadings extraterritorial service to a non-resident defendant,
1. Personally to the and orders are served to the period to answer should be at least sixty (60)
clerk of court; or counsel, EXCEPT: days.
2. Sending them by 1.When he has no
registered mail counsel; ANSWER TO AMENDED COMPLAINT
2.When counsel of 1. Where the plaintiff files an amended complaint
as a matter of right, the defendant shall answer
record can‘t be located;
or the same within fifteen (15) days after
3.When party himself is being served with a copy thereof.
directed by court to 2. Where filing is NOT a matter of right, the
show cause (e.g. defendant shall answer the amended complaint
contempt) within ten (10) days from notice of the Order
admitting the same. An answer earlier filed may
*If represented by 2 serve as the answer to the amended complaint,
counsels, notice may be if no new answer is filed.
served upon both or
either of them COUNTERCLAIM OR CROSS-CLAIM
A counterclaim or cross-claim must be answered
Modes of Service within ten (10) days from service.
1. Personally;
2. Mail; or THIRD-PARTY COMPLAINT
3. Substituted service The time to answer a third (fourth, etc.)—party
complaint shall be governed by the same rule as
the answer to the complaint.

REPLY may be filed within ten (10) days from

service of the pleading responded to.
ANSWER TO SUPPLEMENTAL COMPLAINT
A supplemental complaint may be answered within
ten (10) 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.

Extension of Time to Plead

55
1. There must be a motion; (iii) SUBSTITUTED SERVICE
2. With service of such motion to the other party;
and If service of pleadings, motions, notices,
3. On such terms as may be just. resolutions, orders and other papers cannot be
made in either personal service or registered mail,
d. MANNER OF FILING the office and place of residence of the party or his
counsel being unknown, service may be made by
Two Modes of Filing delivering the copy to the clerk of court, with proof
1. By filing personally to the clerk of court of failure of both personal service and service by
2. By registered mail. mail.

Pleadings subsequent to original complaint and (iv) SERVICE OF JUDGMENTS, FINAL

written motions should first be served on the parties ORDERS, AND RESOLUTIONS
before they are filed with court.
How Made
The filing of pleadings, appearances, motions, 1. By personal service
notices, orders, judgments, and all other papers 2. By registered mail
shall be made by presenting the original copies. 3. By publication
4. NO substituted service.
Failure to comply with the requirement that the
petition be accompanied by a duplicate original or (v) PRIORITIES IN MODES OF SERVICE
certified true copy of the judgment, order, resolution AND FILING
or ruling being challenged is sufficient ground for
the dismissal of said petition. (William Golangco Whenever practicable, the service and filing of
Construction Corporation v. Ray Burton pleadings and other papers shall be done
Development Corporation, G.R. No. 163582, 2010) personally.

When a pleading is sent through private courier, the (vi) WHEN SERVICE IS DEEMED
date of actual receipt of the Court is considered as COMPLETE
the date of filing. (Heirs of Miranda v. Miranda, GR
No. 179638, 2013) 1. PERSONAL SERVICE - Upon actual delivery
2. ORDINARY MAIL - Upon expiration of 10 days
e. MODES OF SERVICE after mailing
3. REGISTERED MAIL - Upon actual receipt by
(i) PERSONAL SERVICE the addressee OR five (5) days from the date he
received first notice from postmaster
The preferred mode of service. If another mode of 4. SUBSTITUTED SERVICE - At the time of such
service is used (other than personal service), the delivery of the copy to the clerk of court
service must be accompanied by a written
explanation why the service of filing was not done (vii) PROOF OF FILING AND SERVICE
personally.
PROOF OF PROOF OF
How Personal Service is made FILING SERVICE
1. Delivering personally a copy to the party who is
not represented by a counsel, or to his counsel;
or
2. Leaving a copy in counsel‘s office with his clerk
or with a person having charge thereof; or
3. If no person is found in his office, or if his office
is unknown, or if he has no office – by leaving
the copy between 8 a.m. to 6 p.m. at the party‘s
or counsel‘s residence, if known, with a person
of sufficient age and discretion then residing
therein.

Failure to comply with the explanation requirement

may be cause for the paper to be considered as
NOT having been filed.

(ii) SERVICE BY MAIL

The preferred service by mail is by REGISTERED

MAIL. Service by ordinary mail may be done only if
no registry service is available in the locality of
either the sender or the addressee.

56
Personal The filing of a 1.Written Registered 1. The registry 1. The registry
Service pleading or paper admission of Mail receipt; and receipt; and
shall be proved the party 2. By the affidavit 2. By the
by its existence served; or of the person who affidavit of the
in the record of 2. Official return did the mailing. person who did
the case. of the server; or The affidavit the mailing.
If Not in the 3. Affidavit of must: The registry
Record the party 1. Contain a full return card shall
Written or serving, statement of the be filed
stamped containing full date and place of immediately
acknowledgment information of depositing the upon its receipt
of its filing by the the date, place mail in the post by the sender,
clerk of court on a and manner of office or in lieu thereof
copy of the same service. 2. In a sealed of the
envelope unclaimed letter
addressed to the together with
court the certified or
3. With postage sworn copy of
fully prepaid; and the notice given
4. With by the
instructions to the postmaster to
postmaster to the addressee.
Ordinary Affidavit of the
return the mail to
Mail person mailing the sender after
of the facts ten (10) days if
showing not delivered.
compliance with
Section 7, Rule
13 of the Rules
of Court

8. AMENDED AND SUPPLEMENTAL

PLEADINGS (Rule 10)

Amendments, in General
Proper when there is an event that was not alleged
in the pleadings due to inadvertence, oversight,
etc., but happened before its filing.

Pleadings MAY be Amended By:

1. Adding or striking out an allegation of a party;
2. Adding or striking out the name of a party;
3. Correcting a mistake in the name of a party; and
4. Correcting a mistake or inadequate allegation or
description in any other respect.

a. AMENDMENT AS A MATTER OF RIGHT

A party may amend his pleading ONCE as a matter

of right. Subsequent amendments must be WITH
LEAVE of court.

57
It may be exercised at ANY time BEFORE a Leave of Court is required
responsive pleading is SERVED. In the case of a 1. If the amendment is substantial; and
reply it may be amended at any time within ten (10) 2. A responsive pleading had already been served.
days after it is SERVED. (Rule 10, Section 2)
Requisites
Pleader has a right to amend his complaint before a 1. There must be a motion filed in court;
responsive pleading is served even if it is to correct 2. Notice to the adverse party; and
a jurisdictional defect. 3. Opportunity to be heard afforded to the adverse
party.
Instances Where Amendment is a Matter of Substantial amendments can be done with leave of
Right court. It can substantially alter the cause of action or
1. A COMPLAINT may be amended before an the defenses with leave of court. (PPA v. Gothong
answer is served (regardless of whether a new and Aboitiz, G.R. No. 158401, 2008)
cause of action or change in theory is introduced
– thus, MAY be substantial) Amendment by Leave of Court may NOT be
2. An ANSWER may be amended before a reply is Allowed When
served upon the defendant 1. When cause of action, defense or theory of the
3. A REPLY may be amended any time within ten case is changed;
(10) days after it is served; 2. Amendment is intended to confer jurisdiction to
the court;
A defect in the designation of the parties and other 3. Amendment to cure a premature or non-existing
clearly clerical or typographical errors may be cause of action; and
summarily corrected by the court at any stage of the 4. Amendment for purposes of delay.
action, at its initiative or on motion, provided no
prejudice is caused thereby to the adverse party. After a responsive pleading has been served, a
(Section 4, Rule 10) complaint cannot be amended to confer jurisdiction
on the court in which it is filed, if the cause of action
Section 2 Rule 10 refers to an amendment made originally set forth was not within the court's
before the trial court and NOT to amendments jurisdiction. (Campos Rueda Corporation v.
before the Court of Appeals. The Court of Appeals Bautista, G.R. No. L-18453, 1962)
is vested with jurisdiction to admit or deny amended
petitions filed before it (Navarro v. Vda De Taroma, c. FORMAL AMENDMENT
G.R. No. 160214, 2005) A defect in the designation of the parties and other
clearly CLERICAL or TYPOGRAPHICAL errors may
If a motion to dismiss is filed, an amendment to the be summarily corrected by the court at ANY stage
complaint would still be a matter of right during the of the action, at its initiative or on motion, provided
pendency of the motion to dismiss. Such a motion so prejudice is caused thereby to the adverse party.
is NOT a responsive pleading. (Paeste v. Jaurigue, (Section 4, Rule 10)
G.R. No. L-5711, 1953). Even if the motion to
dismiss is granted by the court, the plaintiff may still c. AMENDMENTS TO CONFORM TO OR
amend the complaint as a matter of right before AUTHORIZE PRESENTATION OF EVIDENCE
such dismissal becomes final.
When Issues Not Raised by the Pleadings Are
Before the filing of any responsive pleading, a Tried With the Express or Implied Consent of
party has the absolute right to amend his pleading, the Parties
regardless of whether a new cause of action or 1. They shall be treated in all respects as if they
change in theory is introduced. It is settled that a had been raised in the pleadings.
motion to dismiss is not the responsive pleading 2. Such amendment of the pleadings as may be
contemplated by the Rule. (Bautista v. Maya-Maya necessary to cause them to conform to the
Cottages, G.R. No. 148361, 2005) evidence may be made upon motion of any
party at any time, even after judgment.
The plaintiff may amend his complaint once as a 3. BUT failure to amend does NOT affect the result
matter of right, i.e. without leave of court, before any of the trial of these issues.
responsive pleading is filed or served. Responsive
pleadings are those which seek affirmative relief If Evidence is objected to at the Trial on the
and/or set up defenses, like an answer. A motion to Ground That it is Not Within the Issues Made by
dismiss is not a responsive pleading for purposes of the Pleadings
Section 2 of Rule 10. (Marcos-Araneta v. Court of 1. The court may allow the pleadings to be
Appeals, G.R. No. 154096, 2008) amended.
2. It shall do so with liberality if the presentation of
It is erroneous for a court to refuse an amendment the merits of the action and the ends of
exercised as a matter of right and this error may be substantial justice will be sub served thereby.
corrected by mandamus. 3. The court may grant a continuance to enable the
amendment to be made. (Rule 10, Section 5)
b. AMENDMENTS BY LEAVE OF COURT

58
 When an amended A supplemental pleading
This also covers situations where a complaint pleading is filed, a new does not require the filing
insufficiently states the cause of action. Such copy of the entire of a new copy of the
insufficiency may be cured by evidence presented pleading must be filed entire pleading
during the trial without objection. However, this is
applicable only if a cause of action in fact exists at
the time the complaint is filed, but the complaint is
defective for failure to allege the essential facts.
(Swagman Hotels and Travel Inc., v. CA, G.R. No.
161135, 2005)
Filing of Amended Pleadings
d. DIFFERENCE FROM SUPPLEMENTAL When any pleading is amended, a new copy of the
PLEADINGS entire pleading, incorporating the amendments,
which shall be indicated by the appropriate marks,
SUPPLEMENTAL PLEADINGS shall be filed.
Set forth transactions, occurrences or events which
e. EFFECT OF AMENDED PLEADING
have happened since the date of the pleading
sought to be supplemented.
An amended pleading supersedes the pleading that
it amends.
The cause of action stated in the supplemental
pleading is thus the SAME as that stated in the
However, admissions in superseded pleadings may
original. The supplemental pleading is only a
be received in evidence against the pleader; and
CONTINUATION of the primary pleading as it only
claims or defenses alleged therein not incorporated
serves to bolster or add something to it.
in the amended pleading shall be deemed waived.
The adverse party MAY plead thereto within ten
The original complaint is deemed superseded and
(10) days from notice of the order admitting the
abandoned by the amendatory complaint only if the
supplemental pleading. Thus, it is NOT mandatory
latter introduces a new or different cause of action.
for an answer to be filed to a supplemental
(Verzosa v. CA, G.R. No. 119511, 1998)
complaint.
Admissions made in the original pleadings are
Additional filing fees are due to a supplemental
considered as EXTRAJUDICIAL admissions.
complaint and it is not for the party or the trial court
However, admissions in superseded pleadings may
to waive such payment. Failure to pay filing fees for
be received in evidence against the pleader as long
supplemental complaint is fatal only for the
as they are formally offered in evidence (Rule 10,
supplemental complaint. The original complaint is
Section 8)
not affected (Do-All Metals Industries Inc., v.
Security Bank, G.R. No. 176339, 2011)
Effect of Amendment of Complaint on the
Requisite of Service of Summons
AMENDED SUPPLEMENTAL
If new causes of action are alleged in the amended
PLEADING PLEADING
complaint filed BEFORE the defendant has
Refers to facts existing Refers to facts arising appeared in court, another summons must be
at the time of the AFTER the filing of the served on the defendant with the amended
commencement of the original pleading complaint.
action
However, if the defendants have ALREADY
APPEARED before the court by virtue of summons
Takes the place of the Taken TOGETHER with in the original complaint (e.g., by filing an entry of
original pleading the original pleading appearance or motion for extension of time to file a
responsive pleading), the amended complaint may
be served upon them without need of another
summons EVEN IF new causes of action are
Can be made as a Always WITH leave of alleged.
matter of right as when court
no responsive pleading END OF TOPIC
has yet been filed

F. SUMMONS
(Rule 14)

59
1. NATURE AND PURPOSE OF
Nature
SUMMONS IN RELATION TO The issuance of summons by the Clerk of Court is
ACTIONS IN PERSONAM, IN REM MANDATORY upon the filing of the complaint and
AND QUASI IN REM payment of requisite legal fees (Riano, Civil
2. VOLUNTARY APPEARANCE Procedure: A Restatement for the Bar, 2nd Edition,
2009)
3. PERSONAL SERVICE
4. SUBSTITUTED SERVICE Summons May be Served ONLY by
5. CONSTRUCTIVE SERVICE (BY 1. Sheriff;
PUBLICATION) 2. Sheriff‘s deputy; or
a. Service upon a defendant where his 3. Other proper court officers; or
identity is unknown or where his 4. For justifiable reasons, by any suitable person
whereabouts are unknown authorized by the court issuing the summons
b. Service upon residents temporarily
outside the Philippines ALIAS SUMMONS
6. EXTRA-TERRITORIAL SERVICE, One issued by the clerk of court on demand of the
WHEN ALLOWED plaintiff when the original summons was returned
without being served on any or all of the
7. SERVICE UPON PRISONERS AND defendants, or when summons has been lost. When
MINORS issued, it supersedes the first summons.
8. PROOF OF SERVICE
RETURN
1. NATURE AND PURPOSE OF When the service has been completed, the server
SUMMONS IN RELATION TO shall, within five (5), serve a copy of the return, to
the plaintiff's counsel, and shall return the summons
ACTIONS IN PERSONAM, IN REM to the clerk, who issued it, accompanied by proof of
AND QUASI IN REM service.

Summons SUMMONS IN ACTIONS IN PERSONAM

A writ by which the defendant is notified of the
action brought against him/her. Service of such writ Purpose
is the means by which the court may acquire
1. Notify defendant of action against him/her; and
jurisdiction over his/her person. (Cano-Gutierrez v.
2. Acquire jurisdiction over defendant‘s person in a
Gutierrez, G.R. No. 138584, 2000)
civil case
NON-SERVICE OR IRREGULAR SERVICE OF
SUMMONS may be a ground for dismissal for lack Jurisdiction over the defendant, without service of
of jurisdiction over the person of the defending summons, cannot be acquired even if the defendant
party. has knowledge of the case against him. (Habana v.
Vamenta, G.R. No. L-27091, 1970)
Service of such writ is the means by which the court
Even if jurisdiction was not originally acquired due
acquires jurisdiction over his person. Any judgment
to defective service of summons, court acquires
without such service in the absence of a valid
jurisdiction over his person by his act of
waiver is null and void. (Gomez v. Court of
subsequently filing a motion for reconsideration.
Appeals, G.R. No. 127692, 2004)
(Soriano v. Palacio, G.R. No. L-17469, 1964)
The Clerk of Court Shall Issue the Summons to
In case of death of defendant before the service of
the Defendant Upon
summons, the 1976 en banc decision in the case of
1. Filing of the complaint; and Dumlao v. Quality Plastic Products Inc., G.R. No. L-
2. Payment of the requisite legal fees. 27956, 1976, held that:
Contents of Summons
―The lower court's judgment against deceased is
1. Name of the court & names of the parties to the
void for lack of jurisdiction over his person.
action;
Deceased was not, and could not have been, validly
2. Direction that defendant answer within the time
served with summons. He had no more civil
fixed by these Rules; and
personality. His juridical capacity, which is the
3. Notice that unless the defendant so answers,
fitness to be the subject of legal relations, was lost
plaintiff will take judgment by default and may be
through death.‖
granted the relief applied for.

NOTE: A copy of the complaint and order for SUMMONS IN ACTIONS IN REM AND QUASI IN
appointment of guardian ad litem if any shall be REM
attached to the original and each copy of the The purpose of the summons is to satisfy the
summons. constitutional requirement of due process

60
 of justice. Thus, they are enjoined to try their best
It is done NOT to acquire jurisdiction over the efforts to accomplish personal service on
defendant; in actions in rem and quasi in rem, the defendant. On the other hand, since the defendant
court CAN acquire jurisdiction by acquiring is expected to try to avoid and evade service of
jurisdiction over the RES (the thing). summons, the sheriff must be resourceful,
persevering, canny, and diligent in serving the
In actions in rem or quasi in rem, jurisdiction over process on the defendant. (Constantino Pascual v.
the person of the defendant is not a prerequisite to Lourdes Pascual, G.R. No. 171916, 2009)
confer jurisdiction on the court provided that the
court acquires jurisdiction over the RES, although How Served
summons must be served upon the defendant in 1. By handing a copy thereof to the defendant in
order to satisfy the due process requirements. person
[Gomez v. Court of Appeals, G.R. No. 127692, 2. If he/she refuses to receive and sign for it,
March 10, 2004] summons will be tendered by server to
defendant.
Jurisdiction Over the Res is Acquired Either
1. By the seizure of the property under legal A summons may be served personally wherever the
process, whereby it is brought into actual defendant is found within the Philippine. As stated
custody of the law; or in Sansio Philippines Inc. v Sps, Mogol, G.R. No.
2. As a result of the institution of legal proceedings, 177007, 2009, ―Section 6, Rule 14 of the Rules of
in which the power of the court is recognized Court does not require that the service of summons
and made effective. on the defendant in person must be effected only at
the latter‘s residence as stated in the summons. On
2. VOLUNTARY APPEARANCE the contrary, said provision is crystal clear that,
whenever practicable, summons shall be served by
handing a copy thereof to the defendant; or if he
General Rule: Voluntary appearance is equivalent refuses to receive and sign for it, by tendering it to
to service of summons. him. Nothing more is required.‖

Exception: Tender is part of service of summons and NOT a

Filing a motion to dismiss on the ground of lack of separate mode of service. (Riano, Civil Procedure:
jurisdiction is NOT considered as voluntary nd
A Restatement for the Bar, 2 ed, 2009)
appearance.
Against a NONRESIDENT, jurisdiction over the
Inclusion in motion to dismiss of other grounds defendant is acquired by service upon his person
aside from lack of jurisdiction over person of while said defendant is within the Philippines. If
defendant shall NOT be deemed as voluntary the non-resident defendant is not in the Philippines,
appearance. and the action is an action in personam, Philippine
courts cannot acquire jurisdiction over the
It is settled that a party who makes a special defendant.
appearance in court for the purpose of challenging
the jurisdiction of said court, based on the invalidity
of the service of summons, cannot be considered to 4. SUBSTITUTED SERVICE
have voluntarily submitted himself to the jurisdiction
of the court. (Perkin Elmer Singapore Pte Ltd. v. Substituted service can only be made if personal
Dakila Trading Corporation, G.R. No. 172242, service CANNOT be made within a reasonable time
2007) for justifiable causes.

For Substituted Service of Summons to be valid,

3. PERSONAL SERVICE the following MUST be demonstrated
1. That personal service of summons within a
When Required reasonable time was impossible;
Personal service is MANDATORY in actions in 2. That efforts were exerted to locate the party;
personam to acquire jurisdiction over person of and
defendant. 3. That the summons was served upon a person
of sufficient age and discretion residing at the
In an action strictly in personam, personal service party's residence or upon a competent person
on the defendant is the preferred mode of service, in charge of the party's office or regular place of
that is, by handing a copy of the summons to the business.
defendant in person. (Imelda Manotoc v. Court of
Appeals, G.R. No. 130974, 2006) It is likewise required that the pertinent facts proving
these circumstances be stated in the proof of
Sheriffs are asked to discharge their duties on the service or in the officer's return.‖ (Sagana v.
service of summons with due care, utmost Francisco, G.R. No.161952, 2009)
diligence, and reasonable promptness and speed
so as not to prejudice the expeditious dispensation

61
The failure to comply faithfully, strictly and fully with personally serve the summons within a reasonable
all the foregoing requirements of substituted service period [of one month], which eventually resulted in
renders the service of summons ineffective. (San failure to prove impossibility of prompt service.
Pedro v. Ong, G.R. No. 177598, 2008) ―Several attempts‖ means at least three (3) tries,
preferably on at least two different dates. In
Without specifying the details of the attendant addition, the sheriff must cite why such efforts were
circumstances or of the efforts exerted to serve the unsuccessful. It is only then that impossibility of
summons, a general statement that such efforts service can be confirmed or accepted. (Imelda
were made will not suffice for purposes of Manotoc v. Court of Appeals, G.R. No. 130974,
complying with the rules of substituted service of 2006)
summons. (Guiguinto Credit Cooperative, Inc. v.
Torres, G.R. No. 170926, 2006) “Suitable Age and Discretion”
A person of suitable age and discretion is one who
Substituted service as the normal mode of service has attained the age of full legal capacity (18
for residents temporarily out of the Philippines. years old) and is considered to have enough
(Leah Palma v. Danilo Galvez, G.R. 165273, 2010) discernment to understand the importance of a
summons.
A plain and simple reading of the above provisions
indicates that personal service of summons should Discretion is defined as ―the ability to make
and always be the first option, and it is only when decisions which represent a responsible choice and
the said summons cannot be served within a for which an understanding of what is lawful, right or
reasonable time can the process server resort to wise may be presupposed‖. Thus, to be of sufficient
substituted service. (Constantino A. Pascual v. discretion, such person must know how to read and
Lourdes S. Pascual, G.R. No.171916, 2009) understand English to comprehend the import of the
summons, and fully realize the need to deliver the
Substituted Service is Made By summons and complaint to the defendant at the
1. Leaving copes of the summons at the earliest possible time for the person to take
defendant‘s residence with a person of suitable appropriate action. Thus, the person must have the
age and discretion residing therein; or ―relation of confidence‖ to the defendant, ensuring
2. Leaving copies of the summons at the that the latter would receive or at least be notified of
defendant‘s office or regular place of business the receipt of the summons. The sheriff must
with some competent person in charge thereof. therefore determine if the person found in the
alleged dwelling or residence of defendant is of
“Reasonable Time” Requirement legal age, what the recipient‘s relationship with the
Reasonable time is defined as ―so much time as is defendant is, and whether said person
necessary under the circumstances for a comprehends the significance of the receipt of the
reasonably prudent and diligent man to do, summons and his duty to immediately deliver it to
conveniently, what the contract or duty requires that the defendant or at least notify the defendant of said
should be done, having a regard for the rights and receipt of summons. These matters must be clearly
possibility of loss, if any to the other party.‖ (Imelda and specifically described in the Return of
Manotoc v. Court of Appeals, G.R. No. 130974, Summons. (Imelda Manotoc v. Court of Appeals,
2006) G.R. No. 130974, 2006) AND (Constantino Pascual
v. Lourdes Pascual, G.R. No. 171916, 2009)
What then is a reasonable time for the sheriff to
effect a personal service in order to demonstrate “Competent Person in Charge”
impossibility of prompt service? To the plaintiff, If the substituted service will be done at defendant‘s
―reasonable time‖ means no more than seven (7) office or regular place of business, then it should be
days since an expeditious processing of a complaint served on a competent person in charge of the
is what a plaintiff wants. To the sheriff, ―reasonable place. Thus, the person on whom the substituted
time‖ means 15 to 30 days because at the end of service will be made must be the one managing the
the month, it is a practice for the branch clerk of office or business of defendant, such as the
court to require the sheriff to submit a return of the president or manager; and such individual must
summons assigned to the sheriff for service. The have sufficient knowledge to understand the
Sheriff‘s Return provides data to the Clerk of Court, obligation of the defendant in the summons, its
which the clerk uses in the Monthly Report of Cases importance, and the prejudicial effects arising from
to be submitted to the Office of the Court inaction on the summons. (Imelda Manotoc v. Court
Administrator within the first ten (10) days of the of Appeals, G.R. No. 130974, 2006)
succeeding month. Thus, one month from the
issuance of summons can be considered Entity Without Juridical Personality
―reasonable time‖ with regard to personal service on If sued under the name by which they are generally
the defendant. (Constantino Pascual v. Lourdes or commonly known, service may be effected upon
Pascual, G.R. No. 171916, 2009) all the defendants by serving upon:
1. Any one of them; or
“Several Attempts” 2. Upon the person in charge of the office or place
For substituted service of summons to be available, of business maintained in such name.
there must be several attempts by the sheriff to

62
But such service shall not bind individually any corporation that such person will know what to do
person whose connection with the entity has, upon with the legal papers served on him.
due notice, been severed before the action was The impossibility of prompt service must be shown
brought. by stating the efforts have been made to find the
defendant personally and that such efforts failed;
Domestic Private Juridical Entity these requirements must be followed strictly,
When the defendant is a corporation, partnership or faithfully and fully and any substituted service other
association organized under the laws of the than that authorized by statute is considered
Philippines with a juridical personality, service may ineffective.
be made on the
1. President; Foreign Private Juridical Entity
2. Managing Partner; When the defendant is a foreign private juridical
3. General Manager; entity which has transacted business in the
4. Corporate Secretary; Philippines, service may be made on its resident
5. Treasurer; or agent designated in accordance with law for that
6. In-house Counsel. purpose, or, if there be no such agent, on the
government
Section 13, Rule 14 is ―restricted, limited, and official designated by law to that effect, or on any of
exclusive.‖ (Paramount Insurance Corp. v. A.C. its officers or agents within the Philippines.
Ordoñez Corporation, G.R. No. 175109, 2003)
If the foreign private juridical entity is not registered
Basic is the rule that a strict compliance with the in the Philippines or has no resident agent, service
mode of service is necessary to confer jurisdiction may, with leave of court, be effected out of the
of the court over a corporation. The officer upon Philippines through any of the following means:
whom service is made must be one who is named
in the statute; otherwise, the service is insufficient.‖ a) By personal service coursed through the
(Bank of the Philippine Islands v. Santiago G.R. No. appropriate court in the foreign country with the
169116, 2007) assistance of the Department of Foreign
Affairs;
The rationale of the rule is that service must be b) By publication once in a newspaper of general
made on a representative so integrated with the circulation in the country where the defendant
corporation sued as to make it a priori presumable may be found and by serving a copy of the
that he will realize his responsibilities and know summons and the court order by-registered
what he should do with any legal papers received mail at the last known address of the
by him. (Millenium Industrial Commercial defendant;
Corporation v. Tan, G.R. No. 131724, 2000) c) By facsimile or any recognized electronic
means that could generate proof of service; or
d) By such other means as the court may in its
Substituted Service For Corporation – See BD discretion direct. (A.M. No. 11-3-6-SC)
Longspan v. Ampeloquio 11 September 2009,
GR 169919. Public Corporations
BD Long Span Builders and R.S. Ampeloquio are When the defendant is the Republic of the
Philippine corporations that entered into an Philippines, service may be effected on the
agreement worth P80M thus one of the conditions SOLICITOR GENERAL.
was for BD Long Span, as the obligor, to deposit
P800K during the duration of the project and it was In case of a province, city or municipality, or like
agreed that the deposit would be returned once the public corporations, service may be effected on its
project is done. EXECUTIVE HEAD, or on such OTHER OFFICER
BD Long Span was unable to finish the project OR OFFICERS as the law or the court may direct.
which resulted in the cancellation of the agreement.
BD Long Span demanded for the refund of the Non-resident Defendant
deposit but RS Ampeloquio refused. Generally, summons to a non-resident defendant
BD Long Span then filed a case for rescission of may be served wherever he may be found. Note,
contract and damages against RS. The summons however, in the case of, Gemperle v. Schenker,
and a copy of the complaint were served on RS G.R. No. L-18164, 1967, where the Court carved
through its staff member. out a very narrow exception to the requirement of
SC ruled that at the outset, service of summons to personal service. In said case, the Court deemed
a corporation should be through the President, the service of summons to the resident spouse who
managing partner, corporate secretary, treasurer or was also the defendant‘s attorney-in-fact, valid.
in-house counsel otherwise the service would be Thus:
insufficient.
The purpose is to reasonably ascertain that the ―Nevertheless, We hold that the lower court had
corporation will receive prompt and proper notice in acquired jurisdiction over said defendant, through
an action against it or to insure that summons is service of the summons addressed to him upon
served to a representative so integrated with the Mrs. Schenker, it appearing from said answer that
she is the representative and attorney-in-fact of her

63
husband (xxx), which apparently was filed at her (Millenium Industrial Commercial Corporation v.
behest, in her aforementioned representative Tan, G.R. No. 131724, 2000)
capacity. In other words, Mrs. Schenker had
authority to sue, and had actually sued on behalf of
her husband, so that she was, also, empowered to
5. CONSTRUCTIVE SERVICE (BY
represent him in suits filed against him, particularly PUBLICATION)
in a case, like the of the one at bar, which is
consequence of the action brought by her on his Constructive notice by publication used to be
behalf.‖ available only in actions IN REM or QUASI IN REM.

Effect of Ineffective Substituted Service Now, constructive service is available in action IN

The Court does NOT acquire jurisdiction over the PERSONAM (thus, in ANY ACTION) where the
person of the accused and the judgment against defendant is designated as an unknown owner or
him must perforce be nugatory and without legal whenever his whereabouts are unknown and
effect.‖ (Litonjua v. CA, G.R. No. L-46255, October cannot be ascertained.
28, 1977)
a. SERVICE UPON A DEFENDANT WHERE HIS
Furthermore, in the 1993 decision in Laus v. Court IDENTITY IS UNKNOWN OR WHERE HIS
of Appeals, G.R. No. 101256, 1993, the period to WHEREABOUTS ARE UNKNOWN
file motion to dismiss for lack of jurisdiction over the
defendant‘s person does not commence to run Constructive Service of Summons (through
since court has no jurisdiction to adjudicate the publication) may be effected on RESIDENT
controversy as to him, unless he voluntarily submits DEFENDANT
to the jurisdiction of the court. 1. Who is designated as an unknown owner (or the
like), or
Effect of Substituted Service Validly Served but 2. Whose whereabouts are unknown and cannot
Not Received by Defendant be ascertained by diligent inquiry;
Where the substituted service has been validly 3. With leave of court.
served, its validity is NOT affected by the
defendant‘s failure to receive the summons from the Service of summons shall be effected by publication
person with whom the summons had been left. in a newspaper of general circulation and in such
places and for such time as the court may order.
If diligent efforts were undertaken by the Sheriff to
serve summons upon the defendant but he was b. SERVICE UPON RESIDENTS
PREVENTED from effecting such service by the TEMPORARILY OUTSIDE THE PHILIPPINES
DEFENDANT HIMSELF, summons shall be
deemed PROPERLY served and that the court has The defendant is a resident of the Philippines, and
acquired jurisdiction over the person of the remains to be one, except that he is temporarily
defendant. (Robinson v. Miralles, G.R. No. 163584, outside of the country. The provision does not
2006) provide for the length of time needed, as long as the
defendant is certain to return, although it may not
Substantial Compliance be known when.
Requisites for the application of the doctrine of
substantial compliance: In ANY suit against a resident of the Philippines
(a) There must be actual receipt of the summons by temporarily absent from the country, the defendant
the person served, i.e., transferring possession of may be served by SUBSTITUTED service because
the copy of the summons from the Sheriff to the he still leaves a definite place of residence where
person served; he/she is bound to return.
(b) The person served must sign a receipt or the
sheriffs return; and In addition, EXTRA-TERRITORIAL service [by
(c) There must be actual receipt of the summons by personal service effected out of the Philippines OR
the corporation through the person on whom the by publication in a newspaper of general circulation
summons was actually served. The third requisite is in such places and for such time as the court may
the most important for it is through such receipt that order] MAY be resorted to WITH LEAVE OF
the purpose of the rule on service of summons is COURT.
attained. (Porac Trucking, Inc. v. Court of Appeals
G.R. No. 81093, 1990) Summons by publication against a NON-
RESIDENT in an action IN PERSONAM is NOT a
For there to be substantial compliance, actual proper mode of service.
receipt of summons by the corporation through the
person served must be shown. Where a corporation 6. EXTRA-TERRITORIAL SERVICE,
only learns of the service of summons and the filing
of the complaint against it through some person or
WHEN ALLOWED
means other than the person actually served, the
service of summons becomes meaningless. Specific actions justifying application of
Extraterritorial Service

64
 The said extraterritorial service of summons is not
EXTRA-TERRITORIAL SERVICE for the purpose of vesting the court with jurisdiction,
Involves a NON-RESIDENT defendant who but for complying with the requirements of fair play
CANNOT be found in the Philippines and the action or due process, so that the defendant will be
against him is IN REM or QUASI IN REM. informed of the pendency of the action against him
and the possibility that property in the Philippines
Exception belonging to him or in which he has an interest may
When service may be effected OUT of the be subjected to a judgment in favor of the plaintiff,
Philippines (as provided in extra-territorial service) and he can thereby take steps to protect his interest
for ANY ACTION involving residents who are if he is so minded. (Perkin Elmer Singapore Pte Ltd.
TEMPRORARILY out of the Philippines. (Rule 14, v. Dakila Trading Corporation, G.R. No. 172242,
Section 16) 2007)

Instances When Extra-territorial Service May be “In Any Other Manner the Court May Deem
availed of Sufficient”
1. Actions that affect the personal status of the The list of modes of service provided in the code is
plaintiff; inclusive of the other modes that the court may
2. Actions which relate to, or the subject matter of deem sufficient. In this light, note the difference
which is property within the Philippines, in which between the following cases of Valmonte and
defendant claims a lien or interest, actual or Gemperle, where the common fact involves a
contingent; spouse receiving in behalf of the other. Gerperle is
3. Actions in which the relief demanded consists, the EXCEPTION to the general rule of personal
wholly or in part in excluding the defendant from service.
an interest in the property located in the Philippines;
and Service of summons upon the non-resident
4. When defendant‘s property has been attached in husband who was not appointed as attorney-in-fact
the Philippines. of wife nor authorized by wife to receive summons
for her could not fall within the ambit of the third
Applicability of Extra-territorial Service mode (in any manner the court may deem
It must be noted that extraterritorial service of sufficient), for the following reasons:
summons or summons by publication applies only 1. Service of summons on petitioner was not made
when the action is in rem or quasi in rem. The first upon the order of the court as required by
is an action against the thing itself instead of Section 17, Rule 14, and certainly was not a
against the defendant‘s person; in the latter, an mode deemed sufficient by the court which in
individual is named as defendant, and the purpose fact refused to consider the service to be valid
is to subject that individual‘s interest in a piece of and on that basis declare petitioner in default for
property to the obligation or loan burdening it. (Jose her failure to file an answer.
v. Boyon, G.R. No. 147369, 2003) 2. Service in the attempted manner on petitioner
was not made upon prior leave of the trial court
Modes of Extra-Territorial Service as required also in Section 17, Rule 14. As
provided in § 19, such leave must be applied for
As per the same rule, the following are the by motion in writing, supported by affidavit of the
allowed Modes of Extra-Territorial Service plaintiff or some person on his behalf and setting
1. Personal service as under Section 6 of Rule 14 forth the grounds for the application.
2. Publication in a newspaper of general circulation 3. Petitioner did not appoint her husband as her
in such places and for such time as the court attorney-in-fact. Although she wrote private
may order AND service by registered mail to the respondent‘s attorney that ―all communications‖
last known address of the defendant. intended for her should be addressed to her
Publication and service must BOTH concur husband who is also her lawyer at the latter‘s
3. In any other manner the court may deem address in Manila, no power of attorney to
sufficient receive summons for her can be inferred
therefrom. (Valmonte v. CA, G.R. No. 108538,
NOTE: ALL require prior leave of court. 1996)

Jurisdiction over the person of the defendant, if Gemperle v. Shenker, [G.R. No. L-18164, January
acquired at all in such an action, is obtained by the 23, 1967] (In contrast with Valmonte): We hold that
voluntary submission of the defendant or by the the lower court had acquired jurisdiction over said
personal service of process upon him within the defendant, through service of the summons
territory where the process is valid. If, however, addressed to him upon Mrs. Schenker, it appearing
the defendant is a nonresident and, remaining from said answer that she is the representative and
beyond the range of the personal process of the attorney-in-fact of her husband aforementioned civil
court, refuses to come in voluntarily, the court never case No. Q-2796, which apparently was filed at her
acquires jurisdiction over the person at all. (Banco behest, in her aforementioned representative
Espanol-Filipino v. Palanca, G.R. No. L-11390, capacity. In other words, Mrs. Schenker had
1918) authority to sue, and had actually sued on behalf of

65
her husband, so that she was, also, empowered to In the 2002 decision in the case of Samartino v.
represent him in suits filed against him, particularly Raon et. Al., [G.R. No. 131482, July 3, 2002] the
in a case, like the of the one at bar, which is Court said that:
consequence of the action brought by her on his ―We have long held that the impossibility of
behalf. personal service justifying availment of substituted
service should be explained in the proof of service;
In Cariaga Jr. v. Malaya, 143 SCRA 441, summons why efforts exerted towards personal service failed.
was effected through extra-territorial service via The pertinent facts and circumstances attendant to
registered mail and the court upheld its validity the service of summons must be stated in the proof
since it falls under the third mode, i.e., ―in any of service or Officer‘s Return; otherwise, the
manner the court may deem sufficient.‖ substituted service cannot be upheld.‖

Proof of Service by Publication may be proved

7. SERVICE UPON PRISONERS AND by:
MINORS 1. Affidavit of the –
a. Printer, his foreman or principal clerk OR
Prisoners b. Editor, business or advertising manager, to
Defendant referred to by provision is in prison or which affidavit a copy of the publication shall
otherwise confined in an institution. be attached AND
2. Affidavit showing the deposit of a copy of the
Service shall be effected upon him by summons and order for publication in the post
1. The officer having the management of such jail; office, postage prepaid, directed to the defendant by
or registered mail to his last known address.
2. Institution who is deemed deputized as a special
sheriff for said purpose. END OF TOPIC

Minors and Incompetents

Defendant is either a minor, insane, or incompetent

Service shall be made upon him G. MOTIONS

1. Personally; and (Rule 15)
2. On his legal guardian if he/she has one, OR if
none, upon his/her guardian ad litem whose
appointment shall be applied for by the plaintiff.
1. MOTIONS IN GENERAL
In the case of a MINOR, service may also be made a. Definition of a motion
on his father or mother. b. Motions versus pleadings
c. Contents and form of motions
8. PROOF OF SERVICE d. Notice of hearing and hearing of
motions
e. Omnibus motion rule
The following are the requisites and contents of f. Litigated and ex parte motions
a valid proof of service g. Pro-forma motions
1. Made in writing by the server;
2. Shall set forth the manner, place, and date of
2. MOTIONS FOR BILL OF
service PARTICULARS
3. Shall specify any papers which have been a. Purpose and when applied for
served with the process and the name of the b. Actions of the court
person who received the same; and c. Compliance with the order and effect of
4. Shall be sworn to when made by a person other noncompliance
than a sheriff or his deputy. (Section 18, Rule 14 d. Effect on the period to file a responsive
of the Rules of Court) pleading
3. MOTION TO DISMISS
The certificate of service of the process server of a. Grounds
the court a quo is prima facie evidence of the facts b. Resolution of motion
as set out therein. This is fortified by the c. Remedies of plaintiff when the
presumption of the regularity of performance of complaint is dismissed
official duty. To overcome the presumption of d. Remedies of the defendant when the
regularity of official functions in favor of such motion is denied
sheriff‘s return, the evidence against it must be e. Effect of dismissal of complaint on
clear and convincing. Sans the requisite quantum of certain grounds
proof to the contrary, the presumption stands f. When grounds pleaded as affirmative
deserving of faith and credit. [Guanzon v. Arradaza, defenses
G.R. No. 155392, December 6, 2006] g. Bar by dismissal
h. Distinguished from demurrer to
evidence under Rule 33

66
 Rules that apply to pleadings shall also apply to
written motions as to caption, designation, signature
1. MOTIONS IN GENERAL and other matters of form.

a. DEFINITION OF A MOTION Contents of a Motion

1. Statement of relief sought to be obtained
MOTION 2. Grounds upon which the motion is based
An application for relief other than by a pleading. It 3. Supporting affidavits and other papers when
has facts based on relief and facts based on claims. mandated by the Rules or when necessary to
It is NOT a pleading since it does not have claims or prove facts stated in motion
defenses
Requisites of a Motion:
Kinds of Motions: 1. It must be in writing;
1. Motion EX PARTE is made without the 2. The applicant must set hearing of motion [the
presence or a notification to the other party date of the hearing must not be later than ten
2. Motion OF COURSE is where the movant (10) days from the filing of the motion];
is entitled to the relief or remedy sought as 3. Notice of hearing must be addressed to all
a matter of discretion on the part of the parties concerned
court. 4. Motion and notice of hearing must be served at
3. LITIGATED Motion is the one made with least three (3) days before the date of hearing
notice to the adverse party to give an (THREE DAY NOTICE RULE)
opportunity to oppose 5. Proof of service
4. SPECIAL Motion is a motion addressed to
the discretion of the court Exceptions to the Three Day Notice Rule
1. Ex-Parte motions
b. MOTION VERSUS PLEADINGS 2. Urgent motions
3. Motions agreed upon by the parties to be heard
MOTION - is an application for relief OTHER THAN on shorter notice or jointly submitted by the
a pleading. parties
4. Motions for summary judgment which must be
PLEADINGS - are those allowed under Section 2, served at least 10 days before its hearing
Rule 6 of the Rules of Court (complaint,
counterclaim, cross-claim, third-party complaint and d. NOTICE OF HEARING AND HEARING OF
complaint-in-intervention) MOTIONS

PLEADING MOTION Every written motion shall be set for hearing by the
Is a submission of Is an application for an applicant. Thus, every written motion is deemed a
claims or defenses for order not included in the litigated motion.
appropriate judgment judgment
Notice of Hearing Shall
1. Be addressed to all the parties concerned;
May be initiatory Cannot be initiatory as 2. Specify the time and the date of the hearing,
motions are made in a which shall not be later than 10 days after the
case already filed in filing of the motion.
court
Service of the Motion
The motion which contains the notice of hearing
Must be written May be oral when made shall be SERVED in such a manner as to ensure its
in open court or in the receipt by the other party AT LEAST THREE (3)
course of a hearing or a DAYS before the date of hearing, UNLESS the
trial court for good cause sets the hearing on shorter
notice.
Must be filed before May be filed after
judgment judgment The motion shall be served upon the other party. A
motion set for hearing shall not be acted upon by
c. CONTENTS AND FORM OF MOTIONS the court without proof of service thereof.

e. OMNIBUS MOTION RULE

General Rule
All motions must be in writing
A procedural principle which requires that every
motion that attacks a pleading, judgment, order or
Exceptions
proceeding shall include ALL grounds then
1. Motions made in open court;
AVAILABLE and all objections not so included shall
2. Motions made in the course of a hearing or trial
be deemed waived.

Exceptions to Waiver

67
1. No jurisdiction over the subject matter;
2. Litis pendentia;
3. Res judicata; and 2. MOTIONS FOR BILL OF
4. Statute of limitations or prescription. PARTICULARS (Rule 12)
f. LITIGATED AND EX PARTE MOTIONS
Motion for a bill of particulars
It is a motion which seeks to clarify matters in the
LITIGATED MOTION
complaint which are vague, ambiguous, or not
One which requires the parties to be heard before
averred with sufficient definiteness.
ruling on the motion can be made by the court
It applies to ANY PLEADING which in the
Examples
perception of the movant contains ambiguous
1. Motion to Dismiss (Rule 16)
allegations.
2. Motion for Judgment on Pleadings (Rule 34)
3. Summary Judgment (Rule 35)
The Motion Shall Point Out
A motion which does NOT meet the requirements of 1. Defects complained of;
Sections 4 and 5 of Rule 15 on hearing and notice, 2. The paragraphs wherein they are contained;
respectively, is a MERE SCRAP OF PAPER, which 3. The details desired must be supplied by the
the clerk of court has NO right to receive and court movant
has NO authority to act upon. Service of a copy of a
motion containing a notice of the time and the place The motion must comply with the requirements for
of hearing of the motion is mandatory, and failure to motions under Rule 15. Otherwise, it shall be
comply renders motion fatally defective. (Vette treated as a pro forma motion which shall not stop
Industrial Sales Co., Inc. v. Cheng, G.R. Nos. the running of the period for filing the requisite
170232– 170301, 2006) pleading

EX PARTE MOTION a. PURPOSE and WHEN APPLIED FOR

One that does NOT require a party to be heard and
which the court may act upon without prejudice the Purpose
rights of the other party. This kind of motion is NOT The purpose of the motion is to seek an order from
covered by the hearing requirement under Section the court directing the pleader to submit a bill of
2, Rule 15 of the Rules of Court. particulars which avers matters with sufficient
definiteness or particularity to enable the movant to
Examples prepare his responsive pleading.
1. Setting for pre-trial
2. Motion for extension of time When applied for

Ex parte motions are frequently permissible in A motion for a bill of particulars must be filed
procedural matters and situations of emergency. An BEFORE responding to a pleading. Thus, the
exception to the rule requiring notice is sometimes period to file the motion refers to the period for filing
made where notice or the resulting delay might tend the responsive pleading in Rule 11.
to defeat the objective of the motion. (Sarmiento v.
Zaratan, G.R. No. 167471, February 5, 2007) If the Bill of Particulars is Directed to a
Complaint
It is stated that a MOTION DAY is set at Friday Motion should be filed fifteen (15) days after service
afternoons or if a Friday is a non-working day, in the of summons
afternoon of the next working day.
If Directed to a Counterclaim
g. PRO FORMA MOTIONS Motion should be filed ten (10) days from service of
counterclaim
A motion which fails to comply with the
requirements under Section 4 (Hearing of motion), In Case of a Reply to Which No Responsive
Section 5 (Notice of hearing) and Section 6 (Proof Pleading is Provided for
of service of notice of hearing) of Rule 15 of the The motion must be filed within ten (10) days of
Rules of Court is a useless piece of paper. service of said reply.

It is pro forma, presenting no question which the b. ACTIONS OF THE COURT

court could decide. (Boiser v. Aguirre, Jr., [A.M. No.
RTJ-04-1886, 2005) If filed, such motion is not Upon the filing of the motion, the clerk of court must
entitled to judicial recognizance and does not stop immediately bring it to the attention of the court.
the running of the period for filing the requisite
pleading. (Cruz v. Court of Appeals, G.R. No. The Clerk of Court May Either:
123340, 2002) It will be treated as one filed merely 1. Deny motion outright; or
to delay the proceeding. (Marikina Development 2. Grant motion outright; or
Corporation v. Flojo, G.R. No. 110801, 1995) 3. Allow the parties the opportunity to be heard.

68
 prove essential or ultimate facts and to obtain
c. COMPLIANCE WITH THE ORDER and evidentiary matters is not the function of a motion
EFFECT OF NON-COMPLIANCE for bill of particulars. (Salita v. Magtolis, G.R. No.
106429, 1994)
Compliance
When the motion is granted (in whole or in part),
compliance must be effected WITHIN 10 DAYS
3. MOTION TO DISMISS (Rule 16)
from NOTICE of the order UNLESS the court fixes a
a. GROUNDS
different period.
1. Absence of jurisdiction over
In complying with the order, the pleader may file the
a) Person of the defending party OR
bill of particulars either in a separate leading or in
b) Subject matter of the claim
the form of an amended pleading, a copy of which
2. Venue is improperly laid
must be served on the adverse party.
3. Plaintiff has no legal capacity to sue
Effect of Noncompliance or Insufficient 4. Another action is pending between the same
Compliance parties for the same cause (Litis Pendentia)
The court may: 5. Cause of action is barred by
a) A prior judgment (Res Judicata) OR
1. Order striking out of the pleading;
b) The statute of limitations (Prescription)
2. Order striking out portions of pleading to which
6. No cause of action stated in pleading asserting
the order was directed;
the claim (Failure to state cause of action)
3. Make such other order as it deems just;
7. Payment, waiver, abandonment, or
4. Dismiss the complaint with prejudice unless
extinguishment of claim or demand set forth in
otherwise ordered by the court if it is the
the plaintiff's pleading
PLAINTIFF who fails to comply;
8 Unenforceable (under the provisions of the
5. Strike off the answer and dismiss the
Statute of Frauds) claim under which the action
counterclaim plus a declaration of in default
is founded
upon motion of the plaintiff if it is the
9. Non-compliance with a condition precedent for
DEFENDANT who fails to comply.
filing the claim
d. EFFECT ON THE PERIOD TO FILE A
RESPONSIVE PLEADING It is subject to the OMNIBUS MOTION RULE. Any
objection available at the time of filing of the
pleading NOT raised will be DEEMED WAIVED.
Filing of bill of particulars interrupts or STAYS the
period to file a responsive pleading.
Exceptions to Waiver
1. No jurisdiction over the subject matter;
Movant may file his responsive pleading within the
period to which he is entitled (balance of 2. Litis pendentia;
reglementary period) at the time the bill of 3. Res judicata; and
4. Statute of limitations or prescription.
particulars is filed, which shall NOT be less than five
(5) days in any event AFTER:
Material Allegations Deemed Hypothetically
1. Service of the bill of particulars upon him; or
Admitted
2. Notice of the denial of his motion
No other principle in remedial law is more settled
When filing for a Bill of Particulars is NOT than that when a motion to dismiss is filed, the
appropriate material allegations of the complaint are deemed to
be hypothetically admitted, which hypothetical
It would also be improper to call for the production
admission extends not only to the relevant and
of the particulars constituting malice, intent,
material facts well pleaded in the complaint, but
knowledge or condition of the mind, which under the
also to inferences that may be fairly deduced from
Rules may be averred generally.
them. (Municipality of Hagonoy vs Hon. Simeon
Dumdum, G.R. 168289, 2010)
A motion for bill of particulars will not be granted if
the complaint, while not very definite, nonetheless
Exceptions to the Hypothetical Admission of the
already states a sufficient cause of action. A
Veracity of the Allegations:
motion for bill of particulars may not call for matters
1. The falsity of the allegations is subject to judicial
which should form part of the proof of the complaint
notice;
upon trial. Such information may be obtained by
other means. (Salita v. Magtolis, G.R. No. 106429, 2. Such allegations are legally impossible;
1994) 3. The allegations refer to facts which are
inadmissible in evidence
4. By the record or document in the pleading, the
Where private respondent has already alleged that
allegations appear to be unfounded; or
petitioner was unable to understand and accept the
5. There is evidence which has been presented to
demands made by his profession upon his time and
the court by stipulation of the parties or in the
efforts, it is certain that she can respond to this. To
course of the hearings related to the case. (Heirs of
demand for more details would indeed be asking for
information on evidentiary facts—facts necessary to

69
Loreto C. Maramag vs. Maramag, G.R. 181132,
2009) Res judicata applies as well to the judicial and
quasi-judicial acts of public, executive or
Laches as Ground for Motion to Dismiss administrative officers and boards acting within their
Where a claim or demand set forth in the plaintiff‘s jurisdiction as to the judgments of courts having
pleading has been paid, waived, abandoned, or general judicial powers. The Director of Lands is a
otherwise extinguished, the same may be raised in quasi-judicial officer. As such officer, his decisions
a motion to dismiss. The language of the rule, and orders rendered pursuant to his quasi-judicial
particularly on the relation of the words authority, have upon their finality, the force and
"abandoned" and "otherwise extinguished" to the binding effect of a final judgment. (Heirs of
phrase "claim or demand deemed set forth in the Wenceslao Tabia v. CA, G.R. Nos. 129377 &
plaintiff‘s pleading" is broad enough to include 129399, 2007)
within its ambit the defense of bar by laches.
However, when a party moves for the dismissal of Res judicata is a doctrine of civil law and thus has
the complaint based on laches, the trial court must no bearing on criminal proceedings (Trinidad v.
set a hearing on the motion where the parties shall Office of the Ombudsman, G.R. No. 166038, 2007)
submit not only their arguments on the questions of
law but also their evidence on the questions of fact Res judicata, as a ground for dismissal, is based on
involved. Thus, being factual in nature, the two grounds:
elements of laches must be proved or disproved (1) Public policy and necessity, which makes it to
through the presentation of evidence by the parties. the interest of the State that there should be an
(Pineda vs. Heirs of Eliseo Guevarra, G.R. 143188, end to litigation---republicae ut sit litium; and
2007) (2) The hardship on the individual of being vexed
twice for the same cause---nemo debet bis
Res Judicata as a Ground for Motion to Dismiss vexari et eadem causa. (Sps Torres vs Medina,
1. The former judgment must be final; G.R. 166730, 2010)
2. The court, which rendered judgment, had
jurisdiction over the subject matter and the Res judicata as a ground for the dismissal of a case
parties; may be disregarded if its rigid application would
3. The judgment must be on the merits; involve the sacrifice of justice to technicality (PNB v.
4. There must be between the first and second Estate of De Guzman, G.R. 182507, 2010)
actions, identity of parties, subject matter and
cause of action. (Riano, Civil Procedure Litis Pendentia as a Ground for Motion to
Volume 1, 481, 2014) Dismiss
1. Identity of the parties or at least such parties
The identity of parties need not be absolute but only representing the same interests in both actions;
substantial identity is necessary. (Cruz v. CA, G.R. 2. There is substantial identity in the cause of
164797, 2006) action and relief sought, the relief being
founded on the same facts; and
Two Concepts of Res Judicata 3. The identity in the two cases should be such that
1. Bar by prior judgment; and any judgment that may be rendered in one,
2. Conclusiveness of judgment. regardless of which party is successful, would
amount to res judicata in the other case (Riano,
Bar by Prior Judgment Civil Procedure Volume 1, 482, 2014)
There is "bar by prior judgment" when, as between
the first case where the judgment was rendered, Litis pendentia as a ground for the dismissal of a
and the second case that is sought to be barred, civil action contemplates a situation wherein
there is identity of parties, subject matter, and another action is pending between the same parties
causes of action. for the same cause of action, such that the second
action becomes unnecessary and vexatious. In
Conclusiveness of Judgment fact, it is one of the grounds that authorizes a court
There is conclusiveness of judgment where there is to dismiss a case motu proprio. Among the several
identity of parties and subject matter in the first and tests resorted to in ascertaining whether two suits
second cases, but no identity of causes of action, relate to a single or common cause of action are:
the first judgment is conclusive only as to those (1) Whether the same evidence would support and
matters actually and directly controverted and sustain both the first and second causes of
determined and not as to matters merely involved action; and
therein. Under the doctrine of conclusiveness of (2) Whether the defenses in one case may be
judgment, facts and issues actually and directly used to substantiate the complaint in the other.
resolved in a former suit cannot again be raised in (Subic Telecommunications Company v Subic
any future case between the same parties, even if Metropolitan Bay Authority, G.R. 185189,
the latter suit may involve a different claim or cause October 12, 2009)
nd
of action. The identity of causes of action is not (3) Whether the cause of action in the 2 case
required but merely identity of issues. (Heirs of existed at the time of the filing of the complaint
Tomas Dolleton vs. Fil-Estate Management, Inc., or answer with counterclaim (Intramuros
G.R. 170750, 2009) Administration v. Contacto, G.R. 152576, 2003)

70
 circumstances is not allowed. (Equitable PCIB v.
Prescription as a Ground for Motion to Dismiss CA, G.R. 143556, 2004)
The affirmative defense of prescription does not
automatically warrant the dismissal of a complaint. Exceptions to rule that Failure to State
An allegation of prescription can effectively be used is based on complaint alone
in a motion to dismiss only when the complaint on
its face shows that indeed the action has already Loreto Maramag designated as beneficiary his
prescribed. If the issue on prescription is one concubine, Eva and their illegitimate children. The
involving evidentiary matters requiring full blown petitioners of this case, the legitimate family of
trial on the merits, it cannot be determined in a Loreto are claiming that Eva was a suspect in the
motion to dismiss. (Heirs of Tomas Dolleton vs. Fil- murder of Loreto thus, she is disqualified from
Estate Management, Inc., G.R. 170750, 2009) claiming from the insurance.
The issue in this case is whether the concubine can
Time to File the Motion claim from the insurance however the motion to
A motion to dismiss is filed within the time for filing dismiss filed was granted due to failure to state a
the answer but BEFORE filing said answer. cause of action.
When a motion to dismiss is premised on this
If a motion to dismiss is filed AFTER the answer ground, the ruling should be based only on the facts
has been filed, it is to be considered filed OUT OF alleged in the complaint. The court must resolve the
TIME and the defending party is estopped from issues on the strength of such allegations,
filing the motion to dismiss. assuming them to be true. This is the general rule
but it has certain exceptions such that there are no
Three Rules in Determining which of the Actions hypothetical admission of the veracity of the
should be Abated on the Ground of Litis allegations if:
Pendentia  The falsity of the allegations is subject to
judicial notice
1. PRIORITY IN TIME RULE  Such allegations are legally impossible
As a rule, preference is given to the first action filed  The allegations refer to facts which are
to be retained. This is in accordance with the inadmissible as evidence
maxim Qui prior est tempore, potior est jure.  By the record or document in the pleading, the
However, a later case shall not be abated if not allegations appear unfounded
brought to harass or vex; and the first case can be  There is evidence which has been presented
abated if it is merely an anticipatory action or, more to the court by stipulation of the parties or in
appropriately, an anticipatory defense against an the course of the hearings related to the case
expected suit – a clever move to steal the march (Heirs of Maramag v. Maramag, 5 June 2009,
from the aggrieved party. 588 SCRA 774)
2. MORE APPROPRIATE ACTION TEST Can court consider evidence presented in a
This considers the real issue raised by the hearing on affirmative defenses to determine
pleadings and the ultimate objective of the parties; failure to state a cause of action?
the more appropriate action is the one where the This is a case for quieting of title filed by the
real issues raised can be fully and completely petitioners who claim to be the rightful owners of a
settled. house and lot in Pampanga, they claim that they
have been in open, continuous, adverse and
3. ANTICIPATORY TEST notorious possession of the property for more than
If the first suit is filed merely to preempt the later a hundred years.
action or to anticipate its filing and lay the basis for That sometime in 2005, the petitioners received
its dismissal, then the first suit should be demand letters from the respondents, claiming
dismissed. (Benavidez vs. Salvador, G.R. 173331, ownership over the subject property and demanding
2013) that they vacate the same. The Register of Deeds
of Pampanga confirmed that the property have
Failure to State a Cause of Action as a Ground been titled in the name of the respondents and
for Motion to Dismiss declared the title of the petitioners to be invalid, thus
In a motion to dismiss for failure to state cause of the present case was filed
action, The focus is the sufficiency, not the veracity Respondents claim that petitioners have no cause
of material allegations. Test of Sufficiency: Whether of action which the trial court granted however,
or not, admitting the facts alleged, the court could petitioners are averring that in considering this
render a valid judgment upon the same in particular ground for dismissal, no preliminary
accordance with the prayer of the complaint. hearing on the affirmative defenses may be held.
(Republic v. Glasgow, G.R. 170281, 2008) SC ruled in the affirmative. The trial court may
indeed elect to hold a preliminary hearing on the
A ruling on the ground of failure to state cause of affirmative defenses as raised in the answer under
action should be based only on facts alleged in the Section 6 of Rule 16 but it has been held that such
complaint. Consideration of any other facts is out of hearing is not necessary when the affirmative
the question and any attempt to prove extraneous defense is failure to state a cause of action and that
it is in fact error for the court to hold a preliminary

71
hearing to determine the existence of external facts
outside the complaint. The Plaintiff may:
The ground of failure to state a cause of action must 1. Re-file complaint if ground for dismissal does
be determined only on the basis of the facts alleged NOT bar refiling
and no other (Aquino v. Quiazon, 11 March 2015, 2. Appeal from order of dismissal if ground for
GR NO. 201248) dismissal is one which BARS refilling of
complaint such as:
Can a court motu proprio dismiss a case for a) Res judicata
failure to state earnest efforts to compromise? b) Prescription
Dr. Favis has two families (legitimate and common) c) Extinguishment of obligation
and near the end of his life, he allegedly executed a d) Violation of the Statue of Frauds (Section 5,
Deed of Donation in favor of his illegitimate child, Rule 16 of the Rules of Court)
transferring certain properties. The legitimate 3. Petition for Certiorari if court gravely abuses
children, claiming that the alleged donation its discretion in a manner amounting to lack of
compromised their legitime, filed for the annulment jurisdiction and is the appropriate remedy in
of the Deed of Donation. those instances when the dismissal is without
The CA dismissed the case motu proprio for failure prejudice.
of petitioners to make an averment that earnest
efforts toward a compromise have been made, as d. REMEDIES OF THE DEFENDANT WHEN
mandated by Art. 151 of the Family Code. THE MOTION IS DENIED
Section 1 Rule 9 provides for the only instances
when the court may motu proprio dismiss the claim 1. File answer within time prescribed by Rule 11,
(1) lack of jurisdiction over the subject matter (2) but not less than five (5) days computed from his
litis pendencia (3) res judicata (4) prescription of receipt of the notice of the denial.
action. Outside of these instances, any motu proprio 2. If the pleading is ordered to be amended, he
dismissal would amount to a violation of the right of shall file his answer within the period prescribed
the plaintiff to be heard. by Rule 11 counted from service of the amended
Failure to allege earnest but failed efforts at a pleading, unless the court provides a longer
compromise in a complaint among members of the period.
same family is not a jurisdictional defect but merely 3. Where the denial of the motion was tainted with
a defect in the statement of a cause of action. grave abuse of discretion amounting to lack of
(Heirs of Favis v. Gonzales, 15 January 2014, 713 jurisdiction, the defendant may file a petition for
SCRA 568) certiorari or prohibition under Rule 65.

When a Motion to Dismiss MAY be Filed AFTER An order denying a motion to dismiss is an
the Filing of an Answer interlocutory order that neither terminates nor
1. If the ground raised is lack of jurisdiction over finally disposes of a case. As such, the general rule
the subject matter; is that the denial of a motion to dismiss cannot be
2. If it is alleged that there is another action questioned in a special civil action for certiorari
pending between the same parties for the same which is a remedy designed to correct errors of
cause; jurisdiction and not errors of judgment. Neither can
3. If the ground filed is that the action is barred by a denial of a motion to dismiss be the subject of an
prior judgment; or appeal unless and until a final judgment or order is
4. If the action is barred by the statute of rendered. In order to justify the grant of the
limitations. (Riano, Civil Procedure Volume 1, extraordinary remedy of certiorari, the denial of the
477, 2014) motion to dismiss must have been tainted with
grave abuse of discretion amounting to lack or
b. RESOLUTION OF MOTION excess of jurisdiction (Douglas Lou Ym v. Gertrudes
Nabua, G.R. No. 161309, 2005)
After the Hearing, the Court May
1. Dismiss the action or claim e. EFFECT OF DISMISSAL OF COMPLAINT ON
2. Deny the motion CERTAIN GROUNDS
3. Order the amendment of the pleading.
ON COUNTERCLAIM - shall be WITHOUT
Court shall NOT defer the resolution of the motion prejudice to prosecution in the same OR a separate
for the reason that the ground relied upon is not action of a counterclaim pleaded in the answer of a
indubitable. defendant.

The resolution shall state clearly and distinctly the Dismissal of main action does NOT carry with it
reasons therefor in every case. dismissal of counterclaim.

c. REMEDIES OF PLAINTIFF WHEN THE f. WHEN GROUNDS PLEADED AS

COMPLAINT IS DISMISSED AFFIRMATIVE DEFENSES (Rule 16, Section
6)
If motion is granted, complaint is dismissed. Such
dismissal is FINAL and not interlocutory in character

72
If NO motion to dismiss has been filed, ANY of the 4. Claim is unenforceable under the Statute of
grounds for dismissal provided for in this Rule may Frauds
be pleaded as an affirmative defense in the
answer. It is NOT deemed waived. Where the defendant is barred from re-filing,
remedy is to file an APPEAL. Such dismissal is said
In the discretion of the court, a preliminary hearing to be WITH prejudice to re-filing of case.
may be had AS IF a motion to dismiss had been
filed. h) DISTINGUISHED FROM DEMURRER TO
EVIDENCE UNDER RULE 33
The dismissal of the complaint under this section
shall be WITHOUT prejudice to the prosecution in MOTION TO DISMISS MOTION TO DISMISS
the same or separate action of a counterclaim UNDER RULE 16 UNDER RULE 33
pleaded in the answer. (DEMURRER TO
EVIDENCE)
The Omnibus Motion Rule applies only when a Grounded on Based on insufficiency
motion to dismiss is filed. If no motion to dismiss is preliminary objections of evidence
filed, any of the grounds for dismissal under Rule 16 Maybe filed by Maybe filed only by the
may be pleaded as an affirmative defense in the defending party against defendant against the
answer. (Riano, Civil Procedure Volume 1, 476, whom a claim is complaint of the
2014) asserted in the action plaintiff
Should be filed within May be filed only after
The general rule must be reiterated that the the time for, but prior to the plaintiff has
preliminary hearing contemplated under Section 6, the filing of an answer, completed the
Rule 16 applies only if no motion to dismiss has of the defending party to presentation of his
been filed. This is expressly provided under the the pleading asserting evidence
rule, which relevantly states "[i]f no motion to the claim against him
dismiss has been filed, any of the grounds for
IF DENIED - defendant IF DENIED - defendant
dismissal provided for in [Rule 16] may be pleaded
must file an answer, may present evidence
as an affirmative defense in the answer and, in the
else be declared in
discretion of the court, a preliminary hearing may be
default IF GRANTED - plaintiff
had thereon as if a motion to dismiss had been
IF GRANTED - plaintiff appeals and the order of
filed." An exception was carved out in California and
may appeal or re-file dismissal is reversed,
Hawaiian Sugar Company v. Pioneer Insurance,
case (if subsequent the defendant loses his
wherein the Court noted that while Section 6
case is not barred) right to present evidence
disallowed a preliminary hearing of affirmative
defenses once a motion to dismiss has been filed,
such hearing could nonetheless be had if the trial END OF TOPIC
court had not categorically resolved the motion to
dismiss. Such circumstance does not obtain in this
case, since the trial court had already categorically
denied the motion to dismiss prior to the filing of the
answer and the motion for preliminary hearing. H. DISMISSAL OF ACTONS
(Sps. Rasdas v. Estenor, G.R. No. 157605, 2005) (Rule 17)
After the filing of an answer which raises affirmative
defenses, the defendant may file a motion to hear
the affirmative defenses so that his defenses can be
heard before the plaintiff presents his case. The 1. DISMISSAL UPON NOTICE BY
filing of a ―motion to dismiss‖ raising any of the PLAINTIFF; TWO-DISMISSAL RULE
grounds set forth in Section 1, Rule 16 after the 2. DISMISSAL UPON MOTION BY
filing of the answer is likewise permissible since
such motion essentials prays for the same thing, PLAINTIFF; EFFECT ON EXISTING
i.e., that defendant‘s affirmative defenses be heard. COUNTERCLAIM
(Associated Bank vs Sps Montano G.R. 166383, 3. DISMISSAL DUE TO THE FAULT OF
2009) PLAINTIFF
g. BAR BY DISMISSAL
4. DISMISSAL OF COUNTERCLAIM,
CROSS-CLAIM OR THIRD-PARTY
Order Granting Motion to Dismiss Shall BAR Re- COMPLAINT
filing of Same Action or Claim if Dismissal is
based on the following:
1. Cause of action barred by prior judgment
1. DISMISSAL UPON NOTICE BY
2. Cause of action barred by statute of limitations PLAINTIFF; TWO-DISMISSAL RULE
3. Claim or demand has been paid, waived,
abandoned, or extinguished Characteristics
1. A matter of right;

73
2. Made by mere notice; respondents‘ counsel and cannot be deemed a fatal
3. Made by plaintiff only; consequence.
4. Made before service of answer OR motion for a
summary judgment; 2. DISMISSAL UPON MOTION BY
5. Confirmation of dismissal by order of court is PLAINTIFF; EFFECT ON EXISTING
required;
6. Dismissal is without prejudice to the re-filing of COUNTERCLAIM
the same action by the plaintiff. EXCEPT:
a) When otherwise stated in the notice Characteristics
b) Where the plaintiff has previously dismissed 1. Dismissal by a motion to dismiss filed by the
the same case in a court of competent plaintiff
jurisdiction (Two-Dismissal Rule) 2. Made after service of answer or motion for
summary judgment
TWO-DISMISSAL RULE – The rule states that two 3. Requires approval of court (matter of judicial
dismissals of the same claim before a competent discretion)
rd
court will bar a subsequent (3 ) action on the same 4. Dismissal is without prejudice to refiling unless
claim or on a claim included therein (Handbook on otherwise stated in the order
Civil Procedure, Gayo)
A Dismissal Upon Motion by Plaintiff is NOT for the
Requirements of Two-Dismissal Rule: purpose of voluntarily abandoning his claim when
1. Twice dismissed actions; the intention was to expedite the enforcement of his
2. Based on or including the same claim; and rights and there was clearly no inaction nor lack of
3. In a court of competent jurisdiction. interest on his part. Prescription, therefore, does not
run. [Antonio, Jr. vs. Morales G.R. 165552, January
If the plaintiff files a notice of dismissal providing 23, 2007]
therein a reason that prevents the refilling of the
complaint, the dismissal must be deemed one with Under Rule 17, Section 3, a defendant may move to
prejudice even if the notice does not state that the dismiss the case if the plaintiff defaults; it does not
dismissal is with prejudice. (Riano, Civil Procedure: contemplate a situation where the dismissal was
nd
A Restatement for the Bar, 2 ed., 2009) due to lack of jurisdiction Thus, when respondents
filed the second case, they were merely refiling the
When complaint cannot be refiled: same claim that had been previously dismissed on
A Motion to Dismiss grounded on the following the basis of lack of jurisdiction. When they moved to
1. The cause of action is barred by prior judgment dismiss the second case, the motion to dismiss can
2. The cause of action is barred by the statute of be considered as the first dismissal at the plaintiffs
limitations instance. Accordingly, the dismissal at this instance
3. The claim or demand has been paid, waived, is a matter of right that is not subject to the trial
abandoned, or otherwise extinguished court's discretion. For this reason, the trial court
4. The claim, on which the action is founded, is issued its order dismissing case 2, without
unenforceable under the provisions of the statute prejudice. When respondents filed the third case on
of frauds (Riano, Civil Procedure Volume 1, 486, substantially the same claim, there was already one
2014) prior dismissal at the instance of the plaintiffs and
one prior dismissal at the instance of the
The Supreme Court made the following clarification: defendants. While it is true that there were two
Under Section 1, Rule 17 of the OLD RULES, the previous dismissals on the same claim, it does not
dismissal contemplated therein could be necessarily follow that the re-filing of the claim was
accomplished by the plaintiff through mere notice of barred by Rule 17, Section 1. In granting the
dismissal, and not through motion subject to dismissal of the second case, the trial court
approval by the Court. Dismissal is ipso facto specifically orders the dismissal to be without
upon notice and without prejudice unless prejudice. It is only when the trial court's order
otherwise stated in the notice. (OB Jovenir either is silent on the matter, or states otherwise,
Construction v. Macamir Realty and Development that the dismissal will be considered an adjudication
Corporation G.R. 135803, 2006) on the merits. (Ching v. Cheng, 8 October 2014,
737 SCRA 610)
On the other hand, the 1997 Rules of Civil
Procedure now requires that upon the filing of such Notice of Dismissal prevails over a Motion to
notice, the court MUST issue an order confirming Dismiss
the dismissal. The new requirement intends to Section 1 of Rule 17 does not encompass a Motion
qualify the right of a party to dismiss the action to Dismiss. The provision specifically provides that
before the adverse party files his answer or asks for a plaintiff may file a notice of dismissal before
summary judgment. service of the answer or a motion for summary
judgment. Thus, upon the filing of the Notice of
If respondents resorted to a MOTION to effect what Dismissal by the plaintiff, the Motion to Dismiss filed
could have been effected by mere NOTICE, then by respondents became moot and academic and
such error is only indicative of a certain degree of the trial court should have dismissed the case
ignorance of procedural rules on the part of without prejudice based on the Notice of Dismissal

74
filed by the petitioner. (Dael vs. Spouses Beltran challenged by APPEAL within the reglementary
G.R. No. 156470, 2008) period. (3A Apparel Corporation vs. Metropolitan
Bank and Trust Co. G.R. 186175, 2010)
Effect on Counterclaim
The dismissal of the complaint does not necessarily Effect on Counterclaim
carry with it the dismissal of the counterclaim, Dismissal of the action is WITHOUT prejudice to the
compulsory or otherwise. The dismissal of the right of the defendant to prosecute his counterclaim
complaint is without prejudice to the right of the in the same OR in a separate action.
defendants to prosecute the counterclaim. (Pinga v.
Santiago, G.R. 170354, 2006) 4. DISMISSAL OF COUNTERCLAIM,
Counterclaim NOT dismissed if pleaded by a CROSS-CLAIM OR THIRD-PARTY
defendant prior to the service upon him of the COMPLAINT
plaintiff‘s motion for dismissal. Dismissal of the
action upon motion by the plaintiff is WITHOUT The provisions under Rule 17 apply to the dismissal
prejudice to the right of the defendant to prosecute of any counterclaim, cross-claim or third-party
his counterclaim in a separate action. complaint.

Counterclaim can be resolved in the same action if A dismissal or discontinuance of an action operates
defendant manifests such preference within fifteen to annul orders, rulings or judgments previously
(15) days from notice of the motion. made in the case, as well as all proceedings had in
connection therewith and renders all pleadings
These alternative remedies of the defendant are ineffective.
available to him regardless of whether his
counterclaim is compulsory OR permissive. END OF TOPIC

If the dismissal of the complaint somehow

eliminates the cause of the counterclaim, then the
counterclaim also cannot survive. Conversely, if the
counterclaim itself states sufficient cause of action I. PRE-TRIAL
then it should stand independently and survive the (Rule 18)
dismissal of the complaint. (Perkin Elmer Singapore
Pte. Ltd. vs. Dakila Trading Corporation G.R.
172242, 2007)
1. CONCEPT OF PRE-TRIAL
3. DISMISSAL DUE TO FAULT OF 2. NATURE AND PURPOSE
PLAINTIFF 3. NOTICE OF PRE-TRIAL
4. APPEARANCE OF PARTIES;
Applies When, If for No Justifiable Cause,
Plaintiff FAILS to: EFFECT OF FAILURE TO APPEAR
1. Appear on the date of presentation of his 5. PRE-TRIAL BRIEF; EFFECT OF
evidence in chief; or FAILURE TO APPEAR
2. Prosecute his action for an unreasonable length 6. DISTINCTION BETWEEN PRE-
of time; or
TRIAL IN CIVIL CASE AND PRE-
3. Comply with the Rules of Court; or
4. Comply with any order of the Court; or TRIAL IN CRIMINAL CASE
5. Appear at pre-trial 7. ALTERNATIVE DISPUTE
RESOLUTION (ADR)
The Dismissal Can be Made By a. Special Rules of Court on ADR
1. Upon motion of the defendant; or
2. Court‘s own motion
(A.M. No. 07-11-08-SC)

The dismissal of the complaint will be deemed as a 1. CONCEPT OF PRE-TRIAL

FINAL judgment on the merits and is therefore
WITH PREJUDICE to a refilling of the same action
Concept under A.M. No. 03-1-9-SC
by the plaintiff UNLESS otherwise stated in the
An undeniably important and vital component of
order of the court.
case management in trial courts, the purpose of
which is to abbreviate court proceedings, ensure
Unless the court states that the dismissal is without
prompt disposition of cases and decongest court
prejudice, the dismissal should be understood as
dockets.
adjudication on the merits and is with prejudice to
refiling. (PNB vs. de Guzman G.R. 182507, 2010)
Pre-trial shall endeavor to persuade the parties to
arrive at a settlement of the dispute, with due regard
Dismissal for failure to prosecute is an adjudication
to the rights of the parties.
on the merits. Therefore, such dismissal should be

75
 4. The possibility of obtaining stipulations or
The court shall endeavor to make the parties agree admissions of facts and of documents to avoid
to an equitable compromise or settlement at any unnecessary proof;
stage of the proceedings before rendition of 5. The advisability of a preliminary reference of
judgment. issues to a commissioner;
6. The propriety of rendering judgment on the
Concept Derived From Jurisprudence pleadings, or summary judgment, or dismissing
Pre-trial is primarily intended to make certain that all the action should a valid ground exist;
issues necessary to the disposition of a case are 7. The advisability or necessity of suspending the
properly raised. To eliminate the element of proceedings; and
surprise during actual trial, parties are expected to 8. Such other matters as may aid in the prompt
disclose at the pre-trial conference all issues of law disposition of the action.
and fact that they intend to raise at the trial.
However, in cases in which the issue may involve
privileged or impeaching matters, or if the issues
3. NOTICE OF PRE-TRIAL
are impliedly included therein or may be inferable
therefrom by necessary implication as integral parts Notice shall be served on:
of the pre-trial order, then the general rule does not 1. Counsel; or
apply. A pre-trial order is not meant to be a detailed 2. The party himself, ONLY IF he is without
catalogue of each and every issue that is to be or counsel.
may be taken up during the trial. (LCK Industries v.
Planters Development Bank, G.R. No. 170606, Counsel served with such notice is charged with the
2007) DUTY to notify his/her client.

2. NATURE AND PURPOSE 4. APPEARANCE OF PARTIES;

EFFECT OF FAILURE TO APPEAR
The pre-trial is mandatory BOTH in civil and in
criminal cases. Parties and their counsel BOTH have the duty to
appear at pre-trial.
When Pre-Trial is Conducted
After the last pleading has been served and filed, it
shall be the duty of the PLAINTIFF within five (5) Non-appearance May Be Excused Only If:
days to promptly move ex-parte that the case be 1. A valid cause is shown; or
set for pre-trial. (Administrative Circular No. 3-99, 2. A representative appears fully authorized in
January 15, 1999) writing to enter into an amicable settlement, to
submit to alternative modes of dispute resolution
If the plaintiff fails to file said motion within the given and to enter into stipulations or admissions of
period, the branch CLERK OF COURT shall issue a facts and of documents.
notice of pre-trial.
The authorization in writing must be in the form of a
The pre-trial brief serves as a guide during the pre- SPECIAL POWER OF ATTORNEY.
trial conference so as to simplify, abbreviate and
expedite the trial if not to dispense with it. It is a The parties and their counsels are required to
devise essential to the speedy disposition of attend the pre-trial the purpose of which is to
disputes, and parties cannot brush it aside as a exhaust all possibilities of reaching a compromise.
mere technicality. In addition, pre-trial rules are not Having failed to justify their absence, they have no
to be belittled or dismissed, because their non- valid ground to request for a new trial. Further, an
observance may result in prejudice to a party‘s improvident termination of legal services is not a
substantive rights. Like all rules, they should be valid excuse to be absent at the pretrial. (Jonathan
followed except only for the most persuasive of Landoil International Co v Sps. Mangudadatu, G.R.
reasons when they may be relaxed to relieve a No. 155010, 2004)
litigant of an injustice not commensurate with the
degree of his thought[less]ness in not complying Stipulations freely and voluntarily made are valid
with the procedure. (Eufemia Balatico vda. De and binding and will not be set aside unless for
Agatep vs Roberta L. Rodriguez and Natalia good cause. The Rules of Court mandate parties in
Aguinaldo Vda. De Lim, G.R. No. 170540, 2009) a criminal case to stipulate facts. Once they have
validly and voluntarily signed the stipulations, the
The Purpose of the Pre-trial is to Allow the accused and their counsel may not set these aside
Court to Consider: on the mere pretext that they may be placed at a
1. The possibility of an amicable settlement or of a disadvantage during the trial. (Sixto Bayas vs
submission to alternative modes of dispute Sandiganbayan, G.R. No. 143689-91, 2002)
resolution;
2. The simplification of the issues; Effect of Failure to Appear of Parties
3. The necessity or desirability of amendments to 1. If PLAINTIFF failed to appear, the case is
the pleadings; dismissed with prejudice unless otherwise
ordered by the court.

76
 1. If PLAINTIFF failed to appear, the case is
The dismissal is to be considered as a final dismissed with prejudice unless otherwise
judgment, thus, the remedy of the plaintiff is to ordered by the court.
APPEAL. 2. If DEFENDANT failed to appear, the plaintiff will
be allowed to present evidence ex-parte, and
2. If DEFENDANT failed to appear, the plaintiff will the court shall render judgment on the basis
be allowed to present evidence ex-parte, and thereof.
the court shall render judgment on the basis of
the evidence presented. Having no counsel in a civil case is not a
reasonable excuse to not file a pre-trial brief. It does
The order allowing the plaintiff to present his/her not also deprive one of due process. Failure to file a
evidence ex-parte is interlocutory, hence, NOT pre-trial brief will have the same effect as not
APPEALABLE. appearing during pre-trial. (Saguid v. CA, G.R.
150611, 2003)
Section 1 of Rule 18 of the Rules of Court imposes
upon the plaintiff the duty to set the case for pre-trial
after the last pleading is served and filed. Under Pre-Trial Order
Section 3 of Rule 17, failure to comply with the said The order of the court is issued upon the
duty makes the case susceptible to dismissal for termination of the pre-trial.
failure to prosecute for an unreasonable length of
time or failure to comply with the rules. The failure The Order Shall Contain:
of the plaintiff to prosecute the action without any 1. The matters taken up in the pre-trial conference;
justifiable cause within a reasonable period of time 2. The action taken thereon;
will give rise to the presumption that he is no longer 3. The amendments allowed to the pleadings; and
interested in obtaining the relief prayed for. [Jazmin 4. The agreements or admissions made by the
Espiritu vs Vladimir Lazaro, G.R. 181020, parties.
November 25, 2009]
The pre-trial order shall define and limit the issues
to be tried and shall control the subsequent course
5. PRE-TRIAL BRIEF; EFFECT OF of the action EXCEPT if it is modified before trial to
FAILURE TO FILE prevent manifest injustice.

A pre-trial brief is required to be filed at least three 6. DISTINCTION BETWEEN PRE-TRIAL

(3) days before the date of the pre-trial conference
and it MUST be served on the adverse party. IN CIVIL CASES AND PRE-TRIAL IN
CRIMINAL CASES
The Pre-Trial Brief Shall Contain the Following:
1. Statement of the parties‘ willingness to enter into IN CIVIL IN CRIMINAL
amicable settlement or alternative modes of CASES CASES
dispute resolution (e.g., arbitration), indicating
the desired terms;
2. A summary of admitted facts and proposed Commencement Pre-trial is set Pre-trial is
stipulation of facts; when the ordered by the
3. Issues to be tried or resolved; PLAINTIFF court after
4. Documents or exhibits to be presented, stating moves EX- arraignment
the purpose thereof (No evidence shall be PARTE to set and within
allowed to be presented and offered during the the case for thirty (30) days
trial in support of a party's evidence-in-chief pre-trial from the date
other than those that had been earlier identified conference the court
and pre-marked during the pre-trial, except if after the last acquired
allowed by the court for good cause shown; pleading has jurisdiction
(A.M. No. 03-1-09-SC) been filed. over the
5. A manifestation of their having availed OR their person of the
intention to avail themselves of discovery accused
procedures or referral to commissioners; (either through
6. The number and names of witnesses and the voluntary
substance of their testimonies. surrender or
arrest).
Parties are bound by the representations and
statements in their respective pre-trial briefs as NO MOTION
such are in the nature of judicial admissions. to set the case
for pre-trial is
Effect of Failure to File a Pre-Trial Brief required.
The same as failure to appear at the pre-trial:

77
As to matters Minutes of Agreements or
discussed each pre-trial admissions SPECIAL RULES OF COURT ON ALTERNATIVE
conference made or DISPUTE RESOLUTION
shall contain entered during “Special ADR Rules”
matters taken the pre-trial A.M. NO. 07-11-08-SC
up therein, conference Effective October 30, 2009
more shall be
particularly reduced in PART I
admissions of writing and GENERAL PROVISIONS AND POLICIES
facts and signed by
exhibits and BOTH the RULE 1
shall be accused and GENERAL PROVISIONS
signed by the counsel;
parties and/or otherwise, Applicability of Special ADR Rules
their counsel. they cannot be 1. Relief on the issue of Existence, Validity, or
used against Enforceability of the Arbitration Agreement;
the accused. 2. Referral to Alternative Dispute Resolution
As to Pre-Trial Shall set forth Shall set forth ("ADR");
Order in detail the the actions 3. Interim Measures of Protection;
matters taken taken during 4. Appointment of Arbitrator;
up during the the pre-trial 5. Challenge to Appointment of Arbitrator;
conference, conference, 6. Termination of Mandate of Arbitrator;
the action the facts 7. Assistance in Taking Evidence;
taken stipulated, the 8. Confirmation, Correction or Vacation of Award
thereon, the admissions in Domestic Arbitration;
amendments made, 9. Recognition and Enforcement or Setting Aside
allowed to evidence of an Award in International Commercial
the marked, the Arbitration;
pleadings, number of 10. Recognition and Enforcement of a Foreign
and the witnesses to Arbitral Award;
agreements be presented 11. Confidentiality/Protective Orders; and
or and the 12. Deposit and Enforcement of Mediated
admissions schedule of Settlement Agreements. (Rule 1.1)
made by the trial.
parties as to Nature of the proceedings
any of the All proceedings under the Special ADR Rules are
matters special proceedings. (Rule 1.2)
considered.
As to non- Non- If the counsel Summary proceedings in certain cases
appearance of appearance for the The proceedings in the following instances are
parties of parties or accused or the summary in nature and shall be governed by this
counsel does prosecutor provision:
not authorize does not 1. Judicial Relief Involving the Issue of Existence,
the courts to appear at the Validity or Enforceability of the Arbitration
impose pre-trial Agreement;
―penalties‖. conference, 2. Referral to ADR;
and does not 3. Interim Measures of Protection;
offer an 4. Appointment of Arbitrator;
acceptable 5. Challenge to Appointment of Arbitrator;
excuse, the 6. Termination of Mandate of Arbitrator;
court may 7. Assistance in Taking Evidence;
impose proper 8. Confidentiality/Protective Orders; and
sanctions and 9. Deposit and Enforcement of Mediated
penalties. Settlement Agreements. (Rule 1.3)

Service and filing of petition by petitioner in

summary proceedings
1. Service upon the respondent either by personal
7. ALTERNATIVE DISPUTE service or courier a copy of the petition before
RESOLUTION (ADR) the filing thereof.
2. Proof of service shall be attached to the petition
a. SPECIAL RULES OF COURT ON ADR (A.M. filed in court.
No. 07-11-08) a. For Personal Service
Proof of service of the petition consists of
the affidavit of the person who effected

78
 service, stating the time, place and manner 2. By the written or stamped acknowledgment of
of the service on the respondent. its filing by the clerk of court on a copy of the
b. For Service by Courier same (if filed personally); or
Proof of service consists of the signed 3. By the proof of delivery from the courier
courier proof of delivery. (Rule 1.3-A) company (if filed by courier). (Rule 1.8-A)

Note: If service is refused or has failed, the affidavit Proof of service

or delivery receipt must state the circumstances of A. Proof of personal service shall consist of:
the attempted service and refusal or failure thereof. 1. Written admission by the party served;
(Rule 1.3-A) 2. Official return of the server; or
3. Affidavit of the party serving, containing a full
Verification and submissions statement of the date, place and manner of
1. Any pleading, motion, opposition, comment, service.
defense or claim filed under the Special ADR B. Proof of service by courier shall consist of:
Rules by the proper party shall be verified and Affidavit of the proper person, stating facts
contain as annexes the supporting documents. showing that the document was deposited with
(Rule 1.4) the courier company in a sealed envelope,
2. The annexes may include a legal brief, duly plainly addressed to the party at his office, if
verified by the lawyer submitting it, stating the known, otherwise at his residence, with
pertinent facts, the applicable law and postage fully pre-paid, and with instructions to
jurisprudence to justify the necessity for the the courier to immediately provide proof of
court to rule upon the issue raised. (Rule 1.4) delivery. (Rule 1.8-B)

Certification against Forum Shopping Filing and service by electronic means and
A Certification against Forum Shopping shall be proof thereof
appended to all initiatory pleadings EXCEPT a Filing and service by electronic means may be
Motion to Refer the Dispute to Alternative Dispute allowed by agreement of the parties and if approved
Resolution. (Rule 1.5) by the court. If the filing or service of a pleading or
motion was done by electronic transmission, proof
Prohibited submissions of filing and service shall be made in accordance
The following pleadings, motions, or petitions shall with the Rules on Electronic Evidence. (Rule 1.8-C)
not be allowed in the cases governed by the Special
ADR Rules and shall not be accepted for filing by No summons
the Clerk of Court: In cases covered by the Special ADR Rules, a court
1. Motion to dismiss; acquires authority to act on the petition or motion
2. Motion for bill of particulars; upon proof of jurisdictional facts, i.e., that the
3. Motion for new trial or for reopening of trial; respondent was furnished a copy of the petition and
4. Petition for relief from judgment; the notice of hearing. (Rule 1.9)
5. Motion for extension, except in cases where an
ex-parte temporary order of protection has Proof of service of the petition and notice of
been issued; hearing upon respondent shall:
6. Rejoinder to reply; 1. Be made in writing by the server; and
7. Motion to declare a party in default; and 2. Set forth the manner, place and date of service.
8. Any other pleading specifically disallowed (Rule 1.9-A)
under any provision of the Special ADR Rules. 3. Burden of proof that a copy of the petition and
(Rule 1.6) the notice of hearing were served on the
respondent rests on the petitioner. (Rule 1.9-B)
Service and filing of pleadings, motions and
other papers in NON-SUMMARY proceedings Note: The technical rules on service of summons
1. Initiatory pleadings do not apply to the proceedings under the Special
The initiatory pleadings shall be filed directly ADR Rules. However, if service is not made
with the court. The court will then cause the personally, the method of service resorted to must
initiatory pleading to be served upon the be such as to reasonably ensure receipt thereof by
respondent by personal service or courier. the respondent to satisfy the requirement of due
2. Action is already pending process.
Pleadings, motions and other papers shall be
filed and/or served by the concerned party by Contents of petition/motion
personal service or courier. Where courier The initiatory pleading in the form of a verified
services are not available, resort to registered petition or motion, in the appropriate case where
mail is allowed. (Rule 1.8) court proceedings have already commenced, shall
include:
Proof of filing 1. Names of the parties;
The filing of a pleading shall be proved: 2. Addresses of the parties; and
1. By its existence in the record of the case; 3. Necessary allegations supporting the petition
and the relief(s) sought. (Rule 1.10)

79
Definition of Terms An arbitration is commercial if it covers matter
(from Special ADR Rules, Arbitration Law, arising from all relationships of a commercial
Alternative Dispute Resolution Act, and Model Law) nature, whether contractual or not. (Section 3(g) of
R.A. 9285) Relationships of a transactions: any
Alternative Dispute Resolution (ADR) System trade transaction for the supply or exchange of
Any process or procedure used to resolve a dispute goods or services; distribution agreements;
or controversy, other than by adjudication of a construction of works; commercial representation or
presiding judge of a court or an officer of a agency; factoring; leasing, consulting; engineering;
government agency, as defined in this Act, in which licensing; investment; financing; banking; insurance;
a neutral third party participates to assist in the joint venture and other forms of industrial or
resolution of issues, which includes arbitration, business cooperation; carriage of goods or
mediation, conciliation, early neutral evaluation, passengers by air, sea, rail or road. (Section 21 of
mini-trial, or any combination thereof. (Section 3 of R.A. 9285)
R.A. 9285)
International Commercial Arbitration
ADR Laws
Refers to the whole body of ADR laws in the International Arbitration:
Philippines. (Rule 1.11) An arbitration is international if:
1. The parties to an arbitration agreement
Arbitration have, at the time of the conclusion of that
A voluntary dispute resolution process in which one agreement, their places of business in different
or more arbitrators, appointed in accordance with States; or
the agreement of the parties, or rules promulgated 2. One of the following places is situated
pursuant to this Act, resolve a dispute by rendering outside the State in which the parties have their
an award. (Section 3 of R.A. 9285) places of business:
Types of Arbitration a. the place of arbitration if
determined in, or pursuant to, the
Domestic Arbitration arbitration agreement;
b. any place where a substantial
Arbitration that is not international as defined in part of the obligations of the commercial
Article 1(3) of the Model Law. (Article 1.6, IRR of relationship is to be performed or the place
R.A. 9285) with which the subject-matter of the
dispute is most closely connected; or
Note: Domestic arbitration shall continue to be 3. The parties have expressly agreed that the
governed by R.A. 876 (Arbitration Law), as subject-matter of the arbitration agreement
amended by R.A. 9285 (Alternative Dispute relates to more than one country. (Article 1(3)
Resolution Act of 2004). (Section 32 of R.A. 9285) of the Model Law)
Note: Article 8, 10, 11, 12, 13, 14, 18 and 19 and Note: International commercial arbitration is
29 to 32 of the Model Law and Section 22 to 31 of governed by the United Nations Commission on
the Chapter 4 (International Commercial Arbitration) International Trade Law (UNCITRAL) Model Law on
of R.A. 9285 shall apply to domestic arbitration. International Commercial Arbitration (Model Law).
(Section 33 of R.A. 9285)

Foreign Arbitration

Arbitration that takes place in another state.

Foreign arbitration and international arbitration

Commercial Arbitration are not the same
An arbitration that takes place in State A is a foreign
arbitration in State B. It does not matter whether the
arbitration is commercial or non-commercial or
whether the parties are from the same country, from
different countries or that one or all are from State
A. Since even a domestic arbitration in State A is a
foreign arbitration in State B, the courts of State B
would be called upon to apply the New York
Convention to enforcement of a clause calling for
arbitration in State A and to the enforcement of any
award that would result. (United Nations, Dispute
Settlement: International Commercial
Arbitration, 2005, p.12)

80
 the courts shall not refuse to refer parties to
Appointing Authority arbitration for reasons including, but not limited
Person or institution named in the arbitration to, the following:
agreement as the appointing authority; or the 1. The referral tends to oust a court of its
regular arbitration institution under whose rule the jurisdiction;
arbitration is agreed to be conducted. Where the 2. The court is in a better position to resolve the
parties have agreed to submit their dispute to dispute subject of arbitration;
institutional arbitration rules, and unless they have 3. The referral would result in multiplicity of suits;
agreed to a different procedure, they shall be 4. The arbitration proceeding has not
deemed to have agreed to procedure under such commenced;
arbitration rules for the selection and appointment of 5. The place of arbitration is in a foreign country;
arbitrators. In ad hoc arbitration, the default 6. One or more of the issues are legal and one or
appointment of arbitrators shall be made by the more of the arbitrators are not lawyers;
National President of the Integrated Bar of the 7. One or more of the arbitrators are not
Philippines or his duly authorized representative. Philippine nationals; or
(Rule 1.11) 8. One or more of the arbitrators are alleged not
to possess the required qualification under the
Types of arbitral awards arbitration agreement or law. (Rule 2.2-A)
Domestic Arbitral Award
(B) Where court intervention is allowed under ADR
Laws or the Special ADR Rules, courts shall
One made in a domestic arbitration in the
not refuse to grant relief, as provided herein, for
Philippines, which is governed by the Arbitration
any of the following reasons:
Law, as amended.
1. Prior to the constitution of the arbitral tribunal,
the court finds that the principal action is the
Foreign Arbitral Award subject of an arbitration agreement; or
2. The principal action is already pending before
One made in a country other than the Philippines. an arbitral tribunal. (Rule 2.2-B)
(Rule 1.11) The recognition and enforcement of a
foreign arbitral award shall be governed by the 1958 Principle of Competence-Competence
New York Convention on the Recognition and The arbitral tribunal may initially rule on its own
Enforcement of Foreign Arbitral Awards (New York jurisdiction, including any objections with respect to
Convention) and the Special ADR Rules. (Rule 13.4) the existence or validity of the arbitration agreement
or any condition precedent to the filing of a request
Convention Award for arbitration.
A foreign arbitral award made in a Convention State
(party to the New York Convention). (Section 3 of Principle of Separability of the Arbitration
R.A. 9285) Clause
Said clause shall be treated as an agreement
Non-Convention Award independent of the other terms of the contract of
A foreign arbitral award made in a State which is not which it forms part. A decision that the contract is
a Convention State. (Section 3 of R.A. 9285) null and void shall not entail ipso jure the invalidity
of the arbitration clause.

Rules governing arbitral proceedings

The parties are free to agree on the procedure to be
followed in the conduct of arbitral proceedings.
Spirit and intent of the Special ADR Rules Failing such agreement, the arbitral tribunal may
conduct arbitration in the manner it considers
In situations where no specific rule is provided
appropriate. (Rule 2.3)
under the Special ADR Rules, the court shall
resolve such matter summarily and be guided by
Policy implementing competence-competence
the spirit and intent of the Special ADR Rules and
principle
the ADR Laws. (Rule 1.13)
1. The arbitral tribunal shall be accorded the first
opportunity or competence to rule on the issue
RULE 2 of whether or not it has the competence or
STATEMENT OF POLICIES jurisdiction to decide a dispute submitted to it
for decision, including any objection with
Policy on arbitration respect to the existence or validity of the
(A) Where the parties have agreed to submit their arbitration agreement.
dispute to arbitration, courts shall refer the Note: When a court is asked to rule upon
parties to arbitration pursuant to R.A. 9285 issue/s affecting the competence or jurisdiction
(Alternative Dispute Resolution Act of 2004) of an arbitral tribunal in a dispute brought
bearing in mind that such arbitration agreement before it, either before or after the arbitral
is the law between the parties and that they are tribunal is constituted, the court must exercise
expected to abide by it in good faith. Further, judicial restraint and defer to the competence

81
 or jurisdiction of the arbitral tribunal by allowing Any party to an arbitration agreement. (Rule 3.2)
the arbitral tribunal the first opportunity to rule
upon such issues. When the petition may be filed
2. Where the court is asked to make a The petition may be filed at any time PRIOR to the
determination of whether the arbitration commencement of arbitration. (Rule 3.3)
agreement is null and void, inoperative or Note: Despite the pendency of the petition provided
incapable of being performed, under this policy herein, arbitral proceedings may nevertheless be
of judicial restraint, the court must make no commenced and continue to the rendition of an
more than a prima facie determination of that award, while the issue is pending before the court.
issue. (Rule 3.3)
Note: Unless the court, pursuant to such prima
facie determination, concludes that the Venue
arbitration agreement is null and void, The petition may be filed before the Regional Trial
inoperative or incapable of being performed, Court that has jurisdiction over the place where any
the court must suspend the action before it and of the petitioners or respondents has his:
refer the parties to arbitration pursuant to the 1. Principal place of business; or
arbitration agreement. (Rule 2.4) 2. Residence. (Rule 3.4)

Policy on mediation Grounds

The Special ADR Rules do not apply to Court- Arbitration agreement is, under the applicable law:
Annexed Mediation (CAM), which shall be governed 1. Invalid;
by issuances of the Supreme Court. 2. Void;
3. Unenforceable; or
Note: Where the parties have agreed to submit 4. Inexistent. (Rule 3.5)
their dispute to mediation, a court before which that
dispute was brought shall suspend the proceedings Court action; judicial restraint
and direct the parties to submit their dispute to In resolving the petition, the court must exercise
private mediation. If the parties subsequently agree, judicial restraint in accordance with the policy set
however, they may opt to have their dispute settled forth in Rule 2.4, DEFERRING to the competence
through CAM. (Rule 2.5) or jurisdiction of the arbitral tribunal to rule on its
Policy on Arbitration-Mediation or Mediation- competence or jurisdiction. (Rule 3.8)
Arbitration
No arbitrator shall act as a mediator in any Application for interim relief
proceeding in which he is acting as arbitrator (and If the petitioner also applies for an interim measure
vice versa). All negotiations towards settlement of of protection, he must also comply with the
the dispute must take place without the presence of requirements of the Special ADR Rules for the
that arbitrator. (Rule 2.6) application for an interim measure of protection.
(Rule 3.10)
Conversion of a settlement agreement to an
arbitral award Relief against court action
Where the parties to mediation have agreed in the A prima facie determination by the court upholding
written settlement agreement that the mediator shall the existence, validity or enforceability of an
become the sole arbitrator for the dispute or that the arbitration agreement shall NOT be subject to a
settlement agreement shall become an arbitral motion for reconsideration, appeal or certiorari.
award, the sole arbitrator shall issue the settlement (Rule 3.11)
agreement as an arbitral award, which shall be
subject to enforcement under the law. (Rule 2.7) Such prima facie determination will NOT,
however, prejudice the right of any party to
PART II raise the issue of the existence, validity and
SPECIFIC COURT RELIEF enforceability of the arbitration agreement
before the arbitral tribunal or the court in an
RULE 3 action to vacate or set aside the arbitral award.
JUDICIAL RELIEF INVOLVING THE ISSUE OF In the latter case, the court‘s review of the arbitral
EXISTENCE, VALIDITY AND ENFORCEABILITY tribunal‘s ruling shall no longer be limited to a mere
OF THE ARBITRATION AGREEMENT prima facie determination of such issue or issues as
prescribed in this Rule, but shall be a full review of
When judicial relief is available such issue or issues with due regard, however, to
The judicial relief provided in Rule 3, whether the standard for review for arbitral awards
resorted to before or after commencement of prescribed in these Special ADR Rules. (Rule 3.11)
arbitration, shall apply only when the place of
arbitration is in the Philippines. (Rule 3.1) B. Judicial Relief AFTER Arbitration
Commences
A. Judicial Relief BEFORE Commencement of
Arbitration Who may file petition
Any party to arbitration may file a petition for judicial
Who may file petition relief from the ruling of the arbitral tribunal on a

82
preliminary question upholding or declining its Rendition of arbitral award BEFORE court
jurisdiction. (Rule 3.12) decision on petition from arbitral tribunal’s
preliminary ruling on jurisdiction
Note: Should the ruling of the arbitral tribunal If the arbitral tribunal renders a final arbitral award
declining its jurisdiction be reversed by the court, and the Court has not rendered a decision on the
the parties shall be free to replace the arbitrators or petition from the arbitral tribunal‘s preliminary ruling
any one of them in accordance with the rules that affirming its jurisdiction, that petition shall become
were applicable for the appointment of arbitrator ipso facto moot and academic and shall be
sought to be replaced. (Rule 3.12) DISMISSED by the Regional Trial Court, without
prejudice to the right of the aggrieved party to raise
When petition may be filed the same issue in a timely petition to vacate or set
The petition may be filed within 30 days after having aside the award. (Rule 3.21)
received notice of that ruling by the arbitral tribunal.
(Rule 3.13) Note: Arbitral tribunal is only a nominal party. (Rule
3.22)
Venue
The petition may be filed before the Regional Trial RULE 4: REFERRAL TO ADR
Court of the place:
1. Where arbitration is taking place; or Who makes the request
2. Where any of the petitioners or respondents A party to a pending action filed in violation of the
has his principal place of business or arbitration agreement, whether contained in an
residence. (Rule 3.14) arbitration clause or in a submission agreement,
may request the court to refer the parties to
Court action (Rule 3.18) arbitration in accordance with such agreement.
1. No injunction of arbitration proceedings (Rule 4.1)
The court shall NOT enjoin the arbitration
proceedings during the pendency of the When to make request (Rule 4.2)
petition. (Judicial recourse to the court shall 1. Where the arbitration agreement exists
NOT prevent the arbitral tribunal from before the action is filed
continuing the proceedings and rendering its The request for referral shall be made not later
award.) than the pre-trial conference. After the pre-trial
2. When dismissal of petition is appropriate conference, the court will only act upon the
The court shall dismiss the petition: request for referral if it is made with the
a. If the petition fails to comply with Rule agreement of all parties to the case.
3.16; or 2. Where there is no existing arbitration
b. If upon consideration of the grounds agreement at the time the case is filed but
alleged and the legal briefs submitted by the parties subsequently enter into an
the parties, the petition does not appear to arbitration agreement
be prima facie meritorious. The parties may request the court to refer their
dispute to arbitration at any time during the
Relief against court action proceedings. (Submission Agreement)
1. The aggrieved party may file a Motion for
Reconsideration of the order of the court. Court action
Note: The decision of the court shall, however, After hearing, the court shall:
not be subject to appeal. The ruling of the court 1. Stay the action; and
affirming the arbitral tribunal‘s jurisdiction shall 2. Refer the parties to arbitration
not be subject to a petition for certiorari. if it finds prima facie, based on the pleadings and
2. The ruling of the court that the arbitral tribunal supporting documents submitted by the parties,
has no jurisdiction may be the subject of a that:
Petition for Certiorari. (Rule 3.19) 1. There is an arbitration agreement; and
2. The subject-matter of the dispute is capable of
Where no petition is allowed settlement or resolution by arbitration in
Where the arbitral tribunal defers its ruling on accordance with Section 6 of the ADR Act.
preliminary question regarding its jurisdiction until
its final award, the aggrieved party CANNOT seek Otherwise, the court shall continue with the judicial
judicial relief to question the deferral and must await proceedings. (Rule 4.5)
the final arbitral award before seeking appropriate
judicial recourse. No reconsideration, appeal or certiorari
1. An order referring the dispute to arbitration
A ruling by the arbitral tribunal deferring resolution shall be immediately executory and shall NOT
on the issue of its jurisdiction until final award, shall be subject to a motion for reconsideration,
NOT be subject to a motion for reconsideration, appeal or petition for certiorari.
appeal or a petition for certiorari. (Rule 3.20) 2. An order denying the request to refer the
dispute to arbitration shall NOT be subject to
an appeal, but may be the subject of a motion

83
 for reconsideration and/or a petition for 4. Where the real property subject of arbitration,
certiorari. (Rule 4.6) or a portion thereof is situated. (Rule 5.3)

Multiple actions and parties Grounds (not exclusive)

The court shall NOT decline to refer some or all of 1. The need to prevent irreparable loss or injury;
the parties to arbitration for any of the following 2. The need to provide security for the
reasons: performance of any obligation;
1. Not all of the disputes subject of the civil action 3. The need to produce or preserve evidence; or
may be referred to arbitration; 4. The need to compel any other appropriate act
2. Not all of the parties to the civil action are or omission. (Rule 5.4)
bound by the arbitration agreement and referral Type of interim measure of protection that a
to arbitration would result in multiplicity of suits; court may grant
3. The issues raised in the civil action could be 1. Preliminary injunction directed against a party
speedily and efficiently resolved in its entirety to arbitration;
by the court rather than in arbitration; 2. Preliminary attachment against property or
4. Referral to arbitration does not appear to be the garnishment of funds in the custody of a bank
most prudent action; or or a third person;
5. The stay of the action would prejudice the 3. Appointment of a receiver;
rights of the parties to the civil action who are 4. Detention, preservation, delivery or inspection
not bound by the arbitration agreement. (Rule of property; or
4.7) 5. Assistance in the enforcement of an interim
measure of protection granted by the arbitral
Note: The court may, however, issue an order tribunal, which the latter cannot enforce
directing the inclusion in arbitration of those parties effectively. (Rule 5.6)
who are not bound by the arbitration agreement but
who agree to such inclusion provided those Dispensing with prior notice in certain cases
originally bound by it do not object to their inclusion. Prior notice to the other party may be dispensed
(Rule 4.7) with when the court finds that the reason/s given by
the petitioner are meritorious where the petitioner
Arbitration to proceed alleges in the petition that there is an urgent need to
Despite the pendency of the action referred to in either:
Rule 4.1, arbitral proceedings may nevertheless be 1. Preserve property;
commenced or continued, and an award may be 2. Prevent the respondent from disposing of, or
made, while the action is pending before the court. concealing, the property; or
(Rule 4.8) 3. Prevent the relief prayed for from becoming
illusory because of prior notice. (Rule 5.7)
RULE 5
INTERIM MEASURES OF PROTECTION Court action (Rule 5.9)
1. Where the other parties fail to file their
Who may ask for interim measures of protection opposition on or before the day of the
A party to an arbitration agreement may petition the hearing
court for interim measures of protection. (Rule 5.1) The court shall motu proprio render judgment
only on the basis of the allegations in the
When to petition petition that are substantiated by supporting
A petition for an interim measure of protection may documents and limited to what is prayed for
be made: therein.
1. Before arbitration is commenced; 2. Where based solely on the petition, the
2. After arbitration is commenced, but before the court finds that there is an urgent need to
constitution of the arbitral tribunal; or either:
3. After the constitution of the arbitral tribunal and a. Preserve property;
at any time during arbitral proceedings but, at b. Prevent the respondent from disposing of,
this stage, only to the extent that the arbitral or concealing, the property; or
tribunal has no power to act or is unable to act c. Prevent the relief prayed for from
effectively. (Rule 5.2) becoming illusory because of prior notice
The court shall:
Venue 1. Issue an immediately executory temporary
A petition for an interim measure of protection may order of protection (TPO); and
be filed with the Regional Trial Court, which has 2. Require the petitioner, within 5 days from
jurisdiction over any of the following places: receipt of that order, to post a BOND to
1. Where the principal place of business of any of answer for any damage that respondent
the parties to arbitration is located; may suffer as a result of its order.
2. Where any of the parties who are individuals
resides; Ex-parte TPO
3. Where any of the acts sought to be enjoined The ex-parte TPO shall be valid only for a period of
are being performed, threatened to be twenty (20) days from the service on the party
performed or not being performed; or

84
required to comply with the order. Within that amended, revised or revoked an interim
period, the court shall: measure of protection previously issued by the
a. Furnish the respondent a copy of the petition court to the extent that it is inconsistent with the
and a notice requiring him to comment thereon subsequent interim measure of protection
on or before the day the petition will be heard; issued by the arbitral tribunal. (Rule 5.13)
and
b. Notify the parties that the petition shall be Conflict or inconsistency between interim
heard on a day specified in the notice, which measure of protection issued by the court and
must not be beyond the 20-day period of the by the arbitral tribunal
effectivity of the ex-parte order. Any question involving a conflict or inconsistency
between an interim measure of protection issued by
Counter-bond the court and by the arbitral tribunal shall be
The respondent has the option of having the TPO immediately referred by the court to the arbitral
lifted by posting an appropriate counter-bond as tribunal which shall have the authority to decide
determined by the court. such question. (Rule 5.14)

Relief against court action Court to defer action on petition for an interim
If respondent was given an opportunity to be heard measure of protection when informed of
on a petition for an interim measure of protection, constitution of the arbitral tribunal
any order by the court shall be immediately The court shall defer action on any pending petition
executory, but may be the subject of a/an: for an interim measure of protection filed by a party
1. Motion for reconsideration; and/or to an arbitration agreement arising from or in
2. Appeal; or, connection with a dispute thereunder upon being
3. Petition for certiorari (if warranted). (Rule 5.10) informed that an arbitral tribunal has been
constituted pursuant to such agreement. The court
Duty of the court to refer back may act upon such petition only if it is established
The court shall not deny an application for by the petitioner that the arbitral tribunal has no
assistance in implementing or enforcing an interim power to act on any such interim measure of
measure of protection ordered by an arbitral tribunal protection or is unable to act thereon effectively.
on any or all of the following grounds: (Rule 5.15)
a. The arbitral tribunal granted the interim relief ex
parte; or Court assistance should arbitral tribunal be
b. The party opposing the application found new unable to effectively enforce interim measure of
material evidence, which the arbitral tribunal protection
had not considered in granting in the The court shall assist in the enforcement of an
application, and which, if considered, may interim measure of protection issued by the arbitral
produce a different result tribunal which it is unable to effectively enforce.
Note: If it finds that there is sufficient merit in (Rule 5.16)
the opposition to the application based on letter
(b), the court shall REFER the matter back to RULE 6
the arbitral tribunal for appropriate APPOINTMENT OF ARBITRATORS
determination; or
c. The measure of protection ordered by the When the court may act as Appointing Authority
arbitral tribunal amends, revokes, modifies or is The court shall act as Appointing Authority only in
inconsistent with an earlier measure of the following instances:
protection issued by the court. (Rule 5.11) 1. Institutional Arbitration
a. Where any of the parties failed or refused
Security to appoint an arbitrator; or
The order granting an interim measure of protection b. When the parties have failed to reach an
may be conditioned upon the provision of security, agreement on the sole arbitrator (in an
performance of an act, or omission thereof, arbitration before a sole arbitrator); or
specified in the order. The Court may not change or c. When the two designated arbitrators have
increase or decrease the security ordered by the failed to reach an agreement on the third
arbitral tribunal. (Rule 5.12) or presiding arbitrator (in an arbitration
before a panel of three arbitrators), and
Modification, amendment, revision or revocation the institution under whose rules
of court’s previously issued interim measure of arbitration is to be conducted fails or is
protection unable to perform its duty as appointing
1. Any court order granting or denying interim authority within a reasonable time from
measure/s of protection is issued without receipt of the request for appointment;
prejudice to subsequent grant, modification, 2. Ad Hoc Arbitration
amendment, revision or revocation by the a. Where the parties failed to provide a
arbitral tribunal as may be warranted. method for appointing or replacing an
2. An interim measure of protection issued by the arbitrator, or substitute arbitrator, or the
arbitral tribunal shall, upon its issuance be method agreed upon is ineffective; AND
deemed to have ipso jure modified,

85
 b. The National President of the Integrated upon by the parties or under the procedure
Bar of the Philippines (IBP) or his duly provided for in Article 13(2) of the Model Law
authorized representative fails or refuses and the challenge is not successful:
to act within such period as may be The aggrieved party may request the
allowed under the pertinent rules of the Appointing Authority to rule on the
IBP or within such period as may be challenge.
agreed upon by the parties, or in the 2. When such Appointing Authority fails or refuses
absence thereof, within thirty (30) days to act on the challenge within such period as
from receipt of such request for may be allowed under the applicable rule or in
appointment. the absence thereof, within 30 days from
receipt of the request:
3. When the Appointing Authority fails or refuses The aggrieved party may renew the
to act or appoint an arbitrator within a challenge in court. (Rule 7.2)
reasonable time from receipt of the request to
do so Venue
The challenge shall be filed with the Regional Trial
Who may request for appointment Court:
Any party to an arbitration. (Rule 6.2) 1. Where the principal place of business of any of
the parties is located;
Venue 2. If any of the parties are individuals, where
The petition for appointment of arbitrator may be those individuals reside; or
filed, at the option of the petitioner, in the Regional 3. In the National Capital Region. (Rule 7.3)
Trial Court:
1. Where the principal place of business of any of Grounds
the parties is located; An arbitrator may be challenged on any of the
2. If any of the parties are individuals, where grounds for challenge provided for in:
those individuals reside; or
3. In the National Capital Region. (Rule 6.3) A. R.A. 9285 (Alternative Dispute Resolution Act
of 2004) and its Implementing Rules
Court action 1. International Commercial
After hearing the petition for appointment of Arbitration
arbitrator, the court shall either: a. Circumstances exist that give rise to
1. Appoint an arbitrator (if it finds merit in the justifiable doubts as to impartiality or
petition); or, independence of the arbitrator; or
2. Dismiss the petition. (Rule 6.7) b. Arbitrator does not possess qualifications
Note: At any time after the petition is filed and agreed to by the parties. (Article 4.12 of
before the court makes an appointment, it shall IRR)
also dismiss the petition upon being informed 2. Domestic Arbitration
that the Appointing Authority has already made a. Circumstances exist that give rise to
the appointment. (Rule 6.7) justifiable doubts as to the impartiality or
independence of the arbitrator;
Relief against court action b. Arbitrator does not possess qualifications
1. An order APPOINTING an arbitrator as provided for in Chapter 5 (Domestic
a. Shall be immediately executory; Arbitration) or those agreed to by the
and parties;
b. Not be the subject of a motion for c. Arbitrator is disqualified to act as
reconsideration, appeal or certiorari. arbitration under the IRR
2. An order of the court DENYING the petition for Qualifications/Disqualifications: Any
appointment of an arbitrator person appointed to serve as an arbitrator
a. May be the subject of a: must be of legal age, in full enjoyment of
i. Motion for reconsideration; his/her civil rights and knows how to read
ii. Appeal; or and write. No person appointed to serve as
iii. Certiorari. (Rule 6.9) an arbitrator shall be related by blood or
marriage within the sixth degree to either
party to the controversy. No person shall
RULE 7 serve as an arbitrator in any proceeding if
CHALLENGE TO APPOINTMENT OF he/she has or has had financial, fiduciary
ARBITRATOR or other interest in the controversy or
cause to be decided or in the result of the
Who may challenge proceeding, or has any personal bias,
Any of the parties to an arbitration may challenge which might prejudice the right of any party
an arbitrator. (Rule 7.1) to a fair and impartial award. No party shall
select as an arbitrator any person to act as
When challenge may be raised in court his/her champion or to advocate his/her
1. When an arbitrator is challenged before the cause. (5.10 of IRR); or
arbitral tribunal under the procedure agreed

86
 d. Arbitrator refuses to respond to questions The court shall decide the challenge on the basis of
by a party regarding the nature and extent the evidence submitted by the parties in the
of his professional dealings with a party or following instances:
its counsel. (5.11 of IRR) 1. The other arbitrators in the arbitral tribunal
agree to the removal of the challenged
B. R.A. 876 (Arbitration Law) arbitrator; and
When the arbitrator is not qualified to be 2. If the challenged arbitrator fails or refuses to
such. submit his comment on the petition or the brief
Qualifications/Disqualifications: Any person of legal arguments as directed by the court, or
appointed to serve as an arbitrator must be of in such comment or brief of legal arguments,
legal age, in full-enjoyment of his civil rights he fails to object to his removal following the
and know how to read and write. No person challenge. (Rule 7.7)
appointed to serve as an arbitrator shall be
related by blood or marriage within the sixth Note: Any order of the court resolving the petition
degree to either party to the controversy. No shall be immediately executory and shall NOT be
person shall serve as an arbitrator in any the subject of a motion for reconsideration, appeal,
proceeding if he has or has had financial, or certiorari. (Rule 7.8)
fiduciary or other interest in the controversy or
cause to be decided or in the result of the RULE 9
proceeding, or has any personal bias, which ASSISTANCE IN TAKING EVIDENCE
might prejudice the right of any party to a fair
and impartial award. No party shall select as an Who may request assistance
arbitrator any person to act as his champion or Any party to an arbitration, whether domestic or
to advocate his cause. (Section 10 of R.A. foreign, may request the court to provide assistance
876) in taking evidence. (Rule 9.1)

C. Model Law When assistance may be sought

1. Circumstances exist that give rise to Assistance may be sought at any time during the
justifiable doubts as to the impartiality or course of the arbitral proceedings when the need
independence of the arbitrator; or arises. (Rule 9.2)
2. Arbitrator does not possess qualifications
agreed to by the parties. (Article 12 of the Venue
Model Law) A petition for assistance in taking evidence may, at
the option of the petitioner, be filed with Regional
Note: The nationality or professional qualification of Trial Court where:
an arbitrator is NOT a ground to challenge an 1. Arbitration proceedings are taking place;
arbitrator UNLESS the parties have specified in 2. The witnesses reside or may be found; or
their arbitration agreement a nationality and/or 3. Where the evidence may be found. (Rule 9.3)
professional qualification for appointment as
arbitrator. (Rule 7.4) Ground
The court may grant or execute the request for
Court action assistance in taking evidence within its competence
After hearing, the court shall: and according to the rules of evidence. (Rule 9.4)
1. Remove the challenged arbitrator if it finds
merit in the petition; otherwise, it shall dismiss Type of assistance
the petition. A party requiring assistance in the taking of
2. Allow the challenged arbitrator who evidence may petition the court to direct any
subsequently agrees to accept the challenge to person, including a representative of a corporation,
withdraw as arbitrator. association, partnership or other entity (other than a
3. Accept the challenge and remove the arbitrator party to the ADR proceedings or its officers) found
in the following cases: in the Philippines, for any of the following:
a. The party or parties who named and 1. To comply with a subpoena ad
appointed the challenged arbitrator agree testificandum and/or subpoena duces tecum;
to the challenge and withdraw the 2. To appear as a witness before an officer for the
appointment. taking of his deposition upon oral examination
b. The other arbitrators in the arbitral tribunal or by written interrogatories;
agree to the removal of the challenged 3. To allow the physical examination of the
arbitrator; and condition of persons, or the inspection of things
c. The challenged arbitrator fails or refuses to or premises and, when appropriate, to allow the
submit his comment on the petition or the recording and/or documentation of condition of
brief of legal arguments as directed by the persons, things or premises (i.e., photographs,
court, or in such comment or legal brief, he video and other means of
fails to object to his removal following the recording/documentation);
challenge. (Rule 7.7) 4. To allow the examination and copying of
documents; and
Basis of decision of the court 5. To perform any similar acts. (Rule 9.5)

87
 Confidential information shall not be subject to
Court action discovery and shall be inadmissible in any
If the evidence sought is not privileged, and is adversarial proceeding, whether judicial or
material and relevant, the court shall: quasi judicial.
1. Grant the assistance in taking evidence Note: However, evidence or information that is
requested; and otherwise admissible or subject to discovery
2. Order petitioner to pay costs attendant to such does not become inadmissible or protected
assistance. (Rule 9.8) from discovery solely by reason of its use
therein.
Relief against court action 3. For MEDIATION proceedings, the court shall
1. The order GRANTING assistance in taking be further guided by the following principles:
evidence shall be immediately executory and a. Information obtained through mediation shall
NOT subject to reconsideration or appeal. be privileged and confidential.
2. If the court DECLINES to grant assistance in b. A party, a mediator, or a nonparty participant
taking evidence, the petitioner may file a: may refuse to disclose and may prevent any
a. Motion for reconsideration; or other person from disclosing a mediation
b. Appeal. (Rule 9.9) communication.
c. In such an adversarial proceeding, the
RULE 10 following persons involved or previously
CONFIDENTIALITY/PROTECTIVE ORDERS involved in a mediation may not be compelled
to disclose confidential information obtained
Who may request confidentiality during the mediation: (1) the parties to the
A party, counsel or witness who disclosed or who dispute; (2) the mediator or mediators; (3) the
was compelled to disclose information relative to counsel for the parties: (4) the nonparty
the subject of ADR under circumstances that would participants; (5) any persons hired or engaged
create a reasonable expectation, on behalf of the in connection with the mediation as secretary,
source, that the information shall be kept stenographer; clerk or assistant; and (6) any
confidential has the right to prevent such other person who obtains or possesses
information from being further disclosed without the confidential information by reason of his/ her
express written consent of the source or the party profession.
who made the disclosure. (Rule 10.1) d. The protection of the ADR Laws shall continue
to apply even if a mediator is found to have
When request made failed to act impartially.
A party may request a protective order at any time e. A mediator may not be called to testify to
there is a need to enforce the confidentiality of the provide information gathered in mediation. A
information obtained, or to be obtained, in ADR mediator who is wrongfully subpoenaed shall
proceedings. (Rule 10.2) be reimbursed the full cost of his attorney fees
and related expenses. (Rule 10.8)
Venue
1. A petition for a protective order may be filed Relief against court action
with the Regional Trial Court where that order 1. The order ENJOINING a person or persons
would be implemented. from divulging confidential information shall be
2. A motion to enjoin the confidential information immediately executory and may not be
from being divulged or to suppress confidential enjoined while the order is being questioned
information may be filed with the court where with the appellate courts.
the proceedings are pending and in which the 2. If the court DECLINES TO ENJOIN a person or
information obtained in an ADR proceeding is persons from divulging confidential information,
required to be divulged or is being divulged. the petitioner may file a/an:
(Rule 10.3) a. Motion for reconsideration; or
b. Appeal. (Rule 10.9)
Grounds
A protective order may be granted only if it is shown RULE 11
that the applicant would be materially prejudiced by CONFIRMATION, CORRECTION OR VACATION
an unauthorized disclosure of the information OF AWARD IN DOMESTIC ARBITRATION
obtained, or to be obtained, during an ADR
proceeding. (Rule 10.4) This rule applies only to awards in DOMESTIC
Arbitrations.
Court action
1. If the court finds the petition or motion Who may request confirmation, correction or
meritorious, it shall issue an order enjoining a vacation
person or persons from divulging confidential Any party to a domestic arbitration may petition the
information. court to confirm, correct or vacate a domestic
2. In resolving the petition or motion, the courts arbitral award. (Rule 11.1)
shall be guided by the following principles
applicable to all ADR proceedings: When to request confirmation,
correction/modification or vacation (Rule 11.2)

88
1. Confirmation complete, final and definite award upon the
At any time after the lapse of 30 days from subject matter submitted to them was not
receipt by the petitioner of the arbitral award, made.
he may petition the court to confirm that award. 6. The arbitration agreement did not exist, or is
2. Correction/Modification invalid for any ground for the revocation of a
Not later than 30 days from receipt of the contract or is otherwise unenforceable; or
arbitral award, a party may petition the court to 7. A party to arbitration is a minor or a person
correct/modify that award. judicially declared to be incompetent.
3. Vacation Note: When based on this ground, the petition
Not later than 30 days from receipt of the shall be filed only on behalf of the minor or
arbitral award, a party may petition the court to incompetent and shall allege that:
vacate that award. a. The other party to arbitration had
4. Petition to vacate the arbitral award in knowingly entered into a submission or
opposition to a petition to confirm the agreement with such minor or
arbitral award incompetent; or
Not later than 30 days from receipt of the b. The submission to arbitration was
award by the petitioner. Otherwise, it shall be made by a guardian or guardian ad litem
dismissed. who was not authorized to do so by a
5. Petition to confirm the arbitral award in competent court.
opposition to a petition to vacate the
arbitral award (B) To correct/modify an arbitral award:
At any time after the petition to vacate such 1. Where there was an evident miscalculation of
arbitral award is filed. figures or an evident mistake in the description
Note: The dismissal of the petition to vacate of any person, thing or property referred to in
the arbitral award for having been filed beyond the award;
the reglementary period shall not result in the 2. Where the arbitrators have awarded upon a
dismissal of the petition for the confirmation of matter not submitted to them, not affecting the
such arbitral award. merits of the decision upon the matter
Note: The filing of a petition to confirm an submitted;
arbitral award shall not authorize the filing of a 3. Where the arbitrators have omitted to resolve
belated petition to vacate or set aside such an issue submitted to them for resolution; or
award in opposition thereto. 4. Where the award is imperfect in a matter of
6. Petition to correct an arbitral award form not affecting the merits of the controversy,
May be included as part of a petition to confirm and if it had been a commissioner‘s report, the
the arbitral award or as a petition to confirm defect could have been amended or
that award. disregarded by the Court.

Venue Court action

The petition for confirmation, correction/modification 1. Unless a ground to vacate an arbitral award
or vacation of a domestic arbitral award may be under Rule 11.5 is fully established, the court
filed with Regional Trial Court having jurisdiction shall confirm the award.
over the place: An arbitral award shall enjoy the
1. Where one of the parties is doing business; presumption that it was made and
2. Where any of the parties reside; or released in due course of arbitration and is
3. Where arbitration proceedings were conducted. subject to confirmation by the court.
(Rule 11.3) 2. In resolving the petition or petition in
opposition, the court shall either confirm or
Grounds (Rule 11.4) vacate the arbitral award.
(A) To vacate an arbitral award: The court shall NOT disturb the arbitral
(Note: The grounds are exclusive.) tribunal‘s determination of facts and/or
1. The arbitral award was procured through interpretation of law. (Rule 11.9)
corruption, fraud or other undue means;
2. There was evident partiality or corruption in the Referral back to the same or new arbitral
arbitral tribunal or any of its members; tribunal
3. The arbitral tribunal was guilty of misconduct or 1. In petitions to:
any form of misbehavior that has materially a. Vacate an award; or
prejudiced the rights of any party such as b. Vacate an award in opposition to
refusing to postpone a hearing upon sufficient a petition to confirm the award
cause shown or to hear evidence pertinent and The petitioner may simultaneously apply with the
material to the controversy; Court to refer the case back to the same arbitral
4. One or more of the arbitrators was disqualified tribunal to:
to act as such under the law and willfully a. Make a new or revised award;
refrained from disclosing such disqualification; b. Direct a new hearing; or
or c. In the appropriate case, order the
5. The arbitral tribunal exceeded its powers, or so new hearing before a new arbitral tribunal,
imperfectly executed them, such that a the members of which shall be chosen in

89
 the manner provided in the arbitration When to file a petition to recognize and enforce
agreement or submission, or the law. In an arbitral award may be made:
the latter case, any provision limiting the 1. Anytime from receipt of the award; or
time in which the arbitral tribunal may 2. Within the period for filing an opposition, if a
make a decision shall be deemed timely petition to set aside an arbitral award is
applicable to the new arbitral tribunal. filed.
2. In referring the case back to the arbitral tribunal
or to a new arbitral tribunal pursuant to Rule 24 When to file a petition to set aside
of Republic Act No. 876, the court may NOT Only within 3 months from the time the petitioner
direct it to: receives a copy thereof.
a. Revise its award in a particular
way; or Failure to file a petition to set aside shall preclude a
b. Revise its findings of fact or party from raising grounds to resist enforcement of
conclusions of law or otherwise encroach the award.
upon the independence of an arbitral
tribunal in the making of a final award. Note: If a timely request is made with the arbitral
(Rule 11.10) tribunal for correction, interpretation or additional
award, the 3-month period shall be counted from
Multi-party arbitration the time the petitioner receives the resolution by the
1. Agreement of the parties arbitral tribunal of that request.
In this multi-party arbitration among the lender,
the borrower and the third party securing the Note: Dismissal of the petition to set aside an
loan, the parties may agree to submit to arbitral for being time-barred shall not automatically
arbitration before a sole arbitrator or a panel of result in the approval of the petition filed therein and
three arbitrators to be appointed either by an in opposition thereto for the recognition an
Appointing Authority designated by the parties enforcement of the same award. (Rule 12.2)
in the arbitration agreement or by a default
Appointing Authority under the law. Where to file a petition to recognize and enforce
2. In default of an agreement or set aside an arbitral award
In default of an agreement on the manner of At the option of the petitioner, in the Regional Trial
appointing arbitrators or of constituting the court:
arbitral tribunal in such multi-party arbitration, 1. Where arbitration proceedings were conducted;
the dispute shall be resolved by a panel of or
three arbitrators to be designated by the 2. Where any of the assets to be attached or
Appointing Authority under the law. But even in levied upon is located; or
default of an agreement on the manner of 3. Where the act to be enjoined will be or is being
appointing an arbitrator or constituting an performed; or
arbitral tribunal in a multi-party arbitration, if the 4. Where any of the parties to arbitration resides
borrower and the third party securing the loan or has its place of business; or
agree to designate a common arbitrator, 5. In the National Capital Judicial Region (Rule
arbitration shall be decided by a panel of three 12.3)
arbitrators: one to be designated by the lender;
the other to be designated jointly by the The court may set aside or refuse the
borrower and the provider of security who have enforcement of the arbitral award only if:
agreed to designate the same arbitrator; and a 1. The party making the application furnishes
third arbitrator who shall serve as the proof that:
chairperson of the arbitral panel to be a. A party to the arbitration
designated by the two party-designated agreement was under some incapacity, or
arbitrators. (Rule 11.10) the said agreement is not valid under the
law to which the parties have subjected it
RULE 12 or, failing any indication thereof, under
RECOGNITION AND ENFORCEMENT OR Philippine law; or
SETTING ASIDE OF AN INTERNATIONAL b. The party making the application
COMMERCIAL ARBITRATION AWARD. to set aside or resist enforcement was not
given proper notice of the appointment of
See definitions of international arbitration (Article an arbitrator or of the arbitral proceedings
1(3) of Model Law) and commercial arbitration or was otherwise unable to present his
(Section 3(g) of R.A. 9285) in the discussion under case; or
Rule 1. c. The award deals with a dispute
not contemplated by or not falling within
Who may request recognition and enforcement the terms of the submission to arbitration;
or setting aside provided that, if the decisions on matters
Any party to an international commercial arbitration submitted to arbitration can be separated
where the venue of arbitration is in the Philippines. from those not so submitted, only that part
(Rule 12.1) of the award which contains decisions on
matters not submitted to arbitration may be

90
 set aside or only that part of the award Note: The court when asked to set aside an arbitral
which contains decisions on matters award may also, when the preliminary ruling of an
submitted to arbitration may be enforced; arbitral tribunal affirming its jurisdiction to act on the
or matter before it had been appealed by the party
d. The composition of the arbitral aggrieved by such preliminary ruling to the court,
tribunal or the arbitral procedure was not in suspend the proceedings to set aside to await the
accordance with the agreement of the ruling of the court on such pending appeal or, in the
parties, unless such agreement was in alternative, consolidate the proceedings to set aside
conflict with a provision of Philippine law with the earlier appeal. (Rule 12.11)
from which the parties cannot derogate, or,
failing such agreement, was not in Presumption in favor of confirmation
accordance with Philippine law. Unless the adverse party is able to establish a
ground for setting aside or not enforcing an arbitral
2. The court finds that: award, the presumption is that an arbitral award
a. The subject- matter of the dispute was made and released in due course and is
is not capable of settlement by arbitration subject to enforcement by the court. (Rule 12.12)
under the law of the Philippines; or
b. The recognition or enforcement of Judgment of the Court
the award would be contrary to public Unless a ground to set aside an arbitral award
policy. (Rule 12.4) under Rule 12.4 is fully established, the court shall
dismiss the petition.
Exclusive recourse to a court against an arbitral
award If, in the same proceedings, there is a petition to
Recourse to a court against an arbitral award shall recognize and enforce the arbitral award filed in
be made only through a petition to set aside the opposition to set aside, the court shall recognize
arbitral award and on the grounds prescribed by the and enforce the award.
law that governs international commercial
arbitration. This recourse is exclusive and any other In resolving the petition or petition in opposition
recourse such as appeal or petition for review or thereto, the court shall either set aside or enforce
petition for certiorari shall be dismissed by the court. the arbitral award.
(Rule 12.5)
The court shall not disturb the arbitral tribunal‘s
Note: When a petition to recognize and enforce an determination of facts and/or interpretation of law.
arbitral award is pending, the application to set it (Rule 12.13)
aside, if not yet time-barred, shall be made through
a petition to set aside the same award in the same Costs
proceedings. General Rule: The party praying for recognition
and enforcement or setting aside of an arbitral
When a timely petition to set aside an arbitral award award shall submit a statement under oath
is filed, the opposing party may file a petition for confirming the costs he has incurred only in the
recognition and enforcement of the same award in proceedings for such recognition and enforcement
opposition thereto. (Rule 12.6) or setting aside. The costs shall include the
attorney‘s fees the party has paid or is committed to
Proceedings of the case pay to his counsel of record.
During the hearing, the affidavits of witnesses shall
take the place of their direct testimonies and they Exception: If otherwise agreed upon by the parties
shall immediately be subject to cross-examination in writing.
thereon. The court shall have full control over the
proceedings to ensure that the case is heard Note: The prevailing party shall be entitled to an
without undue delay. (Rule 12.10) award of costs, which shall include reasonable
attorney‘s fees of the prevailing party against the
Suspension of proceedings to set aside unsuccessful party. The court shall determine the
Where appropriate and upon request by a party, the reasonableness of the claim for attorney‘s fees.
court may suspend the proceedings for a period of
time determined by it to give the arbitral tribunal an RULE 13
opportunity to resume the arbitral proceedings and RECOGNITION AND ENFORCEMENT OF A
to take such other action as in the arbitral tribunal‘s FOREIGN ARBITRAL AWARD
opinion will eliminate the grounds for setting aside.
Who may request recognition and enforcement
The court, in referring the case back to the arbitral Any party to a foreign arbitration. (Rule 13.1)
tribunal may not direct it to revise its award in a
particular way, or to revise its findings of fact or When to petition
conclusions of law or otherwise encroach upon the At any time after receipt of a foreign arbitral award,
independence of an arbitral tribunal in the making of any party to arbitration may petition the proper
a final award. Regional Trial Court to recognize and enforce such
award. (Rule 13.2)

91
 aside or suspended by a court of the
Venue country in which that award was made; or
At the option of the petitioner, with the Regional 2. The court finds that:
Trial Court: a. The subject-matter of the dispute
1. Where the assets to be attached or levied upon is not capable of settlement or resolution
is located; by arbitration under Philippine law; or
2. Where the act to be enjoined is being b. The recognition or enforcement of
performed; the award would be contrary to public
3. In the principal place of business in the policy.
Philippines or any of the parties;
4. If any of the parties is an individual, where any The court shall disregard any ground for
of those individuals resides; or opposing the recognition and enforcement of a
5. In the National Capital Judicial Region (Rule foreign arbitral award other than those
13.3) enumerated above. (Rule 13.4)

Governing Law and Grounds to refuse Adjournment/ deferment of decision on

recognition and enforcement enforcement of award
The recognition and enforcement of a foreign The court before which a petition to recognize and
arbitral award shall be governed by the 1958 New enforce a foreign arbitral award is pending, may
York Convention on the Recognition and adjourn or defer rendering a decision thereon if, in
Enforcement of Foreign Arbitral Awards (the ―New the meantime, an application for the setting aside or
York Convention‖) and this Rule. suspension of the award has been made with a
competent authority in the country where the award
The court may upon grounds of comity and was made.
reciprocity, recognize and enforce a foreign arbitral
award made in a country that is not a signatory to Upon application of the petitioner, the court may
the New York Convention as if it were a Convention also require the other party to give suitable security.
Award. (Rule 13.10)

A Philippine court shall not set aside a foreign Court Action

arbitral award but may refuse it recognition and It is presumed that a foreign arbitral award was
enforcement on any or all of the following grounds: made and released in due course of arbitration and
1. The party making the application to refuse is subject to enforcement by the court.
recognition and enforcement of the award
furnishes proof that: The court shall recognize and enforce a foreign
a. A party to the arbitration arbitral award unless a ground to refuse recognition
agreement was under some incapacity; or or enforcement of the foreign arbitral award under
the said agreement is not valid under the this rule is full established.
law to which the parties have subjected it
or, failing any indication thereof, under the The decision of the court recognizing and enforcing
law of the country where the award was a foreign arbitral award is immediately executory.
made; or
b. The party making the application In resolving the petition for recognition and
was not given proper notice of the enforcement of a foreign arbitral award in
appointment of an arbitrator or of the accordance with these Special ADR Rules, the
arbitral proceedings or was otherwise court shall either:
unable to present his case; or
c. The award deals with a dispute 1. Recognize and/or enforce; or
not contemplated by or not falling within 2. Refuse to recognize and enforce the
the terms of the submission to arbitration, arbitral award.
or contains decisions on matters beyond
the scope of the submission to arbitration; The court shall not disturb the arbitral tribunal‘s
provided that, if the decisions on matters determination of facts and/or interpretation of law.
submitted to arbitration can be separated (Rule 13.11)
from those not so submitted, only that part
of the award which contains decisions on Recognition and enforcement of non-
matters not submitted to arbitration may be convention award
set aside; or The court shall, only upon grounds provided by
d. The composition of the arbitral these Special ADR Rules, recognize and enforce a
tribunal or the arbitral procedure was not in foreign arbitral award made in a country not a
accordance with the agreement of the signatory to the New York Convention when such
parties of, failing such agreement, was not country extends comity and reciprocity to awards
in accordance with the law of the country made in the Philippines.
where arbitration took place; or
e. The award has not yet become If that country does not extend comity and
binding on the parties or has been set reciprocity to awards made in the Philippines, the

92
court may nevertheless treat such award as a e. Any order resolving the issue of the
foreign judgement enforceable as such under Rule termination of the mandate of an arbitrator;
39, Section 48, of the Rules of Court. (Rule 13.12) and
f. An order granting assistance in taking
PART VI evidence. (Rule 19.1)
MOTION FOR RECONSIDERATION, APPEAL
AND CERTIORARI When to move for reconsideration
RULE 19 A motion for reconsideration may be filed with the
MOTION FOR RECONSIDERATION, APPEAL Regional Trial Court within a non-extendible period
AND CERTIORARI of 15 days from receipt of the questioned ruling or
A. MOTION FOR RECONSIDERATION order. (Rule 19.2)
1. When motion for reconsideration with the RTC
is allowed: Resolution of motion
a. That the arbitration agreement is inexistent, A motion for reconsideration shall be resolved
invalid or unenforceable pursuant to Rule within 30 days from receipt of the opposition or
3.10 (B); comment or upon the expiration of the period to file
b. Upholding or reversing the arbitral tribunal‘s such opposition or comment. (Rule 19.5)
jurisdiction pursuant to Rule 3.19;
c. Denying a request to refer the parties to Note: No party shall be allowed a second motion for
arbitration; reconsideration. (Rule 19.6)
d. Granting or denying a party an interim
measure of protection; B. GENERAL PROVISIONS ON APPEAL AND
e. Denying a petition for the appointment of an CERTIORARI
arbitrator;
f. Refusing to grant assistance in taking No appeal or certiorari on the merits of an
evidence; arbitral award
g. Enjoining or refusing to enjoin a person An agreement to refer a dispute to arbitration shall
from divulging confidential information; mean that the arbitral award shall be final and
h. Confirming, vacating or correcting a binding. Consequently, a party to an arbitration is
domestic arbitral award; precluded from filing an appeal or a petition for
i. Suspending the proceedings to set aside certiorari questioning the merits of an arbitral award.
an international commercial arbitral award (Rule 19.7)
and referring the case back to the arbitral
tribunal; Subject matter and governing rules
j. Setting aside an international commercial The remedy of an appeal through a petition for
arbitral award; review or the remedy of a special civil action of
k. Dismissing the petition to set aside an certiorari from a decision of the Regional Trial Court
international commercial arbitral award, made under the Special ADR Rules shall be
even if the court does not recognize and/or allowed in the instances, and instituted only in the
enforce the same; manner, provided under this Rule. (Rule 19.8)
l. Recognizing and/or enforcing, or dismissing
a petition to recognize and/or enforce an Prohibited alternative remedies
international commercial arbitral award; Where the remedies of appeal and certiorari are
m. Declining a request for assistance in taking specifically made available to a party under the
evidence; Special ADR Rules, recourse to one remedy shall
n. Adjourning or deferring a ruling on a preclude recourse to the other. (Rule 19.9)
petition to set aside, recognize and/or
enforce an international commercial arbitral Rule on judicial review on arbitration in the
award; Philippines
o. Recognizing and/or enforcing a foreign General Rule:
arbitral award, or refusing recognition The court can only vacate or set aside the decision
and/or enforcement of the same; and of an arbitral tribunal upon a clear showing that the
p. Granting or dismissing a petition to enforce award suffers from any of the infirmities or grounds
a deposited mediated settlement for vacating an arbitral award under:
agreement. (Rule 19.1) 1. Section 24 of R.A. 876 (domestic arbitration);
2. Rule 34 of the Model Law (domestic arbitration);
2. When motion for reconsideration of the rulings
of the RTC is NOT allowed:
3. Article 34 of the Model Law (international
arbitration); or
a. A prima facie determination upholding the
existence, validity or enforceability of an 4. Other grounds provided under these Special
arbitration agreement pursuant to Rule 3.1 Rules. (Rule 19.10)
(A);
b. An order referring the dispute to arbitration; Grounds for vacating an arbitral award
c. An order appointing an arbitrator; Domestic Arbitration
d. Any ruling on the challenge to the Section 24 of R.A. 876
appointment of an arbitrator;

93
1. The award was procured by corruption, fraud, or 1. The party making the application furnishes proof
other undue means; or that:
2. That there was evident partiality or corruption in a. A party to the arbitration agreement
the arbitrators or any of them; or referred to in article 7 was under some
3. That the arbitrators were guilty of misconduct in incapacity; or the said agreement is not valid
refusing to postpone the hearing upon sufficient under the law to which the parties have
cause shown, or in refusing to hear evidence subjected it or, failing any indication thereon,
pertinent and material to the controversy; that under the law of this State; or
one or more of the arbitrators was disqualified to b. The party making the application was not
act as such under section nine hereof, and given proper notice of the appointment of an
wilfully refrained from disclosing such arbitrator or of the arbitral proceedings or was
disqualifications or of any other misbehavior by otherwise unable to present his case; or
which the rights of any party have been c. The award deals with a dispute not
materially prejudiced; or contemplated by or not falling within the terms
4. That the arbitrators exceeded their powers, or of the submission to arbitration, or contains
so imperfectly executed them, that a mutual, decisions on matters beyond the scope of the
final and definite award upon the subject matter submission to arbitration, provided that, if the
submitted to them was not made. decisions on matters submitted to arbitration
can be separated from those not so submitted,
only that part of the award which contains
decisions on matters not submitted to arbitration
may be set aside; or
d. The composition of the arbitral tribunal or
International Commercial Arbitration the arbitral procedure was not in accordance
Article 34 of the Model Law with the agreement of the parties, unless such
agreement was in conflict with a provision of this
Law from which the parties cannot derogate, or,
failing such agreement, was not in accordance
with this Law; or
2. The court finds that:
a. The subject-matter of the dispute is not capable
of settlement by arbitration under the law of this
State; or
b. The award is in conflict with the public policy of
this State.

Domestic Arbitration
Rule 11.4 of the Special ADR Rules

94
1. The arbitral award was procured through 1. The party making the application furnishes
corruption, fraud or other undue means; proof that:
2. There was evident partiality or corruption a. A party to the arbitration
in the arbitral tribunal or any of its members; agreement was under some incapacity, or
3. The arbitral tribunal was guilty of the said agreement is not valid under the
misconduct or any form of misbehavior that has law to which the parties have subjected it
materially prejudiced the rights of any party or, failing any indication thereof, under
such as refusing to postpone a hearing upon Philippine law; or
sufficient cause shown or to hear evidence b. The party making the application
pertinent and material to the controversy; to set aside or resist enforcement was not
4. One or more of the arbitrators was given proper notice of the appointment of
disqualified to act as such under the law and an arbitrator or of the arbitral proceedings
willfully refrained from disclosing such or was otherwise unable to present his
disqualification; or case; or
5. The arbitral tribunal exceeded its powers, c. The award deals with a dispute
or so imperfectly executed them, such that a not contemplated by or not falling within
complete, final and definite award upon the the terms of the submission to arbitration;
subject matter submitted to them was not provided that, if the decisions on matters
made. submitted to arbitration can be separated
6. The arbitration agreement did not exist, or from those not so submitted, only that part
is invalid for any ground for the revocation of a of the award which contains decisions on
contract or is otherwise unenforceable; or matters not submitted to arbitration may be
set aside or only that part of the award
7. A party to arbitration is a minor or a person which contains decisions on matters
judicially declared to be incompetent.
submitted to arbitration may be enforced;
Note: When based on this ground, the petition
or
shall be filed only on behalf of the minor or
incompetent and shall allege that: d. The composition of the arbitral
tribunal or the arbitral procedure was not in
a. The other party to arbitration had accordance with the agreement of the
knowingly entered into a submission or
parties, unless such agreement was in
agreement with such minor or incompetent; or
conflict with a provision of Philippine law
b. The submission to arbitration was made by from which the parties cannot derogate, or,
a guardian or guardian ad litem who was not failing such agreement, was not in
authorized to do so by a competent court. accordance with Philippine law.

2. The court finds that:

International Commercial Arbitration
a. The subject- matter of the dispute
is not capable of settlement by arbitration
Rule 12.4 of the Special ADR Rules
under the law of the Philippines; or
b. The recognition or enforcement of
the award would be contrary to public
policy.

Exception: If the Regional Trial Court is asked

to set aside an arbitral award in a domestic or
international arbitration on any ground OTHER
THAN those provided in the Special ADR
Rules, the court shall entertain such ground for
the setting aside or non-recognition of the
arbitral award only if the same amounts to a
violation of public policy. (Rule 19.10)

Note: The court shall not set aside or vacate the

award of the arbitral tribunal merely on the ground
that the arbitral tribunal committed errors of fact, or
of law, or of fact and law, as the court cannot
substitute its judgment for that of the arbitral
tribunal. (Rule 19.10)

Rule on judicial review of foreign arbitral award

The court can deny recognition and enforcement of
a foreign arbitral award only upon the grounds

95
provided in Article V of the New York Convention,
but shall have no power to vacate or set aside a 1. APPEALS TO THE COURT OF
foreign arbitral award. (Rule 19.11) APPEALS
Grounds to deny recognition and enforcement
Appeal to the Court of Appeals through a petition
of a foreign arbitral award under the New York
for review under this Special Rule shall only be
Convention
allowed from the following final orders of the
Article V of the New York Convention Regional Trial Court:
1. Granting or denying an interim measure of
1. Recognition and enforcement of the award protection;
may be refused, at the request of the party 2. Denying a petition for appointment of an
against whom it is invoked, only if that party arbitrator;
furnishes to the competent authority where the 3. Denying a petition for assistance in taking
recognition and enforcement is sought, proof evidence;
that:
4. Enjoining or refusing to enjoin a person from
a. The parties to the agreement referred to in divulging confidential information;
article II were, under the law applicable to them,
under some incapacity, or the sad agreement is
5. Confirming, vacating or correcting/modifying a
domestic arbitral award;
not valid under the law to which the parties have
subjected it or, failing any indications thereon, 6. Setting aside an international commercial
under the law of the country where the award arbitration award;
was made; or 7. Dismissing the petition to set aside an
b. The party against whom the award is international commercial arbitration award even
invoked was not given proper notice of the if the court does not decide to recognize or
appointment of the arbitrator or of the arbitration enforce such award;
proceedings or was otherwise unable to present 8. Recognizing and/or enforcing an international
his case; commercial arbitration award;
c. The award deals with a difference not 9. Dismissing a petition to enforce an international
contemplated by or not falling within the terms commercial arbitration award;
of the submission to arbitration, or it contains 10. Recognizing and/or enforcing a foreign arbitral
decisions on matters beyond the scope of the award;
submission to arbitration, provided that, if the 11. Refusing recognition and/or enforcement of a
decisions on matters submitted to arbitration foreign arbitral award;
can be separated from those not submitted, that 12. Granting or dismissing a petition to enforce a
part of the award which contains decisions on deposited mediated settlement agreement; and
matters submitted to arbitration may be
recognized and enforced; or 13. Reversing the ruling of the arbitral tribunal
upholding its jurisdiction. (Rule 19.12)
d. The composition of the arbitral authority or
the arbitral procedure was not in accordance Where to appeal
with the agreement of the parties, or, failing An appeal under this Rule shall be taken to the
such agreement, was not in accordance with the Court of Appeals within the period and in the
law of the country where the arbitration took manner herein provided. (Rule 19.13)
place; or
e. The award has not yet become binding on When to appeal
the parties, or has been set aside or suspended The petition for review shall be filed within 15 days
by a competent authority of the country in from notice of the decision of the Regional Trial
which, or under the law of which, that award Court or the denial of the petitioner‘s motion for
was made. reconsideration. (Rule 19.14)
2. Recognition and enforcement of an arbitral
award may also be refused if the competent Effect of appeal
authority in the country where recognition and The appeal shall NOT stay the award, judgment,
enforcement is sought finds that: final order or resolution sought to be reviewed
a. The subject matter of the difference is not unless the Court of Appeals directs otherwise upon
capable of settlement by arbitration under the such terms as it may deem just. (Rule 19.22)
law of that country; or
b. The recognition or enforcement of the Subject of appeal restricted in certain instance
award would be contrary to the public policy of If the decision of the Regional Trial Court refusing to
that country. recognize and/or enforce, vacating and/or setting
aside an arbitral award is premised on a finding of
fact, the Court of Appeals may inquire only into
such fact to determine the existence or non-
existence of the specific ground under the
arbitration laws of the Philippines relied upon by the
Regional Trial Court to refuse to recognize and/or

96
enforce, vacate and/or set aside an award. (Rule resolution sought to be annulled or set aside. No
19.24) extension of time to file the petition shall be allowed.
(Rule 19.28)
Note: Any such inquiry into a question of fact shall
NOT be resorted to for the purpose of substituting Note: Arbitral tribunal is a nominal party in the
the court‘s judgment for that of the arbitral tribunal petition for certiorari. (Rule 19.29) Arbitral tribunal
as regards the latter‘s ruling on the merits of the should not be included even as a nominal party in
controversy. (Rule 19.24) petitions relating to the recognition and enforcement
of a foreign arbitral award. (Rule 19.29)
Party appealing decision of court confirming
arbitral award required to post bond Court to dismiss petition
The Court of Appeals shall within 15 days from The court shall dismiss the petition if:
receipt of the petition require the party appealing 1. It fails to comply with Rules 19.27 and 19.28
from the decision or a final order of the Regional above; or
Trial Court, either confirming or enforcing an arbitral 2. If, upon consideration of the ground alleged and
award, or denying a petition to set aside or vacate the legal briefs submitted by the parties, the
the arbitral award to post a BOND executed in favor petition does not appear to be prima facie
of the prevailing party equal to the amount of the meritorious. (Rule 19.30)
award. (Rule 19.25) Failure of the petitioner to post
such bond shall be a ground for the Court of Arbitration may continue despite petition for
Appeals to DISMISS the petition. (Rule 19.25) certiorari
A petition for certiorari to the court from the action of
D. SPECIAL CIVIL ACTION FOR CERTIORARI the appointing authority or the arbitral tribunal
allowed under this Rule shall NOT prevent the
Certiorari to the Court of Appeals arbitral tribunal from continuing the proceedings and
When the Regional Trial Court, in making a ruling rendering its award. Should the arbitral tribunal
under the Special ADR Rules, has acted without or continue with the proceedings, the arbitral
in excess of its jurisdiction, or with grave abuse of proceedings and any award rendered therein will be
discretion amounting to lack or excess of subject to the final outcome of the pending petition
jurisdiction, and there is no appeal or any plain, for certiorari. (Rule 19.32)
speedy, and adequate remedy in the ordinary
course of law, a party may file a special civil action Prohibition against injunctions
for certiorari to annul or set aside a ruling of the The Court of Appeals shall not, during the pendency
Regional Trial Court. of the proceedings before it, prohibit or enjoin the
commencement of arbitration, the constitution of the
A special civil action for certiorari may be filed arbitral tribunal, or the continuation of arbitration.
against the following orders of the court: (Rule 19.33)
1. Holding that the arbitration agreement is
inexistent, invalid or unenforceable; E. APPEAL BY CERTIORARI TO THE SUPREME
2. Reversing the arbitral tribunal‘s preliminary COURT
determination upholding its jurisdiction;
3. Denying the request to refer the dispute to Review discretionary
arbitration; A review by the Supreme Court is not a matter of
4. Granting or refusing an interim relief; right, but of sound judicial discretion, which will be
granted only for serious and compelling reasons
5. Denying a petition for the appointment of an resulting in grave prejudice to the aggrieved party.
arbitrator;
6. Confirming, vacating or correcting a domestic The following, while neither controlling nor fully
arbitral award; measuring the court's discretion, indicate the
7. Suspending the proceedings to set aside an serious and compelling, and necessarily, restrictive
international commercial arbitral award and nature of the grounds that will warrant the exercise
referring the case back to the arbitral tribunal; of the Supreme Court‘s discretionary powers, when
8. Allowing a party to enforce an international the Court of Appeals:
commercial arbitral award pending appeal; 1. Failed to apply the applicable standard or test
9. Adjourning or deferring a ruling on whether to for judicial review prescribed in these Special
set aside, recognize and or enforce an ADR Rules in arriving at its decision resulting in
international commercial arbitral award; substantial prejudice to the aggrieved party;
10. Allowing a party to enforce a foreign arbitral 2. Erred in upholding a final order or decision
award pending appeal; and despite the lack of jurisdiction of the court that
11. Denying a petition for assistance in taking rendered such final order or decision;
evidence. (Rule 19.26) 3. Failed to apply any provision, principle, policy or
rule contained in these Special ADR Rules
When to file petition; no extension of time resulting in substantial prejudice to the
The petition must be filed with the Court of Appeals aggrieved party;
within 15 days from notice of the judgment, order or

97
4. Committed an error so egregious and harmful to J. INTERVENTION
a party as to amount to an undeniable excess of (Rule 19)
jurisdiction; and
5. Ground closely analogous thereto. (Rule 19.36)

Note: The mere fact that the petitioner disagrees

with the Court of Appeals‘ determination of
questions of fact, of law or both questions of fact 1. REQUISITES FOR
and law, shall not warrant the exercise of the INTERVENTION
Supreme Court‘s discretionary power. (Rule 19.36)
2. TIME TO INTERVENE
Filing of petition with Supreme Court 3. REMEDY FOR THE DENIAL OF
A party desiring to appeal by certiorari from a MOTION TO INTERVENE
judgment or final order or resolution of the Court of
Appeals issued pursuant to these Special ADR INTERVENTION
Rules may file with the Supreme Court a verified A legal proceeding by which a person who is NOT a
petition for review on certiorari. The petition shall party to the action is permitted by the court to
raise only QUESTIONS OF LAW, which must be become a party by intervening in a pending action
distinctly set forth. (Rule 19.37) after meeting the conditions and requirement set by
the Rules of Court.
Time for filing
The petition shall be filed within 15 days from notice Its main purpose is to settle in one action and by a
of the judgment or final order or resolution appealed single judgment all conflicting claims of, or the
from, or of the denial of the petitioner's motion for whole controversy among, the persons involved.
new trial or reconsideration filed in due time after (Office of the Ombudsman vs. Maximo Sison, G.R.
notice of the judgment. (Rule 19.38) 185954, 2010)
Extension to file Who May Intervene
On motion duly filed and served, with full payment 1. Has a legal interest in the matter in litigation;
of the docket and other lawful fees and the deposit 2. Has legal interest in the success of either of the
for costs before the expiration of the reglementary parties;
period, the Supreme Court may for justifiable 3. Has an interest against both parties; or
reasons grant an extension of thirty (30) days only 4. A party that is so situated as to be adversely
within which to file the petition. (Rule 19.38) affected by a distribution or other disposition of
property in the custody of the court or of an
Docket and other lawful fees; proof of service of officer thereof.
petition
Unless he has theretofore done so or unless the Legal Interest
Supreme Court orders otherwise, the petitioner One that is actual and material, direct and of an
shall pay docket and other lawful fees to the clerk of immediate character, not merely contingent or
court of the Supreme Court of P3,500.00 and expectant.
deposit the amount of P500.00 for costs at the time
of the filing of the petition. Proof of service of a copy Intervention is NOT an absolute right (nor is it
thereof on the lower court concerned and on the compulsory or mandatory), as it is within the court‘s
adverse party shall be submitted together with the discretion to grant it.
petition. (Rule 19.39)
Intervention is an ancillary and supplemental
Dismissal or denial of petition proceeding to an existing litigation. Thus, the final
Grounds: dismissal of the principal action results in the denial
1. Failure to comply with any of the requirements of the motion to intervene.
regarding the payment of the docket and other
lawful fees, deposit for costs, proof of service of A law firm whose services were unjustly terminated
the petition, and the contents of and the was allowed to intervene in the case despite the
documents which should accompany the compromise agreement between the parties.
petition; or (Czarina Malvar vs Kraft Foods [G.R. 183952,
2. Appeal is without merit, or is prosecuted 2013)
manifestly for delay, or that the questions raised
therein are too insubstantial to require A complaint-in-intervention can‘t be treated as an
consideration. (Rule 19.41) independent action as it is merely ancillary to and a
supplement upon the principal action. The
END OF TOPIC complaint-in-intervention essentially latches on the
complaint for its legal efficacy so much so that the
dismissal of the complaint leads to its concomitant
dismissal. (Sta. Rita Co vs Angeline Gueco, G.R.
193087, 2013)

98
The trial court must not only determine if the
requisite legal interest is present, but also take into
consideration the delay and the consequent
prejudice to the original parties that the intervention K. SUBPOENA
will cause. Both requirements must concur, as the (Rule 21)
first requirement on legal interest is not more
important than the second requirement that no
delay and prejudice should result. To help ensure
that delay does not result from the granting of a
motion to intervene, the Rules also explicitly say
that intervention may be allowed only before
rendition of judgment by the trial court. (Lorenza C. 1. SUBPOENA DUCES TECUM
Ongco vs Valeriana Ungco Dalisay, G.R. No.
190810, 2012)
2. SUBPOENA AD TESTIFICANDUM
3. SERVICE OF SUBPOENA
1. REQUISITES FOR 4. COMPELLING ATTENDANCE OF
INTERVENTION WITNESSES; CONTEMPT
5. QUASHING OF SUBPOENA
1. There must be a motion for intervention filed
BEFORE rendition of judgment. 1. SUBPOENA DUCES TECUM
2. Movant must show in his/her motion that he/she
has legal interest in the matter in litigation, in
A process directed to a person requiring him to
the success of either of the parties in the action,
bring with him books, documents, or other things
or against both parties.
under his control at a scheduled hearing.
3. The movant must show that he/she is situated
as to be adversely affected by a distribution or
other disposition of property in the custody of the 2. SUBPOENA AD TESTIFICANDUM
court.
4. Intervention must not unduly delay or A process directed to a person, requiring him to
prejudice the adjudication of the rights of the attend and to testify at a hearing or trial of an action,
original parties. or at any investigation conducted by a competent
5. Intervenor‘s rights may not be fully protected in authority, or for the taking of his deposition.
a separate proceeding.

3. SERVICE OF SUBPOENA
2. TIME TO INTERVENE
A subpoena:
General Rule: May only be filed BEFORE judgment 1. Shall state the name of the court and the title of
is rendered by the trial court. the action or investigation;
2. It shall be directed to the person whose
Exceptions: attendance is required; and
1. With respect to indispensable parties, 3. In a subpoena duces tecum, it shall contain a
intervention may be allowed even on appeal. reasonable description of the books, documents
2. When the intervenor is the Republic. or things demanded which must appear to the
3. Where intervention is necessary to protect some court prima facie relevant.
interest which cannot otherwise be protected,
and for the purpose of preserving the By Whom Issued
intervenor‘s right to appeal. A subpoena may be issued by:
1. The Court before whom the witness is required
3. REMEDY OF DENIAL OF MOTION to attend
TO INTERVENE 2. The Court of the place where the deposition is to
be taken
3. The Officer or Body authorized by law to issue a
Denial of a motion to intervene DOES NOT subpoena in connection with investigations
constitute res judicata. Remedy of the intervenor is conducted by said officer of body
to file a SEPARATE ACTION. 4. Any Justice of the Supreme Court or of the
Court of Appeals in any case or investigation
The intervenor can also APPEAL or file for pending within the Philippines
MANDAMUS if there is grave abuse of discretion.
A Subpoena is Served:
If there is improper grant of intervention, remedy of 1. In the same manner as personal or substituted
the party is CERTIORARI. service of summons
2. The original must be exhibited and a copy
END OF TOPIC delivered to the person on whom it is served

99
3. The fees for one day attendance and
kilometrage allowed by the Rules shall be
tendered to such person 5. QUASHING A SUBPOENA
4. Service must be made as to allow the witness a
reasonable time for preparation and travel to the Grounds to Quash a Subpoena Ad
place of attendance Testificandum
5. The reasonable cost of producing the books, 1. The witness is not bound by such subpoena
documents or things demanded shall be 2. When the witness fees and kilometrage allowed
tendered if it is a subpoena duces tecum. by the Rules were not tendered when the
subpoena was served
A Subpoena May be Served By:
1. Sheriff; Grounds to Quash a Subpoena Duces Tecum
2. Deputy sheriff; UPON MOTION Promptly Made
3. Other proper court officer; or 1. It is unreasonable and oppressive
4. For any justifiable reason, by any suitable 2. Relevancy of the books, documents or things
person authorized by the court issuing the does not appear
subpoena
FORMS AND CONTENTS
A subpoena shall:
4. COMPELLING ATTENDANCE OF 1. State the name of the court;
WITNESSES; CONTEMPT 2. State the title of the action or investigation;
3. Be directed to the person whose attendance is
In Case of Failure of a Witness to required; and
Attend 4. In the case of a subpoena duces tecum, it shall
The court which issued the subpoena may issue a also contain a reasonable description of the
warrant to arrest the witness upon proof of service books, documents or things demanded which
of such subpoena. must appear to the court prima facie relevant.

Witness to pay cost of warrant and seizure if failure SUBPOENA FOR DEPOSITIONS
is willful and without just excuse. Proof of service of a notice to take a deposition, as
provided in Sections 15 and 25 of Rule 23, shall
Contempt constitute sufficient authorization for the issuance of
If the subpoena was issued by a court subpoenas for the persons named in said notice by
– failure by any person without adequate cause to the clerk of the court of the place in which the
obey a subpoena served on him shall be deemed deposition is to be taken.
contempt of the court from which the subpoena is
issued; The clerk shall not, however, issue a
subpoena duces tecum to any such person without
If subpoena is NOT issued by a court an order of the court.
– the disobedience shall be punished in accordance
with applicable law PERSONAL APPEARANCE IN COURT
A person present in court before a judicial officer
Exceptions may be required to testify as if he/she were in
1. Witness resides more than 100 km away from attendance upon a subpoena issued by such court
the place where he is to testify. or officer.
2. Witness is a detention prisoner and there was
no permission obtained from the court in which END OF TOPIC
the case is pending.

Only a judicial officer and quasi-judicial officer

specifically authorized by law can exercise the COMPUTATION OF TIME
power of contempt in relation to subpoena. (Rule 22)
(Nazareno v. Barnes, G.R. No. L-59072, 1984)
Section 1, Rule 22 provides that when the last day
The failure of a server to pursue substituted service
on which a pleading is due falls on a Saturday,
after a frustrated attempt to personally serve the
Sunday, or legal holiday, time shall not run until the
complainant a copy of the subpoena constitutes
next working day. This rule speaks only of "the last
simple neglect of duty. (Macaspec v. Flores, A.M.
day of the period," so that when a party seeks an
No. P-05-2072, 2008)
extension and the same is granted, the due date
ceases to be the last day and hence, the provision
3. No advance of reasonable cost of production of no longer applies. Any extension of time to file the
such books and documents was made. required pleading should therefore be counted from
4. Witness fees and kilometrage allowed by the the expiration of the period regardless of the fact
rules were not tendered when the subpoena that said due date is a Saturday, Sunday or legal
was served.

100
holiday. (Reinier Pacific International Shipping, Inc. Deposition for use in a pending trial action. (Rule
v. Guevarra, G.R. No. 157020, June 13, 2013) 23)

DEPOSITION IN PERPETUAM REI MEMORIAM

Deposition for use in future proceedings as in the
case where it is sought before the existence of an
L. MODES OF DISCOVERY action or for cases on appeal. (Rule 24)

NATURE OF DEPOSITIONS
1. DEPOSITIONS PENDING ACTION; Who May Petition (DEPOSITION BEFORE
ACTION)
DEPOSITIONS BEFORE ACTION OR
1. Any person who wants to perpetuate his/her
PENDING APPEAL own testimony; or
a. Meaning of Deposition 2. Any person who wants to perpetuate the
b. Uses; Scope of Examination testimony of another person.
c. When May Objections to Admissibility
be made A non-resident foreign corporation may request for
d. When May Taking of Deposition be depositions, whether oral or written. (San Luis v.
Terminated or Its Scope limited Rojas G.R. No. 159127, 2008)
2. WRITTEN INTERROGATORIES TO
ADVERSE PARTIES In criminal cases, filing a Motion for Leave to Take
a. Consequences of Refusal to Answer Deposition is a voluntary appearance and he
b. Effect of Failure to Serve Written subjects himself to the jurisdiction of the court.
Interrogatives (Disini v. Sandiganbayan, G.R. No. 175730, 2010)
3. REQUEST FOR ADMISSION
a. Implied Admission by Adverse Party Before Whom Taken (DEPOSITIONS PENDING
b. Consequences of Failure to Answer ACTION)
Request for Admission 1. IF WITHIN the Philippines – deposition may be
c. Effect of Admission taken before
d. Effect of Failure to File and Serve a) Judge;
Request for Admission b) Notary public; or
c) Before any person authorized to administer
4. PRODUCTION OR INSPECTION OF oaths if the parties so stipulate in writing.
DOCUMENTS OR THINGS 2. IF OUTSIDE the Philippines – deposition may
5. PHYSICAL AND MENTAL be taken before
EXAMINATION OF PERSONS a) A secretary of an embassy or legation,
6. CONSEQUENCES OF REFUSAL TO consul general, consul, vice-consul or
consular agent of the Republic of the
COMPLY WITH MODES OF Philippines;
DISCOVERY b) Such person or officer as may be appointed
by commission or letters rogatory;
1. DEPOSITIONS PENDING ACTION; c) A person authorized to administer oaths by
written stipulation of the parties.
DEPOSITIONS BEFORE ACTION
OR PENDING APPEAL Difference Between Letters Rogatory and
Commission
a. MEANING AND PURPOSE OF DEPOSITION LETTERS COMMISSION
ROGATORY
DEPOSITION
Request to a FOREIGN An instrument issued by
Taking of the testimony of any person, whether COURT to give its aid, a court of justice or other
he/she be a party or not, but at the instance of a backed by its power, to competent tribunal
party to the action. This testimony is taken out of secure desired DIRECTED TO A
court and it may either be an oral examination or a information. MAGISTRATE by his
written interrogatory. official designation OR
TO AN INDIVIDUAL BY
It is a testimony of a witness, taken in writing, under NAME, authorizing him
oath or affirmation, before some judicial officer in to take the depositions of
answer to questions or interrogatories. (People v. the witness.
Webb G.R. No. 132577, 1999)

It is a way for either party to compel the other to

disgorge whatever facts he has in his possession.
(Republic v. Sandiganbayan G.R. No. 90478, 1991)

DEPOSITION DE BENNE ESSE

101
Methods of procedure Taken in accordance
are under the control of with the rules laid down used by any party for any purpose if the court
the foreign tribunal. by the court issuing the finds that:
commission. a) The witness is dead; or
b) The witness resides at a distance more than
one hundred (100) kilometers from the place
of trial or hearing, or is out of the Philippines
(Dulay v. Dulay, G.R. No. 158857, 2005) (UNLESS it appears that his/her absence
was procured by the party offering the
When DEPOSITIONS PENDING ACTION Are deposition); or
Taken c) The witness is unable to attend or testify
1. After jurisdiction has been obtained over the because of age, sickness, infirmity or
defendant or property subject of the action and imprisonment; or
BEFORE answer has been filed – WITH leave of d) The party offering the deposition has been
court; unable to procure the attendance of the
2. After jurisdiction has been obtained and AFTER witness by subpoena; or
an answer has been served – WITHOUT leave e) Upon application and notice, that such
of court; exceptional circumstances exist as to make it
3. DEPOSITION OF PRISONER – only with leave desirable, in the interest of justice to allow
of court and upon such terms as the court may the deposition to be used.
prescribe.
Scope of Examination
There is no rule that limits deposition-taking only to May be any matter not privileged and which is
the period of pre-trial or before it, neither against the relevant to the subject of the pending action,
taking after pre-trial. (Jonathan Landoil International including:
Co., Inc. v. Mangudadatu G.R. No. 155010, 2004) 1. Claim or defense of any other party;
2. Existence, description, nature, custody,
b. USES AND SCOPE OF EXAMINATION condition and location of any books, documents,
or other tangible things; and
A party shall NOT be deemed to make a person 3. Identity and location of persons having
his/her own witness for any purpose by taking knowledge of relevant facts.
his/her deposition (Rule 23, Section 7) EXCEPT
when the deposition is introduced in evidence, then In civil cases, a person may not use the right
he/she will be deemed to have made the deponent against self-incrimination as an objection to make a
his/her witness (Rule 23, Section 8). deposition. Only when an incriminating question is
asked can a person invoke the right. (Rosete v. Lim
The exception will NOT apply if the deposition used G.R. No. 136051, June 8, 2006)
is that of an opposing party or the deposition is
used to impeach or contradict the deponent – c. WHEN MAY OBJECTIONS TO
Deponent still NOT a witness of the party taking the ADMISSIBILITY BE MADE
deposition.
Objections may be made at the trial or hearing to
A deposition is not to be used when the deponent is receive in evidence any deposition or part thereof.
at hand. (Sales v. Sabino G.R. No. 133154, 2005)
Any reason that would require the exclusion of the
Any Part or All of the Deposition, So Far as evidence if the witness were then present and
Admissible under the Rules of Evidence, May be testifying may be used as a reason for objection.
Used
1. Against any party who was present or All objections made at the time of the examination
represented at the taking of the deposition; or to the qualifications of the officer taking the
2. Against one who had due notice of the deposition, manner of taking it, to evidence
deposition. presented, conduct of any party and any other
objection to the proceedings shall be NOTED by the
The Deposition May be Used for the Following officer taking the deposition. He/she has NO
Purposes authority to rule on such objections. (Riano, Civil
nd
1. For the purpose of contradicting or impeaching Procedure: A Restatement for the Bar, 2 ed. 2009)
the testimony of the deponent as witness by
any party; d. WHEN THE TAKING OF DEPOSITION MAY
2. If the deponent is a party or anyone who was BE TERMINATED OR ITS SCOPE LIMITED
at the time of the deposition was an officer,
director, or managing agent of a public or private The Taking of Deposition may be terminated or
corporation, partnership or association which is Its Scope Limited at ANY TIME DURING the
a party, his/her deposition can be used by an Taking of the Deposition
adverse party for any purpose. 1. Upon motion or petition of any party or of the
3. If the deponent is a witness, whether or not a deponent; and
party to the case, his/her deposition may be 2. Upon showing that the examination is being
conducted in bad faith or in such manner as

102
 Seeks the disclosure of Designed to seek for a
unreasonably to annoy, embarrass or oppress all material and relevant more definite statement
the deponent or party. facts from a party or for particulars of any
matter not averred with
2. WRITTEN INTERROGATORIES sufficient definiteness in
TO ADVERSE PARTIES a pleading

WRITTEN INTERROGATORIES
Its purpose is to elicit material and relevant facts
from any adverse party.

Unless thereafter allowed by the court for good Interrogatories to Written Interrogatories
cause shown and to prevent a failure of justice, a Parties in a Deposition
party not served with written interrogatories may not
be compelled by the adverse party to give testimony
in open court, or to give a deposition pending Directed to an Adverse Not served upon the
appeal. (Sps. Afulugencia v. Metrobank, G.R. No. Party adverse party directly;
185145, February 5, 2014) delivered to the officer
designated in the notice
Since the calling party is deemed bound by the
adverse party‘s testimony, compelling the adverse
party to take the witness stand may result in the The service of written interrogatories is a mode of
calling party damaging its own case. … Another deposition separate and distinct from interrogatories
reason for the rule is that by requiring prior written to parties. (Riano, 2014, p.520)
interrogatories, the court may limit the inquiry to
what is relevant, and thus prevent the calling party a. CONSEQUENCES OF REFUSAL TO
from straying or harassing the adverse party when it ANSWER WRITTEN INTERROGATORIES
takes the latter to the stand. (Sps. Afulugencia v.
Metrobank, G.R. No. 185145, February 5, 2014 The Court, ON MOTION and NOTICE May
1. Strike out all or any part of any pleading of that
A Party Shall FILE AND SERVE Written party; or
Interrogatories 2. Dismiss the action or proceeding or any part
1. After jurisdiction has been obtained over the thereof made if it was the PLAINTIFF who
defendant or property subject of the action and refused to answer;
BEFORE answer has been filed – WITH leave of 3. Enter judgment by default against the
court; or defendant, if it was the DEFENDANT who
refused to answer;
2. After jurisdiction has been obtained and AFTER 4. Order that party who refused to answer to pay
an answer has been served – WITHOUT leave of reasonable expense incurred by the other party
court and attorney‘s fees (Section 5, Rule 29 of the
The interrogatories shall be ANSWERED FULLY in Rules of Court)
writing and shall be signed and sworn to by the If a party refuses to answer the WHOLE written
person making them. Such answer shall be filed interrogatory, Section 5, Rule 29 shall apply.
and served to the party submitting the interrogatory However, where a party refuses only to answer a
within fifteen (15) days from service of such PARTICULAR question, Section 3 [c], Rule 19 shall
interrogatories UNLESS the court on motion and for apply (the main difference being that in Section 3[c],
good cause extends or shortens the time. there is no provision on payment of reasonable
expenses/ penalty)
OBJECTIONS to the interrogatory may be
presented to the court within ten (10) days after b. EFFECT OF FAILURE TO SERVE WRITTEN
service thereof. INTERROGATORIES
General Rule: A party not served with written
NO party may serve MORE THAN ONE set of interrogatories may NOT be compelled by the
interrogatories to be answered by the same party adverse party to give testimony in open court, or to
WITHOUT LEAVE OF COURT. (Riano, 2014, p. give a deposition pending appeal.
520) Exception: When allowed by the court for good
cause and to prevent a failure of justice.
Difference between interrogatories to parties
and bill of particulars
3. REQUEST FOR ADMISSION
Interrogatories to Bill of Particulars
Parties
A Written Request for Admission Filed and
Served Upon Any Other Party May Include
Directed to an Adverse Directed to a Pleading
Party 1. Request for the admission of the genuineness of
any material and relevant document described in
and exhibited with the request;

103
2. Request for the admission of the truth of any
material and relevant matter of fact set forth in the A party should not be compelled to admit matters of
request. fact already admitted by his pleading and
Objections to any request for admission shall be concerning which there is no issue, nor should he
submitted to the court WITHIN the period for and be required to make a second denial of those
PRIOR to the filing of the sworn statement - Fifteen already denied in his answer to the complaint. [xxx]
(15) days after service of request. A request for admission is not intended to merely
Such objections will defer compliance until such reproduce or reiterate the allegations of the
have been resolved by the court. requesting party's pleading but should set forth
relevant evidentiary matters of fact, or documents
a. IMPLIED ADMISSION BY ADVERSE described in and exhibited with the request, whose
PARTY purpose is to establish said party's cause of action
There is an IMPLIED ADMISSION if the party to ordefense.
whom the request is made does NOT file and serve
a sworn statement EITHER a) denying specifically [xxx] Unless it serves that purpose, it is, as correctly
the matters of which an admission is requested OR observed by the Court of Appeals, "pointless,
b) setting forth the reasons why he cannot either useless," and "a mere redundancy.‖ (Po v CA, GR
admit or deny those matters within fifteen (15) No. L-34341, 1988)
days after service thereof or with such further time
as the court may allow on motion
4. PRODUCTION AND INSPECTION
b. CONSEQUENCE OF FAILURE TO OF DOCUMENTS OR THINGS
ANSWER REQUEST FOR ADMISSION
The matters of which admission is requested shall UPON MOTION, a party may seek the production of
be deemed admitted. documents, papers, books, accounts, letters,
photographs, objects or tangible things OR to order
c. EFFECT OF ADMISSION any party to permit entry upon designated land or
Any admission made pursuant to such request is for other property in his possession or control.
the purpose of the pending action only. The
admission may NOT be used against the party who Purpose
gave it in any other proceeding. 1. To allow a party to seek an order from the court
in which the action is pending to:
d. EFFECT OF FAILURE TO FILE AND (a) Order any party to produce and permit the
SERVE REQUEST FOR ADMISSION inspection and copying or photographing... of
any designated document... NOT privileged,
The party who fails to request for admission of which constitute or contain evidence material to
material and relevant facts which are or ought to be any matter
within the personal knowledge of such party shall (b) Order any party to permit entry upon
NOT be permitted to present evidence on such designated land or other property in his
facts UNLESS allowed by the court for good cause possession or control
shown and to prevent a failure of justice. (Riano, 2. This mode of discovery is not only for the
page522, 2014) benefit of a party, but also for the court and for
it to discover all relevant and material facts in
Withdrawal of Admission connection with the case before it. (Riano,
1.Admissions made in this mode of discovery, 2014, p. 524)
whether express or implied, are NOT final and
irrevocable. The scope of discovery under this mode is to be
2.The court may allow the party making the liberally construed so as to provide the litigants with
admission to withdraw or amend the information essential to the fair and amicable
admission upon such terms as may be just. settlement or expeditious trial of the case. While the
3.To effect the withdrawal, the admitting party grant of a motion for the production of a document
should file a motion to be relieved of the is admittedly discretionary on the part of the trial
effects of his admission. (Riano, page 523, court judge, nevertheless, it cannot be arbitrarily or
2014) unreasonably denied because to do so would bar
access to relevant evidence that may be used by a
That the Comment was not under oath is not a party-litigant. The test to be applied by the trial
substantive, but merely a formal, defect which can judge in determining the relevancy of the
be excused in the interest of justice conformably to documents is one of reasonableness and
the well-entrenched doctrine that all pleadings practicability. (Eagleridge Development Corporation
should be liberally construed as to do substantial v Cameron Granville 3 Asset Management Inc., GR
justice. The filing of such Comment substantially No. 204700, 2013)
complied with Rule 26. Consequently, the DBP
cannot be deemed to have impliedly admitted the This remedial measure is intended to assist in the
matters set forth in the Request for Admission for administration of justice by facilitating and
the mere reason that its Comment was not under expediting the preparation of cases for trial and
oath. (DBP v CA, GR No. 153034, 2005) guarding against undesirable surprise and delay;

104
and it is designed to simplify procedure and obtain the production or inspection of documents and
admissions of facts and evidence, thereby things, and the motion must show good cause
shortening costly and time-consuming trials. It is supporting the same.
based on ancient principles of equity. 2. The order shall specify the time, place and
manner of making the inspection and taking
More specifically, the purpose of the statute is to copies and photographs, and may prescribe
enable a party-litigant to discover material such terms and conditions as are just.
information which, by reason of an opponent's
control, would otherwise be unavailable for judicial This is essentially a mode of discovery limited to the
scrutiny, and to provide a convenient and summary parties to the action. This is to be differentiated from
method of obtaining material and competent a subpoena duces tecum which is a means to
documentary evidence in the custody or under the compel the production of evidence which may be
control of an adversary. directed to a person who may or may not be a party
to the action. (Riano, 2014, p.525)
It is a further extension of the concept of pretrial.
Rule 27 of the Revised Rules of Court permits Documents to be Produced
"fishing" for evidence, the only limitation being that 1. It should NOT be privileged;
the documents, papers, etc., sought to be produced 2. It should constitute or contain evidence material
are not privileged, that they are in the possession of to any matter involved in the action; and
the party ordered to produce them and that they are 3. It must be within the party‘s possession, custody
material to any matter involved in the action. or control.
However, Fishing for evidence that is allowed under
the rules is not without limitations. In Security Bank Privileged Documents under Rule 130, Sec. 24
Corporation v. Court of Appeals, the Court 1. Communication between Husband and Wife
enumerated the requisites in order that a party may 2. Communication between Attorney and Client
compel the other party to produce or allow the 3. Communication between Physician and Patient
inspection of documents or things, viz.: 4. Communication between Priest and Penitent
(a) The party must file a motion for the production 5. Communication of Public Officers involving
or inspection of documents or things, showing public interest
good cause therefor;
(b) Notice of the motion must be served to all other Others not mentioned by Rule 130:
parties of the case; 1. Editors may not be compelled to disclose the
(c) The motion must designate the documents, source of published news
papers, books, accounts, letters, photographs, 2. Voters may not be compelled to disclose for
objects or tangible things which the party whom they voted
wishes to be produced and inspected; 3. Trade secrets
(d) Such documents, etc., are not privileged; 4. Information contained in tax census returns
(e) Such documents, etc., constitute or contain 5. Bank Deposits (Riano, page 525-526, 2014)
evidence material to any matter involved in the
action, and 5. PHYSICAL AND MENTAL
(f) Such documents, etc., are in the possession,
custody or control of the other party. EXAMINATION OF PERSONS

However, Solidbank‘s motion was fatally defective When the mental or physical condition of a party is
and must be struck down because of its failure to in controversy, the court, UPON MOTION FOR
specify with particularity the documents it required GOOD CAUSE SHOWN, may order the party to
Gateway to produce. Solidbank‘s motion for submit to a physical or mental examination by a
production and inspection of documents called for a physician.
blanket inspection. Solidbank‘s request for
inspection of "all documents pertaining to, arising The party examined MAY request the party causing
from, in connection with or involving the Back-end the examination to be made to deliver to him a copy
Services Agreement‖ was simply too broad and too of a detailed report of the examining physician.
generalized in scope.
Waiver of Privilege
A motion for production and inspection of By requesting and obtaining a report of the
documents should not demand a roving inspection examination OR by taking the deposition of the
of a promiscuous mass of documents. The examiner, the party examined WAIVES any
inspection should be limited to those documents privilege he may have in that action or any other
designated with sufficient particularity in the motion, involving the same controversy regarding the
such that the adverse party can easily identify the testimony of every other person who has examined
documents he is required to produce. (Solidbank or may thereafter examine him.
Corporation v Gateway Electronics Corporation, GR
No. 164805, April 30, 2008)
6. CONSEQUENCES OF REFUSAL TO
Filing of a Motion; Order of the Court COMPLY WITH THE MODES OF
1. The motion must be filed by the party seeking DISCOVERY

105
 4. In addition to any of the above orders, an order
For Party or Deponent who Appears But directing the arrest of any party or agent of a
REFUSES TO ANSWER Any Question Upon Oral party for disobeying any of such orders.
Examination Or Interrogatory:
For Failure to Appear to Serve Answer to
1. The proponent may apply for a court order to
Written Interrogatories the Court, on Motion,
compel an answer:
May:
a) If the motion is GRANTED– the court shall
1. Strike out all or any part of any pleading by that
require the refusing party to answer. If the
party;
refusal to answer was without
2. Dismiss the action or proceeding or any part
SUBSTANTIAL JUSTIFICATION, it may
thereof; or enter a judgment by default against
require the refusing party or deponent or the
that party;
counsel advising the refusal, or both of them,
3. At the court‘s discretion, order the party to pay
to pay the proponent the amount of the
reasonable expenses incurred by the other,
reasonable expenses incurred in obtaining
including attorney‘s fees.
the order, including attorney's fees.
b) If the motion is DENIED - and the court finds
Contempt of court
that it was filed WITHOUT SUBSTANTIAL
If a party or other witness refuses to be sworn or
JUSTIFICATION, the court may require the
refuses to answer any question after being directed
proponent or the counsel advising the filing
to do so by the court of the place in which the
of the application, or both of them, to pay to
deposition is being taken, the refusal may be
the refusing party or deponent the amount of
considered contempt of that court.
the reasonable expenses incurred in
opposing the application, including attorney's
Other consequences
fees
If party refuses to obey:
2. If despite the court order, the party or deponent
still refuses to answer, the refusal may be 1. An order made under section 1 of this Rule
considered contempt of that court or the court requiring him to answer designated
may make such order as are just under Section questions, or
3, Rule 29 of the Rules of Court. 2. An order under Rule 27 to produce any
document or other thing for inspection,
If the Adverse Party Makes a Wrongful Denial of copying, or photographing or to permit it to
the Genuineness of Documents or Truth of Any be done, or to permit entry upon land or
Matter of Fact other property or an order made under
The other party who proves the genuineness may Rule 28 requiring him to submit to a
apply to the court for an order requiring the other physical or mental examination,
party to pay him reasonable expenses incurred in The court may make such orders in regard to the
making such proof, including attorney‘s fees. refusal as are just, and among others the following:
a. An order that the matters regarding which
If a Party Refuses an Order To produce any the questions were asked, or the character
document or Other Thing Under Rule 27 OR If a or description of the thing or land, or the
Person Refuses to Submit to a Physical or contents of the paper, or the physical or
Mental Examination Under Rule 28 OR If a mental condition of the party, or any other
Person Refuses to Answer Particular Questions designated facts shall be taken to be
Under Rule 25: established for the purposes of the action
The court may make such orders in regard to the in accordance with the claim of the party
refusal as are just, and among others, also issue obtaining the order;
the following- b. An order refusing to allow the
1. An order that the matters regarding which the disobedient party to support or oppose
questions were asked shall be TAKEN TO BE designated claims or defenses or
ESTABLISHED for the purposes of the action in prohibiting him from introducing in
accordance with the claim of the party obtaining evidence designated documents or things
the order. or items of testimony, or from introducing
2. An order evidence of physical or mental condition;
a) Prohibiting the disobedient party to support
c. An order striking out pleadings or parts
or oppose claims or defenses, or
thereof, or staying further proceedings
b) Prohibiting such disobedient party from
until the order is obeyed, or dismissing the
introducing in evidence designated
action or proceeding or any part thereof, or
documents or things or items of testimony.
rendering a judgment by default against the
3. An order
disobedient party; and
a) Striking out pleadings or parts thereof, or
b) Staying further proceedings until the order is d. In lieu of any of the foregoing orders or in
obeyed, or addition thereto, an order directing the
c) Dismissing the action or proceeding or any arrest of any party or agent of a party for
part thereof, or disobeying any of such orders except an
d) Rendering a judgment by default against the order to submit to a physical or mental
disobedient party. examination.

106
 b. For illness of party or counsel
Expenses on refusal to admit 3. AGREED STATEMENT OF FACTS
If a party after being served with a request under 4. ORDER OF TRIAL; REVERSAL OF
Rule 26 to admit the genuineness of any document
or the truth of any matter of fact serves a sworn ORDER
denial thereof and if the party requesting the 5. CONSOLIDATION OR SEVERANCE
admissions thereafter proves the genuineness of OF HEARING OR TRIAL
such document or the truth of any such matter of 6. DELEGATION OF RECEPTION OF
fact, he may apply to the court for an order requiring
the other party to pay him/her the reasonable
EVIDENCE
expenses incurred in making such proof, including 7. TRIAL BY COMMISSIONERS
attorney's fees. a. Reference by consent or ordered on
Unless the court finds that there were good motion
reasons for the denial or that admissions sought b. Powers of Commissioner
were of no substantial importance, such order shall c. Commissioner’s Report; Notice to
be issued. Parties and Hearing on the Report

For FAILURE TO APPEAR TO SERVE ANSWER TRIAL

to Written Interrogatories the Court, on Motion, Trial is the judicial process of investigating and
May: determining the legal controversies, starting with the
1. Strike out all or any part of any pleading by that production of evidence by the plaintiff and ending
party; with his closing arguments.
2. Dismiss the action or proceeding or any part
thereof; or enter a judgment by default against HEARING
that party; Hearing is a broader term. It is not only confined to
3. At the court‘s discretion, order the party to pay the trial and presentation of evidence but it also
reasonable expenses incurred by the other, includes pre-trial, determination of granting or
including attorney‘s fees. denying a motion and several stages of litigation.

Expenses against the Republic of the When Trial is Unnecessary

Philippines 1. Judgment on the Pleadings
Expenses and attorney's fees are not to be imposed 2. Summary Judgment
upon the Republic of the Philippines under this 3. Judgment on Compromise
Rule. 4. Dismissal of Complaint WITH Prejudice
5. Summary Procedure Cases
In Zepeda v. Chinabank, G.R. No. 172175, 2006, 6. Judgment on Facts Stipulated/Agreed Upon
the Supreme Court ruled that the consequences
enumerated in Section 3(c) of Rule 29 would only 1. ADJOUNMENTS AND
apply where the party upon whom the written
interrogatories is served, refuses to answer a
POSTPONEMENTS
particular question in the set of written
interrogatories and despite an order compelling him A court may adjourn a trial from day to day and to
to answer the particular question, still refuses to postpone it to any stated time
obey the order. If such party refuses to answer the
whole set of written interrogatories and not just a General Rule: A court does not have power to
particular question, the opposing party should have adjourn trial for a longer period than one (1) month
filed a motion based on Section 5 and not Section for each adjournment and not for more than three
3(c) of Rule 29. (3) months total for all adjournments

Exception: When authorized in writing by the Court

END OF TOPIC
Administrator, Supreme Court.

2. REQUISITES OF MOTION TO
M. TRIAL POSTPONE TRIAL
(Rule 30) Postponement is NOT a matter of right. It is
addressed to the sound discretion of the court.

a. MOTION TO POSTPONE TRIAL FOR

1. ADJOURNMENTS AND ABSENCE OF EVIDENCE
POSTPONEMENTS
Requisites:
2. REQUISITES OF MOTION TO 1. Affidavit showing the materiality or relevancy for
POSTPONE TRIAL such evidence; and
a. For absence of evidence

107
2. Due diligence has been used to procure 8. Case deemed submitted for decision.
evidence.
Reversal or Modification of Order
If the adverse party admits the facts in evidence, If the defendant relies upon an affirmative defense
trial shall not be postponed even if such adverse in his answer, then the order of the trial may be
party objects or reserves the right to object to the properly reversed. This is because the plaintiffs
admissibility of the evidence need not present evidence as judicial admissions
do not require proof.
b. MOTION TO POSTPONE TRIAL ON THE
GROUND OF ILLNESS OF A PARTY OR Defendant in this case will present evidence ahead
COUNSEL of plaintiff.

Requisites 5. CONSOLIDATION OR SEVERANCE

1. Affidavit or sworn certification showing that the OF HEARING OR TRIAL
presence of such party or counsel at the trial is
indispensable; and
2. The character of the illness is such as to render Consolidation is Proper When
the non-attendance excusable. 1. There are actions involving a common question
of law or fact; and
3. AGREED STATEMENT OF FACTS 2. The actions are pending before the same court.
[STIPULATION OF FACTS] Court May Order Actions to be Consolidated By
1. A joint hearing or trial of any and all matters or
Parties to ANY action may agree upon the facts issue in the action; or
involved in the litigation 2. Consolidation of all actions; or
3. Such order concerning proceedings therein as
Such agreement must be in WRITING and upon may tend to avoid unnecessary costs or delay.
facts involved in the litigation. The case will then be
submitted for judgment on the facts agreed upon Civil cases MAY now be consolidated with criminal
WITHOUT need for introduction of evidence. cases. (Rule 111, Section 2[a])
If the parties agree only on some of the facts, trial Consolidation is a matter of discretion with the
shall be held as to the disputed facts court. Consolidation becomes a matter of right
only when the cases sought to be consolidated
In CIVIL cases, such agreement MAY be made involve similar questions of fact and law,
orally, in open court. However, in CRIMINAL provided certain requirements are met. An
CASES, such agreement must always be in writing. essential requisite of consolidation is that the
court must have jurisdiction over all the cases
4. ORDER OF TRIAL; REVERSAL OF consolidated before it. In this case, since the
ORDER Sandiganbayan does not have jurisdiction over
the collection case, the same cannot be
consolidated with the criminal cases even if
Order of Trial these cases involve similar questions of fact
and law. (Republic v. Court of Appeals (G.R.
The trial shall be LIMITED to the issues stated in No. 116463, June 10, 2013)
the PRE-TRIAL ORDER and shall proceed as
follows: Under the Rules of Court, the consolidation of
1. Plaintiff shall adduce evidence is support of cases for trial is permissive and a matter of
his complaint; judicial discretion. This is because trials held in
2. Defendant shall then adduce evidence in the first instance require the attendance of the
support of his defense, counterclaim, cross- parties, their respective counsel and their
claim or third-party complaint; witnesses, a task that surely entails an expense
rd
3. Third (3 ) party defendant shall adduce that can multiply if there are several proceedings
evidence in support of his defense, upon the same issues involving the same
counterclaim, cross-claim, fourth-party parties. At the trial stage, the avoidance of
complaint; unnecessary expenses and undue vexation to
4. Fourth (4th) party and so on shall adduce the parties is the primary objective of
evidence of the material facts pleaded by him; consolidation of cases.
5. The parties against whom any counterclaim But the permissiveness of consolidation does
or cross-claim has been pleaded, shall not carry over to the appellate stage where the
adduce evidence in support of their defense, in primary objective is less the avoidance of
the order prescribed by the court; unnecessary expenses and undue vexation than
6. Parties may then adduce rebutting evidence it is the ideal realization of the dual function of all
only, unless the court permits them to adduce appellate adjudications.
evidence upon their original case;
7. Oral argument or submission of memoranda;

108
In the appellate stage the rigid policy is to make The Court May Direct Reference to a
the consolidation of all cases and proceedings Commissioner Either
resting on the same set of facts, or involving 1. Upon motion of either party, or
identical claims or interests or parties mandatory. 2. Upon the court‘s own motion, when the parties
Such consolidation should be made regardless of do not consent.
whether or not the parties or any of them
requests it. (In re: Fabiana (A.M. No. CA-12-51- Reference to a Commissioner May be Made In
J, July 2, 2013) the Following Cases
1. When the trial of an issue of fact requires the
Severance, When Proper examination of a long account on either side
The court, in furtherance of convenience or to avoid 2. When the taking of an account is necessary
prejudice, may order a separate trial of any claim, for the information of the court before judgment;
cross-claim, counterclaim, or third-party complaint, 3. Carrying a judgment or order into effect;
or of any separate issue or of any number of claims, 4. When a question of fact, other than upon the
cross-claims, counterclaims, third-party complaints pleadings, arises upon motion or otherwise, in
or issues any stage of the case.

b. POWERS OF THE COMMISSIONER

6. DELEGATION OF RECEPTION OF
EVIDENCE The Commissioner has the Power to:
1. Regulate the proceedings before him,
General Rule: The JUDGE of the court where the 2. Issue subpoena and subpoena duces tecum,
case is pending shall personally receive the 3. Swear in witnesses,
evidence to be adduced by the parties. 4. Rule on the admissibility of evidence,
5. Do all acts and take all measures necessary or
Exception: The court may delegate the reception of proper, for the efficient performance of his
evidence to its CLERK OF COURT (who is a duties.
member of the bar) in:
1. Default or Ex Parte hearings; The powers of the commissioner are subject to the
2. Any case where the parties so agree in writing. restrictions contained in the court Order of
Reference appointing him as Commissioner.
The CLERK OF COURT has the duty to submit his
report, objections, and transcripts of the c. COMMISSIONER’S REPORT; NOTICE TO
proceedings within ten (10) days from the PARTIES AND HEARING ON THE REPORT
termination of hearing.
Commissioner’s Report
The CLERK OF COURT shall have NO power to Upon completion of trial or hearing or proceeding
rule on objections to any question or to the before the Commissioner, the Commissioner shall
admission of exhibits. Such power shall remain with file a report in writing showing the matters
the JUDGE who shall resolve such objection within submitted to him in the Order of Reference.
ten (10) days from the termination of
He shall set forth in his report findings of fact and
hearing. conclusions of law. He shall also attach all exhibits
affidavits, depositions, papers and the transcript of
7. TRIAL BY COMMISSIONERS testimonial evidence presented before him.

a. REFERENCE BY CONSENT OR ORDERED Notice to Parties

ON MOTION Upon filing of the Commissioner‘s Report, the Clerk
of Court shall notify the parties.
Court may order the trial of any or all of the issues
in a case to be referred to a COMMISSIONER. Parties are allowed ten (10) days from such notice
to signify grounds for objections to the findings.
COMMISIONER – a person to whom a case
pending in court is referred, for him to take Objections to the report based upon grounds which
testimony, hear the parties and report thereon to the were available to the parties during the proceedings
court, and upon whose report, if confirmed, before the commissioner, other than objections to
judgment is rendered. It includes a referee, an the findings and conclusions therein set forth, shall
auditor or an examiner. not be considered by the court UNLESS they were
made before the commissioner.
The Commissioner is either:
1. Agreed upon by written consent of both Hearing on the Report
parties; After the expiration of the ten (10) day period after
2. Appointed by the Court (e.g. Expropriation, notice to file an objection, a hearing shall be set on
Partition, Settlement of Estate of a Deceased the report.
Person).

109
After hearing the court shall issue an order and the law. The ―facts‖ referred to here include
adopting, modifying or rejecting the Commissioner‘s judicial admissions, matters of judicial notice,
Report. stipulations made during the pre-trial and trial,
admissions, and presumptions, the only exclusion
When the parties stipulate that a commissioner's being the defendant’s evidence. (Casent Realty
findings of fact shall be final, only questions of law v. Philbanking G.R. No. 150731, 2007)
shall thereafter be considered.
MOTION TO DISMISS MOTION TO DISMISS
UNDER RULE 16 UNDER RULE 33
END OF TOPIC (DEMURRER TO
EVIDENCE)

Grounded on Based on insufficiency of

N. DEMURRER TO EVIDENCE preliminary objections evidence (No right of
(Rule 33) relief based on the facts
and law presented)

Maybe filed by Maybe filed only by the

1. GROUND defending party against defendant against the
2. EFFECT OF DENIAL whom a claim is complaint of the plaintiff
3. EFFECT OF GRANT asserted in the action
4. WAIVER OF RIGHT TO PRESENT
EVIDENCE Should be filed within May be filed only after
5. DEMURRER TO EVIDENCE IN CIVIL the time for, but prior to the plaintiff has
CASE VERSUS DEMURRER TO the filing of an answer, completed the
EVIDENCE IN A CRIMINAL CASE of the defending party presentation of his
to the pleading evidence.
asserting the claim
1. GROUND against him

DEMURRER TO EVIDENCE
After the plaintiff has completed the presentation of
his evidence, the defendant may move for dismissal IF DENIED - defendant IF DENIED - defendant
on the ground that upon the facts and the law, the must file an answer, may present evidence
plaintiff has shown NO RIGHT TO RELIEF. else be declared in
default IF GRANTED - plaintiff
Note: The evidence contemplated by the rule on appeals and the order of
demurrer is that which pertains to the merits of the IF GRANTED - plaintiff dismissal is reversed, the
case, excluding technical aspects such as capacity may appeal or re-file defendant loses his right
to sue. [Celino v. Heirs of Alejo and Teresa case (if subsequent to present evidence.
Santiago G.R. No. 161817, July 30, 2004] case is not barred)
Demurrer to evidence authorizes a judgment on
the merits of the case without the defendant
having to submit evidence on his part as he
would ordinarily have to do, if it is shown by
plaintiff’s evidence that the latter is not entitled
to the relief sought. A demurrer to evidence is
likewise sustainable when, admitting every proven 2. EFFECT OF DENIAL
fact favorable to the plaintiff and indulging in his
favor all conclusions fairly and reasonably inferable Defendant CAN present his evidence as a matter of
therefrom, the plaintiff has failed to make out one or right EVEN IF he did NOT obtain leave of court or
more of the material elements of his case, or when reserve his right to do so.
there is no evidence to support an allegation
necessary to his claim. It should be sustained
EFFECT OF EFFECT OF DENIAL IN
where the plaintiff‘s evidence is prima facie
DENIAL IN CIVIL CRIMINAL CASE
insufficient for a recovery. [Heirs of Santioque v.
CASE
Heirs of Calma G.R. No. 160832, Oct. 27, 2006]

What should be resolved in a motion to dismiss

based on a demurrer to evidence is whether the
plaintiff is entitled to the relief based on the facts

110
The defendant will If demurrer was (Radiowealth Finance Corporation v. Del Rosario,
present his with express leave of 335 SCRA 228, 2000)
evidence court, accused may
present evidence.
5. DEMURRER TO EVIDENCE IN
If demurrer was without CIVIL CASES VERSUS DEMURRER
express leave of court, TO EVIDENCE IN A CRIMINAL
accused can NO longer CASE
present evidence and the
case is submitted for
decision based on CIVIL CASE CRIMINAL CASE
prosecution‘s evidence. NO need for leave of Leave of court is
court for defendant to NECESSARY so that the
file demurrer to accused could present
evidence his evidence if his
demurrer is denied

If court finds plaintiff‘s If court finds

An order denying a demurrer to the evidence is evidence insufficient, prosecution‘s evidence
INTERLOCUTORY and is therefore NOT demurrer will be insufficient, demurrer will
appealable. It can be the subject of a Petition for granted and complaint be granted and judgment
Certiorari in case of grave abuse of discretion or an will be dismissed. This will be rendered
oppressive exercise of judicial authority. (Katigbak dismissal is acquitting the accused.
v. Sandiganbayan, G.R. No. 140183, 2003) appealable. The judgment is not
appealable.
3. EFFECT OF GRANT

Court will render judgment on demurrer to evidence

by DISMISSING the case. This order is
APPEALABLE. If plaintiff appeals and Judgment is NOT
the judgment is appealable by reason of
reversed, the appellate the double jeopardy rule.
EFFECT OF GRANT IN EFFECT OF GRANT IN
court will decide the
CIVIL CASE CRIMINAL CASE
case on the basis of
plaintiff‘s evidence and
the defendant loses his
The complaint will be The accused will be right to present
dismissed acquitted. Judgment of evidence.
acquittal is NOT
appealable
If court denies If court denies demurrer,
demurrer, defendant either of the following will
will present his happen:
evidence
1. If demurrer was WITH
express leave of court,
accused may present
evidence;
4. WAIVER OF RIGHT TO PRESENT
2. If demurrer was
EVIDENCE WITHOUT leave of court,
accused can no longer
If on appeal, the order granting the motion for present evidence and the
demurrer is REVERSED, the defendant LOSES his case is submitted for
right to present evidence. decision based on
prosecution‘s evidence.
Judgment shall be rendered on the basis of the
evidence submitted by the PLAINTIFF.

NOTE: The appellate court reversing the order

granting the demurrer MUST NOT REMAND the
case to the trial court for further proceedings. The
appellate court should render judgment on the basis
of the evidence submitted by the plaintiff.

111
The court cannot, on its The court may make a
own make a demurrer. demurrer on its own. A decision rendered in a full-blown trial. Examples
(Rule 119, Section 23) include judgment by confession and judgment upon
a compromise.

2. CONTENTS OF A JUDGMENT
Similarities of Both Demurrer in a Civil case and
a Criminal Case
Parts of a Judgment
Both are based on insufficiency of evidence
presented by the plaintiff or the prosecution to 1. Opinion of the court (findings of fact and
warrant the grant of affirmative relief in favor of the conclusions of law) – Ratio Decidendi;
plaintiff nor conviction of accused; 2. Disposition of the case (dispositive portion) -
Fallo;
3. Signature of the judge.
In both, the motion is filed after the plaintiff or the
prosecution has presented evidence and closed his
or its case. When there is a conflict between the dispositive
portion and the body of the decision, the FALLO
END OF TOPIC controls.

A Judgment of CONVICTION Must Contain

1. The legal qualifications of the offense
constituted by the acts committed by the
O. JUDGMENTS AND FINAL accused and the aggravating and mitigating
ORDERS circumstances which attended its commission.
2. Participation of the accused either as principal,
(Rule 34) accomplice or accessory.
3. Penalty imposed on the accused.
4. Civil liability or damages, if any, unless a
separate civil action has been reserved or
waived.
1. JUDGMENT WITHOUT TRIAL
2. CONTENTS OF A JUDGMENT A Judgment of ACQUITTAL Must Contain
3. JUDGMENT ON THE PLEADINGS 1. Whether the evidence absolutely failed to prove
the guilt of the accused or merely failed to prove
4. SUMMARY JUDGMENTS it beyond reasonable doubt
a. For the claimant
2. If the act or omission from which civil liability
b. For the defendant
may arise did not exist
c. When the case not fully adjudicated
d. Affidavits and attachments
5. JUDGMENT ON THE PLEADINGS 3. JUDGMENT ON THE PLEADINGS
VERSUS SUMMARY JUDGMENTS
A judgment rendered by the court upon motion of
6. RENDITION OF JUDGMENTS AND the claimant OR plaintiff on the ground that an
FINAL ORDERS ANSWER fails to tender an issue, OR otherwise
7. ENTRY OF JUDGMENTS AND admits the material allegations of the adverse
FINAL ORDER party‘s pleading.

Note: The concept of a judgment on the pleadings

JUDGMENT
will not apply when no answer is filed. (Riano, Civil
A judicial act which settles the issues, fixes the
Procedure: The Bar Lecture Series, Vol. 1, Bantam
rights and liabilities of the parties, and determines
Ed, 2014)
the proceeding, and is regarded as the sentence of
the law pronounced by the court on the action or
General Rule: A judgment on the pleadings must
question before it.
be UPON MOTION of the claimant.
Requisites:
Exception: If at pre-trial, the court finds that a
1. In writing in the official language;
judgment on the pleadings is proper, it MAY render
2. Personally and directly prepared by the judge;
such judgment motu proprio. (Rule 18, Section 2
3. State clearly and distinctly the facts and the law
[g])
on which it is based;
4. Contains a dispositive portion;
Judgment on the pleadings is proper when an
5. Signed by the judge; and
answer fails to tender an issue, or otherwise admits
6. Filed with the clerk of court.
the material allegations of the adverse party‘s
pleading. An answer fails to tender an issue if it
1. JUDGMENT WITHOUT TRIAL does not comply with the requirements of a specific
denial as set out in Sections 8 (actionable
JUDGMENT WITHOUT TRIAL document denial under oath) and 10 (specific

112
denial). Failure to deny such would result in the admission of the material allegations of the adverse
admission of the material allegations of the adverse party‘s pleadings. [Asian Construction v.
party‘s pleadings. [Asian Construction v. Sanneadle, G.R. No. 181676, June 11, 2014]
Sanneadle, G.R. No. 181676, June 11, 2014]
Sham denials, consisting of an avowed lack of
Sham denials, consisting of an avowed lack of knowledge of facts which could not but be clearly
knowledge of facts which could not but be clearly known by them, in effect tender no issue, or
known by them, in effect tender no issue, or otherwise admit the allegations of the complaint
otherwise admit the allegations of the complaint material to a valid decision. [Manufacturer’s Bank v.
material to a valid decision. [Manufacturer’s Bank v. Diversified, G.R. No. 33695, May 15, 1989]
Diversified, G.R. No. 33695, May 15, 1989]
Judgment on the pleadings is proper when an
Judgment on the pleadings is proper when an answer fails to tender an issue, or otherwise admits
answer fails to tender an issue, or otherwise admits the material allegations of the adverse party‘s
the material allegations of the adverse party‘s pleadings. The defense of the defendant was that
pleadings. The defense of the defendant was that plaintiff was in bad faith. The courts ruled that the
plaintiff was in bad faith. The courts ruled that the answer in fact tendered an issue hence judgment
answer in fact tendered an issue hence judgment on the pleadings would be inapplicable. Summary
on the pleadings would be inapplicable. Summary judgment also cannot apply because the
judgment also cannot apply because the requirement for such is that there must not be a
requirement for such is that there must not be a genuine issue. The plaintiff, in this case, prayed for
genuine issue. The plaintiff, in this case, prayed for an accounting which required a full blown trial
an accounting which required a full blown trial (requires presentation of evidence on partial
(requires presentation of evidence on partial payment) hence there was a genuine issue in the
payment) hence there was a genuine issue in the case at bar. [Sps. Ong v. Roban Lending, G.R. No.
case at bar. [Sps. Ong v. Roban Lending, G.R. No. 172592, July 9, 2008]
172592, July 9, 2008]
Judgment on the pleading is a judgment on the
Judgment on the pleading is a judgment on the facts pleaded, and based exclusively upon the
facts pleaded, and based exclusively upon the allegations appearing in the pleadings and the
allegations appearing in the pleadings and the annexes. The trial court has the discretion to grant a
annexes. The trial court has the discretion to grant a motion for judgment on the pleadings filed by a
motion for judgment on the pleadings filed by a party if there is no controverted matter in the case
party if there is no controverted matter in the case after the answer is filed. This case was peculiar
after the answer is filed. This case was peculiar because the defendant was the one who moved for
because the defendant was the one who moved for judgment on pleadings without offering proof as to
judgment on pleadings without offering proof as to the truth of her allegations and without giving the
the truth of her allegations and without giving the plaintiff opportunity to introduce evidence, the
plaintiff opportunity to introduce evidence, the defendant is deemed to have admitted the material
defendant is deemed to have admitted the material and relevant matters of the complaint. (Usually, it is
and relevant matters of the complaint. (Usually, it is the plaintiff who files a judgment on pleadings)
the plaintiff who files a judgment on pleadings) [Sunbanun v. Go, G.R. No. 163280, Feb. 2, 2010]
[Sunbanun v. Go, G.R. No. 163280, Feb. 2, 2010]
One who prays for judgment on the pleadings
without offering proof as to the truth of his own
Judgment on the pleadings is appropriate when an allegations and without giving the opposing party an
answer fails to tender an issue, or otherwise admits opportunity to introduce evidence, must be
the material allegations of the adverse party‘s understood to admit all material and relevant
pleading. An answer fails to tender an issue if it allegations of the opposing party and to rest his
does not comply with the requirements of a specific motion for judgment on those allegations taken
denial as set out in Sections 8 and 10, Rule 8 of the together with such of his own as are admitted in the
Rules, resulting in the admission of the material pleadings. [Falcasantos v. How Suy Ching, GR No.
allegations of the adverse party‘s pleadings. As L-4229, May 29, 1952]
such, it is a form of judgment that is exclusively
based on the submitted pleadings without the A Motion for Judgment on the Pleadings is one that
introduction of evidence as the factual issues is considered ex parte because upon particular
remain uncontroverted. [GSIS v. Prudential, G.R. facts thus presented, the plaintiff is entitled to
No. 165585, Nov. 20, 2013] judgment, or motu proprio under Section 2 [g] of
Judgment on the pleadings is proper when an Rule 18 of the Rules of Court. [Dino v. Valencia,
answer fails to tender an issue, or otherwise admits G.R. No. L-43886, July 19, 1989]
the material allegations of the adverse party‘s
pleading. An answer fails to tender an issue if it Judgment on the pleadings is appropriate when an
does not comply with the requirements of a specific answer fails to tender an issue, or otherwise admits
denial as set out in Sections 8 (actionable the material allegations of the adverse party‘s
document denial under oath) and 10 (specific pleading. An answer fails to tender an issue if it
denial). Failure to deny such would result in the does not comply with the requirements of a specific

113
denial as set out in Sections 8 and 10, Rule 8 of the motion for judgment on those allegations taken
Rules, resulting in the admission of the material together with such of his own as are admitted in the
allegations of the adverse party‘s pleadings. As pleadings. [Falcasantos v. How Suy Ching, GR No.
such, it is a form of judgment that is exclusively L-4229, May 29, 1952]
based on the submitted pleadings without the
introduction of evidence as the factual issues A Motion for Judgment on the Pleadings is one that
remain uncontroverted. [GSIS v. Prudential, G.R. is considered ex parte because upon particular
No. 165585, Nov. 20, 2013] facts thus presented, the plaintiff is entitled to
judgment, or motu proprio under Section 2 [g] of
Judgment on the pleadings is proper when an Rule 18 of the Rules of Court. [Dino v. Valencia,
answer fails to tender an issue, or otherwise admits G.R. No. L-43886, July 19, 1989]
the material allegations of the adverse party‘s
pleading. An answer fails to tender an issue if it Judgment on the pleadings is appropriate when an
does not comply with the requirements of a specific answer fails to tender an issue, or otherwise admits
denial as set out in Sections 8 (actionable the material allegations of the adverse party‘s
document denial under oath) and 10 (specific pleading. An answer fails to tender an issue if it
denial). Failure to deny such would result in the does not comply with the requirements of a specific
admission of the material allegations of the adverse denial as set out in Sections 8 and 10, Rule 8 of the
party‘s pleadings. [Asian Construction v. Rules, resulting in the admission of the material
Sanneadle, G.R. No. 181676, June 11, 2014] allegations of the adverse party‘s pleadings. As
such, it is a form of judgment that is exclusively
Sham denials, consisting of an avowed lack of based on the submitted pleadings without the
knowledge of facts which could not but be clearly introduction of evidence as the factual issues
known by them, in effect tender no issue, or remain uncontroverted. [GSIS v. Prudential, G.R.
otherwise admit the allegations of the complaint No. 165585, Nov. 20, 2013]
material to a valid decision. [Manufacturer’s Bank v.
Diversified, G.R. No. 33695, May 15, 1989]
One who prays for judgment on the pleadings
Judgment on the pleadings is proper when an without offering proof as to the truth of his own
answer fails to tender an issue, or otherwise admits allegations and without giving the opposing party an
the material allegations of the adverse party‘s opportunity to introduce evidence, must be
pleadings. The defense of the defendant was that understood to admit all material and relevant
plaintiff was in bad faith. The courts ruled that the allegations of the opposing party and to rest his
answer in fact tendered an issue hence judgment motion for judgment on those allegations taken
on the pleadings would be inapplicable. Summary together with such of his own as are admitted in the
judgment also cannot apply because the pleadings. (Falcasantos v. How Suy Ching, GR No.
requirement for such is that there must not be a L-4229, 1952)
genuine issue. The plaintiff, in this case, prayed for
an accounting which required a full blown trial A Motion for Judgment on the Pleadings is one that
(requires presentation of evidence on partial is considered ex parte because upon particular
payment) hence there was a genuine issue in the facts thus presented, the plaintiff is entitled to
case at bar. [Sps. Ong v. Roban Lending, G.R. No. judgment, or motu proprio under Section 2 [g] of
172592, July 9, 2008] Rule 18 of the Rules of Court. (Dino v. Valencia,
G.R. No. L-43886, 1989)
Judgment on the pleading is a judgment on the
facts pleaded, and based exclusively upon the Grounds
allegations appearing in the pleadings and the 1. Answer fails to tender an issue because of:
annexes. The trial court has the discretion to grant a a) General denial of the material allegations of
motion for judgment on the pleadings filed by a the complaint;
party if there is no controverted matter in the case b) Insufficient denial of the material allegations
after the answer is filed. This case was peculiar of the complaint; or
because the defendant was the one who moved for 2. Answer admits the material allegations of the
judgment on pleadings without offering proof as to adverse party‘s pleading.
the truth of her allegations and without giving the
plaintiff opportunity to introduce evidence, the By moving for judgment on the pleading, plaintiff
defendant is deemed to have admitted the material WAIVES his claim for unliquidated damages. Claim
and relevant matters of the complaint. (Usually, it is for such damages must be alleged and proved.
the plaintiff who files a judgment on pleadings)
[Sunbanun v. Go, G.R. No. 163280, Feb. 2, 2010] No Judgment on the Pleadings in Actions for
1. Declaration of Nullity of Marriage;
One who prays for judgment on the pleadings 2. Annulment of marriage; and
without offering proof as to the truth of his own 3. Legal Separation
allegations and without giving the opposing party an In actions for declaration of nullity or annulment of
opportunity to introduce evidence, must be marriage or for legal separation, the material facts
understood to admit all material and relevant alleged in the complaint shall always be proved
allegations of the opposing party and to rest his

114
(see Articles 48 and 60 of the Family Code). The defending party or claimant, as the case may be,
purpose is to prevent collusion between the parties. must invoke the rule on summary judgment by filling
a motion. The adverse party must be notified of the
Difference between motion to dismiss and motion for summary judgment and furnished with
motion for judgment on the pleadings supporting, affidavits, depositions or admissions
MOTION TO DISMISS MOTION FOR before hearing is conducted. (Pineda v. Heirs of
JUDGMENT ON Eliseo Guevara, G.R. No. 143188, February 14,
PLEADINGS 2007)

Under Section 3, Rule 35 of the Rules of Court, a

Filed by defendant to a Filed by the claimant summary judgment MAY NOT be rendered on the
complaint, counterclaim, amount of damages, although such judgment may
cross-claim, or third- be rendered on the issue relating to the existence of
party complaint. the right to damages. In this case, the Court
distinguished between the determination of the
amount of damages and the issue of the right to
damages itself in case of a summary judgment.
(Ybiernas v. Tanco-Gabaldon, G.R. No. 178925,
4. SUMMARY JUDGMENT 2011)

An action for annulment of marriage cannot be

Nature of summary judgment decided by summary judgment proceeding (Roque
1. A summary judgment, also called accelerated v. Encarnacion, G.R. No. L-6505, ] 1954)
judgment, is proper where, upon a motion filed
after the issues had been joined and on the Summary judgments are made specifically
basis of the pleadings and papers filed, the applicable to a special civil action for Declaratory
court finds that there is no genuine issue as to Relief (Rule 63).
any material fact except as to the amount of
damages. The motion shall be served at least ten (10) days
2. What triggers a summary judgment is the before the time specified for the hearing. The
absence of a genuine factual issue. It is adverse party may serve opposing affidavits,
not proper where there are factual issues depositions, or admissions at least three (3) days
to be resolved by the presentation of before the hearing. (Section 3, Rule 35)
evidence. Even if there is a complicated
question of law if there is no issue as to After the hearing, the judgment sought shall be
the facts, a summary judgment is not rendered forthwith if the pleadings, supporting
barred. (Velasco v. Court of Appeals, 329 affidavits, depositions, and admissions on file, show
SCRA 392). that, EXCEPT as to the amount of damages, there
is no genuine issue as to any material fact and that
One granted by the court, UPON MOTION, for the the moving party is entitled to a judgment as a
prompt disposition of civil actions wherein it clearly matter of law. (Section 3, Rule 35)
appears that there exists NO GENUINE ISSUE or
controversy as to any material fact, EXCEPT as to If on motion for Summary Judgment, judgment is
the amount of damages. NOT rendered upon the whole case or for all reliefs
sought and a trial is necessary, the court at the
It is granted AFTER the issues have been joined hearing of the motion, by examining the pleadings
and on the basis of pleadings, depositions, and the evidence before it and by interrogating
admissions and affidavits, there exists NO genuine counsel, shall ascertain what material facts exist
factual issue. It is available to BOTH plaintiff and without substantial controversy and what are
defendant. actually and in good faith controverted. (Section 4,
Rule 35)
A genuine issue is an issue of fact which requires
the presentation of evidence as distinguished from It shall thereupon make an order specifying the
a sham, fictitious, contrived or false claim. When the facts that appear without substantial controversy,
facts as pleaded appear uncontested or undisputed, including the extent to which the amount of
then there is no real or genuine issue or question as damages or other relief is not in controversy, and
to the facts, and summary judgment is called for. directing such further proceedings in the action as
The party who moves for summary judgment has are just. The facts so specified shall be deemed
the burden of demonstrating clearly the absence of established, and the trial shall be conducted on the
any genuine issue of fact, or that the issue posed in controverted facts accordingly. (Section 4, Rule 35)
the complaint is patently unsubstantial so as not to
constitute a genuine issue for trial. (Philippine Bank a. FOR THE CLAIMANT
of Communications v. Go 642 SCRA 693, 2011)
A party seeking to recover upon a claim,
The trial court cannot motu proprio decide that counterclaim, or cross-claim or to obtain a
summary judgment on an action is in order. The declaratory relief may, at any time AFTER the

115
pleading in answer thereto has been served, move issues tendered are not genuine, are sham,
with supporting affidavits, depositions or admissions fictitious, contrived, set up in bad faith, and patently
for summary judgment in his favor upon all or any unsubstantial. (Vergara v. Suelto, G.R. No. L-
part thereof. (Section 2, Rule 35) 74766, 1987)

b. FOR THE DEFENDANT Affidavits in Bad Faith

It should it appear that the affidavits are:
A party against whom a claim, counterclaim, or 1. Presented in bad faith; or
cross-claim is asserted or a declaratory relief is 2. Solely for the purpose of delay.
sought may, at ANY TIME, move with supporting
affidavits, depositions or admissions for summary The court shall order the offending party or counsel
judgment in his favor upon all or any part thereof. to pay to the other party the amount of reasonable
(Section 3, Rule 35). expenses, which the filing of the affidavits caused
him to incur, including attorney‘s fees. It may, after
c. WHEN THE CASE NOT FULLY hearing, further adjudge the offending party or
ADJUDICATED ON MOTION counsel guilty of contempt. (Section 6, Rule 35)

This authorizes rendition of PARTIAL summary 5. JUDGMENT ON THE PLEADINGS

judgment but such is interlocutory in nature and is
NOT a final and appealable judgment. VERSUS SUMMARY JUDGMENT

The court shall make an order specifying the facts JUDGMENT ON THE SUMMARY
that appear without substantial controversy. The PLEADINGS JUDGMENT
facts so specified shall be deemed established.
Solely based on the Based on the pleadings,
pleadings depositions, admissions,
The trial shall be conducted on the controverted
and affidavits
facts only and judgment shall be rendered on the
facts that appear without substantial controversy.

The test is whether or not the pleadings, affidavits General Rule - Available Available to BOTH
and exhibits in support of the motion are sufficient only to a claiming party plaintiff and defendant
to overcome the opposing papers and to justify the like a plaintiff or a
finding that, as a matter of law, there is no defense counterclaimant
to the action or claim clearly meritorious. [Estrada v.
Consolacion, G.R. No. L-40948, June 29, 1976] Exception - Defendant
presents a counterclaim
d. AFFIDAVITS AND ATTACHMENTS

Requisites of affidavits:
1. Based on personal knowledge;
2. Set forth facts as would be admissible in There is an absence of There is an issue only
evidence; a factual issue in the as to the amount of
3. Show affirmatively that the affiant is competent to
case because the damages but not as to
testify to the matters stated therein. answer tenders no issue any material fact
at all. or there is an
Bases of Summary Judgment
admission of material
1. Affidavits made on personal knowledge, set forth
allegations
such facts as would be admissible as evidence
and show affirmatively that the affiant is
competent to testify on matters stated therein
(Section 5, Rule 35);
2. Depositions of the adverse party or a third party Notice required before Notice required before
under Rule 23; hearing: Three (3) days hearing: Ten (10) days.
3. Admissions of the adverse party under Rule 26; The adverse party in
or turn may serve
4. Answers to interrogatories under Rule 25; all opposing affidavits,
intended to show that: depositions or
a) There is no genuine issue as to any material admissions at least
fact, EXCEPT damages which must always three days before the
be proved; and hearing.
b) The movant is entitled to a judgment as a
matter of law.

Even if the answer does tender an issue, and On the merits May be interlocutory or
therefore a judgment on the pleadings is not proper, on the merits
a summary judgment may still be rendered if the

116
There is already an If filed by the
answer filed PLAINTIFF, it must be Enterprises v. IAC G.R. No. 72019, December 20,
filed at any time after an 1990)
answer is served;
JUDGMENT ON THE MERITS
If filed by DEFENDANT, Judgment rendered after consideration of the
it may be filed at any evidence submitted by the parties during the trial of
time even before there the case.
is an answer
JUDGMENT NON PROTUNC
A judgment intended to enter into the records acts
which had already been done, but which do not
appear in the records.

JUDGMENT SIN PERJUICIO

6. RENDITION OF JUDGMENTS AND A dismissal of a case without prejudice to it being
FINAL ORDERS refilled. It is one which contains only the dispositive
portion of the decision and reserves the making of
Rendition of a judgment findings of fact and conclusions of law in a
The filing of the signed decision with the clerk of subsequent judgment.
court. (Riano, 2014, p. 583)
PROMULGATION
NOTE: It is not the writing or signing of the The process by which a decision is published,
judgment which constitutes rendition of the officially announced, made known to the public or
judgment. (Castro v. Malazo, 99 SCRA 164) delivered to the clerk of court for filing, coupled with
notice to the parties or their counsel.
A case is deemed SUBMITTED FOR
RESOLUTION upon the filing of the last pleading, MEMORANDUM DECISION
brief or memorandum required by the Rules of The judgment or final resolution of the appellate
Court or by the court. court may adopt by reference the findings of facts
and conclusions of law contained in the decision of
Even if the judgment has already been put in writing the trial court.
and signed, it is STILL subject to amendment if it
has not yet been filed with the Clerk of Court. 7. ENTRY OF JUDGMENT AND FINAL
ORDER
A judgment is considered RENDERED upon the
FILING of the signed decision with the Clerk of
Court. This includes an amended decision because If no appeal or motion for new trial or
an amended decision is a distinct and separate reconsideration is filed within the reglementary
judgment and must follow the established period, the judgment or final order shall be entered
procedural rule. by the Clerk in the Book of Entries of Judgment.

For a Judgment to be Valid Date of the finality of the judgment or final order
1. In writing, personally and directly prepared by shall be deemed to be the DATE OF ITS ENTRY.
the Judge
2. State clearly and distinctly the facts and law on Judgment is deemed FINAL when it disposes of a
which it is based case in a manner that leaves NOTHING more to be
3. Signed by judge and filed with clerk of court done by the court in respect thereto. (Rule 36,
(Rule 36, Section 1) Section 1)

Sec. 2 of Rule 36 clearly provides that ―The date of

JUDGEMENT BY CONFESSION finality of the judgment or final order shall be
Rendered by the court after a party expressly deemed to be the date of its entry.‖
agrees to the other party‘s claim or acknowledges
the validity of the claim against him. General Rule: After judgment has become final and
executory, the court cannot amend the same.
JUDGMENT UPON A COMPROMISE
Judgment rendered by the court on the basis of a Exceptions:
compromise agreement entered into between the Amendment May Be Possible in the Following
parties to the action. It has the force of law and is Instances:
conclusive between parties. It is NOT appealable. 1. To make corrections of clerical errors but not
substantial amendments;
Judgment upon a compromise is immediately 2. To clarify an ambiguity which is borne out by
executory upon the signing of the compromise and justifiable in the context of the decision; and
agreement in the absence of a motion to set aside 3. In judgments for support, which can always be
on the ground of fraud, mistake, etc. Hence, it has amended from time to time.
the effect of res judicata. (World Machine

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Entry of judgment or final order is important for the Before Finality
reckoning of reglementary periods such as the 5- 1. Motion for Reconsideration
year period for execution by motion or the 6-month 2. Motion for New trial
period for a petition for relief (Regalado, Remedial 3. Appeal
th
Law Compendium, 9 Ed.)
After Finality
The judgment or final order has the effect of RES 1. Relief from Judgment or Final Order
JUDICATA between the two parties. 2. Annulment of Judgment
3. Petition for Certiorari
RES JUDICATA has Two Aspects 4. Collateral Attack of a Judgment
1. Bar by Prior Judgment – the judgment or final
order is a bar to the prosecution of a subsequent Judgment against Entity without Juridical
action based on the same claim or cause of Personality
action. When judgment is rendered against two or more
2. Conclusiveness of Judgment – the judgment persons sued as an entity without juridical
or final order precludes the re-litigation of personality, the judgment shall set out their
particular issues or facts on a different demand individual or proper names, if known. (Rule 36,
or cause of action. Section 6)

Judgment For or Against One or More of Several END OF TOPIC

PartiesJudgment MAY be given for or against one
or more of several plaintiffs, and for or against one
or more of several defendants.

When justice so demands, the court may require P. POST-JUDGMENT REMEDIES

the parties on each side to file adversary pleadings
as between themselves and determine their
ultimate rights and obligations. (Rule 36, Section 3)

SEVERAL JUDGMENTS 1. MOTION FOR NEW TRIAL OR

Judgment rendered by a court, when proper, RECONSIDERATION
against one or more defendants and NOT against a. Grounds
all of them leaving the action to proceed against the b. When to File
others. (Rule 36, Section 4) c. Denial of the motion; effect
d. Grant of the motion; effect
Several judgments is proper where e. Remedy when motion is denied; fresh
1. The liability of each party is clearly separable 15-day period rule
and distinct from his co-parties such that the 2. APPEALS IN GENERAL
claims against each of them could have been a. Judgments and final orders subject to
the subject of separate suits, and appeal
2. The judgment for or against one of them will not
necessarily affect the other. (Fernandez v. Sta. b. Matters not appealable
Maria, G.R. No. 160730, 2004) c. Remedy against judgments and orders
which are not appealable
It is NOT proper in actions against solidary debtors. d. Modes of appeal
(Fernandez v. Sta. Maria, G.R. No. 160730, 2004) i. Ordinary appeal
ii. Petition for review
SEPARATE JUDGMENT
Judgment rendered to dispose of one of the several
iii. Petition for review on
certiorari
claims for relief presented in an action. (Rule 36,
Section 5) e. Issues to be raised on appeal
f. Period of appeal
Separate Judgments are Made on One or g. Perfection of appeal
Several Claims h. Appeal from judgments or final orders
1. At any stage; of the MTC
2. Upon a determination of the issues material to a i. Appeal from judgments or final orders
particular claim and all counterclaims arising out of the RTC
of the transaction, or occurrence which is the
subject matter of the claim; j. Appeal from judgments or final orders
3. Such judgment terminates the claim, leaving the of the CA
action to proceed as to the remaining claims. k. Appeal from judgments or final orders
of the CTA
REMEDIES AGAINST JUDGMENTS OR FINAL l. Review of final judgments or final
ORDERS (Riano 2015 p. 630) orders of the COMELEC

118
 MOTION FOR MOTION FOR
m. Review of final judgments or final NEW TRIAL RECONSIDERATIO
orders of the Ombudsman N
n. Review of final judgments or final
orders of the NLRC
o. Review of final judgments or final
orders of quasi-judicial agencies
3. RELIEF FROM JUDGMENTS,
ORDERS AND OTHER
PROCEEDINGS
a. Grounds for availing of the remedy
b. Time to file petition
c. Contents of petition
4. ANNULMENT OF JUDGMENTS OR
FINAL ORDERS AND RESOLUTIONS
a. Grounds for annulment
b. Period to file action
c. Effects of judgment of annulment
5. COLLATERAL ATTACK OF
JUDGMENT

1. MOTION FOR NEW TRIAL OR

RECONSIDERATION (Rule 37)

Motion for New Trial (MNT)

One that moves for a re-opening of trial for new or
additional presentation of evidence in a case
already decided by the court but before the
judgment rendered thereon becomes final and
executory. Errors of law or irregularities are
expunged from the record, or new evidence is
introduced, or both steps are taken.

Motion for Reconsideration (MR)

One that is directed against a final judgment or a
final order, filed within the period for appeal, i.e.
within fifteen (15) days after notice to the appellant
of the judgment or final order appealed from. (Sec.
2, Rule 40; Sec. 3, Rule 41; Sec. 2, Rule 45, Rules
of Court).

It does not refer to a motion for reconsideration of

an interlocutory order which, for instance, precedes
a petition for certiorari. (Rule 37, Section 1)

A motion for reconsideration of a judgment is a

prohibited motion in a case that falls under
summary procedure (Sec. 19[c], TV, Rules on
Summary Procedure; Bar
1989,1990).

The motion is likewise prohibited under Sec. 14(c)

of the Rule of Procedure in Small Claims Cases
(A.M. No. 08-8-7- SC).
Effect of the filing of the motion on the period to
appeal
The filing of a timely motion for reconsideration
interrupts the period to appeal (Sec. 2, Rule 40;
Sec. 3, Rule 41, Rules of Court).

REQUIREMENTS

119
 1. Must be in 1. Must be in Affidavit of Merit (for MNT)
writing; writing; One which recites the nature and character of
2. Affidavit of 2. Must point FAME on which the motion for new trial is based. It
the existence of out specifically must state the movant‘s good and substantial cause
fraud, accident, the conclusion of action or defense and the evidence he/she
mistake, or of judgment or intends to present if the motion is granted which
excusable conclusions of evidence should be as such as to warrant
negligence (FAME) the judgment or reasonable belief that the result of the case would
or newly discovered final order; probably be otherwise.
evidence (NDE); 3. Grounds:
3. If ground a. Excessive
is FAME: Effect of Motion for New Trial or
damages
Affidavit of merit setting Reconsideration and Notice Thereof
b. Insufficient A motion suspends or tolls the running of the
forth the particular facts evidence
claimed to constitute a reglementary period to appeal EXCEPT when it is
(factual pro-forma.
meritorious cause of
action;
c. Contrary to
law (legal) PRO-FORMA MOTION (Rule 37, Section 2)
If ground is NDE:
(Rule 37, A motion that does NOT comply with Rule 15
a. Affidavit of Section 1) (mandatory requirement of notice and hearing) and
new witnesses; and
4. Specific Rule 37 (requirement that the motion must point out
b. Duly assignment of specifically the findings or conclusions of the
authenticated trial court judgment as are contrary to law, fails to make
documents to be findings that express reference to the testimonial or documentary
introduced. are challenged evidence or to the provisions of law alleged to be
4. Written notice to with express contrary to such findings or conclusions, and is
adverse party reference to merely intended to delay the proceedings or if there
(Rule 37, Section 2) testimonial or is no affidavit of merit).
documentary
Exception: evidence or to A pro forma motion is a worthless piece of paper
The allegations contained in provisions of which the clerk of court has no right to receive and
an affidavit of merit required law; which the court has no authority to act upon.
to be attached to a motion to 5. Written
lift an order of default or for a notice to A motion for reconsideration is NOT pro forma just
new trial need not be adverse party because it reiterated the arguments earlier passed
embodied in a separate (Rule 37, upon and rejected by the appellate court. This is
document but may be Section 2) because a movant may raise the same arguments,
incorporated in the petition precisely to convince the court that its ruling was
itself. Otherwise stated, when erroneous. (Security Bank v. Cuenca, GR No.
a motion to lift an order of 151914, 2002)
default contains the reasons
for the failure to answer as Moreover, the rule (that a motion is pro forma if it
well as the facts constituting only repeats the arguments in the previous
the prospective defense of pleadings) will NOT apply if said arguments were
the defendant and it is sworn not squarely passed upon and answered in the
to by said defendant, neither decision sought to be reconsidered. (Ong Yong v.
a formal verification nor a Tiu, GR No. 144476, 2003)Where the
separate affidavit of merit is circumstances of a case do not show an intent on
necessary. (Capuz vs. CA, the part of the pleader to merely delay the
G.R. No. 112795, 1994) proceedings, and his motion reveals a bona fide
effort to present additional matters or to reiterate his
arguments in a different light, the courts should be
slow to declare the same outright as pro forma. The
doctrine relating to pro forma motions has a direct
bearing upon the movant‘s valuable right to appeal.
It would be in the interest of justice to accord the
appellate court the opportunity to review the
decision of the trial court on the merits than to abort
the appeal by declaring the motion pro forma, such
that the period to appeal was not interrupted and
had consequently lapsed (Philippine National Bank
v. Paneda, 515 SCRA 639, 649.

A motion for reconsideration is deemed pro forma if

the same does not specify the findings or
conclusions in the judgment which are not

120
supported by the evidence or contrary to law, have guarded against and by reason of which the
making express reference to the pertinent evidence party applying has probably been impaired in this
or legal provisions. It is settled that although a rights. (De Leon, Appellate Remedies, 2013, p.21)
motion for reconsideration may merely reiterate
issues already passed upon by the court that by 2. ACCIDENT – An event that takes place without
itself does not make it pro forma and is immaterial one‘s reasonable foresight or expectation.
because what is essential is compliance with the
requisites of the Rules. 3. MISTAKE – The general rule is that only
mistakes of ―fact‖ (as opposed to mistake of
a. GROUNDS ―law‖) may be a ground for new trial.

Thus, the petitioner‘s claim of having

MOTION FOR MOTION FOR committed an ―honest mistake‖ in not filing an
NEW TRIAL RECONSIDERATION answer to respondent‘s petition for prohibition
and declaratory relief because of its belief that
the RTC did not acquire jurisdiction over it was
held to be a ―mistake of law‖ which cannot be
The Grounds Are The Grounds Are: a ground for new trial. (De Leon, Appellate
Remedies, 2013, p.21, citing Viking Industrial
1. Fraud 1. The damages Corporation v. CA GR No. 143794, 2004)
(Extrinsic), awarded are
Accident, Mistake excessive; However, the Supreme Court has on occasion
or Excusable recognized a mistake in ―law‖, made in good
Negligence 2. The evidence faith, and where such mistake misled a party,
(FAME); or is insufficient to as a ground for new trial. Regalado gives as
justify the decision examples of mistake of ―law‖ a mistake as to
2. Newly or final order the scope and extent of the coverage of an
discovered (factual question); ordinance (citing City of Iloilo vs. Pinzon, L-
evidence (NDE), or 7552, May 31, 1955) and a mistake of a
which could not, defendant who failed to file an answer to the
with reasonable 3. The decision complaint (and consequently declared in
diligence, have or final order is default) because the defendant relied on a
been discovered contrary to law compromise agreement with the plaintiff. The
and produced at (legal question). defendant failed to properly appreciate the
the trial, and which, effect of the compromise agreement on the
if presented, would pending case. (Salazar vs. Salazar, 8 Phil. 183)
probably alter the
result. 4. EXCUSABLE NEGLIGENCE – Depends upon
the circumstances of the case.

Note: The test of excusable negligence is whether

GROUNDS FOR NEW TRIAL
a party has acted with ordinary prudence while
transacting important business. (Philippine
1. EXTRINSIC FRAUD – Extrinsic or collateral
Phosphate Fertilizer Corporation v. Commissioner
fraud, as distinguished from intrinsic fraud,
of Internal Revenue G.R. No. 141973, 2005)
connotes any fraudulent scheme executed by a
prevailing litigant outside the trial of a case
GENERAL RULE: Negligence of counsel is binding
against the defeated party, or his agents,
upon the client.
attorneys or witnesses, whereby said defeated
party is prevented from presenting fully and
EXCEPTION: Such negligence of counsel may
fairly his side of the case. (Libudan vs. Gil, G.R.
be a ground for new trial if it was so great that
No. L-21163, 1972)
the party was prejudiced and prevented from
(Example: preventing a witness from testifying).
fairly presenting his/her case, viz:
Note: Compare with intrinsic fraud –
a) Where the gross negligence of
Intrinsic fraud takes the form of acts of a
counsel deprives the client of due process
party in a litigation during the trial which
of law;
did not affect the presentation of the case,
b) When the application of the rule
but did prevent a fair and just detemination
will result in the outright deprivation of
of the case. (Libudan vs. Gil, G.R. No. L-
client‘s liberty or property; or
21163, 1972)
c) Where the interest of justice so
(Example: use of forged instruments or
requires. (Redena vs. CA, G.R. No.
perjured testimony).
146611, 2007)
d) Where gross negligence of
For the next three grounds: The ACCIDENT,
counsel will deprive or has deprived the
MISTAKE, and EXCUSABLE NEGLIGENCE must
party of his substantial rights.
be something which ordinary prudence could not

121
For a claim of counsel‘s negligence to prosper, As a rule, a motion for reconsideration seasonably
nothing short of clear abandonment of the client‘s filed in the Court of Appeals will NOT necessarily
cause must be shown. (Multi-trans Agency v. preclude a motion for new trial as long as it was
Oriental Assurance GR No. 180817, 2009) also filed on time. Further, a denial of a motion for
reconsideration entitles the party who filed said
5. NEWLY DISCOVERED EVIDENCE motion another 15 days to appeal by certiorari – the
Requisites to be Considered as Newly same period within which a motion for new trial may
Discovered Evidence: be filed. (Tiongco v. Deguma, GR No. 133619,
1. The evidence was discovered after trial; 1990)
2. Such evidence could not have been
discovered and produced at trial despite Note: MOTIONS FOR EXTENSION OF TIME to file
the exercise of reasonable diligence; and a motion for reconsideration may be filed only in
3. It is material, not merely cumulative, connection with cases pending before the Supreme
corroborative or impeaching; and Court, which may in its sound discretion either
4. It is of such weight that, if admitted, will grant or deny the extension requested. (Habaluyas
probably change the judgment. (Tumang v. Enterprises v Japson, GR No. 70895, 1986)
Court of Appeals G.R. Nos. 82346-47,
1989) The Habaluyas ruling applies even if the motion is
filed before the expiration of the reglementary
Otherwise, it is barred and called FORGOTTEN period. (Fernandez v. CA, GR No. 131094, 2005)
EVIDENCE.
b. WHEN TO FILE
Newly discovered evidence need not be newly
created evidence. It may and does commonly refer WHEN AND WHERE TO FILE
to evidence already in existence prior or during trial.
(Tumang v. Court of Appeals G.R. Nos. 82346-47, MOTION FOR MOTION FOR
1989) NEW TRIAL RECONSIDERATION

If the documents belatedly submitted are public

records, they cannot be considered as ―newly WHEN TO FILE
discovered‖ since these could be secured during
trial. (Heirs of Emilio Santioque v. Heirs of Emilio Within the period for Within the period for taking
Calma, GR No. 160832, 2006) taking an appeal. an appeal. This is within
This is within 15 days 15 days (or 30 days if a
Important: MOTIONS FOR EXTENSION OF TIME (or 30 days if a record record on appeal is
to file a motion for new trial may be filed only in on appeal is required) required) after receipt of
connection with cases pending before the Supreme after receipt of notice notice to the appellant of
Court, which may in its sound discretion either to the appellant of the the judgment or final order
grant or deny the extension requested. (Marcelo v. judgment or final appealed from.
PCIB, GR No. 182735, 2009) order appealed from.
No motion for extension may be filed before any
lower courts, as stated in Sec. 2(2), Rule 40 and WHERE TO FILE
Sec. 2, Rule 41.
With the trial court With the trial court which
GROUNDS FOR MOTION FOR
which rendered the rendered the questioned
RECONSIDERATION
questioned judgment judgment or final order
1. Damages awarded are excessive;
sought to be reconsidered
2. Evidence is insufficient to justify the decision or
final order; and
3. Decision or final order is contrary to law.

A motion for reconsideration must point out c. DENIAL OF THE MOTION; EFFECT
specifically the findings or conclusions of the
judgment or final order which are not supported by EFFECT OF DENIAL OF MOTION
evidence or which are contrary to law, making MOTION FOR MOTION FOR
specific reference to the testimonial or NEW TRIAL RECONSIDERATION
documentary evidence presented or to the
provisions of law alleged to be violated. (Cansino v.
CA GR No. 125799, 2003)

A winning litigant may also move for reconsideration

of a part or parts of a decision or final order.
(Balanoba v. Madriaga, GR No. 160109, 2005)

122
If denied, not If denied, not appealable; Partial new trial is Partial reconsideration is
appealable; will have to remedy is to appeal from allowed where less allowed. If the court finds
wait for the judgment the judgment or final than all of the issues that a motion affects the
and appeal therefrom. order. (Rule 37, Section are ordered retried. issues of the case as to
remedy is to appeal 9) The court may either only a part, or less than all
from the judgment or enter a judgment or of the matters in
final order. (Rule 37, This means that if the final order as to the controversy, or only one,
Section 9) motion is denied, the rest or stay the or less than all, of the
movant has a ―fresh enforcement of such parties to it, the order may
This means that if the period‖ of 15 days from judgment or final order grant a reconsideration as
motion is denied, the receipt or notice of the until after new trial. to such issues if severable
movant has a ―fresh order denying or without interfering with the
period‖ of 15 days from dismissing the motion for final judgment or order
receipt or notice of the reconsideration from upon the rest.
order denying or which to file a notice of
dismissing the motion appeal. (Neypes v.
for new trial from which Court of Appeals, 469
to file a notice of SCRA 633).
appeal. e. REMEDY WHEN MOTION IS DENIED,
FRESH 15-DAY PERIOD

A party shall have a FRESH PERIOD of 15 days to

file a notice of appeal to the RTC from receipt of the
d. GRANT OF THE MOTION; EFFECT order denying a motion for new trial or motion for
reconsideration. This rule shall apply to Rules 40,
EFFECT OF GRANT OF MOTION 41, 42, 43 and 45 (Neypes vs. CA, G.R. No.
MOTION FOR MOTION FOR 141524, 2005) and in criminal cases under Section
NEW TRIAL RECONSIDERATION 6 of Rule 122 of the Revised Rules of Criminal
Procedure. (Yu vs. Tatad, G.R. No. 170979, 2011)

Note: The period is 30 days if record on appeal is

GRANT OF MOTION required.
(Rule 37, Section 6)
Recall:
1. Rule 40 – Appeals from MTC to RTC
If a new trial is If the court finds that 2. Rule 41 – Appeals from RTC to CA from
granted, the trial court excessive damages have decisions rendered by the RTC in the exercise
will set aside the been awarded or that the of its original jurisdiction
judgment or final judgment or final order is 3. Rule 42 – Petitions or review from RTC to CA
order. The case contrary to the evidence or from decisions of the RTC in the exercise of its
stands for trial de law, it may amend such appellate jurisdiction
novo and will be tried judgment or final order 4. Rule 43 – Appeals from Quasi-Judicial
anew. accordingly. Agencies to CA
5. Rule 45 – Appeals by certiorari to SC

The fresh period does NOT refer to the period

within which to appeal from the order denying the
PARTIAL GRANT OF MOTION motion for reconsideration BUT to the period within
(Rule 37, Section 7) which to appeal from the judgment itself
because an order denying a motion for
reconsideration is not appealable.

2. APPEALS IN GENERAL

a. JUDGMENTS AND FINAL ORDERS

SUBJECT TO APPEAL

The right to appeal is not a natural or inherent right;

it is not a part of due process but a mere statutory
privilege that has to be exercised only in the
manner and in accordance with law.

An appeal may be taken only from judgments or

final orders that completely dispose of the case.

123
An interlocutory order is NOT appealable until after a. ISSUES TO BE RAISED ON APPEAL
a judgment on the merits has been rendered.
NOTE: The issues that may be raised on appeal
b. MATTERS NOT APPEALABLE depend on the kind of appeal filed.

NO Appeal May be Taken From: 1) Questions of FACT – exists when the doubt or
1. An order denying a petition for relief or any difference arises as to the truth or the
similar motion seeking relief from judgment; falsehood of alleged facts; or when the query
2. An interlocutory order; necessarily invites calibration of the whole
Note: An interlocutory order does NOT dispose evidence considering mainly the credibility of
of the entire case; it does not put an end to a witnesses, existence and relevancy of specific
case before the court. surrounding circumstances, their relation to
3. An order disallowing or dismissing an appeal; each other and to the whole and the
4. An order denying a motion to set aside a probabilities of the situation (Sesbreno vs. CA,
judgment by consent, confession or compromise G.R. No. 84096, 1995); (Cirtek Employees
on the ground of fraud, mistake or duress, or Labor Union vs. Cirtek Electronics, Inc., G.R.
any other ground vitiating consent; No. 190515, 2011)
5. An order of execution;
6. A judgment or final order for or against one or 2) Questions of LAW – exists when the
more of several parties or in separate claims, doubt or difference arises as to what the law is
counterclaims, cross-claims, and third party on certain state of facts (Sesbreno vs. CA, G.R.
complaints, while the main case is ending, No. 84096, 1995); (Cirtek Employees Labor
unless the court allows an appeal therefrom; and Union vs. Cirtek Electronics, Inc., G.R. No.
7. An order dismissing an action without prejudice. 190515, 2011) It also pertains to the legal
(Rule 41, Section 1) consequences or effects of the law on a given
set of facts.
c. REMEDY AGAINST JUDGMENTS AND
ORDERS WHICH ARE NOT APPEALABLE 3) MIXED Questions of Fact and Law
In those instances where the judgment or final order
is not appealable, the aggrieved party may file the MODE OF APPEAL
appropriate special civil action under Rule 65. (Rule and
41, Section 1) ISSUES TO BE RAISED

d. MODES OF APPEAL QUESTIONS OF FACT, OR LAW, OR BOTH

(i) ORDINARY APPEAL

An appeal taken by filing a notice of appeal (and a

1) Rule 40 - Appeal from MTC to RTC
record on appeal, when proper) from a judgment • Notice of Appeal filed with the MTC and
or final order of a lower court on questions of fact payment of fees
and law.
2) Rule 41 - Appeal from RTC (exercising original
RULE 40 – APPEAL FROM MTC TO RTC jurisdiction) to CA
RULE 41 – APPEAL FROM RTC from decisions • Notice of Appeal filed with the RTC and
rendered by the RTC in the exercise of its original payment of fees
jurisdiction
3) Rule 42 - Appeal from RTC (exercising
(ii) PETITION FOR REVIEW (Rule 42) appellate jurisdiction) to CA
• Petition for Review filed with RTC with
An appeal from the judgment or final order of the payment of fees
Regional Trial Court to the Court of Appeals
decided by the Regional Trial Court in the exercise
of its appellate jurisdiction on questions of fact, of
4) Rule 43 - Appeal from QJA to CA
law or of fact and law. • Petition for Review filed with CA with
payment of fees
(iii) PETITION FOR REVIEW ON
CERTIORARI (Rule 45)

An appeal from a judgment or final order of the

Regional Trial Court in the exercise of its original Generally, QUESTION OF LAW only
jurisdiction but ONLY on questions of law. It also
pertains to an appeal from the judgment, final order
or resolutions of the Court of Appeals,
Sandiganbayan, Court of Tax Appeals en banc.

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Rule 45 - Appeal from CA, CTA en banc, Rule 38 - Within 60 days after
Sandiganbayan, and RTC, on pure questions of Petition for knowledge but not more
law Relief from than 6 months after entry of
Judgment judgment (date of finality)
• Petition for Review on Certiorari filed
with the SC with payment of fees - Non-extendible;
uninterrupted
General Rule: Pure questions of law
Rule 40 Appeal - 15 days or 30 days (if
Exceptions based on SC Circulars: from MTC to record on appeal is
(a) Writ of Amparo RTC required) from notice of final
(b) Writ of Habeas Data judgment or final order
(c) Writ of Kalikasan - Full payment of appeal fees
within the period to appeal
Exceptions based on Jurisprudence: - Non-extendible, but
(a) When the factual findings of the Court of MR/MNT will trigger fresh
Appeals and the trial court are contradictory; (2) period from receipt of order
when the conclusion is a finding grounded of denial
entirely on speculation, surmises, or
conjectures;
(b) When the inference made by the Court of
Appeals from its findings of fact is manifestly Rule 41 Appeal - GR: 15 days or 30 days (if
mistaken, absurd, or impossible; from RTC record on appeal is
(c) When there is a grave abuse of discretion in (original) to CA required) from notice of final
the appreciation of facts; judgment or final order
(d) When the Appellate Court, in making its - EXC: 48 hours for habeas
findings, went beyond the issues of the case corpus cases
and such findings are contrary to the - Full payment of appeal fees
admissions of both appellant and appellee; within the period to appeal
(e) When the judgment of the Court of Appeals is - Non-extendible, but
premised on a misapprehension of facts; MR/MNT will trigger fresh
(f) When the Court of Appeals failed to notice period from receipt of order
certain relevant facts which, if properly of denial
considered, would justify a different
conclusion;
(g) When the findings of fact are themselves
conflicting; Rule 42 Petition - 15 days from notice of
(h) When the findings of fact are conclusions for Review from decision
without citation of the specific evidence on RTC (appellate) - Extendible for 15 days upon
which they are based; and to CA proper motion and payment
(i) When the findings of fact of the Court of of the full amount of docket
Appeals are premised on the absence of and other lawful fees and
evidence but such findings are contradicted by deposit for costs before the
the evidence on record. (Local Superior vs. expiration of the
Jody King, G.R. No. 141715, 2005) reglementary period
- Extendible for another 15
days for the most
compelling reasons
f. PERIOD OF APPEAL
Period of Remedies
REMEDY PERIOD
Rule 37 - 15 days or 30 days (if
MR/MNT record on appeal is
required) from notice of final
judgment or final order
- No extension allowed
nd
- 2 MR not allowed (Rule
37, Section 5)

125
Rule 43 - 15 days from notice of the RULE 64 - 30 days from notice of the
Appeals from award, judgment, final order Review of judgment or final order or
QJA to CA or resolution, or from the Judgments and resolution sought to be
date of its last publication, if Final Orders or reviewed.
publication is required by Resolutions of - MR or MNT, if allowed
law for its effectivity, or of COMELEC and under the procedural rules
the denial of petitioner's the COA of the Commission
motion for new trial or concerned, shall interrupt
reconsideration duly filed in the period herein fixed (no
accordance with the fresh period!)
governing law of the court - If the motion is denied, the
or agency a quo aggrieved party may file the
- Only one (1) motion for petition within the remaining
reconsideration shall be period, but which shall not
allowed be less than 5 days in any
- Extendible for another 15 event, reckoned from
days for the most notice of denial.
compelling reasons with full
payment of docket fees

Rule 65 – - 60 days from notice of the

Certiorari, judgment, order or
Rule 45 Appeal - 15 days from notice of the Prohibition, resolution
by certiorari judgment or final order or Mandamus - MR/MNT will trigger fresh
[from RTC, CA, resolution appealed from, or period from receipt of order
CTA En Banc, of the denial of the of denial
on pure petitioner's motion for new
questions of trial or reconsideration
law, to the SC - Extendible for 30 days on g. PERFECTION OF APPEAL
justifiable reasons upon
motion duly filed and RULES 40 and 41
served, with full payment of 1. If by notice of appeal:
the docket and other lawful - Appeal is deemed perfected as to
fees and the deposit for the party appealing upon the filing of the
costs before the expiration notice of appeal and full payment of
of the reglementary period appeal fees in due time.

2. If by record on appeal:
- Appeal is deemed perfected as to
the party appealing upon the approval of
Rule 47 - Extrinsic fraud: 4 years from the record on appeal filed in due time.
Annulment of discovery (Rule 41, Section 9)
Judgments - Lack of jurisdiction: before
barred by laches or
NOTICE OF APPEAL RECORD ON
estoppel
APPEAL

An appeal by notice of The record on appeal

appeal is a mode that enables the trial court
envisions the elevation to CONTINUE with the
of the original records rest of the case
to the appellate court because the original
as to thereby records remain with
OBSTRUCT the trial the trial court even as
court in its further it affords the appellate
proceedings regarding court the full
the other parts of the opportunity to review
case. and decide the
appealed matter.
(De Leon, Appellate Remedies, 2013, p. 53, citing
Lebin vs. Mirasol, G.R. No. 164255, September 7,
2011)

RULE 42
Appeal is perfected as to petitioner upon timely:

126
1. Filing of a petition for review; and 2. Include:
2. Payment of the corresponding docket and a. Judgment or final order from
other lawful fees. (Rule 42, Section 8) which the appeal is taken.
b. In chronological order, copies of
h. APPEAL FROM JUDGMENTS OR FINAL such pleadings, petitions, motions, and all
ORDERS OF THE MTC (Rule 40) interlocutory orders as are related to the
appealed judgment or final order for the
Where to Appeal proper understanding of the issue
An appeal from a judgment or final order of an involved; and
Municipal, Metropolitan, Municipal Circuit Trial c. Such data as will show that the
Court may be taken to the Regional Trial Court appeal was perfected on time.
exercising jurisdiction over the area to which the 3. Contain a subject index, if it exceeds 20 pages.
former pertains.
Copies of the notice of appeal and the record on
The title of the case shall remain as it was in the appeal (when required) shall be served on the
court of origin, but the party appealing shall be adverse party.
further referred to as the appellant and the adverse
party, the appellee. MATERIAL DATA RULE
The requirement for ―material dates showing the
After an appeal to the RTC has been perfected, the timeliness of the appeal‖ is the same as the
MTC loses jurisdiction over the case and any ―material data rule‖ applicable to records on appeal
motion for the execution of the judgment should be with respect to the contents thereof.
filed with the RTC (Rule 40, Section 1), subject to
the MTC‘s residual jurisdiction under Rule 41, Appellate Court Docket and Other Lawful Fees
Section 9 in relation to Rule 40, Section 4. Within the period for taking an appeal, the
appellant shall pay to the Clerk of the Court which
MODE OF APPEAL: Notice of Appeal rendered the judgment or final order appealed from,
the full amount of the appellate court docket and
The notice of appeal does not require the approval other lawful fees. (Rule 40, Section 5)
of the court. The function of the notice of appeal is
merely to notify the trial court that the appellant was Proof of payment shall be transmitted to appellate
availing of the right to appeal, and not to seek the court together with the original record or the record
court‘s permission that he be allowed to pose an on appeal, as the case may be.
appeal. (Crisologo v. Daray A.M. No. RTJ-07-2036,
2006) Note: It is the responsibility of the MTC clerk of
court to attach appellant‘s proof of payment to the
How to Appeal original record. Whatever omission or negligence
1. FILE a notice of appeal within 15/30 days from on the part of such clerk of court should not
notice of judgment or final order with the court adversely affect the appellant. (De Leon, Appellate
that rendered it, and SERVE upon the adverse Remedies, 2013, p. 42)
party.
2. PAY the full amount of the appellate court Payment of docket fees within the period to appeal
docket and other legal fees to the clerk of the is MANDATORY for the perfection of an appeal.
court which rendered the judgment or final Without such payment, the appellate court does not
order. (BUT, failure to pay warrants only acquire jurisdiction over the subject matter of the
discretion to dismiss the appeal.) (Rule 40, action and the decision sought to be appealed
Section 3) becomes final and executory. (Alfonso vs. Andres,
G.R. 139611, 2002). The payment of the appellate
NOTICE OF APPEAL should indicate: docket fee is not a mere technicality of law or
1. Parties to the appeal. procedure but an essential requirement for the
2. Date of judgment or final order or part thereof perfection of an appeal (Enriquez vs. Enriquez,
appealed from. G.R. No. 139303, 2005) and without which the
3. Court to which the appeal is being taken; and decision or final order appealed from would become
4. Material dates showing the timeliness of the final and executory as if no appeal was filed at all.
appeal (i.e., when the judgment or final order (Sps. Manalili vs. Sps. De Leon, G.R. No. 140858,
was received, when the motion for 2001)
reconsideration or new trial was filed, and when
denial of the motion for reconsideration or Note: While, in appealed cases, the full payment of
motion for new trial was received). the appellate docket fees within the prescribed
period is mandatory, even jurisdictional, the failure
RECORD ON APPEAL, which is required only in to pay warrants only discretionary as opposed to
a.) Certain kinds of special proceedings; or automatic dismissal of the appeal. (De Leon,
b.) Other cases of multiple or separate appeals, Appellate Remedies, 2013, p. 41)
shall:
1. State the full names of the parties to the GENERAL RULE
proceedings in its caption

127
The court will dismiss the appeal when there is no
full payment of appellate docket fees within the RESIDUAL JURISDICTION of the Court
prescribed period to appeal. Prior to the transmittal of the original record or
EXCEPTIONS which warrant a relaxation of the record on appeal, the court may: (IAPOA)
application of rules on payment of docket fees: 1. Issue orders for the protection and preservation
1. Most persuasive and weighty of the rights of the parties which do not involve
reasons. any matter litigated by the appeal.
2. To relieve a litigant from an 2. Approve compromises.
injustice not commensurate with his/her 3. Permit appeals of indigent litigants.
failure to comply with the prescribed 4. Order execution pending appeal in accordance
procedure. with Sec. 2, Rule 39; and
3. Good faith of the defaulting party 5. Allow withdrawal of the appeal.
by immediately paying within a reasonable
time from the time of default. Note: Reckoning point for the exercise of residual
4. The existence of special or jurisdiction is the transmittal of records to the
compelling circumstances. appellate court.
5. The merits of the case.
6. A cause not entirely attributable Procedure in the Regional Trial Court
to the fault or negligence of the party 1. Upon receipt of the complete record or the
favored by the suspension of the rules. record on appeal, the clerk of court of the RTC
7. A lack of any showing that the shall notify the parties of such fact.
review sought is merely frivolous and 2. Within fifteen (15) days from notice, it shall be
dilatory. the duty of the appellant to submit a
8. The other party will not be MEMORANDUM OF APPEAL to briefly discuss
unjustly prejudiced thereby. the errors imputed to the lower court, and a
9. Fraud, accident, mistake or copy shall be furnished by him/her to the
excusable negligence without appellant‘s adverse party.
fault. 3. Within fifteen (15) days from receipt of the
10. Peculiar legal and equitable appellant‘s memorandum, the appellee may
circumstances attendant to each case. file his/her MEMORANDUM OF APPEAL; and
11. In the name of substantial justice 4. Upon filing of the memorandum of the appellee,
and fair play. OR the expiration of the period to do so, the
12. Importance of the issues case shall be considered SUBMITTED FOR
involved; and DECISION. (Rule 40, Section 7)
13. Exercise of sound discretion by
the judge guided by all the attendant The RTC shall decide the case on the basis of the
circumstances. entire record of the proceedings in the court of
(Villena v. Rupisan, GR No. 167620, 2007) origin and such memoranda as are filed.

IMPORTANT when invoking liberality: Failure of the APELLANT to file a memorandum

The party invoking liberality should adequately shall be a ground for the dismissal of the appeal.
explain his failure to abide by the rules. (Navarro vs. The requirement for the submission of appellant‘s
Metrobank, G.R. No. 138031, 2004) Anyone memorandum is a mandatory and compulsory rule.
seeking an exemption has the burden of proving Non-compliance therewith authorizes the dismissal
that exceptionally meritorious instances exist which of the appeal.
warrant departure from the Rule (RP vs. CA, G.R.
No. 129846, 2000). Where the party has appealed by counsel in the
inferior court, the notice should be sent to his
Duty of the Clerk of Court attorney; BUT if the notice is sent to the party
Within fifteen (15) days from the perfection of the himself/herself and he/she actually received the
appeal, the clerk of court or the branch clerk of same, such notice is valid and binding.
court of the lower court shall transmit the original
record on appeal, together with the transcripts and The notice to be sent to the parties cannot be
exhibits, which he/she shall certify as complete, to downplayed as a mere formality, for it is such notice
the proper RTC. which sets in motion the appellate procedure before
the RTC and the running of the prescriptive period
A copy of his/her letter of transmittal of the records within which the appellant must file his/her appeal
shall be furnished the parties. (Rule 40, Section 6) memorandum. Moreover, the notice must be
categorical enough in stating that the RTC has
Note: Still, it must be emphasized that the already received the records of the case. If there is
reckoning point for the RTC to acquire jurisdiction no such notice or the notice is defective in that it
over the appeal is NOT the receipt of the letter of does not contain a statement that the RTC is
transmittal and of the notice of appealed case, but already in possession of the records of the case,
the timely filing of the notice of appeal in the appellant stands to lose his/her right to seek a
accordance with Sec. 9, Rule 41. (De Leon, judicial review of his/her case. Thus, a notice to the
Appellate Remedies, 2013, p. 44) effect that a case under appeal ―is entered in the

128
Docket Book of the RTC‖ was deemed insufficient 1. APPEAL FROM THE REGIONAL TRIAL
to commence the appeal before the RTC and the COURTS (Rule 41)
running of the 15-day period within which the
appellant must file his appeal memorandum. (De Subject of Appeal
Leon, Appellate Remedies, 2013, p. 45) The right to appeal is not part of due process but a
mere statutory privilege that has to be exercised
The RTC presently decides all appeals from the only in the manner and in accordance with law.
MTC based on the entire record of the
proceedings had in the court of origin and such An appeal may be taken only from judgments or
memoranda or briefs as may be submitted by the final orders that completely dispose of the case.
parties or required by the RTC. As a consequence,
the RTC, in exercising its appellate jurisdiction, is An interlocutory order is NOT appealable until after
not limited to errors assigned in the appeal judgment on the merits has been rendered.
memorandum. Thus, in Macaslang v. Zamora, it
was held that the RTC, as an appellate court, could In those instances where the judgment or final order
rule on the failure of the complaint to state a cause is not appealable because it is interlocutory, the
of action and the lack of demand to vacate even if aggrieved party may file the appropriate special civil
not assigned in the appeal. (De Leon, Appellate action under Rule 65.
Remedies, 2013, p. 49)
Section 1 Rule 41 of the Rules of Court Provides
Appeal from Orders Dismissing Case Without That NO Appeal May be Taken From:
Trial; Lack of Jurisdiction 1. An order denying a petition for relief or any
If an Appeal is Taken from an Order of the Lower similar motion seeking relief from judgment.
Court (i.e., MTC) Dismissing the Case WITHOUT 2. An interlocutory order.
TRIAL on the Merits – The Regional Trial Court 3. An order disallowing or dismissing an appeal.
May 4. An order denying a motion to set aside a
1. If AFFIRMED - and the ground of the dismissal judgment by consent, confession or compromise
is lack of jurisdiction over the subject matter, on the ground of fraud, mistake or duress, or
the Regional Trial Court, if it has jurisdiction, any other ground vitiating consent.
SHALL TRY the case on the merits AS IF the 5. An order of execution.
case was originally filed with it. 6. A judgment or final order for or against one or
2. If REVERSED - the case shall be remanded to more of several parties or in separate claims,
the MTC for further proceedings. counterclaims, cross-claims, and third party
complaints, while the main case is ending,
If the Case WAS TRIED on the Merits by the Lower unless the court allows an appeal therefrom; and
Court (i.e., MTC) Without Jurisdiction over the 7. An order dismissing an action without prejudice.
Subject Matter:
The RTC on appeal shall NOT dismiss the case if it Modes of Appeal
has original jurisdiction thereof, BUT shall decide
the case WITHOUT prejudice to the admission of ORDINARY APPEAL PETITION FOR
amended pleadings and additional evidence in the (Rule 41) REVIEW
interest of justice. (Rule 40, Section 8) (Rule 42)

Applicability of Rule 41 Appeal is not a right but Discretionary

The other provisions of Rule 41 shall apply to a statutory privilege,
appeals provided in this Rule. Thus, the inferior thus, appeal must be
courts also exercise residual jurisdiction in the made strictly in
same manner provided under paragraph 5, Section accordance with the
9 of Rule 41. (Rule 40, Section 9) provision set by law.
(Enriquez vs. Enriquez,
G.R. No. 139303, 2005)
i. APPEAL FROM JUDGMENTS AND
FINAL ORDERS OF THE RTC All the records are No records are elevated
elevated from the court unless the court decrees
Two Modes: of origin. it.
1. RULE 41 – Appeal by Notice of Appeal from
RTC, exercising original jurisdiction, to the CA. Notice and record on Filed with the Court of
2. RULE 42 – Petition for Review from RTC, appeal if required are Appeals.
exercising appellate jurisdiction, to the CA. filed with the court of
origin and payment of
fees

The case was decided The case was decided

by the RTC pursuant to by the RTC pursuant to
its original jurisdiction. its appellate jurisdiction.

129
Period to file is a matter Period to file is a matter 2. If a record on appeal is required, file notice of
of right but is NON- of right and is appeal and record on appeal within thirty (30)
EXTENDIBLE EXTENDIBLE days from notice of the judgment or final order.
3. In HABEAS CORPUS cases, forty-eight (48)
Modes of Appeal from RTC hours from notice of judgment or final order
appealed from.
ORDINARY PETITION FOR APPEAL BY
4. The period shall be interrupted by a timely
APPEAL REVIEW CERTIORARI Motion for New Trial or Motion for
(RULE 41) (RULE 42) (RULE 45)
Reconsideration.
5. No motion for extension of time to file a Motion
Appeal to the Appeal to the Appeal to the for Reconsideration or Motion for New Trial shall
Court of Court of Supreme Court be allowed (same rule as MTC-RTC appeals),
Appeals in Appeals in in all cases except in cases pending with the Supreme
cases decided cases decided decided by the Court. (Rule 41, Section 3)
by the Regional by the Regional Regional Trial
Trial Court in its Trial Court in Court where Period of Ordinary Appeal; Appeal in Habeas
original the exercise of only questions Data Cases (Section 19 of A. M. No. 08-1-16-SC)
jurisdiction its appellate of law are 1. The period of appeal shall be five (5) working
jurisdiction raised or days from the date of notice of the judgment or
involved final order.
2. Appeal shall be made directly to the Supreme
Court under Rule 45 where questions of fact or
By NOTICE OF By PETITION By PETITION
of law or both may be raised.
APPEAL with FOR REVIEW FOR REVIEW
the court which filed with the ON
Period of Ordinary Appeal; Appeal in Writ of
rendered the Court of CERTIORARI
Amparo Cases (Section 19 of A.M. No. 07-9-12-
judgment or Appeals in filed with the
SC)
final order accordance Supreme Court
1. The period of appeal shall be five (5) working
appealed from with Rule 42 in accordance
days from the date of notice of the adverse
(i.e., Regional and serving a with Rule 45
judgment.
Trial Court) and copy thereof and serving a
2. Appeal shall be made directly to the Supreme
serving a copy upon the copy thereof
Court under Rule 45 where questions of fact or
thereof upon adverse party upon the
of law or both may be raised.
the adverse adverse party
party
General Rule: Perfection of appeal within the
reglementary period is jurisdictional.
RECORD OF
APPEAL shall
Exception: When there has been extrinsic
be required
fraud, accident, mistake or excusable
only in:
negligence (FAME), resort to Petition for Relief
1. Special
from Judgment under Rule 38 may be had.
proceedings;
(Habaluyas v. Japson, G.R. No. 70895, 1986)
2. Multiple or
separate
Appellate Court Docket and Other Lawful Fees
appeals where
Within the period for taking an appeal, the
the law or the
appellant shall pay to the Clerk of the Court which
Rules so
rendered the judgment or final order appealed from,
require
the full amount of the appellate court docket and
other lawful fees.
Questions of Questions of Question of law
fact or mixed fact, of law, or only from Proof of payment shall be transmitted to appellate
questions of mixed judgment or court together with the original record or the record
fact and law questions of final order on appeal, as the case may be. (Rule 41, Section 4)
fact and law rendered by
RTC in the Note: Please see notes on General Rule and
exercise of its Exceptions with regard to Payment of Fees under
original Rule 40 in the previous section of this reviewer.
jurisdiction
Notice of Appeal
The notice of appeal must:
Period of Ordinary Appeal; Appeal in Habeas 1. Indicate the parties to the appeal.
Corpus Cases 2. Specify judgment or final order or part thereof
1. Fifteen (15) days from notice of the judgment or appealed from.
final order appealed from. 3. Specify the court to which the appeal is being
taken; and

130
4. State the material dates showing the timeliness the other parties.
of the appeal. (Rule 41, Section 5)
In either case, prior to the transmittal of the original
Record on Appeal record or the record on appeal, the court may issue
The Record on Appeal shall include: orders for the protection and preservation of the
1. Full names of all the parties to the rights of the parties which do not involve any matter
proceedings shall be stated in the caption litigated by the appeal, approve compromises,
2. The judgment or final order from which the permit appeals of indigent litigants, order execution
appeal is taken. pending appeal in accordance with Section 2 of
3. In chronological order, copies of only such Rule 39, and allow withdrawal of the appeal. (Rule
pleadings, petitions, motions and all 41, Section 9)
interlocutory orders as are related to the
appealed judgment or final order for the proper General Rule: A perfected appeal stays the
understanding of the issues involved; and challenged judgment or final order; such judgment
4. Together with such data as will show that or final order cannot yet be the subject of a motion
the appeal was perfected on time (Material for execution.
Data Rule). (Rule 41, Section 6)
Exception: If the Court of Appeals, the law, or the
Approval of Record on Appeal Rules provide otherwise.
Upon filing of the record on appeal for approval
AND if no objection is filed by the appellee within This is NOT applicable to civil cases under the Rule
five (5) days from receipt of the copy thereof the on Summary Procedure which provides that the
trial court (RTC) may: decision of the RTC in civil cases governed by said
1. Approve it as presented; OR Rule, including forcible entry and unlawful detainer
2. Upon its own motion or at the instance of the cases; shall be immediately executory without
appellee, may direct its amendment by the prejudice to a further appeal that may be taken
inclusion of any omitted matters which are therefrom.
deemed essential to the determination of the
issue of law or fact involved in the appeal. (Rule Duty of the Clerk of Court of the Lower Court
41, Section 7) upon Perfection of Appeal
Within thirty (30) days after perfection of all the
If the trial court orders the amendment thereof, the appeals in accordance with the preceding section, it
appellant shall redraft the record by including shall be the duty of the clerk of court of the lower
therein, in their proper chronological sequence, court:
such additional matters as the court may have
directed him/her to incorporate, and shall thereupon a. To verify the correctness of the original
submit the redrafted record for approval, upon record or the record on appeal, as the case
notice to the appellee, in like matter as the original may be, and to make a certification of its
draft. correctness;
b. To verify the completeness of the records
A record on appeal does not have to be set for that will be transmitted to the appellate court;
hearing in the trial court by the appellant, as it is
deemed submitted for approval upon its filing and c. If found to be incomplete, to take such
the rule merely requires the adverse party to file any measures as may be required to complete the
objection thereto within five (5) days. records, availing of the authority that he or the
court may exercise for this purpose; and
Joint Record on Appeal
Can be applied when both parties are appellants. d. To transmit the records to the appellate
(Rule 41, Section 8) court.

Perfection of Appeal; Effect thereof If the efforts to complete the records fail, he shall
Upon the timely filing of a notice of appeal and the indicate in his letter of transmittal the exhibits or
payment of the corresponding docket and other transcripts not included in the records being
lawful fees, the appeal is deemed perfected as to transmitted to the appellate court, the reasons for
the appealing party (appellant). their non-transmittal, and the steps taken or that
could be taken to have them available.
In appeals by notice of appeal, the court loses The clerk of court shall furnish the parties with
jurisdiction over the case upon the perfection of the copies of his letter of transmittal of the records to
appeals filed in due time and the expiration of the the appellate court. (Rule 41, Section 10)
time to appeal of the other parties.
Transcript
Upon perfection of the appeal, the clerk shall
In appeals by record on appeal, the court loses immediately direct stenographers concerned to
jurisdiction only over the subject matter thereof attach to the record of the case:
upon the approval of the records on appeal filed in 1. 5 copies of the transcripts of the testimonial
due time and the expiration of the time to appeal of evidence referred to in the record on appeal.

131
2. Transcription of such testimonial evidence. 3. Furnish the Regional Trial Court and adverse
3. An index containing the names of the party with a copy of the petition. (Rule 42,
witnesses and the pages where their Section 1)
testimonies could be found; and
4. List of exhibits and pages wherein they appear. Rule 41 Rule 42
(Rule 41, Section 11)
Refers to regular Governs appeals from
Transmittal
appeals from the the decision of the
The branch clerk of court of the RTC shall transmit
Regional Trial Court Regional Trial Court in
to the appellate court the original record or the
exercising original the exercise of its
approved record on appeal:
jurisdiction appellate jurisdiction
1. Within 30 days from the perfection of the
(Case originally filed
appeal.
with MTC)
2. With proof of payment of the appellate
court docket and other lawful fees. An appeal on pure Appeals to the Court of
3. A certified true copy of the minutes of the questions of law cannot Appeals from the
proceedings. be taken to the Court of Regional Trial Court
4. An order of approval. Appeals and such under this rule MAY be
5. A certificate of correctness. improper appeal will be made on questions of
6. Original documentary evidence; and dismissed pursuant to fact or of law or on
7. Original and three copies of the transcript. Section 2, Rule 50 of the mixed questions of fact
(Rule 41, Section 12) Rules of Court. and law
Dismissal of Appeal Note: An appeal taken to
PRIOR to the transmittal of the original record or the either the Supreme
record on the appeal to the appellate court, the trial Court or the Court of
court may, motu proprio or on motion, dismiss Appeals by the wrong or
the appeal for having been taken out of time OR for inappropriate mode shall
non-payment of the docket and other lawful fees be dismissed. No
within the reglementary period. (Rule 41, Section transfers of appeals
13) erroneously taken to the
Supreme Court or to the
The period to appeal is mandatory and Court of Appeals to
jurisdictional. whichever of these
Tribunals has
Failure to appeal on time makes the decision final appropriate appellate
and executory and deprives the appellate court of jurisdiction will be
jurisdiction. allowed; continued
ignorance or willful
However, in a few instances, the court has allowed disregard of the law on
due course to such appeals on strong and appeals will not be
compelling reasons of justice. (Note: This is tolerated. (SC Circular 2-
applicable to the Supreme Court only, NOT the trial 90, March 9, 1990)
courts.)

2. PETITION FOR REVIEW FROM THE Form and Contents

REGIONAL TRIAL COURT TO THE COURT File in 3 legible copies, with the original copy
OF APPEALS (Rule 42) intended for the court being indicated as such by
the petitioner. (per Efficient Use of Paper Rule, A.M.
How Appeal Taken Time for Filing No. 11-9-4-SC)
Requisites:
1. File a verified petition for review with the Court The Petition shall contain:
of Appeals within 15 days from notice of the 1. Full names of the parties, without impleading
decision or of the denial of Motion for the lower courts/judges thereof as petitioners or
Reconsideration/Motion for New Trial respondents.
a. The Court of Appeals may grant 2. Specific material dates to show it was filed on
an additional period of 15 days within time.
which to file the petition for review. No 3. A statement of the matters involved, the issues
further extension shall be granted except raised, the specification or errors of fact or law,
for the most compelling reason and in or both, allegedly committed by the Regional
no case to exceed 15 days. Trial Court, and the reasons or arguments
2. Pay docket and lawful fees and deposit relied upon for the allowance of the appeal.
P500.00 to the Clerk of Court of the Court of 4. Clearly legible duplicate originals or true copies
Appeals. of judgments of both lower courts, certified
correct by the RTC Clerk of Court.

132
5. Certificate of non-forum shopping. (Rule 42, of Section 2(d), Rule 42 of the Rules. In his
Section 2) petition before the appellate court, petitioner
attached only plain machine copies of the
The lower courts or judges that rendered the certified photocopies of the assailed decisions of
judgment or final order complained of should not the lower courts. Neither did he submit the
be impleaded as parties. The same prohibition is pleadings and other material portions of the
now provided in petitions for review on certiorari record to support his allegations. (Quintin Lee
under Rule 45, since these are petitions for vs. CA, G.R. No. 165918, 2008)
purposes of appeal and NOT petitions in original
actions. Purpose: To eliminate the causes of judicial
backlog and delay in light of the experience of the
Effect of Failure to Comply With Requirements appellate courts.
The failure of the petitioner to comply with any of
the following requirements shall be sufficient Action on the Petition
ground for the dismissal thereof: The Court of Appeals may:
1. Payment of the docket and other lawful fees. 1. Require the respondent to comment, not file a
2. Deposit for costs. motion to dismiss, within 10 days from notice,
Note: Before the Court of Appeals may grant the or
15-day extension to file a petition for review, 2. Dismiss the petition if it finds it to be:
Sec. 1, Rule 42 of the Rules of Court requires a. Patently without merit;
the payment of the full amount of the docket and b. Prosecuted manifestly for delay; or
other lawful fees and the deposit of the c. Questions raised are too insubstantial to
necessary amount for costs before the require consideration. (Rule 42, Section 4)
expiration of the reglementary period. (Heirs of
Esplana vs. CA, G.R. No. 155758, 2008) Contents of Comment
3. Proof of service of the petition; Requisites of the comment of the respondent:
Note: The service of judgment serves as the 1. File in 3 legible copies (per Efficient Use of
reckoning point to determine whether a decision Paper Rule, A.M. No. 11-9-4-SC).
had been appealed within the reglementary 2. Accompanied by certified true copies of
period or has already become final. (Mindanao material portions of records referred to.
Terminal and Brokerage vs. CA, G.R. No. 3. State whether or not he/she accepts the
163286, 2012); statement of matters involved in the petition.
Note: In Teh vs People, the Court of Appeals 4. Point out insufficiencies/inaccuracies as
correctly dismissed the petition for being he/she believes exist in petitioner‘s statement
insufficient in form, not being accompanied by of matters involved but without repetition; and
duplicate original or certified true copies of the 5. State reasons why petition should not be
documents and material parts of the record that given due course.
would support the allegations. Moreover, there
was no written explanation why service of the A copy of the comment shall be served on the
petition was not done personally. Teh vs. petitioner. (Rule 42, Section 5)
People, G.R. No. 141180, 2005); and
4. Contents of and the documents which should Due course
accompany the petition. (Rule 42, Section 3) If the Court of Appeals finds prima facie that the
Note: It is petitioner who knows best what lower court (RTC) committed an error of fact or
pleadings or material portions of the record of law that will warrant a reversal or modification of
the case would support the allegations in the the decision, it may give due course to the
petition. Petitioner‘s discretion in choosing the petition. (Rule 42, Section 6)
documents to be attached to the petition is
however not unbridled. The CA has the duty to Petition for review is not a matter of right but
check the exercise of this discretion, to see to it discretionary on the Court of Appeals. It may only
that the submission of supporting documents is give due course to the petition if it shows on its face
not merely perfunctory. The practical aspect of that the lower court has committed an error of fact
this duty is to enable the CA to determine at the and/or law that will warrant reversal or modification
earliest possible time the existence of prima of the decision or judgment sought to be reviewed.
facie merit in the petition. Moreover, Section 3 of
Rule 42 of the Rules of Court provides that if Elevation of Record
petitioner fails to comply with the submission of Whenever the Court of Appeals deems it
"documents which should accompany the necessary, it may require the RTC to elevate the
petition," it "shall be sufficient ground for the original records of the case within 15 days. (Rule
dismissal thereof." (Canton vs. City of Cebu, 42, Section 7)
G.R. No. 152898, 2007)
Note: In Quintin Lee vs. CA, the Court of Records remain with the trial court because it MAY
Appeals correctly dismissed petitioner's appeal still issue a writ of execution pending appeal and
not only because he purportedly employed the also because in some cases (e.g., ejectment and
wrong mode of appeal. It likewise found that those of Summary Procedure), the judgments are
petitioner failed to comply with the requirements immediately executory.

133
A REJOINDER (to the reply) is no longer required Being a summation of the parties‘ previous
under AM No. 99-2-04-SC (15 March 1999). pleadings, the Memoranda alone may be
considered by the CA in deciding or resolving the
Upon the Filing of the Reply, the Court Shall petition.
Resolve Either to:
1. Give due course to the petition; and The case shall be deemed submitted for decision
a) Consider the case submitted for decision upon the filing of the last pleading or memorandum
based on the pleadings; or required by these Rules or by the CA itself.
b) Require the parties to submit their respective
memoranda; or j. APPEAL FROM JUDGMENTS AND
2. Deny or dismiss the petition. FINAL ORDERS OF THE COURT OF
APPEALS
Perfection of Appeal; Effect thereof
The appeal is deemed perfected as to the Judgments, final orders or resolution of the Court of
petitioner upon the timely: Appeals can be raised on appeal to the Supreme
1. Filing of the petition for review; and Court via Appeal by Certiorari under Rule 45 on
2. Payment of docket and lawful fees. pure questions of law.
(Rule 42, Section 8)
Appeal by Certiorari under Rule 45
The RTC loses jurisdiction over the case upon: A party desiring to appeal by certiorari from a
1. The perfection of the appeals; and judgment, final order or resolution of the following
2. The expiration of the time to appeal of courts may file with the Supreme Court a verified
the other parties. petition for review on certiorari:
1. Court of Appeals.
However, before the Court of Appeals gives 2. Sandiganbayan.
due course to the petition, the Regional Trial 3. Regional Trial Court.
Court MAY still exercise residual powers (IAPOA): 4. Court of Tax Appeals (en banc).
1. Issue orders for the protection and 5. Other courts, whenever authorized by law
preservation of the rights of the parties
which do not involve any matter litigated The petition may include an application for a writ of
by the appeal. preliminary injunction or other provisional remedies
2. Approve compromises. and shall raise only questions of law which must
3. Permit appeals of indigent litigants. be distinctly set forth.
4. Order execution pending appeal in
accordance with Sec. 2 of Rule 39; and The petitioner may seek the same provisional
5. Allow withdrawal of the appeal. remedies by verified motion filed in the same
action or proceeding at any time during its
General Rule: A perfected appeal stays the pendency. (As amended by A.M. No. 07-7-12 SC,
challenged judgment or final order. Dec. 12, 2007)
Exception: If the Court of Appeals, the law, or The appeal under this Rule contemplates that the
the Rules provide otherwise. RTC rendered the judgment or final order or
resolution acting in its original jurisdiction.
This is NOT applicable to civil cases under the Rule
on Summary Procedure, which provides that the If the RTC rendered the same in the exercise of its
decision of the RTC in civil cases governed by said appellate jurisdiction, the remedy is to file a
Rule, including forcible entry and unlawful detainer Petition for Review either under Rules 42 or 43.
cases. It shall be immediately executory without The appeal shall be taken to the Court of Appeals
prejudice to a further appeal that may be taken even if only questions of law are raised by the
therefrom. petitioner.
Submission for Decision Although the term used in the second mode is
If the petition is given due course, the Court of ―Petition for Review,‖ just like in appeals from the
Appeals (CA) may: quasi-judicial agencies under Rule 43, it should not
1. Set the case for oral argument. and/or be confused with the ―Petition for Review on
2. Require the parties to submit memoranda Certiorari‖ under the third mode, which is a distinct
within a period of 15 days from notice. (Rule 42, procedure under Rule 45.
Section 9)
Nor should the use of the word ―Certiorari‖ in the
No new issues may be raised by a party in the latter be mistaken for the special civil action for
Memorandum. Certiorari in Rule 65, which is not a mode of appeal
but is an original action.
Issues raised by a party in previous pleadings but
not included in the Memorandum shall be deemed Certiorari as a Mode of Appeal (Rule 45) v.
waived or abandoned. Certiorari as an Original Special Civil Action

134
(Rule 65) The appellate court is in The higher court
the exercise of its exercises original
APPEAL BY CERTIORARI AS AN appellate jurisdiction and jurisdiction under its
CERTIORARI ORIGINAL ACTION power of review power of control and
(RULE 45) (RULE 65) supervision over the
proceeding of lower
Petition based on Petition raises the issue courts
questions of law only as to whether the lower The Supreme Court, in accordance with the liberal
which the appellant court acted without or in spirit pervading the Rules of Court and in the
desires the appellate excess of jurisdiction or interest of justice, may decide to treat a petition for
court to resolve with grave abuse of certiorari as having been filed under Rule 45,
discretion especially if it is filed within the reglementary
Involves review of the May be directed against period of the same. (Delsan v. CA G.R. 112288,
judgment, award or final an interlocutory order of 1997);
order on the merits the court prior to appeal
from the judgment or In the case of Cirtek, respondent indeed availed of
where there is no appeal the wrong remedy of certiorari under Rule 65. Due,
or any other plain, however, to the nature of the case, one involving
speedy or adequate workers‘ wages and benefits, and the fact that
remedy whether the petition was filed under Rule 65 or
appeal by certiorari under Rule 45 it was filed within
Must be made within the May be filed not later 15 days (the reglementary period under Rule 45)
reglementary period for than 60 days from notice from petitioner‘s receipt of the resolution of the
appeal of the judgment, order or Court of Appeals‘ Resolution denying its motion for
resolution sought to be reconsideration, the Court resolved to give it due
assailed, or 60 days course. As Almelor v. RTC of Las Piñas, et al.
from receipt of denial of restates: Generally, an appeal taken either to the
a motion for Supreme Court or the CA by the wrong or
reconsideration. Note inappropriate mode shall be dismissed. This is to
that, as a general rule, prevent the party from benefiting from one‘s neglect
before a party can file a and mistakes. However, like most rules, it carries
petition for certiorari certain exceptions. After all, the ultimate purpose of
under Rule 65, he/she all rules of procedures is to achieve substantial
must first file a motion justice as expeditiously as possible. (Cirtek
for reconsideration with Employees Labor Union vs. Cirtek Electronics, Inc.,
the lower court) G.R. No. 190515, 2011)

Stays the judgment, Does not stay the The Supreme Court cannot tolerate the practice of
award or order appealed challenged proceeding categorizing a petition to be ―both under Rule 65
from unless a writ of and Rule 45, Rules of Court,‖ as the petition cannot
preliminary injunction or be subsumed simultaneously under Rule 45 and
a temporary restraining Rule 65, and neither may petitioners delegate upon
order shall have been the court the task of determining under which rule
issued by the higher the petition should fall. Under Circular 2-90, wrong
court or inappropriate mode of appeal, merits an outright
dismissal. (Ybaňez v. CA, G.R. No. 117499, 1996)
The petitioner and The parties are the
respondent are the aggrieved party A special civil action for certiorari under Rule 65 lies
original parties to the (petitioner) against the only when there is no appeal or any plain, speedy
action, and the lower lower court or quasi- and adequate remedy in the ordinary course of law.
court or quasi-judicial judicial agency (public Thus, certiorari cannot be allowed when a party to a
agency is not to be respondent) and the case fails to appeal a judgment despite the
impleaded prevailing party in the availability of that remedy. Certiorari is not a
lower court (private substitute for a lost appeal. (Indoyon vs. CA, G.R.
respondent) No. 193706, 2013) (N.B.: In this case, the Petition
for Certiorari under Rule 65 was filed 35 days after
The prior filing of a A motion for notice of resolution, by which time petitioner had
motion for reconsideration is, as a therefore lost his appeal under Rule 45.)
reconsideration is not general rule, a condition
required precedent. The purpose There are cases when certiorari may be allowed
is to give the lower court despite the availability of appeal, such as: ―(a) when
an opportunity to correct public welfare and the advancement of public policy
itself dictates; (b) when the broader interest of justice so
requires; (c) when the writs issued are null and void;
and (d) when the questioned order amounts to an

135
oppressive exercise of judicial authority. (Vda. de (i) When the findings of fact are
Mendez vs. CA, G.R. No. 174937, 2012) conclusions without citation of the specific
evidence on which they are based; and
The remedies of appeal and certiorari are mutually
exclusive and not alternative or successive.
(h) When the findings of fact of the Court
of Appeals are premised on the absence of
Although it is true that the SC may treat a petition
evidence but such findings are contradicted
for certiorari (under Rule 65) as having been filed
by the evidence on record. (Local Superior
under Rule 45 to serve the higher interest of justice,
vs. Jody King, G.R. No. 141715, 2005)
it cannot be availed of when the petition is filed well
beyond the reglementary period for filing a petition
Time for filing; exceptions; extension
for review (under Rule 45) and without offering any
General Rule: The petition shall be filed within 15
reason therefor. (Banco Filipino v. CA, G.R. No.
days from the notice of the judgment appealed
132703, 2000)
from, or of the denial of the petitioner‘s motion for
new trial or reconsideration filed in due time after
To be sure, the distinctions between Rules 45 and
notice of the judgment.
65 are far and wide. However, the most apparent is
Exceptions:
that errors of jurisdiction are best reviewed in a
1. Writ of Amparo – 5 working days
special civil action for certiorari under Rule 65, while
2. Writ of Habeas Data – 5 working
errors of judgment can only be corrected by appeal
days
in a petition for review under Rule 45. This Court,
however, in accordance with the liberal spirit which
Within the fifteen (15) day period, the petitioner
pervades the Rules of Court and in the interest of
may, for good cause, file a motion for extension
justice may treat a petition for certiorari as having
of time to file his/her petition for review on
been filed under Rule 45, more so if the same was
certiorari. The petitioner must submit the requisite
filed within the reglementary period for filing a
proof of service of such motion on the respondents,
petition for review. (Nuñez v. GSIS Family Bank,
pay the docket and other lawful fees in full, as well
G.R. No. 163988, 2005)
as deposit the costs of suit.
General Rule: Only QUESTIONS OF LAW may be
The Supreme Court may, for justifiable reasons,
raised in a petition for review under Rule 45 of the
grant an extension of 30 days within which to file
Rules of Court.
the petition, provided the following requisites
Exceptions: QUESTIONS OF LAW AND FACT
concur:
may be determined.
Exceptions under the SC Circulars: 1. A motion duly filed and served (within the
original 15-day period); and
1. Appeals from Habeas Data cases
2. Full payment of the docket and other lawful
2. Appeals from Amparo cases
fees and the deposit for costs (within the
3. Appeals from Kalikasan cases
original 15-day period). (Rule 45, Section
Exceptions under Jurisprudence:
2)
(a) When the factual findings of the Court
of Appeals and the trial court are Docket and other lawful fees; proof of service of
contradictory; the petition
(b) When the conclusion is a finding Unless he/she has theretofore done so, the
grounded entirely on speculation, surmises, petitioner shall pay the corresponding docket and
or conjectures; other lawful fees to the clerk of court of the
(c) When the inference made by the Court Supreme Court and deposit the amount of P500.00
of Appeals from its findings of fact is for costs at the time of the filing of the petition. (Rule
manifestly mistaken, absurd, or impossible; 45, Section 3)
(d) when there is a grave abuse of
discretion in the appreciation of facts; The phrase ―unless he has theretofore done so‖
(e) when the Appellate Court, in making refers to the situation in the next preceding section
its findings, went beyond the issues of the wherein a motion for extension of time to file the
case and such findings are contrary to the petition for review was filed, in which case the
admissions of both appellant and appellee; petitioner had already paid the docket and other
lawful fees and made the deposit for costs as
(f) When the judgment of the Court of requisites therefore.
Appeals is premised on a misapprehension
of facts;
Although a copy of the petition is served upon the
(g) When the Court of Appeals failed to lower court concerned, it is only for the purpose of
notice certain relevant facts which, if giving notice that its judgment should not be
properly considered, would justify a entered since it is not yet executory because of the
different conclusion; pending petition for review thereof. The lower
(h) When the findings of fact are court does not become a party to the case since
themselves conflicting; Rule 45 provides a mode of appeal.

136
Proof of service of a copy thereof on the lower court 2. Deposit for costs.
concerned AND on the adverse party shall be 3. Proof of service of the petition; and
submitted together with the petition. 4. Contents of and the documents which should
accompany the petition.
Contents of petition
File in 11 copies for the Supreme Court en banc The Supreme Court may, on its own initiative, deny
and 5 copies for the SC division (per Efficient Use the petition on the following grounds:
of Paper Rule, A.M. No. 11-9-4-SC), with the 1. The appeal is without merit.
original intended for the court being indicated as 2. It is prosecuted manifestly for delay; or
such by the petitioner. 3. The questions raised therein are too
unsubstantial to require consideration. (Rule
The Verified Petition shall contain: 45, Section 5)
1. Full names of the appealing party as the
petitioner and the adverse party as respondent, Review discretionary
without impleading the lower courts/judges A review is not a matter of right, but of sound
thereof either as petitioners or respondents. judicial discretion and will be granted only when
2. Material dates showing: there are special and important reasons thereof.
a. When notice of the judgment or (Rule 45, Section 6)
final order or resolution subject thereof
was received. The following, while neither controlling nor fully
b. When a motion for new trial or measuring the court‘s discretion, indicate the
reconsideration, if any, was filed; and character of the reasons which will be considered:
c. When notice of the denial thereof 1. When the court a quo (the court ―from which‖)
was received. has decided a question of substance, not
3. A statement of the matters involved and the theretofore determined by the Supreme Court,
reasons or arguments relied on for the or has decided it in a way probably not in
allowance of the petition. accord with law or with the applicable decision
4. Clearly legible duplicate original, or a certified of the Supreme Court; or
true copy of the judgment or final order or 2. When the court a quo has so far departed from
resolution certified by the clerk of court of the the accepted and usual course of judicial
court a quo and the requisite number of plain proceedings, or so far sanctioned such
copies thereof, and such material portions of departure by a lower court, as to call for an
the record as would support the petition. exercise of the power of supervision.
5. Certificate of non-forum shopping. (Rule 45,
Section 4) Pleadings and documents that may be required;
sanctions
Rule 45, Section 4 of the Rules of Court indeed For the purposes of determining whether the
requires the attachment to the petition for review on petition should be dismissed or denied pursuant to
certiorari ―such material portions of the record as Section 5 of this rule, or where the petition is given
would support the petition.‖ However, such a due course under Section 8 hereof, the Supreme
requirement was not meant to be an ironclad rule Court may:
such that the failure to follow the same would merit 1. Require or allow the filing of pleadings,
the outright dismissal of the petition. In accordance briefs, memoranda or documents as it may
with Section 7 of Rule 45, ―the Supreme Court may deem necessary within such periods ad
require or allow the filing of such pleadings, briefs, under such conditions as it may consider
memoranda or documents as it may deem appropriate.
necessary within such periods and under such 2. Impose sanctions in the following cases:
conditions as it may consider appropriate.‖ More a. Non-filing of such pleadings or
importantly, Section 8 of Rule 45 declares that ―if documents.
the petition is given due course, the Supreme Court b. Unauthorized filing of such
may require the elevation of the complete record of pleadings or documents; or
the case or specified parts thereof within fifteen (15) c. Non-compliance with the
days from notice.‖ This pronouncement is likewise conditions therefor. (Rule 45,
in keeping with the doctrine that procedural rules Section 7)
should be liberally construed in order to promote
their objective and assist the parties in obtaining Due course; elevation of records
just, speedy, and inexpensive determination of If the petition is given due course, the Supreme
every action or proceeding. (F.A.T. Kee Computer Court may require the elevation of the complete
Systems, Inc. v. Online Networks International, Inc., record of the case or parts thereof within 15 days
G.R. No. 171238, 2011) from notice. (Rule 45, Section 8)

Dismissal or denial of petition Rule applicable to both civil and criminal cases
The failure of the petitioner to comply with any of The mode of appeal prescribed in this Rule shall be
the following requirements shall be sufficient applicable to both civil and criminal cases, except
ground for the dismissal thereof: in criminal cases where the penalty imposed is:
1. Payment of the docket and other lawful fees. 1. Death.

137
 2. Reclusion perpetua; or SPECIAL RULES when appealing from
3. Life imprisonment. (Rule 45, Section 9) judgments and final orders of CSC, DOJ, NLRC,
Office of the Ombudsman, and Secretary of
If only to ensure utmost circumspection before the Labor
penalty of death, reclusion perpetua or life Judgment or Final Orders REMEDY
imprisonment is imposed, the Court now deems it of:
wise and compelling to provide in these cases a
review by the Court of Appeals before the case CIVIL SERVICE General Rule:
is elevated to the Supreme Court. If the Court of COMMISSION (CSC) Rule 43 with the CA
Appeals should affirm the penalty of death,
reclusion perpetua or life imprisonment, it could Note: The petitioner‘s
then render judgment imposing the corresponding failure to state the
penalty as the circumstances so warrant, refrain date of receipt of the
from entering the judgment and elevate the entire copy of the October
records of the case to the SC for its final disposition. 10, 2011 CSC
(People v. Mateo, G.R. Nos. 147678-87, 2004) decision is not fatal to
her case since the
k. APPEAL FROM JUDGMENTS AND dates are evident
FINAL ORDERS OF THE COURT OF TAX from the records.
APPEALS Besides, we have
ruled that the more
A party adversely affected by a resolution of a important material
Division of the Court of Tax Appeals on a motion date which must be
for reconsideration or new trial may file a petition for duly alleged in the
review with the Court of Tax Appeals en banc. petition is the date of
receipt of the
A party adversely affected by a decision or ruling of resolution of denial of
the Court of Tax Appeals en banc may file with the motion for
the Supreme Court a verified petition for review on reconsideration,
certiorari pursuant to Rule 45. which the petitioner
has duly complied
l. REVIEW OF FINAL JUDGMENTS OR with. As to the failure
FINAL ORDERS OF THE COMELEC EN to state the notary
BANC public‘s office
address, the omission
A judgment, resolution or final order of the was rectified with the
Commission on Elections may be brought by the attachment in the
aggrieved party to the Supreme Court on certiorari motion for
under Rule 64. reconsideration of the
verification and
certification of non-
m. REVIEW OF FINAL JUDGMENTS OR forum shopping and
FINAL ORDERS OF THE OMBDUSMAN
of the affidavit of
service, with the
The Court of Appeals, under Rule 43, has
notary public‘s office
jurisdiction over orders, directives and decisions of address. (Barra vs.
the Office of the Ombudsman in administrative CSC, G.R. No.
cases only. It cannot therefore review orders, 205250, 2013)
directives or decisions of the Office of the
Ombudsman in criminal and non-administrative Exceptions:
cases. For criminal cases, the ruling of the
Rule 65 with the CA
Ombudsman should be elevated to the Supreme
Court by way of Rule 65. (Indoyon vs. CA, G.R. No. (a) When public
193706, 2013); (Tirol vs. Sandiganbayan, G. R. No. welfare and the
135913, 1999); (Fabian vs. Desierto, G.R. No. advancement of
129742, 1998) public policy
dictates;
n. REVIEW OF FINAL JUDGMENTS OR (b) When the
broader interest
FINAL ORDERS OF THE NLRC
of justice so
requires;
Judgments and final orders or resolutions of the
National Labor Relations Commission are now (c) When the
reviewable in the first instance, by the Court of writs issued are
Appeals on certiorari under Rule 65. (St. Martin null and void; or
Funeral Home v. NLRC, G.R. No. 130866, 1998) (d) When the
questioned order

138
amounts to an DEPARTMENT OF
oppressive JUSTICE (DOJ)
exercise of
judicial authority. Decisions/orders/
(DepEd vs. resolutions of the Secretary
Cunanan, G.R. of Justice on preliminary
No. 169013, investigations involving an
2008) offense punishable by: • Appeal to
OP, then Rule 43
• Reclusion with the CA
perpetua to death

• Less than
• Rule 65 with
the CA (Elma vs.
reclusion perpetua to
Jacobi, G.R. No.
death
155996, 2012)

NATIONAL LABOR MR with the NLRC,

RELATIONS then Rule 65 with the
COMMISSION (NLRC) CA. (St. Martin
Funeral Home v.
NLRC, G.R. No.
130866, 1998)

OFFICE OF THE
OMBUDSMAN

• Administrative General Rule:

disciplinary cases Rule 43 with the CA

Exception:
Rule 65 with the CA if
determination of
probable cause is
tainted with grave
abuse of discretion.
(Fabian vs. Desierto,
• Criminal cases G.R. No. 129742,
1998)

Rule 65 with the SC.

(Tirol vs.
Sandiganbayan, G. R.
No. 135913, 1999)

SECRETARY OF LABOR MR with the Secretary

(even if acting as voluntary of Labor, then Rule 65
arbitrator) with the CA.
(Philtranco v.
Philtranco Workers
Union, G.R. No.
180962 , 2014)

RTC as a Commercial Rule 43 with the CA

Court (China Banking Corp.
(formerly SEC) vs. Cebu Printing,
G.R. No. 172880,
2010)

o. REVIEW OF FINAL JUDGMENTS OR

FINAL ORDERS OF QUASI-JUDICIAL
AGENCIES (Rule 43)

139
Rule 43 shall apply to: r. Philippine Atomic Energy
1. Appeals from judgments or final orders of Commission.
the Court of Tax Appeals s. Board of Investments.
t. Construction Industry Arbitration
2. Appeals from awards, judgments, final Commission; and
orders, resolutions of or authorized by any u. Voluntary arbitrators authorized
quasi-judicial agency in the exercise of by law.
its quasi-judicial functions:
a. Civil Service Commission (see Note: The decision or award of the voluntary
Special Rules above) arbitrator or panel of arbitrators should likewise be
b. Central Board of Assessment appealable to the Court of Appeals, in line with the
Appeals. procedure outlines in Revised Administrative
c. Securities and Exchange Circular No. 1-95 (now embodied in Rule 43 of the
Commission. 1997 Rules of Civil Procedure), just like those of the
d. Office of the President. quasi-judicial agencies, boards and commissions
enumerated therein, and consistent with the original
Note: The parties may file a motion for purpose to provide a uniform procedure for the
reconsideration of the order, ruling, or decision of appellate review of adjudications of all quasi-judicial
the OP. Since the OP is essentially an entities. On some occasions, rules of procedure
administrative agency exercising quasi-judicial may be relaxed and on that basis the Court of
functions, its decisions or resolutions may be Appeals could have treated the petition for certiorari
appealed to the CA through a petition for review as a petition for review under Rule 43. (N.B.: In this
under Rule 43 of the Rules of Court. Rule 65 bars case, the petition was filed beyond the reglementary
its use as a mode of review when an appeal or any period for filing a petition for review under Rule 43.)
other remedy at law is available (subject to It is elementary in remedial law that the use of an
exceptions). It is absolutely incorrect to claim that erroneous mode of appeal is a cause for dismissal
Rule 43 does not allow an immediate remedy if that of the petition for certiorari and it has been
had been the result desired. Section 12 of Rule 43 repeatedly stressed that a petition for certiorari is
expressly allows the CA to order a stay of execution not a substitute for a lost appeal. (Samahan ng mga
upon such terms as are just. Separately from Manggagawa sa Hyatt vs. Bacungan, G.R. No.
Section 12, Rule 43 is Rule 58 on injunction as a 149050, 2009)
provisional remedy that could have been used, with
proper supporting justification, to stay the The enumeration of quasi-judicial agencies is NOT
implementation of the OP decision. (Philippine exclusive.
Basketball Association vs. Gaite, G.R. No. 170312,
2009) The Office of the Prosecutor is NOT a quasi-
judicial body and its action approving the filing of an
e. Land Registration Authority. information is not appealable to the Court of
f. Social Security Commission. Appeals under Rule 43.
g. Civil Aeronautics Board.
h. Bureau of Patents. An ERROR OF JUDGMENT is one which the court
i. Trademarks and Technology may commit in the exercise of its jurisdiction, and
Transfer. which error is reviewable only by an appeal (Rule
j. National Electrification 43/42). (Fortich v. Corona G.R. No. 131457, 1998)
Administration. It may be an error in appreciation of facts or
k. Energy Regulatory Board. interpretation of law.
l. National Telecommunications
Commission. An ERROR OF JURISDICTION is one where the
m. Dept. of Agrarian Reform under act complained of was issued by the court, officer or
R.A. No. 6657. a quasi-judicial body without or in excess of
jurisdiction, or with grave abuse of discretion which
Note: Sec. 1 of Rule XIV of the DARAB Revised is tantamount to lack or in excess of jurisdiction.
Rules of Procedure dwells on how appeals to This error is correctable only by the extraordinary
the DARAB Board from the decisions, resolutions or writ of certiorari (Rule 65). (Fortich v. Corona, G.R.
final orders of the Adjudicator are to be taken. How No. 131457, 1998)
petitioners could have been misled to file their
appeal from the DARAB‘s Decision to the Court of Appeals from awards, judgments, final orders or
Appeals via certiorari escapes comprehension. (Po resolutions of any quasi-judicial agency exercising
vs. Mutia, G.R. No. 173329, 2009) quasi-judicial functions, including the Office of the
President, may be taken to the Court of Appeals by
n. Government Service Insurance filing a verified petition for review within 15 days
System. from notice of the said judgment, final order or
o. Employees Compensation resolution, whether the appeal involves questions of
Commission. fact, of law, or mixed questions of fact and law.
p. Agricultural Invention Board.
q. Insurance Commission.

140
General Rule: Note: Rule 43, Section 4 specifically allows only
Cases not covered one motion for reconsideration to an appealing
This Rule shall not apply to judgments or final party; as such, the reckoning of the fifteen (15)-day
orders issued under the Labor Code of the period to perfect the appeal starts from the receipt
Philippines. (Rule 43, Section 2) of the resolution denying the motion for
Exception: reconsideration. (Yinlu Bicol Mining Corporation v.
Judgments and final orders or resolutions of the Trans-Asia Oil and Energy Development
National Labor Relations Commission are now Corporation, G.R. No. 207942, 2015)
reviewable in the first instance, by the Court of
Appeals on certiorari under Rule 65, but those of Upon proper motion and the payment of the full
the Employees Compensation Commission should amount of the docket fee before the expiration of
be brought to the CA through a petition for review the reglementary period, the Court of Appeals may
under this Rule. (St. Martin Funeral Homes v. grant an additional period of fifteen (15) days
NLRC, G.R. No. 130866, 1998) only within which to file the petition for review.

Special rules of procedure have also been adopted No further extension shall be granted except for the
for cases formerly within the jurisdiction and most compelling reason and in no case to exceed
adjudicatory processes of the Securities and 15 days.
th
Exchange Commission. (See Regalado 10 ed. P.
573) The Supreme Court issued A.M. No. 04-9-07- How appeal taken
SC as a clarification on the proper mode of appeal REQUISITES:
of cases which were formerly under the jurisdiction 1. A verified petition for review:
of the Securities and Exchange Commission, such a. File with the Court of Appeals in
as those cases involving corporate rehabilitation. seven 3 legible copies (per
Now, there is no more need to file a notice of Efficient Use of Paper Rule, A.M.
appeal and record on appeal. An appeal may now No. 11-9-4-SC).
be perfected by filing a petition for review within b. Attach proof of service of a copy
fifteen (15) days from notice of the decision or final thereof on the adverse party and
order of the trial court, directly to the CA under Rule on the court or agency a quo.
43 of the Rules of Court. (China Banking Corp. vs. 2. Pay to the Clerk of Court of the Court of
Cebu Printing, G.R. No. 172880, 2010) Appeals the docket and other lawful fees
and deposit P500.00 for costs.
Where to appeal a. Exemption from payment of
An appeal under this Rule may be taken to the docket and lawful fees may be
Court of Appeals within the period and in the granted by the Court of Appeals
manner herein provided, whether the appeal upon a verified motion setting
involves questions of fact, of law, or mixed forth the valid grounds therefor.
questions of fact and law. (Rule 43, Section 3) b. If the Court of Appeals denies the
motion, petitioner shall pay the
This is another instance where an appellate review docket and other lawful fees
solely on a question of law may be brought to the within 15 days from notice of
Court of Appeals instead of the Supreme Court. denial. (Rule 43, Section 5)
The same procedure obtains in appeals from the
Regional Trial Court where it decided the case in Regional Trial Court as Quasi-Judicial
the exercise of its appellate jurisdiction as regulated Appellate Court Agencies
by Rule 42. (Rule 42) (Rule 43)
The two (2) EXCEPTIONS to the general rule that
Decision is stayed by an Decision is immediately
appeals on pure questions of law are brought to the appeal executory, not stayed by
Supreme Court (Section 5[2][e], Art VIII) are Rules an appeal
42 and 43.
Factual findings not Factual findings are
Period of appeal conclusive upon the conclusive upon the
Within 15 days from: Court of Appeals Court of appeals if
Notice of the award, judgment, final order or supported by substantial
resolution; or evidence
Date of last publication, if publication is required by
law for its effectivity; or
Denial of petitioner‘s Motion for New Trial or Motion Contents of the petition
for Reconsideration duly filed in accordance The petition for review shall contain:
with the governing law of the court or agency a 1. Full names of the parties, without
quo. (Rule 43, Section 4) impleading the court/agencies either as
petitioners or respondents.
Only ONE (1) MR shall be allowed. 2. Concise statement of the facts and
issues involved and the grounds relied
upon for review.

141
 3. Clearly legible duplicate original or a The appellate court may also require the filing of a
certified true copy of the award, judgment, reply, but further submissions are governed by the
final order or resolution appealed from, resolution in A.M. No. 99-2-04.
together with:
4. Certified true copies of such material The appeal shall not stay the award, final order, or
portions of the record referred to therein. resolution sought to be reviewed UNLESS the Court
5. Other supporting papers; of Appeals shall direct otherwise upon such terms
6. Certificate of non-forum shopping. as it may deem just.
7. Material dates to show it was filed
within the period fixed therein. (Rule 43, Due course
Section 6) If from the records the Court of Appeals finds
prima facie that the court or agency committed
Sec. 6 of Rule 43 does not require that all of the errors of fact or law that would warrant a reversal
supporting papers or annexes accompanying the or modification of the decision sought to be
petition should be certified true copies or duplicate reviewed, it may give due course to the petition.
originals. What is mandatory is to attach the Otherwise, it shall dismiss the same.
clearly legible duplicate originals or certified true
copies of the judgment or final orders of the lower The findings of fact of the court or agency
courts. (Jaro v. CA, G.R. No. 127536, 2002) concerned, when supported by substantial
evidence, shall be binding on the Court of
Effect of failure to comply with requirements Appeals. (Rule 43, Section 10)
Failure of petitioner to comply with any of the
following requirements shall be sufficient ground Transmittal of record
for the dismissal thereof: Within 15 days from notice that the petition has
1. Payment of the docket and other lawful been given due course, the Court of Appeals may
fees. require the court or agency concerned to transmit
2. Deposit for costs. the record of the proceeding under review.
3. Proof of service of the petition; and
4. Contents of and the documents which The record to be transmitted may be abridged by
should accompany the petition. (Rule 43, the agreement of all parties to the proceeding.
Section 7)
The Court of Appeals may require or permit the
Action on the petition subsequent correction of or addition to the record.
The Court of Appeals may: (Rule 43, Section 11)
1. Require the respondent to file a
comment on the petition, not a motion to Effect of appeal
dismiss, within 10 days from notice; or General Rule: The appeal shall not stay the
2. Dismiss the petition if it finds it to be: award, final order, or resolution sought to be
a. Patently without merit. reviewed
b. Prosecuted manifestly for delay; Exception: When the Court of Appeals shall direct
or otherwise upon such terms as it may deem just.
c. The questions raised therein are (Rule 43, Section 12)
too unsubstantial to require
consideration. (Rule 43, Section Submission for decision
8) If the petition is given due course, the Court of
Appeals may:
Contents of comment Set the case for oral argument; and/or
Requisites of the comment of the respondent: Require the parties to submit memoranda within 15
1. File in 3 legible copies (per Efficient days from notice.
Use of Paper Rule, A.M. No. 11-9-4-SC).
2. Accompanied by clearly legible certified The case shall be deemed submitted for decision
true copies of such material portions of the upon the filing of the last pleading or memorandum
record referred to therein together with the required by these Rules or by the Court of Appeals.
supporting papers. (Rule 43, Section 13)
3. Point out insufficiencies or inaccuracies
in petitioner‘s statement of facts and 3. RELIEF FROM JUDGMENTS OR
issues. FINAL ORDERS AND RESOLUTIONS
4. State the reasons why the petition
should be denied or dismissed; and (Rule 38)
5. File within 10 days from notice. (Rule
43, Section 9) a. GROUNDS FOR AVAILING THE REMEDY
A Petition for Relief may be filed based on the
A copy thereof shall be served on the petitioner and following grounds:
proof of such service shall be filed with the Court of 1. When a judgment or final order is
Appeals. entered into, or any other proceeding is
thereafter taken against the petitioner in

142
 any court through fraud, accident, mistake proceedings.
or inexcusable negligence; or
2. When the petitioner has been prevented Grounds: Grounds:
from taking an appeal by fraud, accident, FAME; and FAME
mistake or inexcusable negligence. Newly discovered
evidence.
Who May File
Petition for Relief from judgment is a remedy Filed within the time to Filed within 60 days from
available ONLY to those PARTIES in the case. appeal. knowledge of the
judgment and within 6
This relief is only allowed in exceptional cases when months from entry of
there is NO OTHER AVAILABLE ADEQUATE judgment.
REMEDY. Thus, when a party has other available
remedies and he/she was not prevented by fraud, If denied, the order of If denied, the order of
accident, mistake or excusable negligence from denial is not appealable. denial is not appealable.
filing such motion or taking such appeal, such party The remedy is to appeal The remedy is a special
CANNOT avail of this remedy. from the judgment. civil action under Rule
65.
A party who has filed a motion for new trial but
which was denied, CANNOT file a petition for relief. Legal remedy Equitable remedy
These two remedies are to be EXCLUSIVE of each
other. The remedy is to appeal from the judgment. Motion need not be Petition must be verified.
(Francisco v. Puno, 108 SCRA 427, G.R. No. L- verified.
55694, 1981)
MODES OF ATTACKING FINAL AND
Note: ―any other proceeding taken thereafter‖ may EXECUTORY JUDGMENTS
include order of execution. (Cayetano v. Ceguerra,
G.R. No. L-18831, 1965) MODE GROUND

Where to File Petition for Relief When the judgment has

It shall be filed in such court and in the same case under Rule 38 been taken against the
from which the petition arose. (Redena v. CA, G.R. party through FAME
No. 146611, 2007) Action for Extrinsic fraud, lack of
annulment of jurisdiction, denial of due
Relief Sought judgment under process
It shall pray that the judgment, order or proceedings Rule 47
be set aside OR that the appeal be given due
course. Direct action, as Certiorari – when there
certiorari, OR is grave abuse of
A petition for relief from judgment is applicable in collateral attack discretion amounting to
special civil actions and all kinds of special under Rule 65 lack or excess of
proceedings, such as land registration, intestate jurisdiction. A challenged
settlement, and guardianship proceedings. judgment, void upon its
face, can be the subject
Relief from judgment is NOT authorized in summary of a collateral attack.
proceedings. (Section 19 Revised Rules on
Summary Procedures) (Feria and Noche, Civil Procedure Annotated, Vol.
2, 2013 Ed., p. 109)
A petition for relief is not a remedy available for
judgments, final orders, and other proceedings in Petition for Relief from Denial of Appeal
the Supreme Court. The phrase “any court” that is When a party, by FAME, has been prevented from
referred to in Rule 38 are Metropolitan or Municipal taking an appeal, he/she may file a petition in the
or Regional Trial Courts. (Sps. Mesina vs. Meer, court which rendered the judgment or final order
G.R. No. 146845, 2002) and in the same case praying that the appeal be
given due course.
NEW TRIAL OR PETITION FOR RELIEF Under this section, the petition for relief should be
RECONSIDERATION (RULE 38) directed against the order preventing the perfection
(RULE 37) of the appeal, and NOT against the judgment on the
merits. [Feria and Noche, Civil Procedure
Available before Available after judgment Annotated, Vol. 2, 2013 Ed., p. 112, citing
judgment becomes final becomes final and Bracamonte and Calderon, 92 PHIL 186 (952) and
and executory. executor. Rafanan v. Rafanan, 98 PHIL 162 (1955)]
Applies to judgments or Applies to judgments,
final orders only. final orders and other b. TIME FOR FILING PETITION

143
The petition shall be filed within sixty (60) days after Because a final and executory judgment is the
the petitioner learns of the judgment, final order or subject of a petition for relief, the judgment may be
proceeding, and NOT more than six (6) months subject to execution. A person who files a petition
after such judgment or final order was entered, or under Rule 38 may file a preliminary injunction to
such proceeding was taken. (Rule 38, Section 3) preserve the rights of the parties upon filing of a
bond.
Both periods are NOT extendible and never
interrupted. These two periods must CONCUR. The bond is conditioned upon the payment to the
(Quelnan v. VHF Philippines, G.R. No. 138500, adverse party of all damages and costs that may be
2005) awarded to such adverse party by reason of the
issuance of the preliminary injunction.
Note: The alternative phrase ―or such proceeding
was taken‖ in Sec. 3, Rule 38 could be taken to Such injunction shall not discharge any lien which
mean other proceedings which are NOT to be the adverse party may have acquired upon the
entered, such as a writ of execution and an order property of the petitioner. (Rule 38, Section 5)
approving a compromise agreement. In such
cases, the period must have to commence from the Proceedings after the Answer is Filed
date of occurrence because entry is either After the filing of the answer or the expiration of the
unnecessary or inconsequential. [Feria and Noche, period to file the answer, the court shall hear the
Civil Procedure Annotated, Vol. 2, 2013 Ed., p. 120, petition.
citing Dirige v. Binaraya, 17 SCRA 840 (1996)]
Thereafter, the court may either:
Petition for relief from a judgment based on a Dismiss the petition if it finds that the
compromise must be filed not later than 6 months allegations thereof are not true; or
from the date it was rendered (not date of entry), Set aside the judgment or final order or other
since such judgment becomes final and executory proceeding if it finds the allegations to be true.
immediately. (Republic v. Estenzo, 25 SCRA 122, The case shall then stand as if such judgment,
1945) final order or other proceeding had never been
rendered, issued, or taken. The court shall
Note: A motion to dismiss the petition for relief may hear and determine the case as if a timely
be filed on the ground of lack of jurisdiction, when motion for a new trial or reconsideration had
the latter is filed beyond the reglamentary period. been granted by it. (Rule 38, Section 6)
(Pacific Importing v. Tinio, 85 PHIL 239, 1949)
Instances when trial on the merits is NOT
c. CONTENTS OF PETITION necessary when the relief sought may be:
The allowance of an appeal after the expiration of
a. The petition must be verified; the reglamentary period.
b. It must be accompanied with affidavits The staying of immediate execution despite failure
showing the grounds relied upon; and to pay or deposit the rents due to FAME.
c. The facts constituting the petitioner‘s
good and substantial cause of action or IMPORTANT: An order GRANTING the petition for
defense (AFFIDAVIT OF MERIT). relief is interlocutory hence not immediately
appealable. However, certiorari lies if there is grave
Note: A separate affidavit is NOT necessary if such abuse of discretion or lack/excess of jurisdiction.
facts are alleged in the verified petition. [Feria and
Noche, Civil Procedure Annotated, Vol. 2, 2013 Ed., An order DENYING the petition for relief is now
p. 117, citing Fabar Incorporated, 79 SCRA 638 subject only to certiorari under Rule 65, as provided
(1997), and Samonte v. S.F. Naguiat, 75 PHIL 608 in Section 1(b) of Rule 41.
(1945)]
Procedure Where the Denial of an Appeal is Set
Order to File Answer Aside
If the petition is sufficient in form and substance, to The lower court shall be required to give due course
justify relief, the court in which it is filed, shall issue to the appeal and to elevate the record of the
an order requiring the adverse parties to answer appealed case as if a timely and proper appeal had
the same within fifteen (15) days thereof. The court been made. (Rule 38, Section 7)
should NOT issue summons. (Rule 38, Section 4)
4. ANNULMENT OF JUDMENTS AND
Note: If the petition is insufficient, as for example, FINAL ORDERS AND RESOLUTIONS
no affidavit of merit is attached, the court may
dismiss the petition outright. (Omandam v. Director (Rule 47)
of Lands, 95 PHIL 450, 1954)
Annulment of Judgment
Failure to file answer does not warrant declaration A remedy in law independent of the case where the
of default. judgment sought to be annulled was rendered.
Consequently, an action for annulment of judgment
Preliminary Injunction Pending Proceedings may be availed of even if the judgment to be

144
annulled had already been fully executed or 168882, 2007; Sps. Benatiro vs. Heirs of Cuyos,
implemented. (Bulawan v. Aquende, G.R. No. G.R. No. 161220, 2008)
182819, 2011)
b. PERIOD TO FILE ACTION
Coverage
This Rule shall govern the annulment by the Court If based on EXTRINSIC FRAUD – the action must
of Appeals of judgments or final orders and be filed within four (4) years from its
resolutions in civil actions of Regional Trial Courts discovery.
for which the ordinary remedies of new trial, appeal,
petition for relief or other appropriate remedies are If based on LACK OF JURISDICTION – the action
no longer available through no fault of the must be brought before it is barred by laches
petitioner. (Rule 47, Section 1) or estoppel.

The purpose is to set aside a final and executory If based on DENIAL OF DUE PROCESS – the
judgment, so that there would be a renewal of action does not prescribe. Lack of due
litigation. process renders the judgment void. An action
to declare the nullity of a void judgment does
This remedy is NOT available to decisions of quasi- not prescribe. (Sps. Benatiro vs. Heirs of
judicial bodies. It is only applicable to the Cuyos, G.R. No. 161220, 2008)
annulment of judgments or final orders of a
Municipal Trial Court by the Regional Trial Court or Filing and Contents of Petition
the annulment of the decisions of Regional Trial The action shall be commenced by filing a verified
Court by the Court of Appeal. petition alleging therein with particularity:
1. The facts and the law relied upon for
a. GROUNDS FOR ANNULMENT annulment;
2. Those supporting the petitioner‘s good and
1. Extrinsic fraud (Rule 47, Section 2) substantial cause of action or defense, as
One that prevents a party from having a trial or from the case may be.
presenting his/her entire case to the court, or where
it operates upon matters pertaining not to the The petition shall be filed in 3 clearly legible copies
judgment itself but to the manner in which it is (per Efficient Use of Paper Rule, A.M. No. 11-9-4-
procured. SC), together with:
1. Sufficient copies corresponding to the
Extrinsic Fraud exists when there is a fraudulent act number of respondents.
committed by a prevailing party outside of the trial 2. Affidavits of witnesses or documents
of the case, where the defeated party was supporting the cause of action; and
prevented from presenting fully his/her side of the 3. Certificate of non-forum shopping.
case by deception practiced on him/her by the
prevailing party. A certified true copy of the judgment or final order or
resolution shall be attached to the original copy of
Extrinsic fraud shall not be a valid ground if it was the petition intended for the court and indicated as
availed of, or could have been availed of, in a such by the petitioner. (Rule 47, Section 4)
motion for new trial or petition for relief.
We have consistently held that a person need not
Note: The petition need not categorically state the be party to the judgment sought to be annulled.
exact words extrinsic fraud; rather, the allegations in What is essential is that he can prove his allegation
the petition should be so crafted to easily point out that the judgment was obtained by the use of fraud
the ground on which it was based. and collusion and that he would be adversely
(Castigador vs. Nicolas, G.R. No. 184023, affected thereby. (Bulawan v. Aquende, G.R. No.
2013) 182819, 2011)

2. Lack of jurisdiction (Rule 47, Section 2) Action by the Court

Absolute lack of jurisdiction over the person of the The court may:
defending party OR over the subject matter of the Dismiss the petition outright, if it finds no
claim. substantial merit in the petition, with
specific reasons for such dismissal;
Note: In a petition for annulment of judgment based Give due course if the court finds prima facie
on lack of jurisdiction, petitioner must show not merit in the petition, in which case
merely an abuse of jurisdictional discretion, but an summons shall be served on the
ABSOLUTE lack of jurisdiction. (RP vs. respondent. (Rule 47, Section 5)
Technological Advocates, G.R. No. 165333, 2010)
Procedure
3. Denial of due process, as recognized A petition for annulment of judgment filed in the
by jurisprudence. (Intestate Estate of the Late Court of Appeals shall observe the procedure in
Nimfa Sian v. Philippine National Bank, G.R. No. ordinary civil actions. Should a trial be necessary,
the reception of the evidence may be referred to a

145
member of the Court or a Regional Trial Court province of collateral impeachment is void
judge. (Rule 47, Section 6) judgments. There and there alone can it meet with
any measure of success. Decision after decision
c. EFFECTS OF JUDGMENT OF bears this import: In every case the field of collateral
ANNULMENT inquiry is narrowed down to the single issue
concerning the void character of the judgment and
A judgment of annulment shall set aside the the assailant is called upon to satisfy the court that
questioned judgment or final order or resolution and such is the fact. To compass his purpose of
render the same null and void, without prejudice to overthrowing the judgment, it is not enough that he
the original action being re-filed in the proper court. show a mistaken or erroneous decision or a record
disclosing non-jurisdictional irregularities in the
However, where the judgment or final order or proceedings leading up to the judgment. He must
resolution is set aside on the ground of extrinsic go beyond this and show to the court, generally
fraud, the court may, on motion, order the trial court from the fact of the record itself, that the judgment
to try the case as if a timely motion for new trial complained of is utterly void. If he can do that his
had been granted therein. (Rule 47, Section 7) attack will succeed for the cases leave no doubt
respecting the right of a litigant to collaterally
Suspension of Prescriptive Period impeach a judgment that he can prove to be void.‖
The prescriptive period for the re-filing of the (I Freeman on Judgments, sec. 322, p. 642.);
aforesaid original action shall be deemed (Barretto vs. Barretto-Datu, G.R. No. L-5549, 1954)
suspended from the filing of such original action
until the finality of the judgment of annulment. Note: In the case of Sps. Benatiro, the CFI (RTC)'s
order being null and void, it may be assailed
However, the prescriptive period shall not be anytime, collaterally or in a direct action or by
suspended where the extrinsic fraud is attributable resisting such judgment or final order in any action
to the plaintiff in the original action. (Rule 47, or proceeding whenever it is invoked, unless barred
Section 8) by laches. Consequently, the compromise
agreement and the Order approving it must be
Relief available declared null and void and set aside. (Sps. Benatiro
The judgment of annulment may include: vs. Heirs of Cuyos, G.R. No. 161220, 2008)
1. Award of damages;
2. attorney‘s fees; and Direct attack distinguished from collateral
3. Other relief. attack

If the questioned judgment or final order or A DIRECT ATTACK against a judgment is made
resolution had already been executed, the court through an action or proceeding the main object of
may issue: which is to annul set aside, or enjoin the
1. Orders of restitution or enforcement of such judgment, if not yet carried into
2. Other relief as justice and equity may effect; or, if the property has been disposed of, the
warrant under the circumstances. (Rule aggrieved party may sue for recovery.
47, Section 9)
A COLLATERAL ATTACK is made when, in
Annulment of Judgments or Final Orders of another action to obtain a different relief, an attack
MTC on the judgment is made as an incident in said
An action to annul a judgment or final order of a action. This is proper only when the judgment, on its
Municipal Trial Court shall be filed in the Regional face, is null and void, as where it is patent that the
Trial Court having jurisdiction over the former. It court which rendered said judgment has no
shall be treated as an ordinary civil action and jurisdiction. (Co vs. CA, G.R. No. 93687, 1991)
sections 2, 3, 4, 7, 8, and 9 of this Rule shall be
applicable thereto. (Rule 47, Section 10) END OF TOPIC

5. COLLATERAL ATTACK OF
JUDGMENTS
Collateral attack of judgments
Q. EXECUTION, SATISFACTION
A collateral attack upon a judgment has been AND EFFECT OF JUDGMENTS
defined to mean any proceeding in which the
integrity of a judgment is challenged, except those
made in the action wherein the judgment is 1. DIFFERENCE BETWEEN FINALITY
rendered or by appeal, and except suits brought to OF JUDGMENT FOR PURPOSES OF
obtain decrees declaring judgments to be void ab APPEAL; FOR PURPOSES OF
initio. (15 R.C.L., 838); (Alviar vs. Carlos, G.R. No.
L-45291, 1937)
EXECUTION
2. WHEN EXECUTION SHALL ISSUE
In case of collateral attack, the principles that apply a. Execution as a matter of right
have been stated as follows: ―The legitimate b. Discretionary execution

146
3. HOW A JUDGMENT IS EXECUTED (Philippine Business Bank vs. Chua, G.R. No.
178899, 2010)
a. Execution by motion or by independent
action
Interlocutory order
b. Issuance and contents of a writ of
execution An interlocutory order does not finally dispose of the
c. Execution of judgments for money case, and does not end the Court's task of
d. Execution of judgments for specific adjudicating the parties' contentions and
acts determining their rights and liabilities as regards
e. Execution of special judgments each other, but obviously indicates that other things
f. Effect of levy on third persons remain to be done by the Court, is "interlocutory",
e.g., an order denying a motion to dismiss under
4. PROPERTIES EXEMPT FROM Rule 16 of the Rules. Unlike a final judgment or
EXECUTION order, which is appealable, an interlocutory order
5. PROCEEDINGS WHERE PROPERTY may not be questioned on appeal except only as
IS CLAIMED BY THIRD PERSONS part of an appeal that may eventually be taken from
a. In relation to third-party claims in the final judgment rendered in the case. (Philippine
attachment and replevin Business Bank vs. Chua, G.R. No. 178899, 2010)
6. RULES ON REDEMPTION FOR PURPOSES OF EXECUTION:
7. EXAMINATION OF JUDGMENT Execution of a final and executory judgment is a
OBLIGOR WHEN JUDGMENT IS matter of right. A judgment is final and executory
UNSATISFIED when the law/rules do not provide for an appeal or
8. EXAMINATION OF OBLIGOR OF the period to appeal has lapsed without an appeal
being taken.
JUDGMENT OBLIGOR
9. EFFECT OF JUDGMENT OR FINAL Final judgments distinguished from final and
ORDERS executory judgments
10. ENFORCEMENT AND EFFECT OF
Judgments are “FINAL” in a sense that they finally
FOREIGN JUDGMENTS OR FINAL dispose of, adjudicate, or determine the rights of the
ORDERS parties. But such judgments are not yet final and
executory pending the period of appeal. During that
1. DIFFERENCE BETWEEN FINAL period, execution of the judgment cannot be yet
JUDGMENT FOR PURPOSES OF demanded by the winning party as a matter of right.
APPEAL; FOR PURPOSES OF Judgments become “FINAL AND EXECUTORY”
EXECUTION by operation of law. Finality of judgment becomes a
fact upon the lapse of the reglementary period to
FOR PURPOSES OF APPEAL appeal if no appeal is perfected. In such a situation,
the prevailing party is entitled to a writ of execution,
General Rule: Final judgments dispose of, and issuance thereof is a ministerial duty of the
adjudicate, or determine the rights of the parties court. (Abrigo vs. Flores, G.R. No. 160786, 2013);
and leave nothing to be adjudicated upon. Only final (Feria and Noche, Civil Procedure Annotated, 2013
judgments can be the subject of an appeal. ed., vol. 2, p.127)

Final judgment or order distinguished from Doctrine of Immutability of judgments

interlocutory order A judgment that has acquired finality becomes
immutable and unalterable, and may no longer be
Final judgment or order modified in any respect even if the modification is
A final judgment or order is one that finally disposes meant to correct erroneous conclusions of fact or
of a case, leaving nothing more to be done by the law and whether it will be made by the court that
Court in respect thereto, e.g., an adjudication on the rendered it or by the highest court of the land.
merits which, on the basis of the evidence
presented at the trial, declares categorically what The doctrine of immutability and inalterability of a
the rights and obligations of the parties are and final judgment has a two-fold purpose:
which party is in the right; or a judgment or order 1. To avoid delay in the administration of justice and
that dismisses an action on the ground, for thus, procedurally, to make orderly the discharge of
instance, of res judicata or prescription. Once judicial business; and
rendered, the task of the Court is ended, as far as 2. To put an end to judicial controversies, at the risk
deciding the controversy or determining the rights of occasional errors, which is precisely why courts
and liabilities of the litigants is concerned. Nothing exist.
more remains to be done by the Court except to
await the parties' next move and ultimately, of
course, to cause the execution of the judgment Exceptions:
once it becomes "final" or, to use the established 1. Correction of
and more distinctive term, "final and executory." clerical errors;

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 2. Nunc pro 1. Judgment of lower court against defendant
tunc entries that cause no prejudice to any in forcible entry and unlawful detainer
party; (where the defendant fails to post a
3. Void judgments; supersedeas bond or deposit the rentals
and with the court, or where the appeal is from
4. Whenever a decision of the regional trial court against
circumstances transpire after the finality of the defendant).
the decision rendering its execution unjust 2. Judgment in action for injunction,
and inequitable. (Apo Fruits and Hijo receivership, accounting and support,
Plantation vs. CA, G.R. No. 164195, 2009) unless otherwise ordered by the court.
3. Award, judgment, final order, or resolution
Note: A supervening event, to be sufficient to stay of quasi-judicial bodies appealable to the
or stop the execution, must alter or modify the Court of Appeals. (Feria and Noche, Civil
situation of the parties under the decision as to Procedure Annotated, 2013 ed., vol. 2, p.
render the execution inequitable, impossible, or 127)
unfair. The supervening event cannot rest on
unproved or uncertain facts. (Abrigo vs. Flores, Section 1 of Rule 39 of the Revised Rules of Court
G.R. No. 160786, 2013) does not prescribe that a copy of the motion for the
execution of a final and executory judgment be
Doctrine of immutability of a final judgment may be served on the defeated party, like litigated motions
relaxed only to serve the ends of substantial justice such as a motion to dismiss (section 3, Rule 16), or
in order to consider certain circumstances like: motion for new trial (section 2, Rule 37), or a motion
1. Matters of life, liberty, honor or property; for execution of judgment pending appeal (section
2. Existence of special or compelling 2, Rule 39), in all of which instances a written notice
circumstances; thereof is required to be served by the movant on
3. Merits of the case; the adverse party in order to afford the latter an
4. Cause not being entirely attributable to the opportunity to resist the application.
fault or negligence of the party favored by
the suspension of the doctrine; Once the judgment has become final and
5. Lack of any showing that the review executory, the prevailing party (judgment obligee)
sought is merely frivolous and dilatory; may, by motion, ask for the issuance of a writ
6. Other party will not be unjustly prejudiced execution of the judgment in the court of origin.
by the suspension. (Abrigo vs. Flores, G.R. (Far Eastern Surety vs. Vda. de Hernandez, G.R.
No. 160786, 2013) No. L-30359, 1975) The prevailing party can have it
executed as a matter of right, and the judgment
2. WHEN EXECUTION SHALL ISSUE debtor need not be given advance notice of the
application for execution nor be afforded prior
NO appeal may be taken from an order of hearings thereon. (De Mesa vs. CA, G.R. No.
execution. A party desiring to assail an order of 109387)
execution may instead file an appropriate special
civil action under Rule 65 of the Rules of Court. Elementary is the rule that every motion must
contain the mandatory requirements of notice and
Requisites of a Writ of Execution hearing and that there must be proof of service
The writ must conform strictly to the decision or thereof. The rule, however, is NOT ABSOLUTE.
judgment; it cannot vary the terms of the judgment it There are motions that can be acted upon by the
seeks to enforce. court ex parte if these would not cause prejudice to
the other party. They are not strictly covered by the
a. EXECUTION AS A MATTER OF rigid requirement of the rules on notice and hearing
of motions. A motion for execution is such kind of
RIGHT motion. (Anama vs. CA, G.R. No. 187021, 2012)
When execution shall as a matter of right The issuance of the writ of execution is the
On motion: ministerial duty of the court. Thus, it is
Upon judgment or order that disposes of the action compellable by MANDAMUS.
or proceeding; Exceptions (When the Court May Refuse
Upon expiration of the period to appeal therefrom Execution):
and no appeal has been duly perfected; 1. Where the judgment turns out to
When appeal has been duly perfected and resolved be incomplete or conditional;
with finality. (Rule 39, Section 1) 2. Judgment is novated by the
parties (e.g. compromise);
Judgments and final orders which may be 3. Change in the situation of the
executed as a matter of right even BEFORE parties which would render
expiration of time to appeal: execution of judgment unjust;
(Note: Without need of advance notice or service of 4. Execution is enjoined (e.g., there
a motion for execution on defeated party) is a preliminary injunction);
5. Judgment has become dormant;

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 6. Execution is unjust or impossible. Requisites:
1. Motion for execution filed by the
Grounds for Quashing a Writ of Execution prevailing party;
1. When the writ of execution varies the 2. Notice of the motion to adverse party;
judgment; and
2. When there has been a change in the 3. Good reasons stated in a special
situation of the parties making the order after due hearing. (Rule 39,
execution inequitable or unjust; Section 2)
3. When execution is sought to be enforced
against property exempt from execution; On motion, WITH NOTICE to the adverse party, the
4. When it appears that the controversy has prevailing party may apply for a writ of execution of
never been submitted to the judgment of judgment or final order pending appeal.
the court;
5. When the terms of the judgment are not This must be done while trial court has
clear enough and there remains room for jurisdiction over the case and is in possession of
interpretation thereof; either the original record or record on appeal.
6. When it appears that the writ of execution The court may, in its discretion, order execution
has been improvidently issued; even before the expiration of the period for appeal.
7. When it appears that the writ of execution
is defective in substance, or is issued After the trial court has lost jurisdiction, the motion
against the wrong party or that the for execution pending appeal may be filed with the
judgment debt has been paid or otherwise appellate court.
satisfied, or the writ was issued without
authority. Note: Awards for MORAL and EXEMPLARY
damages CANNOT be the subject of execution
You can also file a petition for certiorari under Rule pending appeal. (International School, Inc. (Manila)
65 with prayer for TRO to restrain execution. v. CA, G.R. No. 131109, 1999) Unlike the actual
(Albano, Remedial Law Reviewer) damages for which the petitioners may clearly be
held liable if they breach a specific contract and the
When execution of final and executory amounts of which are fixed and certain, liabilities
judgments may be ENJOINED: with respect to moral and exemplary damages as
1. Upon filing of a petition for relief from well as the exact amounts remain uncertain and
judgment, the court in which the petition is indefinite pending resolution by the Intermediate
field may grant preliminary injunction for Appellate Court (now CA) and eventually the
the preservation of the rights of the parties Supreme Court. (Radio Communications v. Lantin,
pending the proceedings; G.R. No. L-59311, 1985)
2. In an attack against a judgment which is
void for lack of jurisdiction or was obtained Note: Execution pending appeal is NOT applicable
through fraud, the court in which the action in land registration proceedings.
for certiorari, injunction, or annulment is
filed may grant preliminary injunction; and What is a Good Reason
3. On equitable grounds. (Feria and Noche, Good reasons consist of compelling circumstances
Civil Procedure Annotated, 2013 ed., vol. justifying immediate execution lest judgment
2, p. 130) becomes illusory, or the prevailing party, after the
lapse of time, be unable to enjoy it, considering the
General Rule: The dispositive portion of the tactics of the adverse party who may have
decision is that part that becomes the subject of apparently no cause but to delay. (Archinet
execution. International, Inc. v. Beco Philippines, Inc. G.R. No.
Exceptions: 183753, 2009)
Where there is ambiguity, the body of the
opinion may be referred to for purposes of Examples of GOOD REASONS:
construing the judgment. (Mutual Security That the appeal was being taken for the purpose of
Insurance Corporation v. Court of Appeals delay. (Presbitero v. Roxas 73 Phil. 300, 1941)
G.R. No. L-47018, 1987)
Where extensive and explicit discussion Where the education of the person to be supported
and settlement of the issue is found in the would be unduly delayed. (Javier v. Lucero, et
body of the decision. (Wilson Ong Ching al. 94 Phil. 634, 1954)
Kian Chung, et al v. Chinese National
Cereals Oil and Foodstuffs Import and The insolvency of the judgment debtor. (Archinet
Export Corp, et al. G.R. No. 131502, June International, Inc. v. Becco Philippines, Inc.
8, 2000) G.R. No. 183753, 2009)

b. DISCRETIONARY EXECUTION However, when there are several defendants and

the co-defendant is not insolvent, insolvency of
A. Execution of a judgment or a final order a defendant is not a good reason for execution.
pending appeal

149
 (Philippine National Bank v. Puno G.R. No. modifying, restoring or granting the injunction,
76018 1989) receivership, accounting, or award of support.

B. Execution of several, separate or partial The stay of execution shall be upon such terms as
judgments. may be considered proper for the security or
Several separate or partial judgments MAY be protection of the rights of the adverse party.
executed under the SAME terms and
conditions as execution of judgment or final Effect of Reversal of Executed Judgment
order pending appeal. The trial court may, on motion, issue such orders of
restitution or reparation of damages as equity and
Note: An award for actual/compensatory justice may warrant under the circumstances. (Rule
damages may be ordered executed pending 39, Section 5)
appeal, but not an award for moral or
exemplary damages. 3. HOW JUDGMENT IS EXECUTED
Stay of Discretionary Execution a. EXECUTION BY MOTION OR BY
Stayed upon approval by the proper court of a INDEPENDENT ACTION
sufficient supersedeas bond filed by the party
against whom it is directed, conditioned upon the A Final and Executory Judgment or Order may
performance of the judgment or order allowed to be be executed:
executed in case it shall be finally sustained in 1. On motion, within five (5) years from
whole or in part. entry; or
2. By filing an independent action for
The supersedeas bond is filed by the petitioner revival of judgment after five (5) years
and approved by the court BEFORE the judgment but before ten (10) years from entry.
becomes final and executory. It guarantees the
satisfaction of the judgment in case of affirmation on The Revived Judgment may be enforced:
appeal. (Rule 38, Section 3) 1. By motion, within five (5) years from date
of its entry; or
Note: Section 3 (Stay of Discretionary Execution) 2. By action, after the lapse of five (5) years,
finds application in ordinary civil actions where the before it is barred by the statute of
interest of the prevailing party is capable of limitations. (Rule 38, Section 6)
pecuniary estimation, and consequently, of
protection, through the filing of a supersedeas bond. Suspension of the Five (5) Year Period for
Thus, the penultimate sentence of Section 3 states: Execution by Motion
―[T]he bond thus given may be proceeded against While the general rule is that a judgment can no
on motion with notice to the surety.‖ Consequently, longer be affected by mere motion after five (5)
it finds no application in election protest cases years from the date of entry, delays in the execution
where judgments invariably include orders which of the judgment that are ATTRIBUTABLE TO THE
are not capable of pecuniary estimation such as the DEBTOR has the effect of SUSPENDING the
right to hold office and perform its running of the prescriptive period for the
functions. (Navarosa vs. Comelec, G.R. No. enforcement of the judgment.
157957, 2003)
Execution by Independent Action – REVIVAL OF
Judgments NOT Stayed By Appeal JUDGMENT
General Rule: Judgment is stayed by appeal. If so A revived judgment is deemed a new judgment,
stayed, it is not yet executory. separate and distinct from the original judgment.
Exceptions: Instances when judgments are Hence, the five (5) year period to enforce the
immediately executory: judgment by motion and the ten (10) year period to
1. Injunction; enforce the judgment by action will run from the
2. Receivership; date of finality of the revived judgment and not of
3. Accounting; the original judgment.
4. Support;
5. Other judgments declared to be The action for revival of judgment need not
immediately executory as ordered necessarily be filed with the same court that
by the trial court. (Rule 39, decided the case; it shall be filed in the RTC as one
Section 4) incapable of pecuniary estimation.

These exceptions shall be enforceable after their

rendition and shall NOT be stayed by an appeal Revival of Judgment Revival of Judgment
taken therefrom UNLESS otherwise ordered by (Section 6) (Section 34)
the trial court.
An independent action Not an independent
assigned a new docket action; merely by motion
On appeal therefrom, the appellate court in its
number with payment of filed in court
discretion MAY make an order suspending,
filing fees, assigned to a

150
new court issuance of the writ, aside from the principal
obligation.
Assumes that there is no Assumes that a
execution within the first judgment is executed
Special sheriffs for the service of a writ of execution
five years within the first five years
are not authorized by law.
The party who files the The party who files the
action is the judgment motion is not the original An appeal is the remedy for an order denying the
creditor himself, or his judgment creditor but the issuance of a writ of execution.
assignee, or successor- highest bidder in the
in-interest public auction sale Issuance of the corresponding writ of execution
upon a final and executor judgment is a ministerial
Filed due to lapse of the Filed because movant is duty of the court to execute which is compellable by
five-year period deprived of the property mandamus (Ebero v. Cañizares, 79 Phil. 152 G.R.
purchased No. L-1397, 1947)

c. EXECUTION OF JUDGMENTS FOR

Execution in case of death or party MONEY
In case of death of the judgment obligee,
execution will issue upon the application of the A Judgment for Money is enforced by:
executor or administrator or successor-in-interest. 1. Immediate payment on demand;
2. Satisfaction by levy;
In case of death of judgment obligor: 3. Garnishment of debts and credits. (Rule
BEFORE levy: 39, Section 9)
1. Execution will issue if the action is for
the recovery of real or personal Immediate payment on demand
property or any lien thereon. Judgment obligor shall pay in cash, certified bank
2. Execution will not issue if the action is check payable to the judgment obligee, or any other
for the recovery of a sum of money. form of payment acceptable to the latter of the full
The judgment obligee must file a claim amount stated in the writ of execution.
against the estate of the judgment
obligor under Rule 86. Satisfaction by levy
LEVY is an act by which an officer sets apart or
AFTER levy: Execution will continue even in money appropriates a part of the whole property of the
judgment. The property may be sold for the judgment debtor for purposes of the execution sale.
satisfaction of the judgment obligation, and the
officer making the sale shall account to the Levy is a pre-requisite to the auction sale. In order
corresponding executor or administrator for any that an execution sale may be valid, there must be
surplus in his hands. (Rule 39, Section 7) a previous valid levy. A sale not preceded by a
valid levy is void and the purchaser acquires no
b. ISSUANCE AND CONTENTS OF A WRIT title. (Valenzuela v. De Aguila, G.R. No. L-18083-
OF EXECUTION 83, 1963)
WRIT OF EXECUTION The officer shall levy upon properties of the
A judicial writ issued to an officer authorizing judgment obligor not otherwise exempt from
him/her to execute the judgment of the court. execution.
Requisites: The judgment obligor exercises discretion to choose
1. Must strictly conform to the decision or which property to levy and if not exercised, the
judgment which gives it life; officer shall levy first on personal property, then on
2. Cannot vary the terms of judgment it real property.
seeks to enforce.
The sheriff shall sell only property sufficient to
The Writ must: satisfy the judgment and other lawful fees.
1. Be issued in the name of the Republic of
the Philippines from the court, which The levy on execution creates a lien in favor of the
granted the motion; judgment obligee over the right, title, and interest of
2. State the name of the court, the case the judgment obligor in such property at the time of
number and title, the dispositive part of the the levy, subject to liens and encumbrances then
subject judgment or order; and existing.
3. Require the sheriff or other proper officer
to enforce the writ according to its terms. Garnishment of debts and credits
GARNISHMENT is an act of appropriation by the
The motion for execution and the writ of execution court when the property of a debtor is in the hands
must state specifically the amount of interest, costs, of a third person. It is a species of attachment for
damages, rents, or profits due as of the date of reaching any property or credits pertaining or
payable to a judgment debtor.

151
 occupant therein. (Arcadio v. Ylagan, A.C. No.
Note: Garnishment is proper only when the 2734, July 30, 1986)
judgment to be enforced is one for payment of a
SUM OF MONEY. It cannot be employed to When the party refuses to comply, the court can
implement a special judgment such as that appoint some other person at the expense of the
rendered in a special civil action for mandamus. disobedient party and the act done shall have the
(National Home Mortgage vs. Alpajaro, G.R. No. same effect as if the disobedient party performed it.
166508, 2009)
e. EXECUTION OF SPECIAL
The sheriff may levy on debts due to the debtor, or JUDGMENTS
other credits, including bank deposits, financial
interests, royalties, commissions and other personal SPECIAL JUDGMENT
property, not capable of manual delivery in the One which can only be complied with by the
rd
possession or control of 3 parties. Notice must be judgment obligor because of his/her personal
rd
served to the 3 party. qualifications or circumstances.

Note: The unused balance of an overdraft account For example, a judgment granting a petition for
is not a credit subject to garnishment. (Feria and mandamus is a special judgment, since a writ of
Noche, Civil Procedure Annotated, 2013 ed., vol. 2, mandamus is a command directed to an inferior
p.181) court, tribunal, or board, or to some corporation or
person, requiring the performance of a particular
rd
The garnishee or the 3 person who is in duty, and which duty results from the official station
possession of the property of the judgment debtor is of the party to whom the writ is directed, or from
deemed a forced intervenor. operation of law. (National Housing Mortgage
Finance Corporation v. Abayari, G.R. No. 166508,
d. EXECUTION OF JUDGMENTS FOR 2009)
SPECIFIC ACTS
Requisites:
Conveyance, delivery of deeds, or other specific 1. The judgment requires performance of any
acts; vesting title. act other than payment of money, or the
If a party fails to comply within the time specified, sale or delivery of real or personal
the court may direct the act to be done at the cost of property.
the disobedient party. 2. A certified copy of the judgment shall be:
a. Attached to the writ of execution;
Sale of real or personal property and
The officer must sell such property, describing it, b. Served by the office upon:
and apply the proceeds in conformity with the 3. Party against whom the judgment is
judgment. rendered;
4. Any other person required by the judgment
Delivery or restitution of real property or by law to obey the writ. (Rule 39,
The officer shall demand the losing party to Section 11)
peaceably vacate the property within 3 working
days, and restore possession to judgment obligee; Failure to comply with special judgment under Rule
otherwise, the officer shall oust such disobedient 39, Section 11 is punishable by contempt by
party. imprisonment. This is an exception to the rule that
contempt is not a remedy to enforce a judgment.
Removal of improvements on property subject
of execution f. EFFECT OF LEVY ON THIRD PERSONS
Officer shall not destroy, demolish, or remove
improvements except upon special order of the A levy creates a lien in favor of the judgment
court. obligee over the right, title and interest of the
judgment obligor in such property at the time of the
Delivery of personal property levy, subject to liens and encumbrances then
The officer shall take possession of the same and existing.
forthwith deliver it to the party entitled to satisfy any
judgment for money as therein provided. (Rule 39, 4. PROPERTIES EXEMPT FROM
Section 10) EXECUTION
If the party refuses to vacate the property, the
Except as otherwise expressly provided by law, the
Sheriff must oust the party. But if demolition is following property, and no other, shall be EXEMPT
involved, there must be a special order. from execution:
1. Family home, or homestead, land
A writ of execution directing the sheriff to cause the
necessarily used in connection therewith.
defendant to vacate is in the nature of a habere
2. Ordinary tools and implements used in
facias possessionem and authorizes the sheriff to
trade, employment, or livelihood.
break open the premises where there is no

152
 3. Three (3) horses, cows, carabaos, or other shall report to the court and state the reason
beast of burden necessarily used in his/her therefor. (Rule 39, Section 4)
ordinary occupation.
4. Necessary clothing and articles for Lifetime of the Writ of Execution
ordinary personal use, except jewelry. The writ shall continue in effect during the period
5. Household furniture and utensils within which the judgment may be enforced by
necessary for housekeeping that is ≤ motion. (Rule 39, Section 4) Thus, the writ is
P100K. enforceable within the five (5) year period from
6. Provisions for individual or family use entry of judgment.
sufficient for 4 months.
7. Professional libraries and equipment. NOTICE OF SALE of Property on Execution
8. One fishing boat and accessories ≤ P100K If PERISHABLE property: By posting written
used in livelihood. notice of the time and place of the sale in three
9. Salaries, wages, or earnings as are (3) public places, preferably in conspicuous
necessary for support of family within 4 areas of the municipal or city hall, post office
months preceding levy. and public market where the sale is to take
10. Lettered gravestones. place, for such time as may be reasonable,
11. Monies, benefits, privileges, or annuities considering the character and condition of the
accruing out of any life insurance; and property.
12. Properties specially exempt from OTHER PERSONAL property: By posting similar
execution. notice in three (3) public places above-
mentioned for not less than five (5) days.
Other EXEMPTIONS: If REAL property: By posting for 20 days in three
1. Property mortgaged to DBP. (Section 26, (3) public places particularly describing the
C.A. 458) property and stating where the property is to be
2. Property taken over by Alien Property sold, and if the assessed value of the property
Administration. (Section 9[f], US Trading exceeds P50,000, by publishing a copy of the
With The Enemy Act) notice once a week for two (2) consecutive
3. Savings of national prisoners deposited weeks in one (1) newspaper selected by raffle
with the Postal Savings Bank. (Act 2489) (whether in English, Filipino, or any major
4. Backpay of pre-war civilian employees. regional language published, edited and
(R.A. 304) circulated or, in the absence thereof, having
5. Philippine Government backpay to general circulation in the province or city).
guerillas. (R.A. 897)
6. Produce, work animals, and farm In all cases, written notice of the sale shall be given
implements of agricultural lessees, subject to the judgment obligor, at least three (3) days
to limitations. (Section21, R.A. 6389) before the sale, except as provided in paragraph (a)
7. Benefits from private retirement systems of where notice shall be given at any time before the
companies and establishments, with sale. It shall specify the place, date and exact time
limitations. (R.A. 4917) of sale (between 9AM and 2PM). (Rule 39, Section
8. Labor wages, except for debts incurred for 15)
food, shelter, clothing, and medical
attendance. (Art. 1708, NCC) PLACE OF SALE
9. Benefit payments from the SSS. (Section 1. May be agreed upon by the parties; or
16 R.A. 1161 as amended by P.D.s 24, 65, 2. In the absence of such agreement, the
and 177) sale will be held in:
10. Copyrights and other rights in intellectual 1. Sale or Real or Personal
property under the former copyright law. Property NOT Capable of
(P.D. 49 cf. Section 239.3, R.A. 8293) Manual Delivery:
11. Bonds issued under R.A. 1000. (NASSCO Office of the Clerk of Court of
v. CIR G.R. No. L-17874, 31 August 1963; MTC or RTC which issued the
Regalado, F. Remedial Law Compendium writ or was designated by the
Vol. 1, 9th ed., pp. 481-482) appellate court
2. Sale of Personal Property
But no article or species of property mentioned in Capable of Manual Delivery:
this section shall be exempt from execution issued Place where property is located.
upon a judgment recovered for its price or upon a (Rule 39, Section 15)
judgment of foreclosure of a mortgage hereon.
5. PROCEEDINGS WHERE PROPERTY
Return of Writ of Execution IS CLAIMED BY THIRD PERSONS
The writ of execution shall be returnable to the court
immediately after the judgment has been satisfied
Who May File Third Party-Claims
in part or in full.
Any other person other than the judgment obligor or
his agent. (Third-part claimant)
If the judgment cannot be satisfied in full within
thirty (30) days after receipt of the writ, the officer Time to File a Third-Party Claim

153
 rd
The third (3 ) party claim (terceria) may be filed at a. IN RELATION TO THIRD-PARTY CLAIM
any time, so as long as the sheriff has the IN ATTACHMENT AND REPLEVIN
possession of the property levied upon, or before
the property is sold under execution. Proceedings where property is claimed by a third
person are the same as to a judgment obligee
Purpose of Third-Party Claim: (final and executory judgments), an attaching party
1. To recover the property levied on by the (attachment), and an applicant praying for
sheriff, although the claimant may recovery of possession of personal property
vindicate his claim by any proper action (replevin), EXCEPT that the amount of the
even if he has not filed a third-party claim. INDEMNITY BOND they file differs.
2. To hold the sheriff liable for damages for
the taking or keeping of such property, ATTACHMENT (Rule 57)
which action for damages, however, must To keep the property in the possession of the
be brought within 120 days from the date sheriff, the ATTACHING PARTY or his AGENT, on
of the filing of the bond. (Feria and Noche, demand of the sheriff, shall file a BOND approved
Civil Procedure Annotated, 2013 ed., vol. by the court to indemnify the third-party claimant in
2, p. 211) a sum not less than the value of the property
levied upon. (Rule 57, Section 14)
Procedure in Making a Third-Party Claim
rd
Third (3 ) Party Claimant should: Remedy: Nothing shall prevent a claimant or any
1. Make an affidavit of his/her title thereto, third person from vindicating his claim to the
or right of possession thereof, stating the property, or prevent the attaching party from
grounds of such right or title; and claiming damages against a third-party claimant
2. Serve such affidavit upon the sheriff and who filed a frivolous or plainly spurious claim, in the
a copy thereof upon the judgment SAME or a SEPARATE action. (Rule 57, Section
obligee. 14)

Effect: The Officer shall not be bound to keep the Replevin

property, UNLESS the Judgment Obligee, on To keep the property in the possession of the sheriff
demand the officer files an INDEMNITY BOND or to have the latter deliver the property to the
approved by the court to indemnify the third party applicant, the APPLICANT or his AGENT, on
claimant in a sum not less than the value of the demand of said sheriff, shall file a bond approved
property levied on. by the court to indemnify the third-party claimant in
a sum not less than double the value of the
In case of disagreement as to the value of the property as stated in the applicant‘s affidavit. (Rule
property, the Court issuing the writ shall determine 60, Section 7)
the same.
Remedy: Nothing shall prevent a claimant or any
The Officer shall not be liable for damages to any third person from vindicating his claim to the
third-party claimant if such bond is filed by the property, or prevent the applicant from claiming
judgment obligee for the taking or keeping of the damages against a third-party claimant who filed a
property. frivolous or plainly spurious claim, in the SAME or a
SEPARATE action. (Rule 60, Section 7)
Nothing herein contained shall prevent such
claimant or any third person from vindicating his EXECUTION SALE
claim to the property in a SEPARATE action. (Rule
39, Section 16) Penalty for selling without notice, or removing
or defacing notice
However, the judgment obligee can claim damages The following are liable for actual and punitive
against a third-party claimant who filed a frivolous or damages:
plainly spurious claim, and such judgment obligee 1. An officer selling without the notice
can institute proceedings therefor in the SAME or required under Section 15; and
SEPARATE action. 2. A person willfully removing or defacing the
notice posted, if done before the sale, or
When the writ of attachment is issued in favor of the before satisfaction of judgment if satisfied
Republic of the Philippines, or any officer duly before the sale.
representing it, the filing of such bond shall NOT be
required, and in case the sheriff is sued for Actual and punitive damages may be recovered by
damages as a result of the attachment, he shall be motion in the same action. (Rule 39, Section 17)
represented by the Solicitor General, and if held
liable therefor, the actual damages adjudged by the No Sale if Judgment and Costs Paid
court shall be paid by the National Treasurer out of At any time before the sale of property on
the funds to be appropriated for the purpose. (Rule execution, the judgment obligor may prevent the
39, Section 14) sale by paying the amount required by the
execution and the costs that have been incurred
therein. (Rule 39, Section 18)

154
 Without such written consent: The officer may
How property sold on execution; who may adjourn the sale from day to day if it becomes
direct manner and order of sale necessary to do so for lack of time. (Rule 39,
Sales of property under execution must be made: Section 22)
1. At public auction.
2. To the highest bidder. Conveyance to Purchaser of Personal Property
3. To start at the exact time fixed in the Capable of Manual Delivery
notice. When the purchaser pays the purchase price, the
officer making the sale must deliver the property to
After sufficient property has been sold to satisfy the the purchaser and, if desired, execute and deliver
execution, no more shall be sold and any excess to him/her a certificate of sale. (Rule 39, Section 23)
shall be promptly delivered to the judgment obligor
or his/her authorized representative, unless Conveyance to Purchaser of Personal Property
otherwise directed by the judgment or order of the NOT Capable of Manual Delivery
court. (Rule 39, Section 19) When the purchaser pays the purchase price, the
officer must execute and deliver a certificate of
Ordinary Sale on Sale in Judicial sale. The certificate conveys to the purchaser all
Execution Foreclosure of the rights which the judgment obligor had in the
Mortgage property as of the date of the levy on execution
or preliminary attachment. (Rule 39, Section 24)
No need for confirmation Must be confirmed by
of the court the court Note: The execution and delivery of a certificate of
sale is mandatory for personal property not capable
Right of redemption No right of redemption of manual delivery (unlike in conveyance of
exists when property is except by the mortgagor personal property capable of manual delivery). This
real where the mortgagee is constitutes symbolic delivery.
a bank or a banking
institution. (See Section Conveyance of Real Property; Certificate thereof
47 of General Banking Given to Purchaser and Filed with the Registry
Law of 2000) of Deeds
The officer must give to the purchaser a certificate
If the mortgagee is a of sale.
non-banking institution,
there is no right to Contents of CERTIFICATE OF SALE:
redeem. 1. A particular description of the real property
sold.
Title acquired after the Title acquired upon entry 2. The price paid for each distinct lot or
expiration of the period of the confirmation and parcel.
of redemption when the registration of the 3. The whole price paid by him/her.
final deed of conveyance foreclosure sale 4. A statement that the right of redemption
is executed expires 1 year from the date of the
registration of the certificate of sale. (Rule
Refusal of Purchaser to Pay 39, Section 25)
The officer may again sell the property to the
highest bidder and shall not be responsible for any Note: The certificate of sale in this case is merely
loss occasioned thereby. But the court may order provisional. No court confirmation is required.
the refusing purchaser to pay to the court the
amount of such loss with costs. The court may Certificate of Sale Where Property is Claimed by
punish him/her for contempt if he/she disobeys the Third Person
order. The officer may then reject any subsequent The certificate of sale must make express mention
bid of such purchaser who refuses to pay. (Rule 39, of the existence of such third-party claim. (Rule 39,
Section 20) Section 26)

If Judgment Obligee is Purchaser 6. RULES ON REDEMPTION

When the purchaser is the judgment obligee, and
no third party claim has been filed, he/she need not Right of redemption
pay the amount of the bid if it does not exceed the 1. Personal Property - no right because the
amount of his/her judgment. If it does, he/she shall sale is absolute.
pay only the excess. (Rule 39, Section 21) 2. Real Property - right is given.

Adjournment of Sale Who may redeem REAL property

With written consent of the judgment obligor and The JUDGMENT OBLIGOR; or his SUCCESSOR
obligee or their duly authorized representatives: The IN INTEREST in the whole or any part of the
officer may adjourn the sale to any date and time property;
agreed upon by them. A creditor having a lien by virtue of an attachment,
judgment or mortgage on the property sold, or

155
 on some part thereof, subsequent to the lien The offer to redeem must be accompanied by a
under which the property was sold. Such bona fide tender of redemption price. But a formal
redeeming creditor is termed a offer to redeem with a tender is not necessary when
REDEMPTIONER. (Rule 39, Section 27) the right to redeem is exercised through the filing of
a complaint to redeem in the courts, within the
Period to redeem period to redeem.
Judgment Debtor:
Within one (1) year from the date of registration Certificate of Redemption
of the certificate of sale. The person to whom redemption is made must
Redemptioner: execute and deliver a certificate of redemption
Within one (1) year from the date of registration acknowledged before a notary public or other officer
of the certificate of sale if he/she is the first authorized to take acknowledgments of
redemptioner; and conveyances of real property. (Rule 39, Section 29)
Within 60 days from the last redemption, if
he/she is a subsequent redemptioner. Proof of redemption required by redemptioner
(Rule 39, Section 28) A redemptioner must produce to the officer, or
person from whom he/she seeks to redeem, and
Note: The periods for redemption are not extendible serve with his/her notice to the officer:
or interrupted. The parties may, however, agree on 1. A copy of the judgment or final order
a longer period. In such case, it would be a certified by the clerk of the court wherein
conventional redemption. (Lazo v. Republic Surety the judgment or final order is entered; or,
& Insurance Co., G.R. No. 27365, 1970) 2. If he/she redeems upon a mortgage or
other lien, a memorandum of the record
The judgment debtor has always one year from the thereof, certified by the registrar of deeds,
registration of the certificate of sale within which to or an original or certified copy of any
redeem, regardless of whether there have been any assignment necessary to establish his/her
prior redemptions and the date of such claim; and
redemptions; and the moment said judgment debtor 3. An affidavit executed by him/her or his/her
redeems, there shall be no further redemption. The agent, showing the amount then actually
redemptioner, on the other hand, must redeem due on the lien. (Rule 39, Section 30)
within the one-year period, if he is the first
redemptioner, and within 60 days from the last Manner of Using Premises Pending
redemption, if he is a subsequent redemptioner, Redemption; Waste Restrained
provided that the judgment debtor has not exercised Until the expiration of the time allowed for
his right of redemption. (Regalado, Remedial Law redemption, the court may, as in other proper
Compendium, Vol. I, Sixth Revised Edition, p. 457) cases, restrain the commission of waste on the
property by injunction, on the application of the
Redemption price purchaser or the judgment obligee, with or without
By the judgment obligor or first redemptioner: notice. (Rule 39, Section 31)
1. Purchase price.
2. 1%interest per month thereon, up to What is NOT Considered Waste that can be
the time of redemption. Restrained
3. Any amount of assessments or taxes It is NOT waste for a person in possession of the
which the purchaser may have paid property at the time of the sale, or entitled to
thereon after purchase and interest on possession afterwards, during the period allowed
such last named amount at the same for redemption:
rate. and To continue to use it in the same manner in which it
4. If the purchaser be also a creditor was previously used; or
having a prior lien to that of the To use it in the ordinary course of husbandry; or
redemptioner, other than the judgment To make the necessary repairs to buildings thereon
under which such purchase was while he/she occupies the property. (Rule 39,
made, the amount of such other lien, Section 31)
with interest.
By subsequent redemptioners: Rents, earnings and income of property pending
1. Amount paid on the last redemption. redemption
2. 2% interest per month thereon. All rents, earnings and income derived from the
3. Any amount of assessments or taxes property pending redemption shall belong to the
which the last redemptioner may have judgment obligor until the expiration of his/her
paid thereon after redemption by period of redemption. (Rule 39, Section 31)
him/her with interest on such last
named amount; and Deed and possession to be given at expiration
4. Amount of any liens held by said last of redemption period; by whom executed or
redemptioner prior to his/her own, with given
interest. 1. If NO redemption is made within one (1)
year from the date of the registration of the
certificate of sale - the purchaser is

156
 entitled to a conveyance and possession require the debtor to appear and his/her property or
of the property. income be examined. (Rule 39, Section 6)
2. If redeemed whenever sixty (60) days
have elapsed and no other redemption has Limitation
been made, and notice thereof given, and No judgment obligor shall be required to appear
the time for redemption has expired – the before a court or commissioner outside the
last redemptioner is entitled to the province or city in which such obligor resides or is
conveyance and possession. found.

In all cases the judgment obligor shall have the 8. EXAMINATION OF DEBTORS OF THE
entire period of one (1) year from the date of the JUDGMENT OBLIGOR
registration of the sale to redeem the property.
The court may order to be examined any person or
The deed shall be executed by:
corporation who has property of the debtor, or is
1. The officer making the sale; or
indebted to the debtor in order to bind the credits
2. His/her successor in office. due to debtor. (Rule 39, Section 37)
Recovery of price if sale not effective; revival of
Enforcement of Attendance and Conduct of
judgment
Examination
The purchaser may recover the purchase price if:
A party or other person may be compelled, by an
1. The purchaser or his/her successor-in-
order or subpoena, to attend before the court or
interest, fails to recover the possession
commissioner to testify as provided in Sections 36
thereof; or and 37. (Rule 39, Section 38)
2. Is evicted therefrom:
a. In consequence of irregularities in
the proceedings concerning the 9. EFFECT OF JUDGMENT AND FINAL
sale; or ORDERS
b. Because the judgment has been
reversed or set aside; or Effects of Judgments IN REM
c. Because the property sold was In case of a judgment or final order:
exempt from execution; or 1. Against a specific thing; or
d. Because a third person has 2. In respect to the probate of a will; or
vindicated his/her claim to the 3. The administration of the estate of a
property. deceased person; or
4. In respect to the personal, political, or
The purchaser may: legal condition or status of a particular
a. File a motion in the same action or in a person or his relationship to another
separate action to recover from the (Example: naturalization, adoption,
judgment obligee the price paid, with and annulment of marriage)
interest, or so much thereof as has not
been delivered to the judgment obligor, or The judgment or final order is CONCLUSIVE upon
b. File a motion to have the original judgment the title to the thing, the will or administration or the
revived in his/her name for the whole price condition, status or relationship of the person.
with interest, or so much thereof as has Exception: The probate of a will or granting of
been delivered to the judgment obligor. letters of administration shall only be PRIMA
(Rule 39, Section 34) FACIE evidence of the death of the testator or
intestate. (Rule 39, Section 47)
Note: The judgment so revived shall have the same
force and effect as an original judgment would have Effects of Judgments IN PERSONAM
as of the date of the revival and no more. In OTHER CASES, the judgment or final order is,
with respect to the matter directly adjudged or
Right to contribution or reimbursement as to any other matter that could have been
Contribution and reimbursement may be obtained in missed in relation thereto, CONCLUSIVE
a separate action, unless cross claims have been between the parties and their successors in
filed and adjudicated in the same action, in which interest, by title subsequent to the
case, execution may issue to compel contribution or commencement of the action or special
reimbursement. (Feria and Noche, Civil Procedure proceeding, litigating for the same thing and
Annotated, 2013 ed., vol 2) under the same title and in the same capacity.
(RES JUDICATA or BAR BY PRIOR
7. EXAMINATION OF JUDGMENT JUDMENT)
OBLIGOR WHEN JUDGMENT IS In ANY OTHER LITIGATION BETWEEN THE
SATISFIED SAME PARTIES OR THEIR SUCCESSORS
IN INTEREST, that only is deemed to have
Upon return of writ of execution, and judgment is been adjudged in a former judgment or final
still unsatisfied, the creditor may ask the court to order which appears upon its face to have been

157
 so adjudged, or which was actually and the grounds of want of jurisdiction, want of notice to
necessarily included therein or necessary the party, collusion, fraud, or clear mistake of law or
thereto. (ESTOPPEL BY JUDGMENT OR fact, have the opportunity to challenge the foreign
CONCLUSIVENESS OF JUDGMENT) judgment. (Feria and Noche, Civil Procedure
Annotated, 2013 ed., vol. 2, p. 288)
Judgment is deemed CONCLUSIVE when the
issues actually and directly resolved in a former suit END OF TOPIC
cannot again be raised in any future case between
the same parties involving a different cause of
action.

Res Judicata or Bar By Prior Judgment R. PROVISIONAL REMEDIES

A judgment or decree of a court of competent
jurisdiction concludes the litigation between the
parties and their successors or privies and bars a 1. Nature of provisional remedies
new action or suit involving the same cause of
action.
2. Jurisdiction over provisional
remedies
Estoppel by Judgment or Conclusiveness of 3. Preliminary attachment
Judgment a. Grounds for issuance of writ of
Any right, fact or matter in issue which has been attachment
directly adjudicated upon or is necessarily b. Requisites
involved in the determination of the action by a
competent court is conclusively settled by the c. Issuance and contents of order
judgment or final order and CANNOT be litigated of attachment; affidavit and
again by the parties and their privies. bond
d. Rule on prior or
10. ENFORCEMENT AND EFFECT OF contemporaneous service of
summons
FOREIGN JUDGMENTS OR FINAL
e. Manner of attaching real and
ORDERS personal property; when
property attached is claimed
In case of a judgment or final order UPON A by third person
SPECIFIC THING:
f. Discharge of attachment and
The judgment or final order is conclusive upon
the counter-bond
the title to the thing.
g. Satisfaction of judgment out of
In case of a judgment or final order AGAINST A property attached
PERSON: 4. Preliminary injunction
The judgment or final order is presumptive a. Definitions and differences:
evidence of a right as between the parties and preliminary injunction and
their successors in interest by a subsequent temporary restraining order;
title. status quo ante order
b. Requisites
In EITHER case, the judgment or final order may be c. Kinds of injunction
REPELLED by evidence of a:
1. Want of jurisdiction; d. When writ may be issued
2. Want of notice to the party; e. Grounds for issuance of
3. Collusion; preliminary injunction
4. Fraud; or f. Grounds for objection to, or for
5. Clear mistake of law or fact. the dissolution of injunction or
restraining order
ENFORCEMENT g. Duration of TRO
In order to enforce a foreign judgment in the h. In relation to R.A. 8975, ban on
Philippines, it is necessary to file an action based issuance of TRO or writ of
on said judgment. A foreign judgment is presumed injunction in cases involving
valid and binding in the country from which it government infrastructure
comes, until the contrary is show. (Feria and Noche, projects
Civil Procedure Annotated, 2013 ed., vol. 2, p. 287)
i. Rule on prior or
contemporaneous service of
RECOGNITION
summons in relation to
A defendant in a Philippine court may invoke a
attachment
foreign judgment as res judicata in his defense. It is
not necessary to institute a separate action or 5. Receivership
proceeding for recognition of the foreign judgment, a. Cases when receiver may be
as long as the parties opposed to the judgment on appointed

158
 b. Requisites the jurisdiction of the Regional Trial Court.
(Regalado, 2008)
c. Requirements before issuance
of an order
d. General powers of a receiver 3. PRELIMINARY ATTACHMENT (Rule
e. Three kinds of bonds 57)
f. Termination of receivership ATTACHMENT
6. Replevin Attachment is a provisional remedy by which the
a. When may writ be issued property of an adverse party is taken into legal
b. Requisites custody, either at the commencement of an action
c. Affidavit and bond; redelivery or at any time thereafter, as a security for the
bond satisfaction of any judgment that may be recovered
by the plaintiff or any proper party (Olib v. Pastoral,
G.R. No. 81120, 1990)
1. NATURE OF PROVISIONAL
REMEDIES The attachment of the property of the defendant
converts an ordinary action in personam into an
PROVISIONAL REMEDIES action quasi in rem.. In such case, jurisdiction over
Provisional remedies are temporary and ancillary the person of the defendant is not required as long
remedies to which party-litigants may resort for the as the court acquires jurisdiction over the res.
preservation or protection of their rights or interests, (Biaco v. Countryside Rural Bank, G.R. No. 161417,
and for no other purpose, during the pendency of 2007)
the principal action. (Feria and Noche, 2013)
Kinds of attachments
Purpose of provisional remedies 1. PRELIMINARY ATTACHMENT - issued at the
1. To protect the rights of a party during the commencement of the action or at any time
litigation before entry of judgment as security for the
2. To secure the judgment satisfaction of any judgment that may be
3. To preserve the subject matter of the recovered. The court takes custody of the
litigation property.
4. To preserve the status quo / status quo 2. GARNISHMENT - plaintiff reaches credit
ante belonging to the defendant and owing to him
5. To prevent very serious damage; or from a third person who is a stranger to the
6. To meet a very urgent need litigation. It does not involve actual seizure of the
property. It simply impounds the property in the
Other provisional remedies garnishee‘s possession and maintains the status
1. VAWC (R.A. 9282) quo until the main action is finally decided.
2. Marital cases (nullity, annulment, legal
separation) (A.M. 02-11-12-SC) 3. LEVY ON EXECUTION - the writ issued by the
3. Custody of minors (A.M. 03-04-04-SC) court after judgment by which the property of the
4. Special rules under Alternative Dispute judgment obligor is taken into custody of the
Resolution Act (R.A. 9285) court before the sale of the property on
5. Provisional remedies relative to the rule on execution. (Riano 2009 ed)
Writ of Amparo and Writ of Habeas Data
6. Rules of Procedure for Environmental Two Fold Purposes:
Cases (A.M. No. 09-6-8-SC) 1. To seize the property of the debtor before
final judgment and put the same in custodia
2. JURISDICTION OVER PROVISIONAL legis even while the action is pending for
REMEDIES the satisfaction of a later judgment (Insular
Bank of Asia and America v. Court of
The court which grants or issues a provisional Appeals, G.R. No. L-61011, 1990)
remedy is the court which has jurisdiction over the 2. To enable the court to acquire jurisdiction
main action. (Riano, 2009) over the res or the property subject of the
action in cases where service in person or
All inferior courts can grant all appropriate any other service to acquire jurisdiction
provisional remedies. The enforcement of said writs over the defendant cannot be effected
outside the territorial jurisdiction of the inferior court (Philippine Commercial International Bank
no longer requires the approval of the RTC. v. Alejandro, G.R. No. 175587, 2007)

In the case of the provisional remedy of support When it may be availed of:
pendent lite, however, jurisprudence has held that Filing of Application - An application for the
inferior courts cannot grant the same since the main issuance of a writ of attachment may be filed at the
case wherein this remedy may be involved is within commencement of the action or at any time before
entry of judgment;

159
It may be applied for by the plaintiff or a defendant
who filed a counterclaim, a cross-claim or a third- Removal of Property
party complaint. The execution of a mortgage in favor of another
creditor is not conceived by the Rules as one of the
How long does an order of preliminary means of fraudulently disposing of one‘s property.
attachment remain effective? By mortgaging a piece of property, a debtor merely
The lien continues until the debt is paid, or the sale subjects it to a lien but ownership is not parted with.
is had under execution issued on the judgment or (Adlawan v Torres, GR Nos. 65957-58, 1994)
until the judgment is satisfied, or the attachment
discharged or vacated in the same manner provided Upon Whom Summons May Be Served By
by law. (Lim v. Lazaro, G.R. No. 185734, 2013) Publication
Quote/summarize Rule 14, Sec. 15 and 16
a. GROUNDS FOR ISSUANCE OF (Extraterritorial service) instead.
PRELIMINARY ATTACHMENT
Note: Substituted service is the normal mode of
1. In an action for the recovery of a specified service of summons that will confer jurisdiction on
amount of money or damages, other than moral the court over the person of residents temporarily
and exemplary, on a cause of action arising from out of the Philippines. Hence, the court may acquire
law, contract, quasi-contract, delict, or quasi- jurisdiction over an action in personam by mere
delict against a party who is about to depart substituted service without need of attaching the
from the Philippines with the intent to defraud his property of the defendant. (PCIB v Alejandro, supra)
creditors;
REQUISITES
2. In an action for money or property embezzled or
fraudulently misapplied or converted to his own 1. Affidavit – To ensure that the applicant states
use by a public officer, or an officer of a the truth by requiring him to allege the presence
corporation, or an attorney, factor, broker, agent, of all the legal requirements under oath. The
or clerk, in the course of his employment as affidavit is the foundation of the writ and if none
such, or by any other person in a fiduciary be filed or one be filed wholly fails to set out
capacity, or for a willful violation of duty; some facts required by law to be stated therein,
there is no jurisdiction and the proceedings are
3. In an action to recover the possession of null and void.
property unjustly or fraudulently taken, detained
or converted, when the property, or any part Contents of the affidavit
thereof, has been concealed, removed or 1. A sufficient cause of action exists
disposed of to prevent its being found or taken 2. The case is one of those mentioned
by the applicant or an authorized person; in Sec. 1, Rule 57
3. There is no sufficient security for the
4. In an action against a party who has been guilty claim sought to be enforced by the
of a fraud in contracting the debt or incurring the action
obligation upon which the action is brought, or in 4. The amount due to the applicant is
the performance thereof; as much as the sum for which the
order is granted above all legal
5. In an action against a party who has removed or counterclaims. (Rule 57, Section 3)
disposed of his property, or is about to do so,
with intent to defraud his creditors; and It is not enough to state that a sufficient cause of
action exists. The applicant must state the facts
6. In an action against a party who does not reside showing cause of action.
in the Philippines, or on whom summons may be
served by publication. (Rule 57, Section 1, Rule To convince the court that the case is one of those
57) mentioned in Section 1 of the Rule, the applicant
must state facts, i.e. place, time, date, to illustrate
Note: In grounds 1-5, Fraud (in fraud of creditors, the grounds for attachment relied upon.
fraudulent detention or removal, embezzlement,
etc.) is an essential requirement. A bare allegation that an encumbrance of property
is in fraud of creditors does not suffice. Factual
Note: The fact that the applicant is willing to post bases for such conclusion must be clearly averred.
the attachment bond is not itself a ground for the (Adlawan v Torres, GR No. 65957-58, 1994)
issuance of the writ of attachment.
The amount due to the applicant must be as much
Example of Fraud as the sum for which the order is granted above all
As a security to the loan contracted, defendant legal counterclaims, because if the adverse party
offered a fake title and a vehicle heavily mortgaged. has a counterclaim against the applicant, this may
He subsequently sold the vehicle and his two condo off-set the claim.
units before the case was filed against him. (Liberty
Insurance v. CA, GR No. 104405, 1993)

160
2. Attachment Bond – Executed in favor of the 4. The action is one in rem or quasi in rem.
adverse party in an amount fixed by the court, (Rule 57, Section 5)
the bond is conditioned to pay all the costs
which will be adjudged the adverse party and THREE STAGES in the grant of Preliminary
all damages he may sustain if the court should Attachment
later rule that the applicant is not entitled to the 1. Court issues the order granting the application
attachment. 2. The writ of attachment is issued pursuant to an
order of the court granting the writ
The surety is liable for all damages and not 3. The writ is enforced/implemented
only for damages sustained during the appeal
as this is its commitment. (Phil. Charter Ins. v For 1 & 2, it is NOT necessary that jurisdiction over
CA, GR No. 88379, 1989) the person of the defendant be first obtained. But in
the third stage, the court must have acquired
The writ will not be issued if a real estate mortgage jurisdiction over the defendant, because without
exists to secure the obligation. (Salgado v. Court of such jurisdiction, the court has no power or
Appeals, G.R. No. 55381, 1994) authority to act in any manner against the
defendant.
c. ISSUANCE OF CONTENTS OF ORDER
OF ATTACHMENT; AFFIDAVIT OF BOND e. MANNER OF ATTACHING REAL AND
PERSONAL PROPERTY; WHEN PROPERTY
An order of attachment may be issued either ex ATTACHED IS CLAIMED BY THIRD PERSON
parte or upon motion with notice and hearing by the
court in which the action is pending, or by the Court The sheriff enforcing the writ shall without delay and
of Appeals or the Supreme Court. with all reasonable diligence attach, to await
judgment and execution in the action, only so much
The order must require the sheriff of the court to of the property in the Philippines of the party against
attach so much of the property in the Philippines of whom the writ is issued as may be sufficient to
the party against whom it is issued (must not be satisfy the applicant‘s demand. (Rule 57, Section 5)
exempt from execution) as may be sufficient to
satisfy the applicant‘s demand, UNLESS such party The sheriff executing the writ shall attach real and
makes a deposit or gives a bond, which may be the personal property in the following manner:
amount sufficient to satisfy the applicant‘s demand
or the value of the property attached, EXCLUSIVE 1. Real property
of costs. a. By filing with the registry of deeds a copy of
the order, together with a description of the
Several writs may be issued at the same time to the property attached and a notice that it is
sheriffs of the courts of different judicial regions. attached, or that such real property and any
(Rule 57, Section 2) interest therein held by or standing in the
name of such other person are attached; and
Ex parte grant of the writ is allowed because it is b. By having a copy of such order, description,
possible that during the course of the hearing, the and notice with the occupant of the property,
part against whom the writ is sought may dispose of if any, or with such other person or his agent
his property or abscond before the writ is issued. if found within the province.
(Filinvest v. Relova, G.R. No. L-50378, 1982) c. Where the property has been brought under
the operation of either the Land Registration
d. RULE ON PRIOR OR Act or the Property Registration Decree, the
CONTEMPORANEOUS SERVICE OF notice shall contain a reference to the
SUMMONS number of the certificate of title, the volume
and page in the registration book where the
General Rule: certificate is registered, and the registered
No levy on attachment pursuant to the writ issued owner or owners thereof.
under Section 2, Rule 57 shall be enforced unless it d. The registrar of deeds must index
is preceded, or contemporaneously accompanied, attachments filed under this section in the
by service of summons, together with a copy of the names of the applicant, the adverse party, or
complaint, the application for attachment, the the person by whom the property is held or in
applicant‘s affidavit and bond, and the order and whose name it stands in the records.
writ of attachment, on the defendant within the e. If the attachment is not claimed on the entire
Philippines. area covered by the certificate of title, a
Exceptions: description sufficiently accurate for the
1. Summons could not be served personally or identification of the land or interest to be
by substituted service despite diligent affected shall be included in the registration
efforts, of such attachment.
2. Defendant is a resident of the Philippines
temporarily absent therefrom, 2. Personal property capable of manual
3. Defendant is a non-resident of the delivery
Philippines, or

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 By taking and safely keeping it in his custody, 2. The interests of all the parties to the action will
after issuing the corresponding receipt therefor be subserved by the sale thereof

3. Stocks or shares The court may order that the property be sold at
By leaving with the president or managing agent public auction. The proceeds will be in custodia
thereof, a copy of the writ, and a notice stating legis. (Rule 57, Section 11)
that the stock or interest of the party against
whom the attachment is issued, is attached When property attached is claimed by a third
pursuant to the writ person
1. The sheriff shall not be bound to keep the
4. Debts and credits property under attachment UNLESS the
By leaving with the person owing such debts, or attaching party or his agent, on demand of the
having in his possession or under his control, sheriff, shall file a BOND approved by the court
such credits or other personal property, or with to indemnify the third-party claimant in a sum not
his agent, a copy of the writ, and notice that the less than the value of the property levied upon.
debts owing by him to the party against whom 2. In case of disagreement as to such value, the
the attachment is issued, and the credits and same shall be decided by the court issuing the
other personal property in his possession, or writ of attachment.
under his control, belonging to said party, are 3. No claim for damages for the taking or keeping
attached in pursuance of such writ of the property may be enforced against the
bond, unless the action therefor is filed within
5. The interest in the estate of the decedent one hundred twenty (120) days from the date of
By serving the executor or administrator or other the filing of the bond.
personal representative of the decedent with a 4. The sheriff shall not be liable for damages for
copy of the writ and notice that said interest is the taking or keeping of such property, to any
attached. such third-party claimant, if such bond shall be
filed.
A copy of said writ of attachment and of said 5. Nothing herein contained shall prevent such
notice shall also be filed in the office of the clerk claimant or any third person from vindicating his
of the court in which said estate is being settled claim to the property, or prevent the attaching
and served upon the heir, legatee, or devisee property claiming damages against a third-party
concerned. claimant who filed a frivolous or plainly spurious
claim, in the same or separate action.
6. Property in custodia legis
A copy of the writ of attachment shall be filed When the writ of attachment is issued in favor of the
with the proper court or quasi-judicial agency, Republic of the Philippines, or any officer duly
and notice of the attachment served upon the representing it, the filing of such bond shall not be
custodian of such property. (Rule 57, Section 7) required, and in case the sheriff is sued for
damages as a result of the attachment, he shall be
Attachment of Debts, Credits, Similar Personal represented by the Solicitor General, and if held
Property liable therefor, the actual damages adjudged by the
Those who have in their possession or control any court shall be paid by the National Treasurer out of
credits or other similar personal property which the funds to be appropriated for the purpose. (Rule
belongs to the party against whom the attachment 57, Section 14)
is issued, or owing any debts to him, shall be liable
to the applicant for the amount of such credits, f. DISCHARGE OF ATTACHMENT AND
debts or other similar property. COUNTER-BOND

Such liability shall accrue from the time of service Preliminary attachment shall be discharged when it
upon him of the copy of the writ of attachment and is established that:
until the attachment is discharged, or any judgment 1. The debtor has posted a counterbond or has
recovered by him is satisfied, UNLESS such made the requisite cash bond (Rule 57, Section
property is delivered or transferred, or such debts 12);
are paid, to the clerk, sheriff, or other proper officer 2. The attachment was improperly or irregularly
of the court issuing the attachment. (Section 8, Rule issued as where there is no ground for
57 of the Rules of Court) attachment under Section 1 of this Rule (Rule
57, Section 13);
It is not necessary to serve summons upon the 3. The bond filed is defective or insufficient (Rule
garnishee to acquire jurisdiction upon him. All that is 57, Section 13)
required is service upon him of the writ of 4. The attachment is excessive, but the discharge
garnishment. shall be limited to the excess (Rule 57, Section
13)
When attached property may be sold after levy 5. The property attached is exempt from execution,
on attachment and before entry of judgment hence exempt from preliminary attachment
1. Property is perishable (Rule 57, Section 2 and 5); or

162
6. The judgment is rendered against the attaching party not exempt from execution. However, the
creditor (Rule 57, Section 19; Regalado, 2008 surety‘s liability is limited to the amount of the bond.
ed.)
g. SATISFACTION OF JUDGMENT OUT OF
Note: Attachment is IRREGULAR when any of the PROPERTY ATTACHED
six (6) grounds for attachment are present but
attachment was not made according to the rules. Satisfaction of judgment by sheriff
Attachment is IMPROPER when such was made on By paying to the judgment obligee the
a ground not among any of the six (6) grounds for proceeds of all sales of perishable or other
attachment. property sold in pursuance of the order of
the court, necessary to satisfy the
Counter-bond judgment;
When filed: after enforcement of the writ If any balance remain due, by selling so much
Purpose: To secure the payment of the judgment of the property, real or personal, as may be
due to the plaintiff. necessary to satisfy the balance;
Requirement: Discharge not automatic. There must By collecting from all persons having in their
be a hearing and an order issued by the court. possession credits belonging to the
judgment obligor, or owing debts to the
Filing of a counter-bond not a waiver to claim latter at the time of the attachment of such
damages credits or debts
The filing of a counter-bond does not relieve
applicant‘s attachment bond‘s liability for damages. Sheriff’s Return
Liability attaches if the plaintiff is not entitled to the The sheriff, after paying the obligee, shall make a
attachment because the requirements entitling him return in writing to the court of his proceedings and
to the writ are wanting, or if the plaintiff has no right furnish the parties with copies thereof. (Section 15,
to the attachment because the facts stated in his Rule 57 of the Rules of Court)
affidavit, or some of them are untrue. (Calderon v
IAC, GR No. 74696, 1987) The sheriff, upon reasonable demand, must return
to the judgment obligor the attached property
Discharge of Attachment Improperly Issued remaining in his hands, and any proceeds of the
How to obtain discharge: Motion and Hearing is sale of the property attached not applied to the
necessary (Rule 57, Sec. 12 and 13) judgment. (Section 16, Rule 57 of the Rules of
When filed: before or after levy or after release of Court)
attached property
Burden of proof: the attaching creditor must show Claim against the counter-bond (Section 17,
that the writ was properly issued. Rule 57 of the Rules of Court)
The surety becomes liable when the judgment
When discharge due to improper issuance not becomes final. Requisites for recovery include:
available: 1. A demand made upon the surety for the
satisfaction of the judgment;
When the ground for the issuance of the writ forms 2. The surety be given notice and
the core of the complaint, the writ cannot be summary hearing in the same actions as to
discharged until after trial on the merits. May a his liability for judgment under the counter-
party move for the discharge of the attachment on bond.
the ground of improper issuance even after he has
filed a counterbond? 4. PRELIMINARY INJUNCTION (Rule
58)
Yes. The filing of a counterbond is not a waiver to
question the impropriety of the writ. However, when
When the injunction sought is mandatory, a writ of
the ground for the issuance of the writ forms the
preliminary injunction tends to do more than to
core of the complaint, the writ cannot be discharged
maintain the status quo because it commands the
until after trial on the merits. This is because the
performance of specific acts and is issued only in
court cannot allow the litigation of the main issue of
cases of extreme urgency and where the right of the
the case prior to trial. (Liberty Insurance Corp. v CA,
applicant is clear. (Riano 2009 ed.)
GR No. 104405, 1993)
a. DEFINITIONS AND DIFFERENCES:
Is the liability of the attaching party on account
PRELIMINARY INJUNCTION AND
of improper, irregular or excessive attachment
TEMPORARY RESTRAINING ORDER;
limited to the amount of the bond?
STATUS QUO ANTE ORDER
NO. Should the bond or deposit given the by the
attaching party be insufficient or fails to fully satisfy PRELIMINARY INJUNCTION
the award, the rules do not prevent the party
It is an order granted at any stage of an action or
against whom attachment was issued from
proceeding before the judgment or final order,
recovering in the same action the damages
requiring a party or a court, agency or person to:
awarded to him from any property of the attaching
1. Refrain from a particular act or acts
(prohibitory injunction); or

163
 2. Perform a particular act or acts (mandatory 4. Meanwhile, the executive judge of a
injunction). (Section 1, Rule 58 of the multiple-sala court or the presiding judge
Rules of Court) of a single-sala court may issue ex parte a
TRO effective for seventy-two (72) hours
A preliminary mandatory injunction is more from issuance if:
cautiously regarded than a mere prohibitive a. The matter is of extreme urgency;
injunction since, more than its function of preserving and
the status quo between the parties, it also b. The applicant will suffer grave
commands the performance of an act. Thus, the injustice or irreparable injury.
issuance of a writ of preliminary mandatory (Rule 58, Section 5)
injunction is justified only in a clear case, free from
doubt or dispute. (Ngo v Allied Banking Corp, G.R. REQUISITES
No. 177420, 2010) 1. Verified application showing facts entitling the
applicant to the relief demanded
Status quo
The status quo is the last actual peaceful Application must be verified
uncontested situation (LAPUS) which precedes a The Sandiganbayan cannot validly issue a TRO on
controversy, and its preservation is the office of an the basis of a communication (letter) which is not
injunctive writ. (Verzosa v. CA, GR No. 119511-13, verified. (Republic v Sandiganbayan, GR No.
1998) It usually refers to the status of the parties 89553, 1993)
immediately before the filing of the complaint.
2. Injunction bond – in an amount fixed by the court.
What must be alleged
1. The invasion of the right is material and Purpose
substantial; To compensate the party against to whom the
2. The right of the complainant is clear and injunction is issued for all damages which may
unmistakable; sustain by reason of the injunction or temporary
3. There is urgent and paramount necessity restraining order if the court should finally decide
for the writ to prevent serious damage; and that the applicant was not entitled thereto.
4. Its effect would not be to create a new
relation between the parties which was The application for TRO shall be acted upon only
arbitrarily interrupted by the defendant. after a summary hearing conducted within twenty
(Regalado 2008 ed.) four (24) hours after the sheriff‘s return of service
and/or the records are received by the branch
Injunction is resorted to only when there is a selected by raffle and to which the records shall be
pressing necessity to avoid injurious consequences transmitted immediately.
which cannot be remedied under any standard
compensation. The sole objective of a writ of If filed in a multiple-sala court, the application shall
preliminary injunction is to preserve the status quo be raffled only after notice and in the presence of
until the merits of the case can be heard fully. the adverse party.
(Uniliver v CA, GR No. 119280, 2006)
Prior or contemporaneous service of summons
TEMPORARY RESTRAINING ORDER (TRO) Notice shall be preceded or contemporaneously
1. It is a temporary or provisional order to accompanied by service of summons, together with
maintain the subject of controversy in a copy of the complaint or initiatory pleading and
status quo until the hearing of an the applicant‘s affidavits and bond, upon the
application for a temporary injunction. adverse party in the Philippines.
2. Unlike the injunction, it is intended as a
restraint upon the defendant until the Exception: where the summons could not be served
propriety of granting an injunction personally or by substituted service despite diligent
pendente lite can be determined, and it efforts, or the adverse party is a resident of the
goes no further than to preserve the status Philippines temporarily absent therefrom or is a
quo until such determination. Accordingly, non-resident thereof. (Rule 58, Section 4)
the grant, denial, or lifting thereof does not
in any way pre-empt the court‘s power to STATUS QUO ANTE ORDER
decide the issue in the main action which An order that directs the maintenance of the
is the injunction suit. (Regalado 2008 ed.) condition prevailing before the promulgation of the
3. The court to which the application for assailed decision or the status quo ante.
preliminary injunction was made may issue
a TRO, effective for 20 days from notice to The Rules of Court do not sanction the issuance of
the party or person sought to be enjoined, a status quo ante order. But in cases where the
if it shall appear from facts shown by SQAO is issued by a court or agency other than the
affidavits or by the verified application that Supreme Court, the SQAO is deemed to have the
great or irreparable injury would result to ―nature of a temporary restraining order,‖ and thus
the applicant before the matter can be must comply with the requisites for a TRO in
heard on notice. applicable cases. Thus, it cannot exceed the 20

164
day term and cannot be ―indefinite.‖ Procedural (a) There must Same with If issued by the
requirements of hearing and notice must also be be a verified preliminary Supreme Court
complied with. (See Repol v. Comelec, GR application; injunction. –
161418, 2004; Llamzon v. PEZA Board of Inquiry, (b) The Where the
GR 167445, 2007) application must TRO shall be conservation of
show facts acted upon the status quo
The Supreme Court, in jurisprudence, may issue entitling the only after the is desirable or
SQAOs without restriction. applicant to the sheriff‘s return essential…
relief demanded; of service (Regalado,
The Supreme Court has issued a status quo order (c) A bond must and/or the Remedial Law
which, as the very term connotes, is merely be filed, unless records are Compendium
intended to maintain the last, actual, peaceable and exempted in the received by the vol. I, 734-35)
uncontested state of things which preceded the court where the branch
controversy. This was resorted to when the action is selected by If issued by a
projected proceedings in the case made the pending; and raffle. lower court –
conservation of the status quo desirable or (d) Prior notice must comply
essential, but the affected party neither sought such and hearing for with requisites
relief nor did the allegations in his pleading the for a TRO
sufficiently make out a case for a temporary party/persons under the
restraining order. The status quo order was thus sought to be Rules.
issued motu proprio or on equitable considerations. enjoined.
Also, unlike a temporary restraining order or a
When to File
preliminary injunction, a status quo order is more in
the nature of a cease and desist order, since it does
not direct the doing or undoing of acts as in the At any stage of When great or At any stage of
case of a prohibitory or mandatory injunctive relief. an action or irreparable an action or
The further distinction is provided by the present proceeding prior injury would proceeding
amendment in the sense that, unlike the amended to the judgment result to the prior to the
rule on restraining orders, a status quo order does or final order applicant judgment or
not require the posting of a bond. (Regalado, before the final order.
Remedial Law Compendium vol. I, 734-35) matter can be
heard on
COMELEC may issue a status quo ante order. notice.
(Dimayuga v. COMELEC, G.R. No. 174763, 2007)
When the
It is an interlocutory order. (Dimayuga v. matter is of
COMELEC, G.R. No. 174763, April 24, 2007) extreme
urgency and
The ―status quo‖ is the last actual peaceable the applicant
uncontested situation, which precedes a will suffer
controversy. (Philippine Economic Zone Authority v. grave injustice
Vianzon, G.R. No. 131020, 2000) and irreparable
injury, the
judge may
PRELIMINARY TEMPORARY STATUS QUO issue ex parte
INJUNCTION RESTRAINING ANTE ORDER a TRO
ORDER effective for 72
hours from
Purpose issuance.
To prevent To preserve To maintain the
future injury and the status quo status quo ante Where to File
maintain the ante until the or the condition
status quo for hearing of the prevailing
the duration of application for before the
the proceedings preliminary controversy
injunction until further
orders by the
Supreme
Court.

Requisites

165
RTC having territorial jurisdiction The Rules of continuance of the act or acts or
over the act sought to be enjoined Court do not confirming the preliminary mandatory
or the principal office of the state where to injunction. (Rule 58, Section 9)
corporation whose acts are file an
sought to be enjoined; Court of application for WHEN WRIT MAY BE ISSUED
Appeals; Supreme Court. status quo ante Preliminary injunction is granted at any stage of the
order. proceedings prior to the judgment or final order.
However, but (Section 1, Rule 58 of the Rules of Court)
from the
definition of Examples of when preliminary injunction may
status quo as be issued based on jurisprudence:
the last 1. In petitions for relief from
peaceable judgment entered through fraud,
uncontested accident, mistake, or excusable
status in the negligence;
case, when a 2. In actions for certiorari,
court issues a prohibition, and mandamus;
TRO to 3. In actions for annulment of
maintain the judgments obtained through
status quo, it fraud;
refers to the 4. In actions for annulment of
status quo judgments which are not patent
ante. nullities (i.e. want of jurisdiction,
lack of due process of law);
Period of Effectivity
5. To restrain continued breach of
valid negative obligation;
Until the final RTC – 20 Until the final 6. To enjoin repeated trespass of
disposition of days, non- disposition of land;
the principal extendible the principal 7. To restrain the city from
action (including the action or as proceeding with abatement of
original 72 may be nuisance per accidens before it
hours) directed by the has been judicially declared as
Supreme such;
CA – may be Court. 8. To restrain voting of disputed
effective for 60 shares of stocks; and
days from 9. To restrain the sheriff from selling
service on the property on execution not
party or person belonging to judgment debtor.
sought to be
enjoined Generally, a criminal prosecution may not be
restrained or stayed by injunction, preliminary
SC – may be or final, except:
effective until 1. To afford adequate protection to
further orders the constitutional rights of the
accused;
c. KINDS OF INJUNCTION 2. When necessary for the orderly
administration of justice or to
1. PRELIMINARY INJUNCTION - An order granted avoid oppression or multiplicity of
at any stage of an action or proceeding prior to the action;
judgment or final order: 3. Where there is a prejudicial
1. Requiring a party or a court, agency or a question which is sub judice;
person to refrain from a performance of a 4. When the acts of the officers are
particular act or acts (preventive or without or in excess of authority;
prohibitive injunction); or 5. When double jeopardy is clearly
2. Also requiring the performance of a apparent;
particular act or acts (mandatory 6. When the prosecution is under an
injunction). (Rule 58, Section 1); invalid law, ordinance, or
(Regalado 2008 ed.) regulation;
7. Where the court has no
2. FINAL INJUNCTION jurisdiction over the offense;
1. Granted if, after the trial of the action, it 8. Where it is a case of persecution
appears that the applicant is entitled to rather than prosecution;
have the act or acts complained of 9. Where charges are manifestly
permanently enjoined false and motivated by lust or
2. May perpetually restrain the party or vengeance; and
person enjoined from the commission or

166
 10. When there is clearly no prima The following requisites must be proved before a
facie case against the accused writ of preliminary injunction will issue:
and a motion to quash on that 1. T
ground has been denied (Brocka he applicant must have a clear and
v. Enrile, G.R. Nos. 69863-65, unmistakable right to be protected, that is, a
1990) right in esse;
2. T
Examples of when preliminary injunction here is a material and substantial invasion
was not issued: of such right;
1. To take property out of the 3. T
possession of one party and here is an urgent need for the writ to
place it in another whose title is prevent irreparable injury to the applicant;
not clearly established; and
2. When action for damages would 4. N
adequately compensate the o other ordinary, speedy, and adequate
injuries caused; remedy exists to prevent the infliction of
3. To prevent directors from irreparable injury. (Incorporators Of
discharging their office and Mindanao Institute Inc., et al v. The United
restoring former directors; and Church Of Christ In The Philippines, G.R.
4. To restrain criminal prosecution No. 171765, 2012)
where the Ombudsman had
authorized the special prosecutor Mere prima facie evidence is needed to establish
to conduct a preliminary the applicant‘s rights or interests in the subject
injunction or to file an injunction. matter of the main action. (Republic v. Evangelista,
5. To enjoin the collection of G.R. No. 156015, 2005)
national internal revenue taxes
but not local taxes (Angeles City Entitled to Relief Demanded
v. Angeles City Electric When there is a clear finding that the applicant is
Corporation, G.R. No. 166134, indeed the owner of the land in dispute – the
2010) applicant is entitled to the benefit of injunctive relief
to remove intruders (Sps. Dela Rosa v Heirs of
No court shall issue a temporary restraining order or Juan Valdez, GR No. 159101, 2011)
writ of injunction against any freeze order issued by
the Anti-Money Laundering Council except the The writ will not issue of documents show that the
Court of Appeals or the Supreme Court. (Section right of the applicant is disputed, i.e. existence of
10, RA 9160) lien on properties sought to be released from the
mortgage. (Ngo v Allied Banking Corp, supra.)
e. GROUNDS FOR ISSUANCE OF
PRELIMINARY INJUNCTION A writ of preliminary injunction cannot be issued
without a prior notice and hearing. It cannot be
A preliminary injunction may be granted when it is issued ex parte. (Rule 58, Section 5)
established:
1. That the applicant is entitled to the relief Injunction contemplates acts being committed or
demanded, and the whole or part of such about to be committed; thus, it does not lie against
relief consists in restraining the commission acts already consummated. (Regalado, 2008 ed.)
or continuance of the act or acts
complained of, or in requiring the It also neither protects contingent or future rights
performance of an act or acts, either for a nor lies to enforce an abstract right. (Cerenio v.
limited period or perpetually; Dictado G.R. No. 81550, 1988)
2. That the commission, continuance, or non-
performance of the act or acts complained f. GROUNDS FOR OBJECTION TO, OR
of during the litigation would probably work FOR THE DISSOLUTION OF INJUNCTION OR
injustice to the applicant; or RESTRAINING ORDER
3. That a party, court, agency or a person is
doing, threatening, or is attempting to do, or The application for injunction or restraining
is procuring or suffering to be done, some order:
act or acts probably in violation of the rights 1. May be denied upon a showing of its
of the applicant respecting the subject of the insufficiency;
action or proceeding, and tending to render 2. May be denied or, if granted, dissolved, on
the judgment ineffectual. (Section 3, Rule other grounds upon affidavits of the party or
58 of the Rules of Court) person enjoined, which may be opposed by
the applicant also by affidavits;
Requisites for the issuance of a writ of 3. May further be denied or, if granted,
preliminary injunction/TRO based on dissolved, if it appears after hearing that:
jurisprudence: a. Although the applicant is entitled to
the injunction or restraining order, the

167
 issuance or continuance thereof, as failure of the trial court to fix a period in the
the case may be, would cause temporary restraining order does not convert it to a
irreparable damage to the party or preliminary injunction. Where there is an omission
person enjoined while the applicant to fix the period, the twenty (20) day period is
can be fully compensated for such deemed incorporated in the order. (Bacolod City
damages as he may suffer; and Water District v. Labayen, G.R. No. 157494, 2004)
b. The former files a bond in an amount
fixed by the court conditioned that he 2. 72-hour TRO
will pay all damages which the It shall be granted if: (i) the matter is of extreme
applicant may suffer by the denial or urgency; and (ii) the applicant will suffer grave
dissolution of the restraining order. injustice and irreparable injury. It shall be granted
by the executive judge of a multiple-sala court or
If it appears that the extent of the preliminary the presiding judge of a single-sala court, who shall
injunction or restraining order granted is too great, it immediately comply with Sections 4 and 5, Rule 58
may be modified. (Rule 58, Section 6) as to service of summons and the documents to be
served therewith.
Examples of when TRO may not be issued
based on jurisprudence: The effectivity of the TRO starts from its issuance,
1. To take property out of the possession of one not service. Within this period, the judge before
party and place it in another whose title is not whom the case is pending shall conduct a summary
clearly established; hearing to determine whether the TRO shall be
2. When action for damages would adequately extended until the application for preliminary
compensate the injuries caused; injunction can be heard.
3. To prevent directors from discharging their
office and restoring former directors; and Effectivity of TRO
4. To restrain criminal prosecution where the In no case shall the total period of effectivity of the
Ombudsman had authorized the special TRO exceed twenty (20) days, including the original
prosecutor to conduct a preliminary seventy two (72) hours so provided.
injunction or to file an injunction.
5. To enjoin the collection of national internal In the event that the application for preliminary
revenue taxes but not local taxes. (Angeles injunction is denied or not resolved within the said
City v. Angeles City Electric Corporation, period, the TRO is deemed automatically vacated.
G.R. No. 166134, 2010) The effectivity of a TRO is not extendible without
6. National government projects covered by the need of any judicial declaration to the effect and no
Build-Operate-Transfer Law. court shall have authority to extend or renew the
same on the same ground for which it was issued.
g. DURATION OF A TEMPORARY
RESTRAINING ORDER (TRO) The TRO shall be effective for sixty (60) days if
issued by the CA or a member thereof.
2 Kinds of TRO:
1. 20-day TRO The TRO shall be effective until further notice if
It shall be granted if it shall appear from facts shown issued by the Supreme Court or a member thereof.
by affidavits or by the verified application that great (Rule 58, Section 5)
or irreparable injury would result to the applicant
before the matter can be heard on notice and When injury irreparable
hearing on the application for preliminary injunction. If it is of such constant and frequent recurrence
that no fair or reasonable redress can be had
It shall be granted by the court to which the therefor in a court of law (Gilchrist v. Cuddy,
application for preliminary injunction was made and G.R. No. L-9356, 1915); or
is effective for the said period, to be counted from Where there is no standard by which their
notice to the person or party sought to be enjoined. amount can be measured with reasonable
accuracy—that is, it is not susceptible of
Within this period, the court must mathematical computation. (Regalado 2008
1. Order said party or person to show ed.)
cause, at a specified time and place,
why the injunction should not be Respondents assert that foreclosure of their
granted; property may cause irreparable damage, thus
2. Determine within the same period justifying the issuance of the writ of preliminary
whether the preliminary injunction injunction. The SC held that foreclosure of
should be granted; and mortgaged property is not an irreparable damage
3. Accordingly issue the corresponding that will merit for the debtor-mortgagor the
order. extraordinary provisional remedy of preliminary
injunction as ―all is not lost for defaulting mortgagors
The rule against the non-extendibility of the twenty whose properties were foreclosed by creditors-
(20) day effectivity of a temporary restraining order mortgagees.‖ The respondents will not be deprived
is absolute if issued by a Regional Trial Court. The outrightly of their property, given the right of

168
redemption granted to them under the law.
Moreover, in extrajudicial foreclosures, mortgagors i. RULE ON PRIOR CONTEMPORANEOUS
have the right to receive any surplus in the selling SERVICE OF SUMMONS IN RELATION TO
price. Thus, if the mortgagee is retaining more of ATTACHMENT
the proceeds of the sale than he is entitled to, this
fact alone will not affect the validity of the sale but The application for a writ of preliminary injunction
will give the mortgagor a cause of action to recover may or may not be included in a complaint or any
such surplus. (Solid Builders, Inc v China Banking initiatory pleading. In any event, the notice of
Corporation, 695 SCRA 103, 2013) hearing on the said application shall be preceded or
contemporaneously accompanied by service of
h. IN RELATION TO RA 8975, BAN ON summons, together with a copy of the complaint or
ISSUANCE OF TRO OR WRIT OF initiatory pleading and the applicant‘s affidavits and
INJUNCTION IN CASES INVOLVING bond, upon the adverse party in the Philippines.
GOVERNMENT INFRASTRUCTURE
PROJECTS But, where the summons could not be served
personally or by substituted service despite diligent
Except for the Supreme Court, no court shall issue efforts, or the adverse party is a resident of the
any TRO, preliminary injunction, or preliminary Philippines temporarily absent therefrom or is a
mandatory injunction against the government, or non-resident thereof, the requirements of prior or
any of its subdivisions, officials, or any person or contemporaneous service of summons shall not
entity, whether public or private, acting under the apply. (Rule 58, Section 4)
government‘s discretion, to restrain, prohibit, or
compel the following acts: Duty of the court that issued the writ:
The trial court, the Court of Appeals, the
1. Acquisition, clearance, and development of Sandiganbayan or the Court of Tax Appeals that
the right-of-way and/or site or location of issued the writ of preliminary injunction against a
any national government project; lower court, board, officer, or quasi-judicial agency
2. Bidding or awarding of contract/project of shall decide the main case or petition six (6) months
the national government; from the issuance of the writ. (A.M. No. 07-7-12-SC,
3. Commencement, prosecution, execution, Effective December 27, 2007)
implementation, or operation of any such
contract or project; 5. RECEIVERSHIP (Rule 59)
4. Termination or rescission of any such
contract/project; and Purpose
5. The undertaking or authorization of any To protect and preserve the rights of the parties
other lawful activity necessary for such during the pendency of the main action, during the
contract/project. pendency of an appeal, or as an aid in the
execution of a judgment when the writ of execution
This prohibition shall apply in all cases, disputes, has been returned unsatisfied. (Rule 59, Section 1)
or controversies instituted by a private party,
including but not limited to cases filed by bidders or Receivership is aimed at the preservation of, and at
those claiming to have rights through such bidders making more secure, existing rights. It cannot be
involving such contract/project. used as an instrument for the destruction of those
rights. (Arranza v. B.F. Homes, Inc., 33 SCRA 799,
This prohibition shall not apply: 2000)
1. When the matter is of extreme urgency
involving a constitutional issue, such that Property subject of receivership must be under
unless a TRO is issued, grave injustice and litigation.
irreparable injury will arise; and
2. Upon the filing of a bond by the applicant, RECEIVER
the amount which is to be fixed by the court A receiver is a person appointed by the court in
and shall accrue in favor of the government behalf of all the parties to the action for the purpose
if the court should finally decide that the of preserving and conserving the property in
applicant was not entitled to the relief litigation and prevent its possible destruction or
sought. (Section 3 of R.A. 8975) dissipation, if it were left in the possession of any of
the parties. The appointment of a receiver is not a
Any TRO, preliminary injunction, or preliminary matter of absolute right. It depends upon the sound
mandatory injunction issued in violation of Sec. 3 is discretion of the court and is based upon the facts
void and of no force and effect. (Section 4 of R.A. and circumstances of each case. (Commodities
8975) Storage & Ice Plant Corporation v. Court of
Appeals, 274 SCRA 439)
Any judge who shall issue the same in violation of
Section 3 shall suffer the penalty of suspension of A receiver is not an agent or representative of any
at least 60 days without pay, in addition to any civil party to the action. He is an officer of the court
or criminal liabilities he or she may incur under exercising his functions in the interest of neither
existing laws. (Section 6 of R.A. 8975) plaintiff nor defendant, but for the common benefit

169
of all parties in the interest. He performs his duties
―subject to the control of the Court,‖ and every During the pendency of an appeal, the appellate
question involved in the receivership may be court may allow an application for the appointment
determined by the court taking cognizance of the of a receiver to be filed in and decided by the court
receivership proceedings. (Pacific Merchandising of origin and the receiver appointed to be subject to
Corporation v. Consolacion Insurance & Surety Co., the control of said court. (Rule 59, Section 1)
73 SCRA 564, 1976)
c. REQUIREMENTS BEFORE ISSUANCE
a. CASES WHEN RECEIVER MAY BE OF AN ORDER
APPOINTED
1. Verified application for the appointment
b. REQUISITES of a receiver based on any of the grounds
enumerated in Section 1, Rule 59; and
Upon a verified application, one or more receivers 2. Bond filed by the applicant and executed
of the property subject of the action or proceeding to the party against whom the application
may be appointed by the court where the action is is presented, in an amount to be fixed by
pending, or by the Court of Appeals or by the the court, to the effect that the applicant
Supreme Court, or a member thereof, in the will pay such party all damages the latter
following cases: may sustain by reason of the appointment
of such receiver in case the applicant
1. When it appears from the verified application should have procured the same without
and such other proof as the court may require, sufficient cause.
that the party applying for the appointment of a
receiver has an interest in the property or fund The court may, in its discretion, at any time after the
which is the subject of the action or proceeding, appointment, require an additional bond as further
and that such property or fund is in danger of security for such damages. (Rule 59, Section 2)
being lost, removed, or materially injured
unless a receiver be appointed to administer Procedure for Appointment of a Receiver
and preserve it; 1. A verified application must be filed by the
2. When it appears in an action by the mortgagee party applying for the appointment of a
for the foreclosure of a mortgage that the receiver.
property is in danger of being wasted or 2. The applicant must have an interest in the
dissipated or materially injured, and that its property or funds subject of the action.
value is probably insufficient to discharge the 3. The applicant must show that the property
mortgage debt, or that the parties have so or funds is in danger of being lost, removed,
stipulated in the contract of mortgage; materially altered, wasted or dissipated or there
3. After judgment, to preserve the property is a need to preserve or administer the
during the pendency of an appeal, or to property, or that all the grounds justifying the
dispose of it according to the judgment, or to appointment of a receiver exist.
aid execution when the execution has been 4. The application must be with notice and
returned unsatisfied or the judgment obligor set for hearing
refuses to apply his property to the satisfaction 5. The applicant must post a bond in favor of
of the judgment or otherwise carry the the party against whom the application is
judgment into effect; or presented before the court issues the
4. Whenever in other cases it appears that the appointment of a receiver.
appointment of a receiver is the most 6. Before entering upon his duties, the
convenient and feasible means of receiver must be sworn to perform his duties
preserving, administering, or disposing the faithfully and shall file a bond. (Regalado, 2012
property in litigation. ed.)

Sec. 1(d), Rule 59 of the Rules of Court is couched d. GENERAL POWERS OF A RECEIVER
in general terms and broad in scope, encompassing
instances not covered by the other grounds Subject to the control of the court in which the
enumerated under the said section. However, in action is pending, a receiver shall have the power
granting applications for receivership on the basis of to:
this section, courts must remain mindful of the basic 1. Bring and defend actions in his own name
principle that receivership may be granted only in his capacity as receiver;
when the circumstances so demand, either because 2. Take and keep possession of the property
the property sought to be placed in the hands of a subject of the controversy;
receiver is in danger of being lost or because they 3. Receive rents;
run the risk of being impaired, and that being a 4. Collect debts due to himself as receiver or
drastic and harsh remedy, receivership must be to the fund, property, estate, person, or
granted only when there is a clear showing of corporation of which he is the receiver;
necessity for it in order to save the plaintiff from 5. Compound for and compromise the same;
grave and immediate loss or damage. (Tantano v. 6. Make transfers;
Caboverde, G.R. No. 203585, 2013) 7. Pay outstanding debts;

170
8. Divide the money and other property that
shall remain among the persons legally entitled f. TERMINATION OF RECEIVERSHIP
to receive the same; and
9. Generally to do such acts respecting the Whenever the court, motu proprio or on motion of
property as the court may authorize. either party, shall determine that the necessity for a
But funds in the hands of a receiver may receiver no longer exists, it shall, after due notice to
be invested only by order of the court upon all interested parties and hearing:
the written consent of ALL the parties to 1. Settle the accounts of the receiver;
the action. 2. Direct the delivery of the funds, and other
property in his possession to the person
No action may be filed by or against a receiver adjudged to be entitled to receive them;
without leave of the court which appointed him. and
(Rule 59, Section 6) 3. Order the discharge of the receiver from
further duty as such.
Neither party to the litigation should be appointed as The court shall allow the receiver such reasonable
a receiver without the consent of the other. compensation as the circumstances of the case
(Alcantara v. Abbas, G.R. No. L-14890, 1963) warrant, to be taxed as costs against the defeated
party, or apportioned, as judgment requires. (Rule
e. THREE KINDS OF BONDS in 59, Section 8)
RECEIVERSHIP
6. REPLEVIN (Rule 60)
1. Applicant’s bond
Before issuing the order appointing a receiver, the REPLEVIN
court shall require the applicant to file a bond Replevin, broadly understood, is both a form of
executed to the party against whom the application principal remedy and of a provisional relief. It may
is presented, in an amount to be fixed by the court, refer either to the action itself, i.e. to regain the
to the effect that the applicant will pay such party all possession of personal chattels being wrongfully
damages he may sustain by reason of the detained from the plaintiff by another, or to the
appointment of such receiver in case the applicant provisional remedy that would allow the plaintiff to
shall have procured such appointment without retain the thing during the pendency of the action
sufficient cause. and hold it in pendente lite. (Tillson v. Court of
The court may, in its discretion, at any time after the Appeals, 197 SCRA 587, 1991)
appointment, require an additional bond as further
security for such damages. (Rule 59, Section 2) The action is primarily possessory in nature and
determines nothing more than the right of
2. Receiver’s bond possession. Replevin is so usually described as a
Before entering upon his duties, the receiver shall mixed action, being partly in rem and partly in
be sworn to perform them faithfully, and shall file a personam – in rem insofar as the recovery of
bond, executed to such person and in such sum as specific property is concerned, and in personam as
the court may direct, to the effect that he will regards to damages involved. As an ―action in rem‖
faithfully discharge his duties in the action and obey the gist of the replevin action is the right of the
the orders of the court. (Rule 59, Section 4) plaintiff to obtain possession of specific personal
property by reason of his being the owner or of his
3. Counterbond having a special interest therein. (BA Finance
The application may be denied, or the receiver Corporation v. Court of Appeals, 258 SCRA 102,
discharged, when the adverse party files a bond 1996)
executed to the applicant, in an amount to be fixed
by the court, to the effect that such party will pay the a. WHEN WRIT MAY BE ISSUED
applicant all damages he may suffer by reason of
the acts, omissions, or other matters specified in the b. REQUISITES
application as ground for such appointment. (Rule
59, Section 3, Rule 59) Must be applied for:
1. At the commencement of the action; or
Liability for refusal or neglect to deliver property 2. At any time before defendant files answer.
to receiver 3. Therefore, there can be no replevin before
A person who refuses or neglects, upon reasonable the appellate courts. (Rule 60, Section 1)
demand, to deliver property subject or involved in 4. The applicant need not be the owner of the
the action or proceeding, or in case of property. It is enough that he has a right to
disagreement, as determined and ordered by the its possession. (Yang v. Valdez, G.R. No.
court, may be punished for contempt and shall be 73317, 1989)
liable to the receiver for the money or the value of
the property and other things so refused or A chattel mortgagee may maintain an action for
neglected to be surrendered, together with all the replevin. Where the mortgage authorizes the
damages that may have been sustained by the mortgagee to take possession of the property on
party or parties entitled thereto as a consequence of default, he may maintain an action to recover
such refusal or neglect. (Rule 59, Section 7) possession of the mortgaged chattels from the

171
mortgagor or from any person in whose hands he applicant, if such delivery be
may find them. This is irrespective of whether the adjudged; and
mortgage contemplates a summary sale of the 2. For the payment of such sum to him
property or foreclosure by court action. (Agner v. as may be recovered against the
BPI Family Savings Bank, G.R. No. 182963, June adverse party; and
3, 2013) 3. By serving a copy of such bond on the
applicant.
c. AFFIDAVIT AND BOND; REDELIVERY
BOND d. SHERIFF’S DUTY IN THE
IMPLEMENTATION OF THE WRIT; WHEN
Affidavit and Bond PROPERTY IS CLAIMED BY THIRD PARTY
Application for replevin must be filed at the
commencement of the action or at any time before Upon receiving the order of the court, the sheriff
defendant answers. must serve a copy thereof on the adverse party,
Application must contain an affidavit executed by together with a copy of the application, affidavit, and
the applicant or some other person who personally bond.
knows of the facts the matters required under the
Rules, which shows: If the property is in the possession of the adverse
1. That the applicant is the owner of party or his agent, the sheriff must forthwith take it
the property claimed, particularly describing and retain it in his custody.
it, or is entitled to the possession thereof;
2. That the property is wrongfully If the property or any part thereof be concealed in a
detained by the adverse party, alleging the building or enclosure, the sheriff must demand its
cause of detention thereof according to the delivery, and if it not be delivered, he must cause the
best of his knowledge, information, and building or enclosure to be broken open and take the
belief; property into his possession.
3. That the property has not been
distrained or taken for a tax assessment or a After the sheriff has taken possession of the
fine pursuant to law, or seized under a writ of property, he must keep it in a secure place and shall
execution or preliminary attachment, or be responsible for its delivery to the party entitled
otherwise placed under custodia legis, or if thereto upon receiving his fees and necessary
so seized, that it is exempt or should be expenses for taking and keeping the same. (Rule 60,
released from such seizure or custody; and Section 4)
4. The actual market value of the
property. If within five (5) days after the taking of the property
Applicant must give a bond, executed to the by the sheriff, the adverse party:
adverse party and double the value of the property. 1. Does not object to the sufficiency of the bond, or
(Rule 60, Section 2) of the surety or sureties contained thereon; or
2. So objects, and the court affirms its approval of
The replevin bond is for the return of the property to the applicant‘s bond or approves a new bond; or
the adverse party if such return be adjudged, and 3. If the adverse party requires the return of the
payment to the adverse party of such sum as he property but his bond is objected to and found
may recover from the applicant in the action. insufficient and he does not forthwith file an
approved bond,the property shall be delivered to
Upon the filing of such affidavit and approval of the the applicant. (Rule 60, Section 6)
bond, the court shall issue an order and
corresponding writ of replevin describing the The rules provide that property seized under a writ of
personal property alleged to be wrongfully detained replevin is not to be delivered immediately to the
and requiring the sheriff forthwith to take such plaintiff. Under Section 6, Rule 60, the Sheriff should
property into his custody. (Rule 60, Section 3) have waited no less than 5 days in order to give the
complainant an opportunity to object to the
Redelivery bond sufficiency of the bond. (Hao v. Andres, A.M. No. P-
If the adverse party objects to the sufficiency of the 07-2384, 2008)
applicant‘s bond, or of the surety or sureties
thereon, he cannot immediately require the return of What is the effect of writ of replevin that has
the property. been improperly served?
Service of the writ upon the adverse party is
But if he does not so object, he may, at any time mandatory in line with the constitutional guaranty on
before the delivery of the property to the applicant, procedural due process and as safeguard against
require the return thereof, by filing with the court unreasonable searches and seizures. The writ or
where the action is pending a redelivery bond— order of replevin should comply with all the
that is, a bond executed to the applicant: requirements as to matters of form or contents
1. In double the value of the property as prescribed by the Rules of Court. The writ must also
stated in the applicant‘s affidavit for satisfy proper service in order to be valid and
the delivery of the property to the effective: i.e. it should be directed to the officer who
is authorized to serve it; and it should be served

172
upon the person who not only has the possession or
custody of the property involved but who is also a S. SPECIAL CIVIL ACTION
party or agent of a party to the action. Consequently,
a trial court is deemed to have acted without or in
excess of its jurisdiction with respect to the ancillary 1. NATURE OF SPECIAL CIVIL
action of replevin if it seizes and detains a personalty ACTIONS
on the basis of a writ that was improperly served, 2. ORDINARY CIVIL ACTIONS
such as what happened in this case.
VERSUS SPECIAL CIVIL ACTIONS
The proper remedy of the person being served with 3. JURISDICTION AND VENUE
the writ should be to file a motion to quash the writ of 4. INTERPLEADER
replevin or a motion to vacate the order of seizure. It a. Requisites for interpleader
now becomes imperative for the trial court to restore b. When to file
the parties to their former positions by returning the 5. DECLARATORY RELIEFS AND
seized property to petitioner and by discharging the
replevin bond filed by respondent. (Rivera v. Vargas,
SIMILAR REMEDIES
G.R. No. 165895, 5 June 2009, 588 SCRA 529) a. Who may file the action
b. Requisites of action for declaratory
Where property claimed by third person relief
If the property taken is claimed against whom c. When court may refuse to make
replevin had been issued or his agent, and such judicial declaration
person makes an affidavit of his title thereto, or right d. Conversion to ordinary action
to the possession thereof, stating the grounds of e. Proceedings considered as similar
such right or title, and serves such affidavit upon the remedies
sheriff while the latter has possession of the i. Reformation of an instrument
attached property, and a copy thereof upon the ii. Consolidation of ownership
applicant: iii. Quieting of title to real property
1. The sheriff shall not be bound to keep the 6. REVIEW OF JUDGMENTS AND
property under replevin, unless the applicant or FINAL ORDERS OR RESOLUTION
his agent, on demand of the sheriff, shall file a OF THE COMELEC AND COA
bond approved by the court to indemnify the a. Application of Rule 65 under Rule 64
third-party claimant in a sum not less than the b. Distinction in the application of Rule
value of the property under replevin as provided 65 to judgments of the Comelec and
in Section 2, Rule 60 of the Rules of Court. COA and the application of Rule 65 to
2. In case of disagreement as to such value, the other tribunals, persons and officers
court shall determine the same. 7. CERTIORARI, PROHIBITION AND
3. No claim for damages for the taking or keeping
of the property may be enforced against the MANDAMUS
bond, unless the action therefor is filed within a. Definitions and distinctions
120 days from the date of the filing of the bond. i. Certiorari distinguished from
4. The sheriff shall not be liable for damages, for appeal by certiorari
the taking or keeping of such property, to any ii. Prohibition and mandamus
such third-party claimant, if such bond shall be distinguished from injunction
filed. b. Requisites
5. Nothing herein contained shall prevent such c. When petition for certiorari,
claimant or any third person from vindicating his prohibition and mandamus is proper
claim to the property, or prevent the attaching d. Injunctive relief
property claiming damages against a third-party e. Exceptions to filing of motion for
claimant who filed a frivolous or plainly spurious reconsideration before filing petition
claim, in the SAME or SEPARATE action. f. Reliefs petitioner is entitled to
g. Actions/omissions of MTC/RTC in
When the writ of replevin is issued in favor of the election cases
Republic of the Philippines, or any officer duly h. When and where to file petition
representing it, the filing of such bond shall not be i. Effects of filing of an unmeritorious
required, and in case the sheriff is sued for damages petition
as a result of the replevin, he shall be represented 8. QUO WARRANTO
by the Solicitor General, and if held liable therefor, a. Distinguish from quo warranto in the
the actual damages adjudged by the court shall be omnibus election code
paid by the National Treasurer out of the funds to be b. When government commence an
appropriated for the purpose. (Rule 60, Section 7) action against individuals
c. When individual may commence an
END OF TOPIC action
d. Judgment in quo warranto action
e. Rights of a person adjudged entitled
to public office

173
9. EXPROPRIATION i. Resolving defense of ownership
j. How to stay the immediate execution
a. Matters to allege in complaint for
of judgment
expropriation
k. Summary procedure, prohibited
b. Two stages in every action for
pleadings
expropriation
c. When plaintiff can immediately enter 13. CONTEMPT
into possession of the real property, in a. Kinds of contempt
relation to R.A. 8974 b. Purpose and nature of each
d. New system of immediate payment of c. Remedy against direct contempt;
initial just compensation penalty
e. Defenses and objections d. Remedy against indirect contempt;
f. Order of expropriation penalty
g. Ascertainment of just compensation e. How contempt proceedings are
h. Appointment of commissioners; commenced
commissioner’s report; court action f. Acts deemed punishable as indirect
upon commissioner’s report contempt
i. Rights of plaintiff upon judgment and g. When imprisonment shall be imposed
payment h. Contempt against quasi-judicial
j. Effect of recording of judgment bodies
10. FORECLOSURE OF REAL
ESTATE MORTGAGE 1. NATURE OF SPECIAL CIVIL
a. Judgment on foreclosure for payment ACTIONS
or sale
b. Sale of mortgaged property; effect Being a civil action, a special civil action is one by
c. Disposition of proceeds of sale which a party sues another for the enforcement or
d. Deficiency judgment protection of a right, or the prevention or redress
e. Instances when court cannot render of a wrong. (Section 3(a), Rule 1 of the Rules of
deficiency judgment Court)
f. Judicial foreclosure versus
extrajudicial foreclosure Both are governed by the rules for ordinary civil
g. Equity of redemption versus right of actions. However, the fact that an action is subject
redemption to special rules other than those applicable to
11. PARTITION ordinary civil actions is what gives a civil action its
a. Who may file complaint; who should special character.
be made defendants
b. Matters to allege in the complaint for As a general rule, however, the rules governing
partition ordinary civil actions shall apply in special civil
c. Two stages in every action for actions insofar as they supplement or are not
partition inconsistent with the provisions governing the
d. Order of partition and partition by latter actions.
agreement
e. Partition by commissioners; 2. ORDINARY CIVIL ACTIONS AND
appointment of commissioners, SPECIAL CIVIL ACTIONS
commissioner’s report; court action DISTINGUISHED
upon commissioner’s report
f. Judgment and its effects
ORDINARY CIVIL SPECIAL CIVIL
g. Partition of personal property
ACTIONS ACTIONS
h. Prescription of action
Generally governed by
12. FORCIBLE ENTRY AND Governed by rules for
rules for ordinary civil
UNLAWFUL DETAINER ordinary civil actions
actions but subject to
a. Definitions and distinction special rules
b. Distinguished from accion publiciana
and accion reivindicatoria Not necessarily such
c. How to determine jurisdiction in as in certain special
accion publiciana and accion Must be based on a
civil actions:
cause of action
reivindicatoria 1. Declaratory relief –
d. Who may institute the action and meaning an act or
no actual violation of
when; against whom the action may omission has violated
rights
the rights of another
be maintained 2. Interpleader – no
e. Pleadings allowed interest in the subject
f. Action on the complaint matter
g. When demand is necessary
h. Preliminary injunction and preliminary
mandatory injunction

174
 There are some
May be filed initially in 4. The parties to be interpleaded must make
special civil actions
either the MTC or RTC effective claims. (Rule 62, Section 1)
which cannot be
depending upon the
commenced in the
jurisdiction amount or b. WHEN TO FILE
MTC, i.e. petitions for
the nature of the action
certiorari, prohibition
and mandamus The stakeholder should use reasonable diligence
Some special civil to hale the contending claimants to court—that is,
Ordinary civil actions actions are filed as the by filing the interpleader suit within a reasonable
are filed as complaints. same, but others are time after a dispute has arisen without waiting to
filed as petitions be sued by either of the contending parties.
Otherwise, he may be barred by laches or undue
Special civil actions initiated by a complaint delay.
[PIFEF]
1. Partition Pertinently, a stakeholder‘s action of interpleader
2. Interpleader is too late when filed after judgment has been
3. Foreclosure of REM rendered against him in favor of one of the
4. Expropriation contending claimants, especially where he had
5. Forcible Entry and Unlawful Detainer notice of the conflicting claims prior to the rendition
of the judgment and neglected the opportunity to
Special civil actions initiated by a petition implead the adverse claimants in the suit where
2
[ProM C DR Q] judgment was entered. (WackWack Golf and
1. Declaratory Relief Country Club v. Won, G.R. No. L-23851, 1976)
2. Review of Adjudication of COMELEC/COA
3. Certiorari An interpleader complaint may be filed by a lessee
4. Prohibition against those who have conflicting claims over the
135
5. Mandamus rent due for the property leased. This remedy is
6. Quo Warranto for the lessee to protect him or her from ―double
136
7. Contempt vexation in respect of one liability.‖ He or she
may file the interpleader case to extinguish his or
Special civil actions with 2 stages her obligation to pay rent, remove him or her from
1. Expropriation the adverse claimants‘ dispute, and compel the
2. Partition parties with conflicting claims to litigate among
themselves.(Lui Enterprises v. Zuellig Pharma,
G.R. No. 193494, 12 March 2014, 719 SCRA 88)
3. JURISDICTION AND VENUE Except when there was no negligence
An interpleader can still be filed even after an
See Annex. action has been filed against the plaintiff, as
long as the plaintiff was not negligent in not
4. INTERPLEADER (Rule 62) knowing the pending action.

INTERPLEADER If an action has been filed

An interpleader is a remedy whereby a person In lieu of an interpleader, one can file an answer
who has property whether personal or real, in his with allegations of conflicting claims and a third-
possession, or an obligation to render wholly or party complaint impleading the other party.
partially, without claiming any right in both, or
claims an interest which in whole or in part is not Order to interplead
disputed by the conflicting claimants, comes to Upon the filing of the complaint, an order requiring
court and asks that the persons who claim the said the conflicting claimants to interplead with one
property or who consider themselves entitled to another shall be issued.
demand compliance with the obligation, be
required to litigate among themselves, in order to The court may direct in the said order that the
determine finally who is entitled to one or the other subject matter be paid or delivered to the court.
thing. (Ocampo v. Tirona., G.R. No. 147812, 2005) (Rule 62, Section 2)

a. REQUISITES FOR INTERPLEADER Service of summons

Summons shall be served upon the conflicting
1. There must be two or more claimants with claimants together with:
adverse or conflicting interests to a 1. A copy of the complaint, and
property in the custody or possession of the 2. Order. (Rule 62, Section 3)
plaintiff;
2. The plaintiff in an action for interpleader Motion to dismiss
has no claim upon the subject matter of the Within the time for filing an answer, each
adverse claims or if he has an interest at all, claimant may file a motion to dismiss on the
such interest is not disputed by the claimants; following grounds:
3. The subject matter of the adverse claims must 1. Impropriety of the interpleader
be one and the same; and

175
2. Other appropriate grounds in Rule 16 of the If the subject matter is a [DeWCO] Deed, Will,
Rules of Court Contract or Other written instrument, any person
interested in the same may file the petition. (Rule
Answer and other pleadings 63, Section 1)
Period to file Answer
Answer shall be filed within 15 days after service If the subject matter is a [SEROG] Statute,
of summons. (Rule 11, Section 1; Rule 62, Section Executive order or Regulation, Ordinance, or any
5) other Governmental regulation, any person whose
rights are affected by the same may file the petition.
Period to file Reply (Rule 63, Section 1)
Claimants may file their reply within the period
provided by the Rules. A reply may be filed within Who shall be impleaded as parties?
10 days from the service of the pleading 1. All persons who have or claim any interest, which
responded to. (Rule 11, Section 6; Rule 62, would be affected by the declaration. (Rule 63,
Section 5) Section 2)
2. The following shall also be notified and entitled to
An adverse claimant in an interpleader case may be heard:
be declared in default. Under Rule 62, Section 5 of a. Solicitor General
the 1997 Rules of Civil Procedure, a claimant who Where the action involves the validity of a
fails to answer within the required period may, on statute, executive order or regulation, or any
motion, be declared in default. The consequence other governmental regulation (Rule 63, Section
of the default is that the court may ―render 3); or
judgment barring [the defaulted claimant] from any Where the unconstitutionality of a local gov‘t
claim in respect to the subject matter.‖ The Rules ordinance is alleged (Rule 63, Section 4)
would not have allowed claimants in interpleader b. Local gov’t unit prosecutor or attorney
cases to be declared in default if it would Where the action involves the validity of a local
―ironically defeat the very purpose of the suit.‖ government ordinance. (Rule 63, Section 4)
.(Lui Enterprises v. Zuellig Pharma, G.R. No.
193494, 12 March 2014, 719 SCRA 88) b. REQUISITES OF ACTION FOR
DECLARATORY RELIEF
Effect of failure to plead within the time fixed
The court may, on motion, declare the claimant in 1. There must be a justiciable controversy;
default and render judgment barring him from any 2. The controversy must be between persons
claim in respect to the subject matter. whose interests are adverse;
3. The party seeking declaratory relief must have
The parties in an interpleader may file: a legal interest in the controversy; and
1. Counterclaims; 4. The issue involved must be ripe for judicial
2. Cross-claims; determination. (CJH Development vs. BIR,
3. Third-party complaints; and G.R. No. 172457, 2008)
4. Responsive pleadings thereto as provided in
the Rules c. WHEN COURT MAY REFUSE TO MAKE
JUDICIAL DECLARATION
When court shall determine and adjudicate
claims 1. Where a decision would not terminate the
The court shall proceed to determine their uncertainty or controversy which gave rise to
respective rights and adjudicate their claims after the action, or
the pleadings of the conflicting claimants have 2. In any case where the declaration or
been filed and pre-trial has been conducted. (Rule construction is not necessary and proper under
62, Section 6) the circumstances. (Rule 63, Section 5)

What shall constitute as lien upon the subject NOTE: The court may refuse to exercise the power
matter to declare rights and to construe instruments motu
The following shall constitute a lien or charge upon propio or upon motion.
the subject matter unless otherwise ordered by the Exception: If the action is for reformation of
court: instruments, consolidation of ownership and
1. Docket and other lawful fees paid by the party quieting of title – the court must decide the
who filed the complaint for interpleader; and case.
Costs and litigation expenses. (Rule 62, Section 7)
Other instances when the action for declaratory
5. DECLARATORY RELIEF (Rule 63) relief will not lie:
1. Action to obtain a judicial declaration of
a. WHO MAY FILE ACTION citizenship (no real controversy; other remedies
available) (Lim v. Republic, G.R. No. L-30424,
Note: RTC has exclusive jurisdiction. 1971);
2. Action to establish illegitimate filiation and
actions to determine hereditary rights (lack of

176
 actual existing legal right – hereditary rights are Jurisdiction over actions to quiet title to real property
inchoate since the parent in question is still depends on the amount or value of the property
alive) (Edades v. Edades, G.R. No. L-8964, determines.
1956);
3. Court decisions (not among subject matters 6. REVIEW OF JUDGMENTS AND
listed; violates res judicata); FINAL ORDERS OR RESOLUTIONS
4. Decisions of quasi-judicial agencies (for the
same reason as court decisions) (Monetary OF THE COMELEC AND COA (Rule
Board v. Philippine Veterans Bank, G.R. No. 64)
189571, 2015)
5. Action to resolve a political question; Scope
6. Those determinative of the issues rather than The Rule shall govern the review of judgments and
the construction of definite status, right or final orders or resolutions of the Commission on
relation; Elections en banc and the Commission on Audit.
7. Where the terms of the assailed ordinance are (Rule 64, Section 1)
not ambiguous or of doubtful meaning;
8. Where the contract or statute subject of the The prerequisite filing of a Motion for
case had already been breached; (SJS v. Lina, Reconsideration with the COMELEC en banc is
G.R. No. 160031, 2008); mandatory before said final en banc decision may
9. When the purpose of the action is merely to be brought to the Supreme Court on Certiorari.
seek an advisory opinion from the court on a (Ambil Jr. v. COMELEC, G.R. No. 143398, 2000)
moot question. (Riano, 2009 ed.)
a. APPLICATION OF RULE 65 UNDER
d. CONVERSION TO ORDINARY ACTION RULE 64

If before the final termination of the case, a breach The aggrieved party may bring a judgment or final
or violation of an instrument or a statute, executive order or resolution of the Comelec en banc and
order or regulation, ordinance, or any other COA to the SC on certiorari under Rule 65 and not
governmental regulation should take place, the on appeal by certiorari under Rule 45. (Rule 64,
action may thereupon be converted into an ordinary Section 2)
action, and the parties shall be allowed to file such
pleadings as may be necessary or proper. (Section b. DISTINCTION IN THE APPLICATION OF
6, Rule 63 of the Rules of Court) RULE 64 TO JUDGMENTS OF THE
COMELEC AND COA AND THE
e. PROCEEDINGS CONSIDERED AS APPLICATION OF RULE 65 TO OTHER
SIMILAR REMEDIES TRIBUNALS, PERSONS AND OFFICERS

(i) REFORMATION OF AN INSTRUMENT RULE 64 RULE 65

An action for reformation is not an action brought to
FINAL orders, May be used against
reform a contract, but to reform the instrument
judgments or resolutions interlocutory orders of
evidencing the contract. (Art. 1359 of the New Civil
COA/Comelec
Code)
Directed against Directed against a
(ii) CONSOLIDATION OF OWNERSHIP Comelec and COA tribunal, board or officer
exercising judicial or
The action brought to consolidate ownership is not quasi-judicial functions
for the purpose of consolidating the ownership of
the property in the person of the vendee or buyer Must be filed within 30 Must be filed within 60
but for the registration of the property. (Cruz v. Leis, days from notice of days from notice of
G.R. No. 125233, 2000) judgment or resolution judgment or resolution

(iii) QUIETING OF TITLE TO REAL If MR or MNT were If MR or MNT were

PROPERTY denied, the aggrieved denied, the aggrieved
party may file the party will have another
An action to quiet title to real property is for the petition within the 60 days within which to
removal or prevention of a cloud of title to real remaining period, but file the petition (fresh 60-
property or any interest by reason of any which shall not be less day period)
instrument, record, claim, encumbrance or than 5 days in any case
proceeding which is apparently valid or effective but
is in truth and in fact invalid, ineffective, voidable or All annexes must be Only the order assailed
unenforceable and may be prejudicial to said title. certified must be certified
(Article 476 of the New Civil Code)
Rule 64 does not cover rulings of the COMELEC in
the exercise of its administrative powers (Querubin,

177
et al. v. COMELEC, G.R. No. 218787, 8 December jurisdiction; In excess duty; or
2015) or of Excluded
With grave jurisdiction; another
Time to file petition abuse of or from a
The petition shall be filed within 30 days from notice discretion With grave right or
of the judgment, final order, or resolution. amounting abuse of office.
(Constitution, Art IX, Sec. 7) to lack or discretion
excess of amounting
The filing of a motion for new trial or jurisdiction. to lack or
reconsideration, if allowed under the procedural excess of
rules of the COMELEC and COA, interrupts the jurisdiction.
period.
Purpose: To Purpose: To Purpose: For
annul or nullify have respondent to:
If the motion is denied, petition may be filed within
a proceeding respondent Do the act
the remaining period or within 5 days from notice of
desist from required
denial, whichever is longer. (Rule 64, Section 3)
further as a duty;
proceeding; and
Order to comment
from exercising Pay
If the petition is sufficient in form and substance, the
jurisdiction/ damages
respondents shall be ordered to file their comments
power
within 10 days from notice thereof. (Rule 64,
Section 6) Covers Covers Covers
discretionary discretionary ministerial acts
Outright dismissal of petition: acts and ministerial
1. If the complaint is insufficient in form and acts
substance
2. If the complaint was filed manifestly for delay Corrective Negative and This remedy is
3. If the questions raised are too unsubstantial to remedy: To preventive affirmative or
warrant further proceedings (Rule 64, Section correct a lack of remedy: To positive (if the
6) or usurpation of restrain or performance of
jurisdiction prevent a duty is
Effect of filing of petition usurpation of ordered) or
General Rule: The filing of a petition for certiorari jurisdiction negative (if
shall not stay the execution of the judgment or final desistance
order or resolution sought to be reviewed from excluding
another from a
Exception: When the Supreme Court directs right or office is
otherwise upon such terms as it may deem just ordered)
(Rule 64, Section 8)
(i) CERTIORARI DISTINGUISHED FROM
7. CERTIORARI, PROHIBITION AND APPEAL BY CERTIORARI
MANDAMUS (RULE 65)
Certiorari and appeal by certiorari
a. DEFINITIONS AND DISTINCTIONS distinguished:

Certiorari, Prohibition and Mandamus defined CERTIORARI AS A CERTIORARI AS A

and distinguished: MODE OF APPEAL SPECIAL CIVIL
(RULE 45) ACTION (RULE 65)
CERTIORARI PROHIBITION MANDAMUS
A continuation of the An original action and
Directed against Directed against Directed appellate process over not a mode of appeal
an entity or an entity or against an the original case
person person entity or
exercising exercising person Seeks to review final May be directed against
judicial or quasi- judicial, quasi- exercising judgments or final orders an interlocutory order of
judicial judicial, or ministerial the court or where no
functions ministerial functions appeal or plain or
functions speedy remedy is
available in the ordinary
Entity or person Entity or person Entity or course of law
is alleged to is alleged to be person is
have acted: acting or alleged to Raises only questions of Raises questions of
Without threatening to have: law jurisdiction—that is,
jurisdiction; act: Neglected whether a tribunal, board
In excess Without a or officer exercising
of jurisdiction; ministerial judicial or quasi-judicial

178
 functions has acted SC may deny the The court may dismiss
without jurisdiction or in decision motu propio on the petition if it finds the
excess of jurisdiction or the ground that the same patently without
with grave abuse of appeal is without merit, merit or prosecuted
discretion amounting to or is prosecuted manifestly for delay, or if
lack of jurisdiction manifestly for delay, or the questions raised
that the questions raised therein are too
Filed within 15 days from Filed within 60 days from therein are too unsubstantial to require
notice of judgment or notice of judgment, order unsubstantial to require consideration. In such
final order appealed or resolution sought to consideration. event, the court may
from, or of the denial of be assailed and in case award in favor of the
petitioner‘s motion for a motion for respondent treble costs
reconsideration or new reconsideration or new solidarily against the
trial trial is timely filed, the petitioner and counsel,
60-day period is to be in addition to subjecting
counted from notice of counsel to administrative
denial of said motion sanctions under Rules
139 and 139-B of the
Extension of 30 days Extension is allowed Rules of Court.
may be granted for only in exceptional and
justifiable reasons meritorious cases (See The Court may impose
MidIslands Power v. CA, motu proprio, based on
29 Feb 2012) res ipsa loquitur, other
disciplinary sanctions or
Does not require a prior Motion for
measures on erring
motion for reconsideration is a
lawyers for patently
reconsideration condition precedent,
dilatory and
subject to exceptions
unmeritorious Petitions
Stays the judgment Does not stay the for Certiorari
appealed from judgment or order
subject of the petition, (ii) PROHIBITION AND MANDAMUS
unless enjoined or DISTINGUISHED FROM INJUNCTION
restrained
Prohibition and injunction distinguished
Parties are the original The tribunal, board,
parties with the officer exercising judicial INJUNCTION PROHIBITION
appealing party as the or quasi-judicial
petitioner and the functions is impleaded Ordinary civil action; Special civil action;
adverse party as the as primary respondent; May deal with factual or Refers to issues of
respondent without with adverse party in the legal issues jurisdiction only
impleading the lower lower court (if any) as
court or its judge the private respondent Directed only to the Directed to the court
party litigants, without in itself, commanding it to
Filed only with SC May be filed with SC, any manner interfering cease from the exercise
CA, Sandiganbayan, or with the court of a jurisdiction to which it
RTC has no legal claim

Mandamus and injunction distinguished

INJUNCTION MANDAMUS

Ordinary civil action Special civil action

Directed against a Directed against a

litigant tribunal, corporation,
board, or officer

Purpose is to either Purpose is for the

compel the defendant to tribunal, corporation,
refrain from performing board, or officer to
an act or to perform any perform a ministerial and
act - not necessarily a legal duty
legal and ministerial
duty

179
 6. Where the decision in the certiorari case
b. REQUISITES will avoid future litigations. (Regalado,
2008 ed.)
1. CERTIORARI
a) Tribunal, board, or officer exercises judicial B. Even when the period for appeal has lapsed,
or quasi-judicial functions; SC has allowed a writ of certiorari:
b) Tribunal, board, or officer has acted 1. When appeal is lost without the appellants‘
without or in excess of jurisdiction or with negligence;
grave abuse of discretion; and 2. When public welfare and the advancement
c) There is no appeal or any plain, speedy, of public policy dictates;
and adequate remedy in the ordinary 3. When the broader interest of justice so
course of law. requires;
4. When the writs issued are null and void;
2. PROHIBITION and
a. There must be a controversy; 5. When the questioned order amounts to an
b. Respondent is exercising judicial, quasi- oppressive exercise of judicial authority.
judicial, or ministerial functions;
c. Respondent acted without or in excess of Certiorari is not a proper remedy to appeal a
jurisdiction, or acted with grave abuse of motion to quash
discretion; and Generally, the proper action is to continue with the
d. There must be no appeal or other plain, trial and reiterate the special defenses invoked in
speedy, and adequate remedy. the motion to quash. As an exception, certiorari is
proper when there is grave abuse of discretion.
3. MANDAMUS (Lazarte v. Sandiganbayan, G.R. No. 180122,
a. There must be a clear legal right or duty; 2009)
b. Respondent must be exercising a
ministerial duty—a duty which is absolute Certiorari and prohibition are appropriate
and imperative, and involves merely its remedies to contest the validity of acts of any
execution; branch or agency of government as provided for
c. Respondent unlawfully neglects the under Article VIII Section 1 of the Constitution:
performance of its duty or unlawfully > Judicial power includes duty of the courts to
excludes another from the use and determine whether or not there has been a grave
enjoyment of a right or office to which such abuse of discretion amounting to lack or excess of
other is entitled; and jurisdiction on the part of any branch or
d. No appeal or other plain, speedy, and instrumentality of the Government. (Ermita v.
adequate remedy in the ordinary course of Aldecoa-Delorino, 651 SCRA 128; and Francisco v.
law. Toll Regulatory Board, 633 SCRA 470)

NOTE: All petitions must be accompanied with a Certiorari is the proper remedy to appeal a
certified true copy of the judgment or order subject declaration of presumptive death
thereof. It must be an authenticated original thereof The Family Code was explicit that the court‘s
and not a mere photocopy that must be attached to judgment in summary proceedings, such as the
the petition filed. (Regalado 2008 ed.) declaration of presumptive death of an absent
spouse, shall be immediately final and executory.
c. WHEN PETITION FOR CERTIORARI, An aggrieved party may, nevertheless, file a petition
PROHIBITION AND MANDAMUS IS PROPER for certiorari under Rule 65 to question any abuse of
discretion amounting to lack or excess of jurisdiction
CERTIORARI that transpired. Republic v. Cantor, [G.R. No.
General rule: A petition for certiorari is proper when 184621, December 10, 2013]
all the requisites are complied with.
Exceptions: RTC ruled in favor of private respondents. Upon
A. Even when appeal is available and is the SCA for certiorari, the CA dimissed the petition on
proper remedy, SC has allowed a writ of the ground of lack of jurisdiction. Petitioner filed
certiorari: another SCA for certiorari assailing the CA‘s
1. Where the appeal does not constitute a resolution. Petitioner should have filed a petition for
speedy and adequate remedy; review on certiorari under Rule 45, which is a
2. Where the orders were also issued either continuation of the appellate process over the
in excess of or without jurisdiction; original case. However, in accordance with the
3. For certain special considerations, as liberal spirit pervading the Rules of Court and in the
public welfare or public policy; interest of substantial justice, this Court has, before,
4. Where, in criminal actions, the court treated a petition for certiorari as a petition for
rejects rebuttal evidence for the review on certiorari, particularly (1) if the petition
prosecution as, in case of acquittal, there for certiorari was filed within the reglementary
could be no remedy; period within which to file a petition for review
5. Where the order is a patent nullity; and on certiorari; (2) when errors of judgment are
averred; and (3) when there is sufficient reason to

180
justify the relaxation of the rules. (The City of Manila e. RULE ON FILING OF MOTION
v. Hon. Grecia-Cuerdo, G.R. No. 175723, 2014) FOR RECONSIDERATION BEFORE FILING OF
PETITION
PROHIBITION
General rule: A petition for prohibition is intended General Rule: A motion for reconsideration is a
to prohibit or prevent FUTURE acts done without sine qua non requirement before filing a petition
authority or jurisdiction, and is not proper for acts under Rule 65.
already accomplished. Exceptions:
Exceptions: 1. Where the order questioned is a patent
Even when an act is already fait accompli, SC nullity;
has allowed a writ of prohibition: 2. Where the questions raised in the certiorari
1. Where it would prevent the creation of a proceeding have already been duly
new province by those in the corridors of raised and passed upon by the lower
power who could avoid judicial intervention court or are the same as those raised
and review by merely speedily and and passed upon in the lower court;
stealthily completing the commission of 3. Where there is an urgent necessity for the
such illegality. (Tan v. Comelec, G.R. No. resolution of the question;
73155, 1986) 4. Where an MR would be useless or is
2. Where it would provide a complete relief prohibited;
by not only preventing what remains to be 5. Where petitioner is deprived of due
done but by undoing what has been done, process;
such as terminating a preliminary 6. Where, in a criminal case, relief from an
investigation instead of filing a motion to order of arrest is urgent and the granting
quash. (Aurillo v. Rabi, G.R. No. 120014, of such relief by the trial court is
2002) improbable;
3. Where the acts sought to be enjoined were 7. Where the issue raised is one purely of law
performed after the injunction suit is or where public interest is involved;
brought. (Versoza v. Martinez, G.R. No. 8. Where the proceedings in the lower court
119511, 1998) are a nullity for lack of due process;
9. Where the proceeding was ex parte or in
MANDAMUS which the petitioner had no opportunity to
A petition for mandamus was considered proper in object; and
the following instances: 10. Where the subject matter of the action is
To compel the ombudsman to dismiss a case perishable.
which was pending before him for 6 years,
which was considered a violation of the f. RELIEFS PETITIONER IS ENTITLED TO
constitutional duty to ―promptly act on
complaints filed…‖ (Angchangco v. The primary reliefs available to petitioner are:
Ombudsman, 268 SCRA 301) 1. In a petition of certiorari – That the judgment,
To compel a judge to issue a writ of execution order, or resolution subject of the petition for
pending appeal of a decision in an ejectment certiorari be annulled or modified. (Rule 65,
case, where the defendant appellant failed to Section 1)
make the necessary deposits of rentals 2. In a petition for prohibition – That the
pending appeal. (Vda. De Carbungco v. respondent be ordered to desist from further
Amparo, 83 Phil 638) proceedings in the action or matter specified in the
petition for prohibition. (Rule 65, Section 2); or
Not proper in the following cases: 3. In a petition for mandamus – That the
To enforce purely contractual obligations; respondent, immediately or at some other time to
When there is another speedy and adequate be specified by the court, do the act required to be
remedy; done to protect the petitioner‘s rights, and to pay
To compel a school to readmit students, and/or the damages sustained by the petitioner by reason
to confer academic honors, in violation of the of the respondent‘s wrongful acts (Rule 65, Section
school‘s academic freedom (University of San 3)
Agustin v. CA, 230 SCRA 761; University of 4. Common to certiorari, prohibition and
San Carlos v. CA, 166 SCRA 570) mandamus – The court may grant such incidental
reliefs as law and justice may require. It may also
d. INJUNCTIVE RELIEF award damages. (Rule 65, Section 9). This may
include provisional remedies, final injunctions,
The petition shall not interrupt the course of the mandatory injunctions to return the parties to the
principal case, unless a temporary restraining order status quo, etc.
or a writ of preliminary injunction has been issued,
enjoining the public respondent from further g. ACTIONS/OMISSIONS OF MTC/RTC IN
proceeding with the case. (Rule 65, Section 7) ELECTION CASES

In election cases involving an act or omission of the

MTC or RTC

181
, the petition for certiorari shall be filed exclusively 2. Oust the holder from its enjoyment, if his
with the Comelec, in aid of its appellate jurisdiction. claim is not well-founded, or if he has
(Section 4, Rule 65 of the Rules of Court, as forfeited his right to enjoy the office.
amended by A.M. No. 07-7-12-SC, December 12, (Tecson v. COMELEC, G.R. No. 161434,
2007) 2004)

h. WHEN AND WHERE TO FILE PETITION General rule: Quo warranto is commenced by the
State/government as the proper party plaintiff.
When to file petition Exception: When a person claims to be entitled
Within 60 days from notice of the assailed to the public office allegedly usurped by another
judgment, order or resolution. in which case he can bring the action in his own
In case a motion for reconsideration or a motion name (Rule 66, Sec. 5)
for a new trial is timely filed: within 60 days
from notice of the denial of said motion. Nature of a quo warranto proceeding:
1. It is a direct, not a collateral attack, on the
Where to file petition matter assailed
If petition relates to the acts or omissions of a 2. It is a proceeding against a public officer,
lower court, corporation, board, or officer or not in his official capacity, because no
person: RTC exercising jurisdiction over the official power or right or duty is sought, but
territorial area as defined by the SC. because the officer‘s title to the office is
If petition relates to the acts or omissions of a being questioned.
quasi-judicial agency: Cognizable only by the 3. It is a proceeding of a public nature filed by
CA. (Rule 65, Section 4) a prosecuting attorney ex officio such as
by the Solicitor General or fiscal. (But it is
Is it proper to file a petition under Rule 65 personal in nature as to the person
directly with the Supreme Court? claiming office.)
General Rule: No. Follow the hierarchy of courts.
Thus, direct resort to the Supreme Court will not be How is the action commenced:
entertained. Verified petition
Exception: ―[U]nless the redress desired
cannot be obtained in the appropriate courts or The action is brought against:
where exceptional and compelling 1. A person who usurps, intrudes into, or
circumstances justify availment of a remedy unlawfully holds or exercises a public
within and calling for the exercise of the office, position or franchise;
[Supreme Court‘s] primary jurisdiction.‖ 2. A public officer who does or suffers an act
(Santiago v. Vasquez, 217 SCRA 633) which, by the provision of law, constitutes
a ground for the forfeiture of his office; or
i. PENALTY FOR FILING OF A 3. An association which acts as a corporation
PATENTLY UNMERITORIOUS OR FRIVOLOUS within the Philippines without being legally
PETITION incorporated or without lawful authority so
to act. (Rule 66, Section 1)
The court may dismiss the petition for being
unmeritorious—that is: Rule 66 of the Rules of Court does not apply to quo
1. It is patently without merit; warranto cases against person who usurp an office
2. It is prosecuted manifestly for delay; or in a private corporation. (Calleja v. Panday, G.R.
3. If the questions raised therein are too No. 168696, 2006)
unsubstantial to require consideration.
a. DISTINGUISH FROM QUO WARRANTO
In this case, the court may award treble costs in IN THE OMNIBUS ELECTION CODE
favor of the respondent solidarily against the
petitioner and counsel. It may also subject the Quo warranto under the Rules of Court and
counsel to administrative actions under Rules 139 under the Election Code distinguished
and 139-B of the Rules of Court. QUO WARRANTO QUO WARRANTO
(RULE 66) (ELECTION CODE)
The Court may impose motu proprio, based on res
ipsa loquitur, other disciplinary sanctions or Subject of the petition is Subject of the petition is
measures on erring lawyers for patently dilatory and in relation to an in relation to an elective
unmeritorious petitions for certiorari. (Section 8, appointive office office. (Nuval v. Guray,
Rule 65 of the Rules of Court, as amended by A.M G.R. No. L-30241,
No. 07-7-12-SC, December 12, 2007) December 29, 1928)

8. QUO WARRANTO (Rule 66)

The object of Quo Warranto proceedings is to:
1. Determine the right of a person to use or
exercise of a franchise or office; and

182
The issue is the legality Grounds relied upon are: b. The petitioner may also require
of the occupancy of the (a) ineligibility to the an indemnity bond tom the
office by virtue of a legal position; or (b) disloyalty relator.
appointment to the Republic (Sec. 3. A private person claiming to be entitled to the
253, Omnibus Election usurped or unlawfully held office.
Code) a. The petitioner will not need to
secure intervention of the Solicitor
Petition is brought either May be instituted with
General or a fiscal;
to SC, CA, or RTC the COMELEC by any
b. The action will be brought in his
voter contesting the
name.
election of any member
c. Petitioner must be able to show
of Congress, regional,
or establish that he has a clear
provincial or city officer;
right to the position, AND that the
or to the MeTC, MTC or
person holding the office is a
MCTC if against any
mere usurper.
barangay official (Sec.
253, Omnibus Election
b. WHEN GOVERNMENT MAY COMMENCE
Code)
AN ACTION AGAINST INDIVIDUALS
Filed within one year Filed within 10 days after
from the time the cause the proclamation of the When commenced
of ouster, or the right of results of the election When there is usurpation of a public office, position
the petitioner to hold the or franchise
office or position arose
(Section 11, Rule 66) A petition for quo warranto is filed against the
following individuals by the government:
Petitioner is the person Petitioner may be any 1. A person who usurps, intrudes into, or
entitled to the office voter even if he is not unlawfully holds or exercises a public
entitled to the office office, position or franchise;
2. A public officer who does or suffers an act
The court has to declare When the tribunal which, by the provision of law, constitutes
who the person entitled declares the candidate- a ground for the forfeiture of his office; or
to the office is if he is the elect as ineligible, he will 3. An association which acts a corporation
petitioner be unseated but the within the Philippines without being legally
person occupying the incorporated or without lawful authority so
second place will not be to act. (Rule 66, Section 1)
declared as the one duly
elected because the law How and who commences the action on behalf
shall consider only the of the government
person who, having duly Quo warranto is commenced by a verified petition
filed his certificate of brought in the name of the Government of the
candidacy, received a Republic of the Philippines by the Solicitor General,
plurality of votes or in some instances, by a public prosecutor. (Rule
66, Sections 2 and 3)
Quo warranto and mandamus: Quo
warranto tests the title to one‘s office claimed by A petition to cease and desist the release of illegal
advertisements by a ―Legal Clinic‖ run mainly by
another and has as its object the ouster of the
paralegals (unauthorized practice of law), must
holder from its enjoyment, while mandamus avails
to enforce clear legal duties and not to try disputed properly be brought to the Solicitor General to
titles. (Garces v. CA, G.R. No. 114795, 1996) commense an action of quo warranto against the
company in light of their misuse of the corporate
Who may commence an action for quo charter. When the advertisements released by the
warranto: company seem to celebrate bigamy, illegal
1. The Solicitor General or a public prosecutor marriages, or divorce, the same must be enjoined
[MANDATORY quo warranto]. immediately by the court. (Ulep v. The Legal Clinic,
Bar Matter no. 553, 1993) (Secs. 2 and 3, Rule 66,
a. Upon direction of the President;
Rules of Court, in relation to Sec. 6(1), P.D. No.
b. Upon complaint; or
902-A and Sec. 121, Corporation Code.)
c. When he has good reason to
believe he can establish a case
on the grounds in Section 1
Where the action is brought if Solicitor General
2. The Solicitor General or a public prosecutor at commences action
the request and upon relation of another person [ex When the action is commenced by the Solicitor
relatione]. General, the petition may be brought in the:
a. The petitioner must first obtain a 1. Regional Trial Court of the City of Manila;
leave of court; 2. Court of Appeals; or
3. Supreme Court (Rule 66, Section 7)

183
 public office, position, or franchise, judgment shall
Where the action is brought if the action is be rendered that such respondent to be ousted and
commenced by other persons altogether excluded therefrom.
The petition can be brought only to the:
1. Supreme Court; Petitioner or relator may recover his costs.
2. Court of Appeals; or
3. Regional Trial Court exercising jurisdiction Such further judgment may be rendered
over the territorial area where the determining the respective rights of all the parties to
respondent or any of the respondents the action as justice requires. (Rule 66, Section 9)
reside.
e. RIGHTS OF A PERSON ADJUDGED
Quo Warranto against Corporations ENTITLED TO PUBLIC OFFICE
May be brought against an association acting as a
corporation within the Philippines without being If judgment be rendered in favor of the person
legally incorporated or without lawful authority to act averred in the complaint to be entitled to the public
office he may, after taking the oath of office and
Refers to de facto Corporations: those issued a executing any official bond required by law:
certificate of incorporation although it had not fully 1. Take upon himself the execution of
complied with the laws the office
2. Demand of the respondent all the
De facto Corporation: one which in good faith books and the papers in the
claims to be a corporation, was organized in respondent‘s custody or control
accordance and pursuant to a valid law, and appertaining to the office. (if he
assumes corporate powers because it was issued a refuses or neglects to do so, he may
certificate of incorporation. be punished for contempt)
3. Bring an action for damages against
Its corporate existence can be directly attacked by a respondent sustained by him by
quo warranto proceeding according to Sec. 20 of reason of the usurpation (Rule 66,
the Corporation code. Section 11)

Intra Corporate Dispute When a quo warranto case is rendered moot and
Quo Warranto proceedings against persons who academic, but the injunction order issued in such
usurp the office, powers or functions of duly elected pending case was disobeyed, the petitioner is still
board members within a Corporation are not within entitled to receive compensation in damages from
the Scope of Rule 66. such disobedience by the party previously
proceeded against. (Villanueva v. Rosqueta, G.R.
c. WHEN THE INDIVIDUAL MAY No. 180764, 2010)
COMMENCE AN ACTION
Limitation as to period to file
In bringing a petition for quo warranto, a private General Rule: The action must be commenced
individual must show that he has a clear right to the within one (1) year from date after the cause of
office allegedly being held by another. It is not such ouster or the right of the petitioner to hold such
enough that he merely asserts the right to be office or position arose.
appointed to the office. (Cuevas v. Bacal, G.R. No.
139382, 2000) The unbending jurisprudence in this jurisdiction is to
the effect that a petition for quo warranto and
The petitioner must also FIRST prove his mandamus affecting titles to public office must be
entitlement or right to the office, and cannot simply filed within one (1) year from the date the petitioner
rely on the defects in the qualifications of the is ousted from his position. He who claims the right
respondent. Failing this, the petition can be to hold a public office allegedly usurped by another
dismissed at any stage and the court will not pass and who desires to seek redress in the courts,
on the qualifications or eligibility of the holder of the should file the proper judicial action within the
office/respondent. (Acosta v. Flor, 5 Phil. 18) reglamentary period. (Galano v. Roxas, G.R. No. L-
31241, 1975)
An action quo warranto is filed prematurely when Exception: Laches does not attach and failure
the nature of the position is yet to be adjudged to file quo warranto proceeding does not
under a review on certiorari action in the CA as to operate adversely against a dismissed
whether it is of a de facto or de jure capacity. This government employee where it was the act of
also constitutes forum shopping. (Feliciano v. responsible government official which
Villasin, G.R. No. 174929, 2008) contributed in the delay of the filing of complaint
for reinstatement. (Cristobal v. Melchor, G.R.
d. JUDGMENT IN QUO WARRANTO No. L-43203, 1977)
ACTION
9. EXPROPRIATION (Rule 67)
When the respondent is found guilty of usurping,
intruding into, or unlawfully holding or exercising a Expropriation

184
It is a process by which the power of eminent of not more than three (3) commissioners. The
domain is carried out; taking as of private owned order fixing the just compensation on the basis of
property, by government under eminent domain the evidence before, and findings of, the
commissioners would be final, too. It would finally
Eminent domain dispose of the second stage of the suit, and leave
It is the right of the State to acquire private property nothing more to be done by the court regarding the
for public use upon the payment of just issue. (Barangay San Roque v. Heirs of Pastor,
compensation G.R. No. 138896, 2000)

Note: Expropriation is only proper when the owner Remedy: Appeal by notice of appeal within 15 days
refuses to sell or agrees to sell but an agreement as from receipt of court order.
to price cannot be reached.
The order of the court in each stage is a final
Note: An expropriation suit is incapable of order and is separately appealable.
pecuniary estimation. An expropriation suit does not
involve the recovery of a sum of money. Rather, it c. WHEN PLAINTIFF CAN IMMEDIATELY
deals with the exercise by the government of its ENTER INTO POSSESSION OF THE REAL
authority and right to take private property for public PROPERTY, IN RELATION TO R.A. 8974
use. (Barangay San Roque v. Heirs of Pastor, G.R.
No. 138896, 2000) Upon filing of complaint and after due notice to
defendant the plaintiff shall have the right to enter or
a. MATTERS TO ALLEGE IN COMPLAINT take possession of property if he makes a
FOR EXPROPRIATION preliminary deposit.

An expropriation proceeding is commenced by Value of preliminary deposit:

the filing of a verified complaint which shall: 1. Personal property: provisionally
1. State with certainty the right of the plaintiff to ascertained and fixed by the court
expropriation and the purpose thereof; 2. Real property: assessed value in the tax
2. Describe the real or personal property sought to return
be expropriated; and
3. Join as defendants all persons owning or General rule: Compensation must be in money.
claiming to own, or occupying, any part of the Exception:
property or interest therein showing as far as A court authorized certificate of deposit of
practicable the interest of each defendant. a government bank; and
4. If the plaintiff cannot with accuracy identify the Bonds to be paid by the government under
real owners, averment to that effect must be made the Comprehensive Agrarian Reform
in the complaint. (Rule 67, Section 1) Program.

Note: When the right of the plaintiff to expropriate is Where to deposit

conferred by law the complaint does not have to Depository bank (PNB) (Rule 67, Section 2)
state with certainty the right of expropriation.
Amount of Deposit:
b. TWO STAGES IN EVERY ACTION FOR Value of property assumed.
EXPROPRIATION
Note: This system of payment does not apply in the
Stage 1: Determination of the plaintiff’s acquisition of right-of-way, site or location for any
authority to exercise the power of eminent national government infrastructure project through
domain and the propriety of its exercise in the expropriation.
context of the facts involved in the suit. It ends
with an order, if not of dismissal of the action, of RA 8794 provides for a procedure more favorable
condemnation declaring that the plaintiff has a to the property owner than the procedure provided
lawful right to take the property sought to be in Rule 67. RA 8794 applies in instances when the
condemned, for the public use or purpose described national government expropriates property for
in the complaint, upon the payment of just ‗national government infrastructure projects‘ only.
compensation to be determined as of the date of Thus, for other purposes, the assessed value
the filing of the complaint. An order of dismissal, if standard and the deposit prescribed in Rule 67
this be ordained, would be a final one, of course, continues to apply. (Republic v. Gingoyon, G.R. No.
since it finally disposes of the action and leaves 166429, 2005)
nothing more to be done by the court on the merits.
Difference between Rule 67 and R.A. 8974
Remedy: Appeal by notice of appeal and record on Section 2 Republic Act 8974
appeal within 30 days from receipt of court order. Rule 67
Stage 2: Determination by the court of the just Applicati Expropriati When the National
compensation for the property sought to be on on in Government expropriates
taken. This is done by the court with the assistance

185
 general for National Gov‘t applies in the sense that the property utilized and
Infrastructure projects. taken by the government may only be conveyed by
donation to the government. There is nothing that
For writ Gov‘t. Gov‘t required to make
can more speedily and effectively embitter a citizen
of required to immediate payment to
and taxpayer against his Government and alienate
possessi make an the owner upon filing of
his faith in it, than an injustice in unfair dealing. The
on to initial the complaint.
government must effect payment in the form of just
issue deposit.
compensation, and it may be done through a
Basis of Assessed Market Value of the negotiated sale, as granted by the RTC to the
computin Value of property stated in the tax respondent by virtue of RA 8974 and EO 1035.
g amount the prop. declaration OR the (Republic v. Ortigas, G.R. No. 171496, 2014)
to be paid for current relevant zonal
purposes value of the BIR, e. DEFENSES AND OBJECTIONS
of taxation. whichever is higher, and (SECTION 3)
the value of the
infrastructures/improvem 1. Omnibus Motion Rule — Subject to the
ents using the provisions of Sec. 1, Rule 9, a motion attacking a
replacement/cost pleading, order, judgment or proceeding shall
method. include all objections then available, and all
objections not so included shall be deemed waived.
(Rule 15, Section 8)
What constitutes “Taking”
1. The expropriator must enter a private 2. If a defendant has no objection or defense to
property. the action or the taking of his property he may file
2. The entrance into private property must be and serve a notice of appearance and a
for more than a momentary period. manifestation to that effect, specifically designating
3. The entry into the property should be under or identifying the property in which he claims to be
warrant or color of legal authority. interested, within the time stated in the summons.
4. The property must be devoted to a public Thereafter, he shall be entitled to notice of all
use or otherwise informally appropriated or proceedings affecting the same.
injuriously affected.
5. The utilization of the property for public use 3. If a defendant has objections to the filing of or
must be in such a way as to oust the owner the allegations in the complaint, he shall serve his
and deprive him of all beneficial enjoyment answer within the time stated in the summons.
of the property. (Republic v. Vda. De 1. The answer shall specifically designate or
Castellvi, G.R. No. L-20620, 1974) identify the property in which he claims to
have an interest, state the nature and
d. NEW SYSTEM OF IMMEDIATE extent of the interest claimed, and adduce
PAYMENT OF INITIAL JUST all his objections and defenses to the
COMPENSATION taking of his property.
2. No counterclaim, cross-claim or third-party
For the acquisition of right-of-way, site or location complaint shall be alleged or allowed in the
for any national government infrastructure project answer or any subsequent pleading.
through expropriation, upon the filing of the filing of
the complaint, and after due notice to the 4. A defendant waives all defenses and objections
defendant, the implementing agency shall not so alleged but