What is Civil Procedure

7/27/2019 What is Civil Procedure

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WHAT IS CIVIL PROCEDURE

It is embraced in Rules 1 to 71 of the Rules of Court and after its revision, is now commonly

known as the 1997 Rules of Civil Procedure. It is divided into the following topics: General

Provisions (Rule 1), Ordinary Civil Actions (Rules 2-5), Procedure in Regional Trial Courts (Rules

6-39), Appeals (Rules 40-43), Procedure in the Court of Appeals (Rules 44-55), Procedure in the

Supreme Court (Rule 56), Provisional Remedies (Rules 57-61), and Special Civil Actions (Rules 62-

71).

Included within its scope are the 1991 Rules on Summary Procedure and Local Government

Code provisions on the Katarungang Pambarangay.

JURISDICTION

The presence of jurisdiction gives rise to the application of the rules for the purpose of resolving

the action that is brought before a court. Absent jurisdiction, the only thing a court can do as

provided by the rules is to dismiss the action. If a court acts without jurisdiction, all its acts arenull and void. Further, any decision it may render is not a decision in contemplation of law and

cannot be executory. See: Abbain v. Chua 22 SCRA 748, Estoesta vs. CA 179 SCRA 203, Dava v.

People 202 SCRA 62

Simply defined JURISDICTION refers to the power and authority of a court or tribunal to hear, try

and decide a case. It has also been defined as the authority by which courts and judicial officers

take cognizance of and decide cases.


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REQUISITES FOR A VALID EXERCISE OF JURISDICTION

1. It must have jurisdiction over the persons of the parties. It is acquired over the plaintiff

upon his filing of a complaint. On the other hand, it is acquired over the defendant by his

voluntary appearance before the court or the employment of the coercive power of legal

process.

2. It must also have jurisdiction over the subject matter in controversy Jurisdiction over the

subject matter of the compliant as determined by the allegations in the complaint and the law in

force at the time of the commencement of the action.

2.1 Determined by allegations in the complaint

2.1.a The facts allege dispossession of the property by forcethe allegations make out a case

for forcible entryThe law provides that such cases fall within the jurisdiction of the MTC.

2.1.b The allegation is for recovery or payment of the sum of 500,000, subject matter

jurisdiction is with the RTC

2.1.c The plaintiff claims PHP 500,000 but after trial he is only entitled to PHP 100,000,

subject matter jurisdiction is with the RTC. See: Ratilla v. Tapucar, 75 SCRA 64

2.1.d It cannot be made to depend on the defenses interposed in an answer or a motion to

dismiss AS IT IS THE COMPLAINT, PETITION OR INITIATORY PLEADING THAT BRINGS THE CASE

FOR TRIAL AND JUDGMENTALTHOUGH THE DEFENDANT MAY IN HIS ANSWER OR MOTION

ATTACK JURISDICTIONif the Rule were otherwiseNO ACTION CAN PROSPER as all the

defendant has to do is to allege that jurisdiction is vested in another court. The EXCEPTION is the

defense of agricultural tenancy. See Section 3, Rule 70

2.2 Determined by the law in force at the time of the commencement of the action


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2.2.a If action for payment of a sum of money is filed after the effectivity of RA 7961 on April

15, 1994 (Expanding the jurisdiction of the MTC and implemented by Adm. Circular 9-94-June

14, 1994) interest, damages of whatever kind ( as long as incidental), attorneys fees, litigation

expenses and costs are not to be considered in fixing the jurisdictional amount, but must be

specifically alleged and filing fees paid thereon

2.2.b There is a shipment of goods from HK to Manila. The shipment was short. Consignee

sued in Manila, carrier moved to dismiss for lack of jurisdiction since the Bill of Lading provided

that in case of dispute, suit must be brought in HK. Motion will not prosper as jurisdiction is

conferred by law and cannot be stipulated by the parties.

DISTINCTIONS BETWEEN THE NATURE OF JURISDICTION EXERCISED BY THE COURTS

1. AS TO THE NATURE OF THE EXERCISE OF JURISDICTIONit is General, meaning it is

exercised over all kinds of cases or Limited, meaning it exercised over and extends only to a

particular or specified cases

2. AS TO THE NATURE OF THE CAUSE OR THE ACTIONit is Original, meaning it is

exercised by courts in the first instance or Appellate, meaning it is exercised by a superior court

to review and decide a cause or action previously decided by a lower court.

3. AS TO THE EXTENT OF THE EXERCISE OF JURISIDICTIONit is Exclusive, meaning it is

confined to a particular court or CONCURRENT, meaning two or more courts have jurisdiction at

the same time and place. In this instance, the court which has first validly acquired jurisdiction

takes it to the exclusion of the others. NOTE THOUGH the DOCTRINE OF HIERARCHY OF COURTS

which requires litigants to initially seek proper relief from the lower courts in those cases wherethe Supreme Court has concurrent jurisdiction with the Court of Appeals and the Regional Trial

Court to issue the extraordinary writs of certiorari, prohibition or mandamus. The Supreme

Court is a court of last resort and its jurisdiction to issue extra-ordinary writs should be exercised

only when absolutely necessary, or where serious and important reasons therefor exist. See

Pearson v. IAC, 295 SCRA 27. Also, concurrence of jurisdiction does not grant any party seeking


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any of the extra-ordinary writs the absolute freedom to file the petition with the court of his

choice. See: Ouano vs. PGTT International Investment Corporation, 384 SCRA 587

4. AS TO SITUSit is Territorial, meaning it is exercised within the limits of the place where

the court is located or Extra-Territorial meaning it is exercised beyond the confines of the

territory where the court is located.

WHAT HAPPENS WHEN JURISDICTION IS ACQUIRED

Jurisdiction once acquired continues until the case is terminated. It is not affected by

subsequent legislation placing jurisdiction in another tribunal. See Mercado vs. Ubay, 187 SCRA

719. The exception is when the expressly provides for retroactivity. See Latchme Motoomull v.

Dela Paz, 187 SCRA 743

DOCTRINE OF PRIMARY JURISDICTION

That which vests in an administrative tribunal the jurisdiction to determine a controversy

requiring the exercise of sound administrative discretionstated otherwiseif jurisdiction is

vested upon an administrative body, no resort to courts can be made until the administrative

body shall have acted on the matter.

WHEN CAN THE ABSENCE OF JURISDICTION BE QUESTIONED

The general rule is jurisdiction may be questioned at any stage of the proceedings, even on

appeal, BUT a party may be barred from raising it on the ground of laches or estoppel when he

has actually invoked the jurisdiction of the court by participating in the proceedings, then

belatedly questions lack of jurisdiction after judgment has gone against him. See: Tijam v.

Sibonghanoy, 23 SCRA 29, Lopez v. Northwest 223 SCRA 469, Soliven v. FastForms Phil. Inc, GR


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No. 139091, October 18, 2004, citing PNOC v. CA,. 297 SCRA 402, APT v. CA 300 SCRA 597 and

Producers Bank v. NLRC, 298 SCRA 517. See also: Sections 2 and 3, Rule 47Annulment of

Judgment based on extrinsic fraud or lack of jurisdiction.If based on lack of jurisdiction before it

is barred by laches or estoppel.

PROBLEM AREAS AFFECTING JURISDICTION

1. ACTIONS INCAPABLE OF PECUNIARY ESTIMATION

1.1 Generally, it is one where the basic issue is something other than the right to recover

money, where the money claim is incidental to or is a consequence of the principal relief being

sought. It is a claim, the subject of which cannot be estimated in terms of money.

1.2 Examples: Action for specific performancealthough damages are being sought BUT if

damages are part of an alternative prayer, jurisdiction should be based on the amount. OTHERS:

Action for appointment of receivers, expropriation, interpleader, support, and rescission

1.3 In determining which court has jurisdiction, the applicable test is the NATURE OF THE

ACTION TEST (Determination as to whether or not the action is capable of pecuniary estimation.

If not capable, jurisdiction is with the RTC. If capable-jurisdiction is determined by the amount

claimed/value of the personal property) BUT this test must yield to the PRIMARY OBJECTIVE

TEST (where notwithstanding the fact that the action appears to be incapable of pecuniary

estimation, if the primary objective is to recover real property, jurisdiction will be determined by

the assessed value of the real property)


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2. DETERMINATION OF AMOUNTS OF THE CLAIM TO DETERMINE JURISDICTION AND

PAYMENT OF DOCKET FEES -

2.1 Foreclosure of chattelto collect 100K but actual value is 500KMTCRULE:

Jurisdiction is determined by the amount claimed by the plaintiff.

2.2 Action for removal of improvements with prayer for 10,000 for attorneys fees RTC

incapable of pecuniary estimation.

2.3 Action to collect sum of moneywithin jurisdiction of the MTC but with accessory

prayer for damages beyond MTC jurisdictionMTC - if action is personal, damages are to be

excluded(Adm Circ. 09-94June 14, 1994) for determining jurisdiction but payment is still to

be collectedDamages, Interest, Attorneys fees and Litigation costs.

BUTif action is for damages over 400KRTC because it is the main cause of action or one of

the causes of action.

3. IF DOCKET FEES ARE INCORRECTThe trial court should allow the plaintiff to pay within

a reasonable period of time before the expiration of the applicable prescriptive or reglamentaryperiodEFFECTdefendant must move to dismiss the complaint on the ground of lack of

jurisdictionif not he may be considered to be in estoppel. See NSC v. CAGR 123215, Feb 2,

1999)

4. DOCKET FEES FOR MAIN/REAL ACTION PAID BUT THOSE FOR RELATED DAMAGES ARE

NOT PAIDTrial court may expunge the claims or allow on motion, a reasonable time for

amendment of the complaint or accept payment of the requisite legal fees.

5. IF CLAIMS ARE UNSPECIFIED BUT ARISE AFTER FILINGThe required additional fee shall

constitute a lien on the judgment


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LEVELS OF SUBJECT MATTER JURISDICTION

1. JURISDICTION OF THE SUPREME COURT

The jurisdiction of the Supreme Court in civil cases of which it cannot be deprived and

which cannot be diminished by Congress is to review, revise, reverse, modify, or affirm on

appeal or certiorari as the law or the Rules of Court may provide, final judgments and orders of

lower courts in: (a) all cases in which the constitutionality or validity of any treaty, international

or executive agreement, law, presidential decree, proclamation, order, instruction, ordinance,

or regulation is in question; (b) all cases involving the legality of any tax, impost, assessment, or

toll, or any penalty imposed in relation thereto; (c) all cases in which the jurisdiction of any

lower court is in issue; and (d) all cases in which only an error or question of law is involved.

The foregoing Constitutional definition is of appellate jurisdiction. Congress, however, is

not prohibited from increasing or adding to this Constitutionally-defined jurisdiction. And so

Congress has given the Supreme Court original jurisdiction over cases affecting ambassadors,

other public ministers, and consuls and petitions for the issuance of writs of certiorari,

prohibition and mandamus against the Court of Appeals. Congress has also vested the Supreme

Court with jurisdiction, concurrent with the RTCs, over petitions for the issuance of the writs of

certiorari, prohibition, habeas corpus, and in actions brought to prevent and restrain violations

of law concerning monopolies and combinations in restraint of trade.

The appellate jurisdiction in civil cases of the Supreme Court as defined in the

Constitution had been revised and expanded a little bit more by law to include all cases

involving petitions for naturalization or denaturalization, all decisions of the Auditor General, if

the appellant is a private person or entity, and final judgments or orders of the Commission on

Elections.

2. JURISDICTION OF THE COURT OF APPEALS


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The Court of Appeals has both original and appellate jurisdiction. Its original jurisdiction,

which is exclusive, is over actions for annulment of RTC judgments. Its original jurisdiction,

which is concurrent with the Supreme Court and the RTCs, is to issue writs of mandamus,

prohibition, certiorari, habeas corpus and quo warranto, and auxiliary writs or processes,

whether or not in aid of its appellate jurisdiction.

The appellate jurisdiction of the Court of Appeals, which is exclusive, is over final

judgments or resolutions of RTCs and quasi-judicial agencies, such as the Securities and

Exchange Commission, Sandiganbayan an National Labor Relations Commission.

3. JURISDICTION OF REGIONAL TRIAL COURTS

The RTCs are our second-level trial courts. As the Supreme Court and the Court of

Appeals, RTCs have both original and appellate jurisdiction in civil cases.

Their original jurisdiction is concurrent with the Supreme Court and the Court of Appeals

in the issuance of writs of certiorari, prohibition, mandamus, quo warranto, habeas corpus and

injunctions but, as issued by RTCs, these writs may be enforced only within their respective

regions, and over actions affecting ambassadors and other public ministers and consuls. The

original jurisdiction of RTCs, which is exclusive, is broad and covers the following cases: (1) all

civil actions in which the subject of the litigation is incapable of pecuniary estimation; (2) all 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 Two hundred thousand pesos

(P200,000.00) or for civil actions in Metro Manila, where such value exceeds Four hundred

thousand pesos (P400,000.00) except actions for forcible entry into and unlawful detainer of

lands or buildings, original jurisdiction over which is conferred upon the Metropolitan Trial

Courts, Municipal Trial Courts, and Municipal Circuit Trial Courts; (3) all actions in admiralty and

maritime jurisdiction where the demand or claim exceeds Two hundred thousand pesos

(P200,000.00) or in Metro Manila, where such demand or claim exceeds Four hundred thousand

pesos (P400,000.00); (4) all matters of probate, both testate and intestate, where the grossvalue of the estate exceeds Two hundred thousand pesos (P200,000.00) or, in probate, both

testate and intestate, where the gross value of the estate exceeds Two hundred thousand pesos

(P200,000.00) or, in probate matters in Metro Manila, where such gross value exceeds Four

hundred thousand pesos (P400,000.00); (5) all actions involving the contact of marriage and

marital relations; (6) all cases not within the exclusive jurisdiction of any court, tribunal, person

or body exercising jurisdiction of any court, tribunal, person or body exercising judicial or quasi-


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judicial functions; (7) all civil actions and special proceedings falling within the exclusive

jurisdiction of a Juvenile and Domestic Relations Court and of the Court of Agrarian Relations as

then provided by law; and (8) all other cases in which the demand, exclusive of interest,

damages of whatever kind, attorneys fees, litigation expenses, and costs or the value of the

property in controversy exceeds Two hundred thousand pesos (P200,000.00) or, in such other

cases in Metro Manila, where the demand, exclusive of the above-mentioned items exceeds For

hundred thousand pesos (P400,000.00).

The appellate jurisdiction of the RTCs is over all cases decided by Metropolitan Trial

Courts, Municipal Trial Courts and Municipal Circuit Trial Courts in their respective territorial

jurisdiction.

The term damages of whatever kind has been specially defined by the Supreme Courtfor purposes of determining the jurisdictional amount in respect to the jurisdiction of the RTC.

This term is understood to apply only to cases when the damages are merely incidental to or a

consequence of the main cause of action, and that therefore where the claim for damages is the

main cause of action or one of the causes of action, the amount of the claim shall be considered

in determining the jurisdiction of the court.

The Supreme Court has however designated certain branches of the RTCs to handle

exclusively certain cases as corporate and intellectual property cases.

4. JURISDICTION OF METROPOLITAN TRIAL COURTS, MUNICIPAL TRIAL COURTS AND

MUNICIPAL CIRCUIT TRIAL COURTS

The MTCs are the first-level trial courts in this country. They have therefore no appellate

jurisdiction and all their jurisdiction is exclusive and encompasses the following cases: (1) all 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 thedemand does not exceed Two hundred thousand pesos (P200,000.00) or, in Metro Manila

where such personal property, estate, or amount of the demand does not exceed Four hundred

thousand pesos (P400,000.00), exclusive of interest, damages of whatever kind, attorneys fees,

litigation expenses, and costs, the amount of which must be specifically alleged: Provided, That

where there are several claims or causes of actions between the same or different parties,

embodied in the same complaint, the amount of the demand shall be the totality of the claims


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in all the causes of action irrespective of whether the causes of action arose out of the same or

different transactions; (2) cases of forcible entry and unlawful detainer: Provided, That when, in

such cases, the defendant raises the question of ownership in his pleadings and the question of

possession cannot be resolved without deciding the issue of ownership, the issue of ownership

shall be resolved only to determine the issue of possession; and (3) all 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 Two hundred thousand pesos (P200,000.00) or, in

civil actions in Metro Manila, where such assessed value does not exceed Four hundred

thousand pesos (P400,000.00) exclusive of interest, damages of whatever kind, attorneys fees,

litigation expenses and costs.

The MTCs may however be assigned by the Supreme Court to hear and determine

certain cadastral cases and petitions for habeas corpus.

RULE I GENERAL PROVISIONS

The Rules shall be known and cited as the Rules of Court. They shall apply in all courts, except

as otherwise provided by the Supreme Court in civil, criminal and special proceedings. They do

not apply to election cases, land registration, cadastral, naturalization and insolvency, and other

cases not herein provided, except by analogy or in suppletory character and whenever

practicable and convenient.

For purposes of the subject matter, only Rules 1 to 71 or the 1997 Rules of Civil Procedure shall

be discussed herein.

1. A Civil Action is one by which a party sues another for the enforcement or protection of

a right or the prevention or redress of a wrong. Examples: To enforce payment of a loan or to

eject an intruder on ones property.

1.1 A Civil Actions may be:


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1.1.a ORDINARY or SPECIALboth are governed by the rules for ordinary civil actions, subject

to specific rules prescribed for a special civil action.

1.1.b IN PERSONAM- brought against a person based on personal liability to the person

bringing the action

1.1.c IN REM- it is directed against the thing itself rather than the person

1.1.d QUASI IN REMnames a person as a defendant but its object is to subject the persons

interest in property to a corresponding lien or obligation (Ramos vs. Ramos, 399 SCRA 43)

1.2 Distinguishing it from other kinds of actions:

1.2.a CRIMINAL - one by which the state prosecutes a person for an act or omission

punishable by law.

1.2.b SPECIAL PROCEEDINGremedy by which a party seeks to establish a status, right or a

particular fact.

1.3

DISTINCTIONS BETWEEN A CIVIL ACTION AND SPECIAL PROCEEDINGS

CIVIL ACTION

Adversarial-between plaintiff and

and defendant


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formal demand of a right by one

against the other

SPECIAL PROCEEDINGS

not necessarily as it may involve only 1

party

declaration of a status, right or a parti

cular fact

WHEN AN ACTION IS COMMENCED

An action is commenced upon the filing of the original complaint in court. If an additional

defendant is impleaded in a later pleadingit is commenced on the date of the filing of the later

pleading IRRESPECTIVE OF WHETHER THE MOTION FOR ITS ADMISSION, IF NECESSARY, IS

DENIED BY THE COURT.

1. Note though that FILING IS DEEMED DONE ONLY UPON PAYMENT OF THE DOCKET FEE

REGARDLESS OF ACTUAL DATE OF THE FILING OF THE COMPLAINT (MAGASPI V. RAMOLETE 115

S 193)

EXCEPTif the plaintiff is authorized to litigate as a pauper litiganthe is exempt from filing

fees.


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2. Note that the commencement of the action interrupts the period of prescription as to

the parties to the action.

HOW SHOULD THE RULES BE CONSTRUED

The rules shall be construed liberally in order to promote their objective of securing a just

speedy and inexpensive disposition of every action or proceeding.

1. Liberal construction is the controlling principle to effect substantial justice. Litigation

should as much as possible, be decided on their merits, and not on technicalities. It does not

mean, however, that procedural rules are to be ignored or disdained at will to suit the

convenience of a party.

2. Liberal construction of the rules should be made by the courts in cases: (1) a rigid

application will result in manifest failure or miscarriage of justice, especially if a party

successfully shows that the alleged defect in the questioned final and executory judgment is not

apparent on its face or from the recitals contained therein (2) where the interest of substantial

justice will be served (3) where the resolution of the motion is addressed solely to the sound

and judicious discretion of the court (4) where justice to the adverse party is not commensurate

with the degree of this thoughtlessness in not complying with the procedure prescribed.

3. Note that in doing so, substantial justice and equity considerations must not be

sacrificed. Periods for filing are as a matter of practice, strictly construed. Neither can liberality

of the rules be invoked if it will result in the wanton disregard of the rules or cause needless

delay in the administration of justice.

4. Concommitant to a liberal application of the rules of procedure should be an effort on

the part of the party invoking liberality to adequately explain his failure to abide by the rules.

5. The rules and procedure laid down for the trial court and the adjudication of cases are

matters of public policy. They are matters of public order or interest which can in no wise be

changed or regulated by agreements between or stipulations by parties to an action for their

singular convenience. (Republic vs. Hernandez, 253 SCRA 509)


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6. The Supreme Court has the power to suspend or set aside its rules in the higher interest

of justice.

RULE 2 CAUSE OF ACTION

The basis of an ordinary civil action is a cause of action. A cause of action is the act or omission

by which a party violates a right of another.

WHAT ARE THE REQUISITES OF A CAUSE OF ACTION

The requisites for a cause of action are: (1) a right in favor of the plaintiff by whatever means

and under whatever law it arises or is created (2) an obligation on the part of the defendant to

respect and not to violate such right (3) an act or omission on the part of the defendant

constituting a violation of the plaintiffs right.

DISTINGUISHING IT FROM RIGHT OF ACTION

RIGHT OF ACTION is the right to commence and maintain an action, it is a remedial right that

depends on substantive law, while a CAUSE OF ACTION is a formal statement of the operative

facts that give rise to such remedial right which is a matter of statement and is governed by

procedural law. WHEN ALL ELEMENTS OF A CAUSE OF ACTION ARE PRESENT, THERE WILL BE A

RIGHT OF ACTION

The distinction is best used to explain the principle that the existence of a cause of action may

only be ascertained from the allegations of the complaint.


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HOW MANY SUITS CAN BE FILED FOR A CAUSE OF ACTION

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

1. If a party institutes more than one suit, the filing of one or a judgment upon the merits in

anyone is available as a ground for the dismissal of the others. This is also known as SPLITTING

A CAUSE OF ACTION.

2. The SINGLENESS OF CAUSE OF ACTION of a cause of action is determined as follows:

2.1 In an action EX DELICTO, the singleness of a cause of action lies in the singleness of the

delict or wrong violating the right of a person. If however, one injury results from several

wrongful acts, only one cause of action arises. Example: A party who is injured could not

maintain an action for damages based on a breach of the contract of carriage against the owner

of the vehicle in which he was riding and another action for quasi-delict against the

driver/owner of the offending vehicle. The recovery under one remedy necessarily should bar

recovery under another. This, in essence, is the rationale for the proscription in our law againt

double recovery for the same act or omission which, obviously stems from the fundamental rule

against unjust enrichment.

2.2 In an action EX CONTRACTU, the rules are as follows:

2.2.a In a single or indivisible contract, only one cause of action arises from a single or several

breaches. Example: In a contract of sale of personal property by installments, the remedies of

the unpaid seller is alternative, they are: (1) elect fulfillment (2) cancel the sale, should the

vendees failure to pay cover two or more installments, and (3) foreclose the mortgage on the

thing sold if one has been constituted should the vendee fail to pay two or more installments.

2.2.b If the contract provides for several obligations, each obligation not performed gives rise

to a single cause of action. But if upon filing of the complaint several obligations have already

matured, all of them shall be integrated into a single cause of action. Example: Contract for

delivery of goods in part or over a period.


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2.2.c If the contract is divisible in its performance, and the future performance is not yet due,

but the obligor has already manifested his refusal to comply, the contract is entire and the

breach is total. Thus, there can only be one action.

IF A PARTY HAS SEVERAL CAUSES OF ACTION

He can join his causes of action as he may in one pleading assert, in the alternative or

otherwise, as many causes of action as he may have against the opposing party, subject to the

following conditions:

1. party joining the causes of action shall comply with the rule on joinder of parties, which

provides that : All persons in whom or against whom any right to relief is respect to or arising

out of the same transaction is alleged to exist, whether jointly, severally or in the alternative,

may except as otherwise provided in these rules, join as plaintiffs or be joined as defendants in

one complaint, where any question of law or fact common to all such plaintiffs or to all such

defendants may arise in the action.

2. joinder does not allow the inclusion of special civil actions or actions governed by special

rules . Example: An action for a sum of money cannot be joined with an action for iIlegal

detainer

3. where causes of action are between same parties but pertain to different venues or

jurisdictions, joinder may be allowed in the RTC provided one of the causes of action falls within

its jurisdiction and venue lies therein.

4. when the claims in all causes of action are principally for recovery of money, theaggregate amount shall be the test of jurisdiction.

EFFECT OF MISJOINDER


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Upon motion of a party or on the initiative of the court, a misjoined cause of action may be

severed and proceeded with separately.

RULE 3 PARTIES TO CIVIL ACTIONS

WHO MAY BE PARTIES TO A CIVIL ACTION

Only natural or juridical persons or entitles authorized by law may be parties in a civil action.

They are called: PLAINTIFFhe is one who has interest in the subject of the action and obtaining

the relied demanded. He may be the claimant in the original complaint, the counter-claimant in

the counter claim, or cross-claimant in a cross-claim or the third party plaintiff and the

DEFENDANThe is one who has an interest in the controversy adverse to the plaintiff. He may

be the original defending party, the defendant in a counter-claim, or cross-defendant in a cross-

claim.

For ready reference, a COUNTER-CLAIM is any claim which a defending party may have against

an opposing party. A CROSS-CLAIM is a claim by one party against a co-party arising out of the

transaction or occurrence that is the subject matter either of the original action or of a counter-

claim therein. A THIRD PARTY CLAIM is a claim that a defending party may, with leave of court,

file against a person not party to an action for contribution, indemnity, subrogation or any other

relief, in respect to his opponents claim.

1. The state or any of its political subdivisions, while considered as juridical entities, they

can sue but as a general rule, they cannot be sued without its consent.

2. A foreign corporation cannot be a plaintiff in suit when it is transacting business in the

Philippines without a license.


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3. Entities authorized by law are recognized labor organizations and entities without legal

personality referring to 2 or more persons not organized as an entity with juridical personality

enter into a transaction, they may be sued under the name by which they are generally or

commonly known but in their answer to the complaint, their names and addresses must be

revealed.

4. A sole proprietorship may not be a party as it is neither a natural, juridical or entity

allowed or authorized by law. If one sues as such, the action may be dismissed on the ground of

lack of capacity to sue. It does not possess a juridical personality separate and distinct from the

personality of the owner of the enterprise. It cannot sue or file or defend an action in court.

PARTIES IN INTEREST

A real party in interest in the party who stands to be benefited or injured by the judgment or

party entitled to the avails of the suit. UNLESS OTHERWISE AUTHORIZED BY LAW OR THE RULES

all actions must be prosecuted or defended in the name of the real party in interest.

1. A real party in interest-plaintiff is one who has a legal right, while a real party in interest-

defendant is one who has a correlative obligation, whose act or omission violates the legal rights

of the former.

2. WHEN A SUIT IS NOT BROUGHT IN THE NAME OF THE REAL PARTY IN INTEREST,it may

be dismissed on the ground that the complaint states no cause of action. Note that the

dismissal is not due to lack of or no legal capacity to sue nor lack of legal personality, as the

latter is not ground for dismissal for dismissal under the 1997 Rules of Civil Procedure.

2.1 It states NO CAUSE OF ACTION BECAUSE IT IS NOT BEING PROSECUTED IN THE NAME OF

THE REAL PARTY IN INTEREST.

2.2 LACK OF LEGAL CAPACITY TO SUE means that the plaintiff is not in exercise of his civil

rights, does not have the necessary qualification to appear or does not have the character or

representation he claims. Example: Trustee or Minor, AS DISTINGUISHED FROM LACK OF LEGAL


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PERSONALITY means that the plaintiff is not the real party in interest. Dismissal is based on the

fact that the complaint states no cause of action

3. Legal standing means a personal and substantial interest in the case such that the party

has sustained or will sustain direct injury as a result of the act being challenged. The term

interest is material interest, an interest in issue, and to be affected by the decree, as

distinguished from mere interest in the question involved, or a mere incidental interest.

Moreover, the interest must be personal and not one based on a desire to vindicate the

constitutional right of some third or unrelated party.

CLASSIFICATION OF REAL PARTIES IN INTEREST

1. INDISPENSABLE PARTY is a party without whom no final determination can be had of an

action. They are those with such an interest in the controversy that a final decree would

necessarily affect their rights, so that the courts cannot proceed without their presence.

Example: owners of property over which reconveyance is asserted are indispensable parties

without whom no relief is available and without whom the court can render no valid judgment.

1.1 Without the presence of indispensable parties to the suit, the judgment of the court

cannot attain real finality.

2. NECESSARY PARTY is a party who is not indispensable but who ought to be joined as a

party if complete relief is to be accorded as to those already parties or for a complete

determination or settlement of the claim subject of the action. A necessary partys presence is

necessary to adjudicate the whole controversy but whose interests are so far separable that a

final decree can be made in their absence without affecting them. Example: If the plaintiff only

sues a one of his joint debtors, the joint debtor who is not sued is merely a necessary party. As aconsequence, the plaintiff only recovers the share of the debt due from the joint debtor

defendant.

2.2 A necessary party is to be impleaded as a party for complete determination of an action,

while an indispensable party is impleaded for a final determination of an action.


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PERSONS WHO CAN SUE IN BEHALF OF A REAL PARTY IN INTEREST

The following may sue in behalf of a real party in interest

1. REPRESENTATIVES- actions are allowed to be prosecuted / defended by a representative

or by one acting in a fiduciary capacity BUT the BENEFICIARY SHALL BE INCLUDED IN THE TITLE

and shall be deemed to be the REAL PARTY IN INTEREST.

1.1 Examples of representatives are: (1) trustee of an express trust (2) a guardian, executor

or administrator, or (3) a party authorized by law or the Rules.

1.2 An agent acting in his own name and for the benefit of an unknown principal may sue or

be sued without joining the principal except when the contract involves things belonging to the

principal. This refers to an AGENCY WITH AN UNDISCLOSED PRINCIPAL.

2. HUSBAND AND WIFE- as a general rule shall sue or be sued jointly, except as provided

by law. Non joinder of partys husband is not fatal. It is a mere formal defect.

2.1 They are required to sue and be sued jointly as they are joint administrators of the

Absolute Community or the Conjugal Partnership.

2.2 The exceptions provided by law are when the property relations of husband and wife

are governed by the rules on separation of property or one is disposing of exclusive property.

2.3 NOTE that the legal provision against the disposition of conjugal property by one spouse

without the consent of the other has been established for the benefit, not of third persons, but

only for the spouse for whom the law desires to save the conjugal partnership from damages

that might be caused. No other party can avail of the remedy other than the aggrieved spouse.


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3. MINORS OR INCOMPETENTS- may sue or be sued with the assistance of father, mother,

guardian or, if he has none, a guardian ad litem.

3.1 A guardian ad litem is a special guardian appointed by the court in which a particular

litigation is pending to represent or assist a minor or an incompetent person involved in or has

interest in the property subject of litigation. His status as such exists only in that particular

litigation in which the appointment occurs.

3.2 Note that the appointment of a guardian ad litem may occur in the following: for minor

heirs when substituting for a deceased party , incompetency or incapacity of a party , service of

summons on a minor or incompetent , and when the best interest of the child require it.

JOINDER OF PARTIES

Joinder of Parties refers to the act of uniting several parties in a single suit either as plaintiffs or

defendants.

1. The rule on joinder of parties states that: All persons in whom or against whom any right

to relief in respect to or arising out of the same transaction is alleged to exist, whether jointly,severally or in the alternative, may except as otherwise provided in these rules, join as plaintiffs

or be joined as defendants in one complaint, where any question of law or fact common to all

such plaintiffs or to all such defendants may arise in the action.

2. Joinder of Parties, as a rule, is permissive when there is a question of law or fact

common to all the plaintiffs or defendants. This means that the right to relief or to resist the

action arises out of the same transaction or event or series of transactions or events. Example:

action by passengers of a common carrier for injuries sustained in an accident, there is no

community of interest, the extent of the interest is limited to the extent of damages being

claimed by each.

3. It becomes compulsory when the parties to be joined are indispensable parties.


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4. The exception to compulsory joinder of parties is when the subject of the action is

proper for a class suit. The subject matter of the controversy is proper for a class suit when it is

one of common or general interest to many persons so numerous that it is impractical to join all

as parties. All the parties who are interested in the action as plaintiffs or defendants are all

indispensable parties but not all need to be joined.

4.1 The requisites of a class suit are:

1. The subject matter of the controversy is one of common or general interest to many

persons. There must be an INDIVISIBLE RIGHT AFFECTING MANY INDIVIDUALS WHOSE

PARTICULAR INTEREST IS OF INDETERMINATE EXTENT AND IS INCAPABLE OF SEPARATION. This

requires that the benefit to one is a benefit to all. Examples: stockholder derivative suits and

taxpayer suits.

1.1 Improper for a class suit is when a claimant is interested only in collecting his claims and

has no concern in protecting the interests of the others.

2. The parties affected are so numerous that it is impracticable to join all as parties

3. The parties bringing or defending the class suit are found by the court to be sufficiently

numerous and representative as to fully protect the interest of all.

To comply with the 2nd and 3rd requisite, the Complaint most allege: (1) existence of a subject

matter which is of common or general interest to many persons, and (2) existence of a class and

the number of persons belonging to that class

4.2 It can be brought by the plaintiffs as a class or may be filed against the defendants as a

class

4.3 Any party in interest shall have the right to intervene to protect his individual interest.

4.4 The general rule, is that the party bringing the suit in his own name and that of others

similarly situated has the right to control the suit, BUT, it shall not be dismissed or compromised

without the approval of the court.


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5. If there is a failure to join an indispensable party, the court must order the plaintiff to

amend his complaint for the purpose of impleading the indispensable party. If the plaintiff fails,

refuses or the party cannot be sued because he is a non-resident defendant in a personal action,

the complaint must be dismissed.

6. If there is a failure to join a necessary party, the pleader in the pleading in which a claim

is asserted without joining a necessary party shall (1) set forth the name of the necessary party,

if known and (2) state the reason for omission. If the court finds the reason for the omission is

not meritorious, it may order the inclusion of the omitted necessary party if jurisdiction over his

person is obtained.

If pleader fails to comply with order for inclusion without justifiable cause, it shall be deemed a

waiver of the claim against the party, BUT the non-inclusion does not prevent the court from

proceeding in the action, and the judgment therein shall be without prejudice to rights of such

necessary party.

7. MISJOINDER OR NON JOINDER NOT A GROUND FOR DISMISSAL.Parties may be dropped

or added by order of the court on motion of any party or on its own initiative at any stage of the

action and on such terms that are just. Any claim against a misjoined party may be severed and

proceeded against separately.

NOTE HOWEVERthat if the party to be joined is indispensable and the plaintiff fails or refusesor such party cannot be suedthe complaint must be dismissed (NDC v. CA 211 S 422)

8. IF A PARTY TO BE JOINED AS A PLAINTIFF DOES NOT CONSENT OR CANNOT BE

OBTAINED he may be made a defendant and the reason therefor shall be stated in the

complaint.

DISTINCTIONS BETWEEN

Indispensable party Necessary party

if not joinedaction cannot proceed if not joinedaction proceeds judgment

judgment is not valid is voted but does not resolve the contro-


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versy.

-non joinderdismissed non joinderwaiver of claim

WHO WILL PLAINTIFF SUE IF HE IS UNCERTAIN

If he (plaintiff) uncertainagainst who of several persons he is entitled to reliefHE MAY JOIN

ANY OR ALL OF THEM AS DEFENDANTSin the ALTERNATIVEalthough a right to relief against

one may be inconsistent with a right of relief against the other.

EXAMPLE: An action where the owner of goods is not sure whether they were lost in transit or

while it was on deposit in the warehouse of the arrastre operatorHe may sue the shipper orthe operator of the warehouse in the ALTERNATIVEalthough the right against the SHIPPER is

based on ADMIRALITY, while that against the OPERATOR is based on CONTRACT. Action for

damages arising from loss of goods due to a collision.

IF THE IDENTITY/NAME OF THE DEFENDANT IS UNKNOWN

He may be sued as the unknown owner, heir, devisee or by such other designation as the case

may requireWHEN THE IDENTITY OR NAME IS DISCOVEREDthe pleading must be amended

accordingly. EXAMPLE: Action to recover real property from several unknown heirs of a

common ancestor.

EFFECT OF DEATH OF A PARTY (Sec 16)

When a party dies and his claim is not extinguishedit shall be the duty of counselto inform

the court within 30 days after such death of the : (1) FACT OF DEATH (2) NAME AND ADDRESS

OF LEGAL REP/REPS

IF NOT, Counsel may be subject to disciplinary action.

ONCE NOTICE IS GIVENThe COURT SHALL ORDER THE LEGAL REP/S TO APPEAR AND BE

SUBSTITUTED WITHIN 30 DAYS FROM NOTICE.

Note: Heirs may be allowed to be substituted for the deceased without requiring the

appointment of an executor or administrator and the court can appoint a guardian ad litem for

minor heirs.

IF LEGAL REP/S DO NOT APPEAR OR NOTICE IS NOT GIVEN-


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The court can order the opposing party, within a specified timeto procure the appointment of

an executor or administrator to appear for and in behalf of the deceasedExpensesif paid by

opposing party can be recovered as costs

IF DEATH/SEPARATION OF A PUBLIC OFFICER (Sec 17)

If sued in his public capacityand he dies, resigns or otherwise ceases to hold office

The action may be MAINTAINED AND CONTINUED by or against his successor, if within 30 days

after successor assumes the office or such time as granted by the courtit is SATISFECTORILY

SHOWN by a party that there is a substantial need for continuing and maintaining it and that the

successor ADOPTS or CONTINUES OR THREATENS to adopt or continue the action of his

predecessor.

BEFORE SUBSTITUTIONIF NO EXPRESS ASSENT, the public officer shall be given reasonable

notice of the application and be accorded an opportunity to be heard.

EFFECT OF DEATH OF DEFENDANT ON A CONTRACTUAL MONEY CLAIM

If the action is for the recovery of money that arises from a CONTRACT, express or implied, and

the defendant dies BEFORE ENTRY OF A FINAL JUDGMENT, the RULE isit will not be dismissed

but shall be allowed to continue until entry of judgment, a favorable judgment obtained shall be

enforced in the manner provided by the rules for prosecuting claims against the ESTATE OF A

DECEASED PERSON.

1. RULES TO BE OBSERVED IN CASE OF DEATH OF OBLIGOR are: (a) If he dies before the

action is filed, a money claim must be filed in the testate or intestate proceedings (b) if he dies

during the pendency of an action, the action continues until entry of judgment, and thejudgment claim is then filed with the testate or intestate proceedings. It must be noted that a

money claim judgment need not be proven because it is conclusive. NOTE FURTHER, that if

property has been levied upon before death. It can disposed of in the manner provided by the

rules on execution of judgments because it has already been segregated from estate. If there is

a deficiency, a money claim can be filed subsequently.

2. IF IT DOES NOT ARISE FROM CONTRACT, RE: CLAIMS FOR RECOVERY, ENFORCEMENT OF

A LIEN OR DAMAGES DUE TO TORT, the rules are: (a) if he dies before the action is filed, it may

be filed against the executor or administrator (b) if already filed , it continues to final judgment

and may be executed on as against the executor or administrator.

3. In a case for ejectment where the defendant died before the case could be decided and

without being able to testify on his counterclaim for damages. The trial court dismissed the

ejectment suit and ordered the plaintiff to pay the wife of the defendant moral damages and

attorneys fees. The plaintiff contends on appeal that the counterclaim should have been


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dismissed pursuant to Rule 3, Section 21 (old rule). HELD: The argument is misplaced, defendant

was the plaintiff in his counterclaim, the rule is not applicable as it pertains to a defendant who

dies before final judgment. In this case, it is the plaintiff who died and all that is required is a

timely motion for substitution. No recovery though can be allowed as no evidence was adduced.

4. If a claim involves a conjugal debt that was not brought and one of the spouses diebefore filing, the claim must be brought in the testate or intestate proceedings of the deceased

spouse. ( Alipio v. CA, GR. 134100, 9-29-2000)

5. IF IT IS THE PLAINTIFF WHO DIES: (a) if action is purely personal to him, the action is

abated (b) if action is not purely personal, it continues but counsel must give notice of death.

EFFECT ON INCOMPETENCY/INCAPACITY ON AN ACTION

1. The court, upon motion with notice, may allow the action to be continued by or against

the incompetent or incapacitated person assisted by his guardian or guardian ad litem.

EFFECT OF A TRANSFER OF INTEREST PENDING LITIGATION

1. The action may be continued by or against the original party, unless the court upon

motion directs the person to whom interest is transferred to be substituted in the action or

joined with the original party.

2. The rule refers to a transfer pendente lite. The transferee pendente lite shall stand

exactly in the shoes of the transferor. Consequently, any judgment will be binding upon him.

3. A transferee pendent elite does not have to be included or impleaded by name in order

to be bound by the judgment because the action or suit may be continued for or against the

original party or the transferor and still binding on the transferee.

4. In a case on appeal where the transferee pendente lite did not appeal, he nevertheless

was benefited by the appeal of the transferor pendent elite.

INDIGENT/PAUPER LITIGANT


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1. An indigent or pauper litigant Is one who litigates on a claim that he has no money, or

property sufficient and available for food, shelter and basic necessities for himself and his

family.

2. An indigent or pauper litigant must file an ex-parte application for authority to litigate as

an indigent that is too be resolved by the court after hearing. Attached to the motion is an

affidavit attesting to the fact that he does not earn a gross income of PHP 4000.00 in Metro-

Manila, or PHP 3,000.00 elesewhere and has no real property with a fair market value of PHP

50,000.00. Said affidavit must be supported by another affidavit of a disinterested person. Note

that recently, an indigent litigant has been defined as one (a) whose gross income and that of

their immediate family does not exceed an amount double the monthly minimum wage of an

employee and (b) who does not own real property with a fair market value as stated in the

current tax declaration of more than PHP 300,000.00. If there is any falsity in the affidavit or

that of the disinterested person, it shall constitute sufficient ground to dismiss the action or

strike out the pleading, without prejudice to whatever criminal liability is incurred.

3. The effect of being allowed to litigate as an indigent or pauper litigant are: (1)

exemption from the payment of docket fees and other lawful fees (2) exemption from TSN fees

which the Court may order to be furnished BUT, the amounts due shall be a LIEN on a favorable

judgment unless the Court orders otherwise.

4. The allowance to litigate as an indigent or pauper litigant can be contested at any time

before judgment is rendered by any adverse party. If found to be meritorious, the proper fees

are assessed and are to be collected. IF NOT PAID, execution shall issue on the payment thereof

without prejudice to other sanctions.

5. On appeal, a motion to litigate as an indigent or pauper litigant is allowed.

WHEN SOLICITOR GENERAL IS REQUIRED TO APPEAR


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In any action involving the validity of any treaty, law, ordinance, executive order, presidential

decree, rule or regulation, the court, in its discretion, may require the appearance of the

SOLGEN, who may be heard in person or through a representative duly designated by him.

RULE 4VENUE OF ACTIONS

1. Venue is the place where the action is to be commenced and tried. It has also been

defined as the proper location for the trial of a case.

2. Distinguishing it from jurisidiction: (a) venue is the place where action is commencedand tried, jurisdiction is the authority of a court to hear and decide the action (b) venue may

be waived, jurisdiction over the subject matter cannot be waived, but that over the person can

be waived (c) venue may be the subject of a written agreement, jurisdiction cannot be subject

of a written agreement (d) a court cannot motu-propio dismiss on improper venue, while

when there is no jurisdiction, a court can motu-propio dismiss the action.

3. The following are the rules on venue:

3.1 IF IT IS A REAL ACTION or one that affects title to or possession of real property, or

interest therein, it shall be commenced and tried in the proper court which has jurisdiction over

the area wherein the real property involved or a portion thereof is situated. Forcible Entry and

Detainer actions are to be commenced and tried in the Municipal Trial Court which has

jurisdiction over the area wherein the real property involved, or any portion thereof, is situated.

2. IF IT IS A PERSONAL ACTION or one that is brought for the recovery of personal

property, for the enforcement of a contract or recovery of damages for its breach of for the

recovery of damages due to injury to person or property or such all other actions shall be

commenced or tried where the plaintiff or ANY OF THE PRINCIPAL PLAINTIFFS reside or any of

the defendants reside, or if a NON-RESIDENT DEFENDANT, where he may be FOUND at the

election of the plaintiff


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2.1 RESIDEmeans the place of abode, whether permanent or temporaryas

distinguished from domicilefixed permanent residence, where if one is absent he intends to

return.

2.2 Is the complaint for cancellation of a real estate mortgage with damages, a real or

personal action? It is a real action, the controlling factor in determining venue of such a case is

the primary objective for which it is filed. An action for cancellation of a real estate mortgage is

necessarily an action affecting title to real properties since the primary objective is to recover

the properties that the bank had foreclosed on.

2.3 In personal actions, it is the residence of the proprietor, not the business address of the

sole proprietorship that is considered to determine venue as a sole proprietorship has no legal

personality.

2.4 R engaged the services of L as geodetic surveyor to subdivide two parcels of land

located in Batangas. As payment for Ls services, R agreed to given him one lot. After the survey,

R delivered to L possession of one lot as payment for his services. However, R failed to deliver to

L the tile of the lot. L, who resides in Quezon City, filed with the RTC of Quezon City an action

against R for specific performance to compel R to deliver to him the title to the lot. R moved to

dismiss on the ground of improper venue, contending that since his is a real action, the

complaint must be filed in the RTC of Batangas where the lot is situated. Is R correct? No, R is

not correct. This action for specific performance is a personal action. The venue therefore, was

properly laid in Quezon City where the plaintiff resides. It is not a real action because plaintiff L

is not seeking the recovery of the lot as he is already in possession thereof. He is merely asking

the delivery of the title to him, which is a personal action.

3. IF DEFENDANT IS A NON-RESIDENT or one who does not reside and is not found in the

Philippines, and the action affects the personal status of the plaintiff , or any property of said

defendant located in the Philippines, the action may be commenced and tried in the court of the

place where the plaintiff resides, or where the property or any portion thereof is situated or

found.


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3.1 The provision refers to a Quasi in Rem action in which an individual is named as a

defendant, and the purpose of the action is to subject his interest therein to an obligation or lien

burdening the property.

3.2 A non-resident alien who cannot be found can sue and be sued as by filing his

complaint, he submits to the jurisdiction of the Court, even if he has never been able to enter

the Philippines. (Dilweg vs. Philipps, 12 S 243)

THE RULES ON VENUE ARE NOT APPLICABLE

The rules on venue will not apply if: (1) in cases where a specific rule or law provides otherwise

(2) Where the parties have validly agreed in writing BEFORE FILING OF THE ACTION ON

EXCLUSIVE VENUE

1. EXAMPLES: (1) Quo Warranto proceedings may be instituted in the Supreme Court,

Court of Appeals or the Regional Trial Court exercising territorial jurisdiction over the area

where the respondent/s reside. If the Solicitor General commences the action, he may do so in

the Supreme Court, Court of Appeals or the Regional Trial Court of Manila. The criminal or civil

action for damages due to libel can only be instituted either in Regional Trial Court of the place

where he holds office or in the place where the alleged libelous article was printed and first

published; and if the offended parties are private individuals, the venue shall be in the Regional

Trial Court of the place where the libelous article was printed and first published or where any

of the offended parties actually resides at the time of the commission of the offense or 2.

Art 360, RPC. LibelCivil and Criminal action to be distributed in the RTC where public

official holds office or where libelous article was first printed or published (3) Intracorporate

Controversies are to be filed in the Regional Trial Court where principal office corporation is

located.


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2. Any agreement as to venue must be in writing and for exclusivity, the intent must be

clear, otherwise, it will be interpreted to allow for an additional venue.

2.1 The freedom of the parties to stipulate on the venue is however subject to the usual

rules on contract interpretation. Where the provision appears to be one-sided as to amount to a

contract of adhesion, the consent of the parties thereto may well be vitiated and the venue

stipulation will not be given effect.

2.2 Venue as stipulated in the promissory note shall govern notwithstanding the absence of

a stipulation as to venue in an accompanying surety agreement as the latter can only be

enforced in conjunction with the former.

HOW VENUE IS QUESTIONED

Venue may be questioned in (1) in a motion to dismiss , or (2) in an answer by way of an

affirmative defense . If NOT SO MADE, it is deemed waived.

RULE 5-UNIFORM PROCEDURE IN TRIAL COURTS

The procedure in Municipal Trial Court shall be the same as in the Regional Trial Court, except

when (1) a provision applies only, expressly or impliedly, to a particular court, or (2) In civil cases

covered by the Rules on Summary Procedure

1. An example of a provision that applies only to a Municipal Trial Court is that which

refers to an appeal taken from an order of the lower court dismissing the case without trial on

the merits.

PROCEDURE IN REGIONAL TRIAL COURTS


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RULE 6- KINDS OF PLEADINGS

PLEADING DEFINED is a written statement of the respective claims and defenses of the parties

submitted to the court for appropriate judgment.

1. The pleadings that are allowed are: (a) Claims of a party are asserted in the complaint,

counterclaim, cross-claim, 3rd party complaint (4th..), or complaint in intervention (2)

Defenses of a party are alleged in the answer to the pleading asserting a claim against him (3)

Reply to the answer

2. The specific KINDS OF PLEADINGS are: (a) COMPLAINT, which is the pleading alleging the

plaintiffs cause of action or causes of action. The names/residences of the plaintiffs and

defendants must be stated in the complaint (b) ANSWER, which is a pleading in which a

defending party sets forth his defenses . Its essential purpose is to secure joinder of the issues

and not to lay down evidentiary matter.

2.1 The following are the kinds of defenses that may be interposed in an answer:

2.1.1 NEGATIVE DEFENSE which is a specific denial of a material fact or facts alleged in the

pleading of a claimant essential to his cause/s of action. A specific denial is made by: (a)

Specifically denying the material averment in the pleading of the adverse party and setting forth

the substance of the matter upon which he relies for such denial (b) Deny only a part of the

averment by specifying that so much of it is true and deny the remainder (c) Allegation of

lack of knowledge or information sufficient to form a belief as to the truth of the material

averment in the pleading of the adverse party.

2.1.2 AFFIRMATIVE DEFENSE which is an allegation of new matter, which although

hypothetically admitting the material allegations in the pleading would nevertheless bar or

prevent recovery. They include fraud, statute of limitations, release, payment, illegality, statute

of frauds, estoppel, former recovery, discharge in bankruptcy, or any other matter by way of

confession and avoidance.


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Any of the grounds for a motion to dismiss may be pleaded as an affirmative defense. He may

then move for a preliminary hearing as if a timely motion to dismiss has been filed.

NOTE that the rule that a defending party who sets up an affirmative defense

HYPHOTHETICALLY ADMITS the allegations does not apply if the defense set up is any of the

grounds for extinguishment of the obligation. The EFFECT is that the defending party is deemed

to have admitted the validity of the obligation, and if the motion to dismiss is denied, what is

left to be proven is the fact of payment or non-payment.

3. COUNTERCLAIM, which is any claim which a defending party may have against an

opposing party.

3.1 KINDS OF COUNTERCLAIMS

COMPULSORY

(1) Arises out of or is connected

w/ the transaction or occurrence

constituting the subject matter of

the opposing partys claim

(2) barred if not set up in the

answer

(3) plaintiff need not answer

(4) if not answeredno default

(5) does not require a certification


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as to non-forum shopping

PERMISSIVE

1. does not arise out of or is not connected

with the transaction or occurrence constitu-

ting the subject matter of the opposing

partys claim

2. not barred even if not set up in the

answer

3. plaintiff must answer once docket fees are

paid

4. if not answereddefault lies

5. being an initiatory pleadingit requires a

certification as to non-forum shopping

3.2 The REQUISITES OF A COMPULSORY COUNTER-CLAIM are:(a) It arises out of or is

necessarily connected w/the transaction or occurrence that in the subject matter of the partys

claim (b)It does not require for adjudication the presence of 3rd parties over whom the court

cannot acquire transaction (c) It must be cognizable by the regular courts of justice (d) It must

be within the jurisdiction of the court both as to amount and the nature thereof, except that in

an original action before the RTC, counterclaim is considered compulsory regardless of amount

(e) It must already be existing at the time defending party files his answer (Rule 6, Sec. 7,

Rule 11, Sec. 8)


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See Reyes De leon v Del Rosario, 435 SCRA 232, test to determine whether counterclaim is

compulsory or not.

3.2.1 A compulsory counterclaim that is not yet in existence at the time of the filing of an

answer may be presented or set-up by a supplemental pleading before judgment.

3.2.2 A compulsory counterclaim may implead persons not parties to the original complaint

as their presence is required for granting complete relief in the determination of a counter-claim

or cross claim, the court shall order them brought in as defendants, if jurisdiction over them can

be obtained. Summons must thus be served upon them as they must answer the counterclaim

as they cannot rely on the rule that the defendant in the counterclaim is deemed to have

adopted the allegations of the complaint in his answer.

3.3 The REQUISITES OF A PERMISSIVE COUNTERCLAIM are: (a) It does not require for

adjudication the presence of 3rd parties over whom the court cannot acquire jurisdiction (b) It

must be cognizable by the regular courts of justice (c) It must be within the jurisdiction of the

court both as to amount and the nature thereof, except that in an original action before the

RTC, counterclaim is considered compulsory regardless of amount

4. A CROSS-CLAIM is a claim by one party against a co-party arising out of a

transaction/occurrence that is the subject matter either of the original action or the counter-

claim.

It may include a claim that a 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.


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NOTE that counterclaims may be asserted against an original counter-claimant and that cross-

claims may also be filed against an original cross-claimant.

5. A REPLY is a pleading, the office or function of which is to deny or allege facts in denial

or avoidance of new matters alleged by way of defense in the answer and thereby join or make

an issue as to such matters.

5.1 If a reply is not filed, all new matters are deemed controverted. If plaintiff wishes to

interpose any claims arising out of the new matters so alleged, such claims shall be set forth in

an amended/supplemental complaint.

5.2 If the defense is based on an actionable document, it must be replied to, otherwise it is

admitted.

6. A 3RD PARTY COMPLAINT is a claim that a defending party may, WITH LEAVE OF COURT,

file against a person, NOT A PARTY, called 3RD party defendant. FOR CONTRIBUTION

INDEMNITY, SUBROGATION, OR ANY OTHER RELIEF in respect of his opponents claim.

6.1 EXAMPLES:

CONTRIBUTION- A sues X for collection of money based on a promissory note signed jointly and

severally with Y. X may file a complaint against Y for contribution

INDEMNITYS, as surety, is sued for recovery of the obligation of M. S may file a complaint

against M for whatever amount he may be adjudged to pay as surety

SUBROGATIONX, as lessor, sues Y, as lessee for repairs. Y may file a complaint against his sub-

lessee who filed to comply with the obligation to repair


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OTHER RELIEFX bought land from Y. Later X is sued by A for recovery of the land. X may file a

complaint against Y for his warranty against eviction.

6.2 An ANSWER TO 3RD PARTY COMPLAINT may include (a)DEFENSES COUNTERCLAIMS OR

CROSS-CLAIMSincluding such defenses that the 3RD PARTY PLAINTIFF may have against the

original plaintiffs claim, and (b) IN PR0PER CASES, he may assert a counter-claim against the

ORIGINAL PLAINTIFF in respect to his claim against the 3rd party plaintiff.

EXAMPLE: a REINSURER (3rd party defendant) may set up in his answer the defense alleged by

defendant insurer that loss is caused by plaintiff insured. However 3rd party defendant cannot

file a counterclaim against the original plaintiff as there is no privity of contract.

WHEN NEW PARTIES CAN BE BROUGHT

If the presence of others besides the parties is required for the granting of full relief in the

determination of a counter-claim or cross- claim the court shall order them to be brought in as

defendants, if jurisdiction over them can be obtained .

RULE 7PARTS OF A PLEADING

The PARTS OF A PLEADING of a pleading are CAPTION, BODY, SIGNATURE, ADDRESS,

VERIFICATION, AND CERTIFICATION AGAINST FORUM SHOPPING.

1. CAPTIONit sets forth the (a) NAME OF THE COURT (b) THE TITLE OF THE ACTION- this

includes an indication of the NAME of the PARTIES, who are REQUIRED to be NAMED in the

ORIGINAL COMPLAINT OR PETITION. In subsequent pleadings, the name of the first party on

each side is sufficient with an appropriate indication when there are other parties. NOTE: In an


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appeal, Sections 5 and 6, Rule 41 requires all names to be indicated in the NOTICE OF APPEAL

and RECORD ON APPEAL (c) DOCKET NUMBER , if one has already been assigned.

2. BODY - sets forth its designation, the allegations or a partys claims / defenses, the relief

prayed for, and the date of the pleading

2.1 The allegations in the body shall be divided unto paragraphs so NUMBERED to be readily

IDENTIFIED. Each shall contain STATEMENT OF A SINGLE SET OF CIRCUMSTANCES so far as it can

be done with convenience. A paragraph may be referred to by its number in all succeeding

pleadings.

2.2 Headings must be used when 2 or more causes of action are joined, the statement of

the first shall be prefaced by : FIRST CAUSE OF ACTION etc. WHEN: 2 or more paragraphs are

addressed to one or several causes of action in the complaint, they shall be prefaced by:

ANSWER TO THE FIRST CAUSE OF ACTIONand so on. If it addresses several causes of action,

the paragraphs shall be prefaced accordingly.

2.3 Relief should be specified but it may add a general prayer for such further or other relief

as may be deemed just and equitable.

2.4 Dateevery pleading is required to be dated.

3. SIGNATURE AND ADDRESS- every pleading must be signed by the party OR counsel

representing him, stating in either case his ADDRESS which should not be a post office box.

3.1 NOTE the word OR because a party may litigate / defend PRO SE or for himself without

aid or counsel. This applies even if a party is already represented by counsel.

3.2 AN ADDRESS IS REQUIRED for service of pleadings or judgments


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3.3 SIGNIFICANCE OF COUNSELS SIGNATURE it is a CERTIFICATE BY HIM THAT: (a)

He has read the pleading (b)To the best of his information, knowledge and belief there is

good ground to support it (c) It is not interposed for delay

3.4 IF PLEADING IS UNSIGNED It produces NO LEGAL EFFECT. However, the court in its

discretion can allow the deficiency to be remedied if: it SHALL APPEAR THAT THE SAME IS DUE

TO INADVERTENCE AND NOT INTENDED FOR DELAY

3.5 COUNSEL SUBJECT TO DISCIPLINARY ACTION IN RELATION TO the Rule when (a) He

deliberately files an unsigned pleading (b) Signs a pleading in violation of the Rule (c)

Alleges scandalous or indecent matter (d) Fails to promptly report to the court a change

in his address

4. VERIFICATION is an affidavit that the affiant has read the pleading and that the

allegations therein are TRUE and CORRECT of his PERSONAL KNOWLEDGE AND/OR IS BASED ON

AUTHENTIC RECORDS.

4.1 IF A PLEADING REQUIRED TO BE VERIFIED CONTAINS A VERIFICATION BASED ON

INFORMATION AND BELIEF, ORUPON KNOWLEDGE INFORMATION AND BELIEF, OR LACKS A

PROPER VERIFICATION, it shall be treated as an UNSIGNED PLEADING.

4.2 A pleading need not be verified, except when otherwise specifically required by LAW OR

RULES .

4.3 A VERIFICATION IS REQUIRED under rules governing (a) cases covered by the Rules on

Summary Procedure (b) Petition for relief from judgment / order (c) Petition for review (d)

Appeal by certiorari (e)Petition for annulment of judgment (f) Injunction (g) Receivership (h)

Support (i) 69) Certiorari, Prohibition or Mandamus (j) Quo Warranto (k) Expropriation (l)

Forcible Entry / Detainer (m) Indirect Contempt

4.4 An improper verification is cured by amending the pleading with the CORRECT

VERIFICATION


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5. CERTIFICATION AGAINST FORUM SHOPPING is executed by the plaintiff or principal

party who shall certify under OATH in the COMPLAINT or INITIATORY PLEADING ASSERTING A

CLAIM OR RELIEFOR IN A SWORN CERTIFICATION ANNEXED THERETO AND SIMULTANEOUSLY

FILE THEREWITH: (1) That he has not therefore commenced any action or filed any claim

involving the same issues in any COURT, TRIBUNAL OR QUASI-JUDICIAL AGENCY, AND to the

best of his knowledge, no such other claim or action is pending therein (2) If there is such other

pending action or claim, a complete statement of the present status thereof (3) That if he

should thereafter learn that the same or similar action has been filed or is pending, he shall

report that fact within 5 days therefrom to the court wherein his complaint / initiatory pleading

has been filed.

5.1 The lack of a certification is not curable by amendment, but such shall be cause for

dismissal of the complaint. The dismissal shall be without PREJUDICE unless otherwise provided,

upon motion and after hearing.

5.2 The NON-COMPLIANCE WITH ANY OF THE UNDERTAKINGS OR SUBMISSION OF A FALSE

CERTIFICATE shall constitute indirect contempt without prejudice to corresponding

administrative and criminal actions. PROVIDED, that if the acts of the party or counsel clearly

constitute WILLFUL and DELIBERATE forum shopping, it shall then be ground for SUMMARY

DISMISSAL WITH PREJUDICE, and shall constitute DIRECT CONTEMPT as well as cause for

administrative sanctions.

5.3 Forum Shopping exists when as a result of an adverse opinion in one forum, a party

seeks a favorable opinion, other than by appeal or certiorari, in another, or when he institutes

two or more actions or proceedings grounded on the same cause, on the gamble that one or the

other court would make a favorable disposition. The most important factor in determining the

existence of forum shopping is the vaxation caused the courts and parties-litigants by a party

who asks different courts to rule on the same or substantially the same reliefs.

5.3.1 It also occurs when a party attempts to have his action tried in a particular court or

jurisdiction where he feels he will receive the most favorable judgment.


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5.3.2 It has been said to exist also where the elements of litis pendentia are present or where

a final judgment in one case will amount to res judicata in another. Hence, the following

requisites concur: (a) identity of parties, or at least such parties represent the same interests in

both actions (b) identity of rights asserted and relief prayed for, the relief being founded on the

same facts, and (c) identity of the two preceding particulars is such that any judgment rendered

in the other action will, regardless, of which party is successful, amount to res judicata in the

action under consideration.

5.4 The purpose of the certification against forum shopping is to prohibit and penalize the

evils of forum shopping. Forum Shopping is a deplorable practice because it results in

unnecessarily clogging of the already heavily burdened docket of the courts.

5.5 The execution of the certification is required to be accomplished by the petitionerhimself as it is the petitioner himself who has actual knowledge of whether or not he has

initiated similar actions or proceedings in different courts or agencies.

5.5.1 If there are several plaintiffs, the general rule is that all of them must sign BUT IT MUST

BE NOTED that there is jurisprudence to the effect that: (1) the execution by one of the

petitioners or plaintiffs in a case constitutes substantial compliance where all the petitioners,

being relatives and co-owners of the properties in dispute, share a common interest in the

subject matter of the case. (2) the case is filed as a collective raising only one cause of action or

defense (3) the signing by 1 spouse substantially complies as they have a common interest in

the property or is signed by husband alone is substantial compliance as subject of case is

recovery of conjugal property (4) 2 of the parties did not sign as they were abroad. It was

considered reasonable cause to exempt them from compliance with the requirement that they

personally execute the certificate

5.5.2 If the plaintiff or petitioner is a juridical person, the Board may pass a specific resolution

allowing a representative to sign.

5.5.3 Counsel has been allowed to sign the certification in the following instances: (a) Where

the counsel is the Solicitor General has been deemed to be substantial compliance

(b)Certification by acting regional counsel of NPC was accepted because it was his basic function

to prepare pleadings and to represent NPCMindanaoas such he was in the best position to

know and certify if a similar action was pleading or had been filed (c) Certification was signed by


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counsel. The procedural lapse may be overlooked in the interest of substantial justice. (d)

Certification was executed by an in house counsel is sufficient compliance with the Rules

SEE: Ateneo de Naga vs. Bernal, GR 160455, May 9, 2005

The rule in Section 1, Rule 17 is that the plaintiff may dismiss his complaint by filing a notice of

dismissal at any time before service of the answer or of a motion for summary judgment. As a

general rule, such dismissal is without prejudice. Suppose P filed a complaint against D, and

before service of the answer or of motion for summary judgment, P caused the dismissal of his

complaint by filing a notice of dismissal. Months later, P filed the same complaint against D. In

the certification on non-forum shopping appended to the second complaint, P failed to mention

about the prior filing and dismissal of the first case. Is Ps failure to mention about the prior filing

and dismissal of the first case fatal?

No. An omission in the certification on non-forum shopping about any event or case whichwould not constitute res judicata or litis pendentia is not fatal. In the problem presented, the

dismissal of the first case would not constitute res judicata precisely because such dismissal is

without prejudice to the refilling of the case. (Roxas v. CA, G.R. No. 139337, Aug. 15, 2001.)

To be included as 4th paragraph of the answer in Q&A No. 13; p. 62:

Also, a case pending before the Ombudsman cannot be considered for purposes of determining

forum shopping as the power of the Ombudsman is only investigative in character and its

resolution cannot constitute a valid and final judgment because its duty is to file the appropriate

case before the Sandiganbayan. (Sevilla v. Laggui, A.M. No. RTJ-01-1612, Aug. 14, 2001.)


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CAN THE CERTIFICATION BE FILED LATER-

General RuleNONote Uy v. Land Bank GR 136100 July 24, 2000-REINSTATEMENT OF THE

CASE AFTER MOTION TO ADMIT CERTIFICATION

BUT: Loyola v. CA 245 S 477one day after, Roadway Express v. CA 264 S 69614 days before

the CA dismissed Petition for Review.

Shipside v. CaGR 143377, Feb 20, 2001motion for reconsiderationshowing authority of

petitioner to execute certification prior to filing.

REASONspecial or compelling reasons justified relaxation of the RuleIN Shipsidemerits of

case justified deviation.

DISTINGUISH BETWEEN VERIFICATION / CERTIFICATION

Verification

-allegations are true and correct

based on personal knowledge /

authentic records

-required in complaints, initiatory


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pleadings and in some responsive

pleadings.

-may be cured by amendment or

order to verify

-may not result in dismissal

-may be signed by counsel

Certification

-no action/claim involving the same

no action/claim involving the same

- required only in complaints/initiatory

pleadings.

- cannot be cured by amendment

- results in dismissal

- by the party himself

RULE 8MANNER OF MAKING ALLEGATIONS IN PLEADINGS


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HOW ALLEGATIONS ARE MADE IN A PLEADING

In general, a pleading must contain in a METHODICAL and LOGICAL form a PLAIN, CONCISE, and

DIRECT statement of the ULTIMATE FACTS on which the party pleading relies for his claim or

defense

1. ULTIMATE FACTS are the essential facts constituting the plaintiffs cause of action. A fact

is essential if it cannot be stricken out without leaving the statement of the cause of action

insufficient. Examples: (a) That an obligation has been constituted, that party must comply, that

there is no compliance (b)That party is the owner of property, that he has a right to its

use/possession, that he has been dispossessed

2. Mere EVIDENTIARY FACTS or those that are necessary for the determination of the

ultimate facts are to be omitted. Evidentiary facts are the premises upon which conclusions of

ultimate facts are based. Examples: (a)That obligation as covered by promissory note was

executed before specified persons, that defendant has several letters indicating intention to/or

not to pay (b) How property was acquired

3. LAWS may be pleaded only if the pleading is an Answer.

PLEADING ALTERNATIVE CAUSES OF ACTION OR DEFENSES

1. A party may set forth two or more statements of a claim or a defense alternatively or

hypothetically, either in one cause of action or defense or in separate causes of actions or

defenses. If two or more statements are made in the alternative and if one of them if made

independently would be sufficient, the pleading is not made insufficient by the insufficiency of

one or more of the alternative statements. Example: (a) allegations for breach of contract of

carriage and tort (b) allegations for breach of contract and fraud (c) defense of failure to

repurchase by plaintiff and that property was inherited are inconsistent defenses.

2. Overruling of one does not bar other defense. However, if not set up, determination of

one shall bar the determination of the other.


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3. The OBJECT OF PROVISION is to relieve a party from making a definite election in cases

where his claim or defense might fall within two different substantive classes. SO, a party may

state as many claims/defenses as he has regardless of inconsistency.

HOW TO PLEAD CONDITIONS PRECEDENT

A general averment of the performance or occurrence of all conditions precedent is sufficient.

(a) that earnest efforts at a compromise have been exerted, the suit being one between

members of the same family (b) that prior resort to conciliation has been undertaken to no avail

PLEADING CAPACITY TO SUE AND TO BE SUED

The following must be averred: (1) capacity to sue or be sued (2) authority of a party to sue or

be sued in a representative capacity (3) legal existence of an organized association of persons

that is made a party.

1. Note the cross reference to Sections 1 and 3, Rule 3 referring to who may be parties and

representative parties, and to Section 1(d), Rule 16 referring to a motion to dismiss on the

ground of lack of legal capacity to sue, meaning that a party is not in possession of his civil

rights, does not have the qualification to appear, or does not have the character or

representation claimed.

2. A party desiring to raise the issue of lack of legal capacity shall do so by specific denial,

which shall include such supporting particulars as peculiarly within the pleaders knowledge.

HOW TO AVER FRAUD, MISTAKE, CONDITION OF MIND

Fraud and mistake must be stated with particularity. Condition of mind, such as malice, intent,

knowledge may be averred generally.


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HOW TO AVER/ PLEAD A JUDGMENT/DECISION OF A DOMESTIC/FOREIGN COURT,

JUDICIAL/QUASI-JUDICIAL OFFICER TRIBUNAL BOARD

It is sufficient that a general allegation of the existence of the judgment is made, without setting

forth matter showing jurisdiction to render it. Jurisdiction in this case is presumed.

IF ACTION/DEFENSE IS BASED ON AN ACTIONABLE DOCUMENT

1. Where the action or defense is based on a written document ( an actionable document)

it is pleaded by (a) setting forth the substance of such document in the pleading and attachingthe original/copy as an annex OR (b) setting it forth verbatim in the pleading.

2. AN ACTIONABLE DOCUMENT IS CONTESTED by specifically denying it under oath and

setting forth what he claims to be the fact.

2.1 The requirement DOES NOT APPLY IF: (a) adverse party is not/does not appear to be a

party to the actionable document. Example: Heirs are sued on a document executed by a person

they will inherit from (b) when compliance with an order for an inspection of the original

document is refused. (c) when the document is not an actionable document but is merely

evidence of th

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