Civil Procedure

Actions in rem

Action directed against the res or thing itself, instead of against a person; seeks to bind any person who may have a claim or interest in the res.

Action in personam

Action directed against a person on the basis of his personal liability; seeks to make a specific person personally liable to pay certain sum of money, or to deliver a thing or to perform or not to perform a specific act.

Action quasi in rem

One that names a specific defendant, but the purpose of the action is to subject that person’s interest in a property to a corresponding lien or obligation burdening the res.

Splitting a single cause of action and its effects

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

Joinder and misjoinder of causes of action

Joinder of causes of action. – A party may in one pleading assert, in the alternative or otherwise, as many causes of action as he may have against an opposing party, subject to the following conditions:

(a)       The party joining the causes of action shall comply with the rules on joinder of parties;

(b)       The joinder shall not include special civil actions or actions governed by special rules;

(c)       Where the causes of action are between the same parties but pertain to different venues or jurisdictions, the joinder may be allowed in the Regional Trial Court provided one of the causes of action falls within the jurisdiction of said court and the venue lies therein; and

(d)       Where the claims in all the causes of action are principally for recovery of money, the aggregate amount claimed shall be the test of jurisdiction.

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

Totality rule

The "Totality Rule" under Rule 2 is a doctrinal principle used to assess whether a pleading, when read as a whole, sufficiently alleges a cause of action. Rather than isolating each individual allegation, the court is required to consider the entire set of facts and assertions collectively to determine if the plaintiff has set forth all essential elements needed for a valid claim.

Real party-in-interest

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

Locus standi

Locus standi refers to the legal right or capacity of a party to initiate a lawsuit. Under Rule 3 of the Revised Rules of Civil Procedure, this concept is fundamental in determining which persons may be parties in a civil action. Essentially, only those who have a sufficient legal interest—that is, those who are the real party in interest—are entitled to sue or be sued.

Indispensable party

An indispensable party is one whose presence in the litigation is essential for the court to render a complete and final judgment that fully resolves the controversy.

Representatives as parties

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

Necessary party

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

Indigent party

Indigent party. – A party may be authorized to litigate his action, claim or defense as an indigent if the court, upon an ex parte application and hearing, is satisfied that the party is one who has no money or property sufficient and available for food, shelter and basic necessities for himself and his family.

Such authority shall include an exemption from payment of docket and other lawful fees, and of transcripts of stenographic notes which the court may order to be furnished him. The amount of the docket and other lawful fees which the indigent was exempted from paying shall be a lien on any judgment rendered in the case favorable to the indigent, unless the court otherwise provides.

Any adverse party may contest the grant of such authority at any time before judgment is rendered by the trial court. If the court should determine after hearing that the party declared as an indigent is in fact a person with sufficient income or property, the proper docket and other lawful fees shall be assessed and collected by the clerk of court. If payment is not made within the time fixed by the court, execution shall issue or the payment thereof, without prejudice to such other sanctions as the court may impose.

Alternative defendants

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

Compulsory and permissive joinder of parties

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

Compulsory joinder of indispensable parties. – Parties in interest without whom no final determination can be had of an action shall be joined either as plaintiffs or defendants.

Misjoinder and non-joinder of parties

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

Class suit

Class suit. – When the subject matter of the controversy is one of common or general interest to many persons so numerous that it is impracticable to join all as parties, a number of them which the court finds to be sufficiently numerous and representative as to fully protect the interests of all concerned may sue or defend for the benefit of all. Any party in interest shall have the right to intervene to protect his individual interest.

Suits against entities without juridical personality

Entity without juridical personality as defendant. – When two or more persons not organized as an entity with juridical personality enter into a transaction, they may be sued under the name by which they are generally or commonly known.

In the answer of such defendant, the names and addresses of the persons composing said entity must all be revealed.

Effect of death of party-litigant

Death of party; duty of counsel. – Whenever a party to a pending action dies, and the claim is not thereby extinguished, it shall be the duty of his counsel to inform the court within thirty (30) days after such death of the fact thereof, and to give the name and address of his legal representative or representatives. Failure of counsel to comply with this duty shall be a ground for disciplinary action.

The heirs of the deceased may be allowed to be substituted for the deceased, without requiring the appointment of an executor or administrator and the court may appoint a guardian ad litem for the minor heirs.

The court shall forthwith order said legal representative or representatives to appear and be substituted within a period of thirty (30) days from notice.

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

Substitution of parties

When an indispensable party—for example, one who later dies, becomes legally incapacitated, or is otherwise unable to continue representing the interest—must be replaced or “substituted” by the appropriate legal representative or successor.

Substitution of parties ensures that the judgment will fully and conclusively resolve all the rights and obligations at issue. The absence of an indispensable party could render a final judgment incomplete or even void, since the decision would not bind all those with a significant interest in the matter.

Transfer of interest

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

Venue of real actions

Venue of real actions. – Actions affecting title to or possession of real property, or interest therein, shall be commenced and tried in the proper court which has jurisdiction over the area wherein the real property involved, or a portion thereof, is situated.

Forcible entry and detainer actions shall be commenced and tried in the municipal trial court of the municipality or city wherein the real property involved, or a portion thereof, is situated.

Venue of personal actions

Venue of personal actions. – All other actions may be commenced and tried where the plaintiff or any of the principal plaintiffs resides, or where the defendant or any of the principal defendants resides, or in the case of a nonresident defendant where he may be found, at the election of the plaintiff.

Venue of actions against non-residents

Venue of actions against nonresidents. – If any of the defendants 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.

When the rules on venue do not apply

When Rule not applicable. – This Rule shall not apply-

(a)       In those cases where a specific rule or law provides otherwise; or

(b)       Where the parties have validly agreed in writing before the filing of the action on the exclusive venue thereof.

Complaint

Complaint. – The complaint is the pleading alleging the plaintiff’s or claiming party’s cause or causes of action. The names and residences of the plaintiff and defendant must be stated in the complaint.

Answer

Answer. – An answer is a pleading in which a defending party sets forth his or her defenses.

Defenses (Negative defenses, Affirmative defenses, negative pregnant)

Defenses. – Defenses may either be negative or affirmative.

(a)       A negative defense is the specific denial of the material fact or facts alleged in the pleading of the claimant essential to his or her cause or causes of action.

(b)       An affirmative defense is an allegation of a new matter which, while hypothetically admitting the material allegations in the pleading of the claimant, would nevertheless prevent or bar recovery by him or her. The affirmative defenses include fraud, statute of limitations, release, payment, illegality, statute of frauds, estoppel, former recovery, discharge in bankruptcy, and any other matter by way of confession and avoidance.

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

A negative pregnant defense is a type of defense wherein the defendant not only denies the allegations made by the plaintiff (thus “negative”) but also “pregnantly” includes additional facts or circumstances that, if proven, would defeat or mitigate the plaintiff’s claim. In other words, it is not a mere denial of the allegations; it carries an inherent affirmative element because it offers an alternative explanation or justification that goes beyond a simple negation.

For example, rather than simply stating, “I did not cause the damages alleged,” a defendant employing a negative pregnant defense might state, “I did not cause the damages because the damage resulted solely from the plaintiff’s own negligent maintenance, which, if proven, completely exonerates me.” Although the primary effect is a denial, the added factual content transforms the defense into one that, if accepted, would defeat the plaintiff’s claim.

Counterclaims (Compulsory counterclaim, permissive counterclaim, Effect on the counterclaim when complaint is dismissed, effect if compulsory counterclaim is not answered

Counterclaim. – A counterclaim is any claim which a defending party may have against an opposing party.

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

A permissive counterclaim, by contrast, is not necessarily connected with the transaction or occurrence that is the subject matter of the plaintiff’s claim. It is optional for the defendant, and even if not raised in the answer, it may be brought in a separate action.

Cross-claims

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

Reply

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

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

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

Third (fourth, etc.) party complaints

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

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

Manner of making allegations

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

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

Ultimate facts including the evidence

Generally dealing with the manner of making allegations in pleadings—requires that a party state, in a plain, concise, and direct manner, the ultimate facts on which the party relies for its claim or defense. In other words, the pleading must contain the "ultimate facts"—the conclusive assertions or essential elements that form the basis of the claim or defense—without being clouded by mere evidentiary details.

Alternative causes of action or defenses

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

Conditions precedent

Conditions precedent. – In any pleading, a general averment of the performance or occurrence of all conditions precedent shall be sufficient.

Capacity to sue or be sued

Capacity. – Facts showing the capacity of a party to sue or be sued or the authority of a party to sue or be sued in a representative capacity or the legal existence of an organized association of persons that is made a party, must be averred. A party desiring to raise an issue as to the legal existence of any party or the capacity of any party to sue or be sued in a representative capacity, shall do so by specific denial, which shall include such supporting particulars as are peculiarly within the pleader’s knowledge.

Fraud, mistake, malice, intent, knowledge and other condition of the mind, judgments, official documents or acts

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

Pleading a judgment or decision

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

Pleading an actionable document

Action or defense based on document. – Whenever an action or defense is based upon a written instrument or document, the substance of such instrument or document shall be set forth in the pleading, and the original or a copy thereof shall be attached to the pleading as an exhibit, which shall be deemed to be a part of the pleading.

Specific denials

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

Affirmative defenses in relation to Sec. 5(b), Rule 6 and Sec. 12, Rule 8

Afirmative defenses. – (a) A defendant shall raise his or her affirmative defenses in his or her answer, which shall be limited to the reasons set forth under Section 5(b), Rule 6, and the following grounds:

1.         That the court has no jurisdiction over the person of the defending party;

2.         That venue is improperly laid;

3.         That the plaintiff has no legal capacity to sue;

4.         That the pleading asserting the claim states no cause of action; and

5.         That a condition precedent for filing the claim has not been complied with.

(b)       Failure to raise the affirmative defenses at the earliest opportunity shall constitute a waiver thereof.

(c)       The court shall motu proprio resolve the above affirmative defenses within thirty (30) calendar days from the filing of the answer.

(d)       As to the other affirmative defenses under the first paragraph of Section 5(b), Rule 6, the court may conduct a summary hearing within fifteen (15) calendar days from the filing of the answer. Such affirmative defenses shall be resolved by the court within thirty (30) calendar days from the termination of the summary hearing.

(e)       Affirmative defenses, if denied, shall not be the subject of a motion for reconsideration or petition for certiorari, prohibition or mandamus, but may be among the matters to be raised on appeal after a judgment on the merits.

Affirmative defenses are those additional factual or legal assertions raised by a defendant which, if proven, will defeat or mitigate the plaintiff’s claim—even assuming the allegations in the complaint are true. The Revised Rules of Civil Procedure address their pleading and effect in two key provisions:

Under Sec. 5(b), Rule 6

Pleading Requirement:

This section requires that any affirmative defenses must be expressly set forth in the defendant’s answer. In other words, a defendant must clearly plead every affirmative defense (such as the statute of limitations, laches, estoppel, waiver, or any other legal excuse) at the earliest opportunity.

Consequence of Omission:

Failure to expressly include an affirmative defense in the answer is treated as a waiver of that defense. This rule prevents a defendant from attempting to raise a new or different defense later in the proceedings, thereby promoting fairness and judicial efficiency.

Under Sec. 12, Rule 8

Allegation of Ultimate Facts:

Rule 8 requires that pleadings contain a plain, concise statement of the ultimate facts upon which the claim or defense is based. When it comes to affirmative defenses, this means that the defendant must articulate the factual basis for each defense clearly within the pleading.

Implied Admission:

Additionally, if a defendant’s answer is silent on matters that would constitute affirmative defenses, those matters may be deemed admitted. This reinforces the principle that any defense not properly pleaded is lost.

Interrelation and Practical Impact

Together, these provisions ensure that affirmative defenses are raised in a timely and explicit manner. Sec. 5(b), Rule 6 mandates their inclusion, while Sec. 12, Rule 8 reinforces that any failure to address such defenses is tantamount to a waiver. This framework:

Protects the plaintiff’s right to know the full scope of the defendant’s position early in the litigation;

Prevents surprise defenses at trial;

Helps streamline the issues for adjudication, thereby contributing to a more efficient resolution of the dispute.

Amendment as a matter of right

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

Amendments by leave of court

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

Formal amendment

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

Substantive amendment

A substantive amendment is one that alters the very substance of the pleading—namely, the material allegations that form the basis of the claim or defense.

In practical terms, a substantive amendment changes the factual or legal content in a way that could affect the court’s jurisdiction, the merits of the case, or the defenses available to the opposing party. For example, if an amendment introduces or deletes allegations that are determinative of whether the claim has merit, or if it shifts the legal theory upon which the claim is based, it is considered substantive. Because such changes may prejudice the opposing party—by, for instance, catching them unprepared—the rules generally require that a substantive amendment filed after a responsive pleading has been served must be made only with the leave of the court.

Effect of amended pleading

Effect of amended pleadings. – An amended pleading supersedes the pleading that it amends. However, admissions in superseded pleadings may be offered in evidence against the pleader, and claims or defenses alleged therein not incorporated in the amended pleading shall be deemed waived.

No amendments necessary to conform      to or authorize presentation of evidence

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

Supplemental pleadings

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

Bill of particulars; Purpose and when applied for

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

Bill of particulars; Actions of the court

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

Bill of particulars; Compliance with the order and effect of non-compliance

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

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

Manner of filing

Manner of filing. – The filing of pleadings and other court submissions shall be made by:

(a)       Submitting personally the original thereof, plainly indicated as such, to the court;

(b)       Sending them by registered mail;

(c)       Sending them by accredited courier; or

(d)       Transmitting them by electronic mail or other electronic means as may be authorized by the [c]ourt in places where the court is electronically equipped.

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

Papers required to be filed

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

Modes of service of pleadings

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

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

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

Substituted service. – If service of pleadings, motions, notices, resolutions, orders and other papers cannot be made under the two preceding [S]ections, the office and place of residence of the party or his or her counsel being unknown, service may be made by delivering the copy to the clerk of court, with proof of failure of both personal service and service by mail. The service is complete at the time of such delivery.

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

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

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

Issuance of summons and its contents

Clerk to issue summons. – Unless the complaint is on its face dismissible under Section 1, Rule 9, the court shall, within five (5) calendar days from receipt of the initiatory pleading and proof of payment of the requisite legal fees, direct the clerk of court to issue the corresponding summons to the defendants.

Contents. – The summons shall be directed to the defendant, signed by the clerk of court under seal, and contain:

(a)       The name of the court and the names of the parties to the action;

(b)       When authorized by the court upon ex parte motion, an authorization for the plaintiff to serve summons to the defendant;

(c)       A direction that the defendant answer within the time fixed by these Rules; and

(d)       A notice that unless the defendant so answers, plaintiff will take judgment by default and may be granted the relief applied for.

A copy of the complaint and order for appointment of guardian ad litem, if any, shall be attached to the original and each copy of the summons.

Summons; By whom served

By whom served. – The summons may be served by the sheriff, his or her deputy, or other proper court officer, and in case of failure of service of summons by them, the court may authorize the plaintiff - to serve the summons - together with the sheriff.

In cases where summons is to be served outside the judicial region of the court where the case is pending, the plaintiff shall be authorized to cause the service of summons.

If the plaintif f is a juridical entity, it shall notify the court, in writing, and name its authorized representative therein, attaching a board resolution or secretary’s certificate thereto, as the case may be, stating that such representative is duly authorized to serve the summons on behalf of the plaintiff.

If the plaintif f misrepresents that the defendant was served summons, and it is later proved that no summons was served, the case shall be dismissed with prejudice, the proceedings shall be nullified, and the plaintiff shall be meted appropriate sanctions.

If summons is returned without being served on any or all the defendants, the court shall order the plaintiff to cause the service of summons by other means available under the Rules.

Failure to comply with the order shall cause the dismissal of the initiatory pleading without prejudice.

Validity of summons and issuance of alias summons

Validity of summons and issuance of alias summons. – Summons shall remain valid until duly served, unless it is recalled by the court. In case of loss or destruction of summons, the court may, upon motion, issue an alias summons.

There is failure of service after unsuccessful attempts to personally serve the summons on the defendant in his or her address indicated in the complaint. Substituted service should be in the manner provided under Section 6 of this Rule.

Nature and purpose of summons in relation to actions in personam, in rem, and quasi-in rem

In Personam Actions

Nature:

An action in personam is directed against a specific person (or persons) to enforce a personal right or obligation. Because the remedy sought is personal, the court must establish personal jurisdiction over the defendant.

Purpose of Summons:

Notice and Opportunity to be Heard:

The summons serves as the formal notice to the defendant that a suit has been instituted against them. It informs the defendant of the time within which to answer or otherwise respond.

Conferment of Personal Jurisdiction:

By ensuring proper service of summons in accordance with Rule 14 of the Revised Rules of Court, the court acquires jurisdiction over the defendant’s person. This is essential so that any judgment rendered binds the defendant personally.

In Rem Actions

Nature:

An action in rem is not directed against a particular individual but rather against the "res" or the property itself. These actions typically arise where the subject matter is property (real or personal) or a status that affects all who claim an interest in that property.

Purpose of Summons:

Due Process Requirement:

Since an action in rem binds all persons having an interest in the property, the summons (often effected by publication or posting) is meant to provide notice to all potential claimants.

Notice to Interested Parties:

The summons ensures that everyone who may be affected by the court’s determination over the property is given the opportunity to contest or assert their rights—even if the defendant’s identity is not immediately known.

Quasi In Rem Actions

Nature:

A quasi in rem action is hybrid in character. Although the suit is brought against a specific person, the court’s jurisdiction is derived primarily from its power over the defendant’s property rather than over the person directly. Essentially, it “forces” the defendant to answer by attaching property over which the court can exercise control.

Purpose of Summons:

Attachment of Property as a Jurisdictional Device:

In quasi in rem actions, the summons is used to notify the defendant and, more importantly, to allow the court to attach the defendant’s property within the forum. This attachment is what gives the court the power to render a judgment that is enforceable against the property.

Limited Binding Effect:

The judgment typically runs only to the extent of the value of the property attached and does not create a general personal liability against the defendant beyond that property.

Voluntary appearance

Voluntary appearance. – The defendant’s voluntary appearance in the action shall be equivalent to service of summons. The inclusion in a motion to dismiss of other grounds aside from lack of jurisdiction over the person of the defendant shall be deemed a voluntary appearance.

Service in person of defendant

Service in person on defendant. – Whenever practicable, the summons shall be served by handing a copy thereof to the defendant in person and informing the defendant that he or she is being served, or, if he or she refuses to receive and sign for it, by leaving the summons within the view and in the presence of the defendant.

Substituted service

Substituted service. – If, for justifiable causes, the defendant cannot be served personally after at least three (3) attempts on two (2) different dates, service may be effected:

(a)       By leaving copies of the summons at the defendant’s residence to a person at least eighteen

(18) years of age and of sufficient discretion residing therein;

(b)       By leaving copies of the summons at [the] defendant’s office or regular place of business with some competent person in charge thereof. A competent person includes, but is not limited to, one who customarily receives correspondences for the defendant;

(c)       By leaving copies of the summons, if refused entry upon making his or her authority and purpose known, with any of the officers of the homeowners’ association or condominium corporation, or its chief security officer in charge of the community or the building where the defendant may be found; and

(d)       By sending an electronic mail to the defendant’s electronic mail address, if allowed by the court.

Service upon; Entity without juridical personality

Service upon entity without juridical personality. – When persons associated in an entity without juridical personality are sued under the name by which they are generally or commonly known, service may be effected upon all the defendants by serving upon any one of them, or upon the person in charge of the office or place of business maintained in such name. But such service shall not bind individually any person whose connection with the entity has, upon due notice, been severed before the action was filed.

Service upon; Prisoners

Service upon prisoners. – When the defendant is a prisoner confined in a jail or institution, service shall be effected upon him or her by the officer having the management of such jail or institution who is deemed as a special sheriff for said purpose. The jail warden shall file a return within five (5) calendar days from service of summons to the defendant.

Service upon; Consistent with international conventions [The Service Abroad of Judicial and Extrajudicial Documents in Civil and Commercial Matters]

Service consistent with international conventions. – Service may be made through methods which are consistent with established international conventions to which the Philippines is a party.

Service Abroad as an Extension of Extraterritorial Service:

The Rules of Court provide methods for effecting service when a defendant is outside the Philippines. Under certain circumstances, the court may order that service be made “extraterritorially” via methods such as registered mail, courier service, or by letter rogatory.

Hague Service Convention

The Philippines is a party to the Hague Convention on the Service Abroad of Judicial and Extrajudicial Documents in Civil or Commercial Matters. Under the Convention, a plaintiff seeking to serve a defendant in a contracting state must generally do so through the designated Central Authority.

Application in Civil and Commercial Matters

In civil and commercial disputes, where contractual and proprietary rights are at stake, courts have been particularly stringent in ensuring that service abroad is both effective and in compliance with the mandated procedures.

The emphasis on serving documents abroad in these cases reflects the dual need to protect the rights of the defendant (by ensuring actual notice) and to provide a reliable procedural foundation for the enforcement of judgments across borders.

Service upon; Minors and Incompetents

Service upon minors and incompetents. – When the defendant is a minor, insane or otherwise an incompetent person, service of summons shall be made upon him or her personally and on his or her legal guardian if he or she has one, or if none, upon his or her guardian ad litem whose appointment shall be applied for by the plaintiff. In the case of a minor, service shall be made on his or her parent or guardian.

Service upon; Spouses (relate to Sec. 4, Rule 3)

Service upon spouses. – When spouses are sued jointly, service of summons should be made to each spouse individually

Under the current Rules of Court, Rule 14, Section 11 provides that when spouses are sued jointly, the summons must be served on each spouse individually. This requirement is designed to ensure that both husband and wife are properly notified of the action, thereby protecting their respective rights and guaranteeing due process.

This provision is closely related to Section 4 of Rule 3, which mandates that husband and wife shall sue or be sued jointly (except as otherwise provided by law). Because spouses are considered joint parties in any civil action, it is not sufficient for service to be effected on just one of them or through a common address. Instead, individual service is necessary so that each spouse personally receives notice of the proceedings. Failure to comply with this requirement may render the service defective, which in turn could impair the court’s exercise of jurisdiction over the spouses.

In summary, the rule ensures that even though spouses are joined as a single party in the suit (as provided in Sec. 4, Rule 3), each must still be separately and effectively notified via individual service of summons. This dual requirement upholds the constitutional guarantee of due process by preventing any spouse from being inadvertently deprived of the opportunity to respond to the claims filed against them.

Service upon; Domestic Private Juridical Entity

Service upon domestic private juridical entity. – When the defendant is a corporation, partnership or association organized under the laws of the Philippines with a juridical personality, service may be made on the president, managing partner, general manager, corporate secretary, treasurer, or in- house counsel of the corporation wherever they may be found, or in their absence or unavailability, on their secretaries.

If such service cannot be made upon any of the foregoing persons, it shall be made upon the person who customarily receives the correspondence for the defendant at its principal office.

In case the domestic juridical entity is under receivership or liquidation, service of summons shall be made on the receiver or liquidator, as the case may be.

Should there be a refusal on the part of the persons above-mentioned to receive summons despite at least three (3) attempts on two (2) different dates, service may be made electronically, if allowed by the court, as provided under Section 6 of this Rule.

Service upon; Foreign Private Juridical Entity

Service upon foreign private juridical entit[ies]. – When the defendant is a foreign private juridical entity which has transacted or is doing business in the Philippines, as defined by law, service may be made on its resident agent designated in accordance with law for that purpose, or, if there be no such agent, on the government official designated by law to that effect, or on any of its officers, agents, directors or trustees within the Philippines.

If the foreign private juridical entity is not registered in the Philippines, or has no resident agent but has transacted or is doing business in it, as defined by law, such service may, with leave of court, be effected outside of the Philippines through any of the following means:

(a)       By personal service coursed through the appropriate court in the foreign country with the assistance of the [D]epartment of [F]oreign [A]ffairs;

(b)       By publication once in a newspaper of general circulation in the country where the defendant may be found and by serving a copy of the summons and the court order by registered mail at the last known address of the defendant;

(c)       By facsimile;

(d)       By electronic means with the prescribed proof of service; or

(e)       By such other means as the court, in its discretion, may direct.

Service upon; Public corporations

Service upon public corporations. – When the defendant is the Republic of the Philippines, service may be effected on the Solicitor General; in case of a province, city or municipality, or like public corporations, service may be effected on its executive head, or on such other officer or officers as the law or the court may direct.

Service upon; Defendant whose identity or whereabouts unknown

Service upon defendant whose identity or whereabouts are unknown. – In any action where the defendant is designated as an unknown owner, or the like, or whenever his or her whereabouts are unknown and cannot be ascertained by diligent inquiry, within ninety (90) calendar days from the commencement of the action, service may, by leave of court, be effected upon him or her by publication in a newspaper of general circulation and in such places and for such time as the court may order.

Any order granting such leave shall specify a reasonable time, which shall not be less than sixty (60) calendar days after notice, within which the defendant must answer.

Service upon; Residents temporarily out of the Philippines

Residents temporarily out of the Philippines. – When any action is commenced against a defendant who ordinarily resides within the Philippines, but who is temporarily out of it, service may, by leave of court, be also effected out of the Philippines, as under the preceding Section.

Duty of counsel of record

Duty of counsel of record. – Where the summons is improperly served and a lawyer makes a special appearance on behalf of the defendant to, among others, question the validity of service of summons, the counsel shall be deputized by the court to serve summons on his or her client.

Extraterritorial service, when allowed

Extraterritorial service. – When the defendant does not reside and is not found in the Philippines, and the action affects the personal status of the plaintiff or relates to, or the subject of which is, property within the Philippines, in which the defendant has or claims a lien or interest, actual or contingent, or in which the relief demanded consists, wholly or in part, in excluding the defendant from any interest therein, or the property of the defendant has been attached within the Philippines, service may, by leave of court, be effected out of the Philippines by personal service as under Section [5]; or as provided for in international conventions to which the Philippines is a party; or by publication in a newspaper of general circulation in such places and for such time as the court may order, in which case a copy of the summons and order of the court shall be sent by registered mail to the last known address of the defendant, or in any other manner the court may deem sufficient. Any order granting such leave shall specify a reasonable time, which shall not be less than sixty (60) calendar days after notice, within which the defendant must answer.

Service by publication

Service by publication is a method of effectuating notice when personal service on the defendant is not possible despite diligent efforts. Under Philippine law, and as provided in the Revised Rules of Court, this mode of service is considered a measure of last resort. Its main features and requirements include:

Diligence Requirement:

Before resorting to service by publication, the plaintiff must show that personal service was attempted with due diligence. This typically requires at least three attempts on two separate occasions at the defendant’s last known address.

Due Process Considerations:

Service by publication must provide a reasonable opportunity for the defendant to learn of the suit. Notice is generally given by publishing the summons in a newspaper of general circulation in the area where the defendant is believed to reside. This ensures that the defendant, and others with a potential interest, are informed of the proceedings.

Court Authorization:

The court must authorize service by publication. The authorization is not automatic; it is only granted after the plaintiff demonstrates that personal service is impracticable.

Proof of Service:

The plaintiff must comply with the requirements for proving service by publication. This typically involves submitting an affidavit by the publisher (or an authorized person) verifying that the summons and notice were published as ordered, along with proof that a copy of the summons was also sent by registered mail to the defendant’s last known address.

Effect on Jurisdiction:

Proper service by publication is critical because, without it, the court may lack jurisdiction over the defendant. If the defendant later appears or otherwise shows up in the proceedings, they may contest the adequacy of such service.

In essence, service by publication seeks to balance the need for effective notice with the practical difficulties of locating a defendant. It is only employed when personal service cannot be accomplished, ensuring that due process is still observed.

Return

Return. – Within thirty (30) calendar days from issuance of summons by the clerk of court and receipt thereof, the sherif f or process server, or person authorized by the court, shall complete its service. Within five (5) calendar days from service of summons, the server shall file with the court and serve a copy of the return to the plaintiff’s counsel, personally, by registered mail, or by electronic means authorized by the Rules.

Should substituted service have been effected, the return shall state the following:

(1)       The impossibility of prompt personal service within a period of thirty (30) calendar days from issue and receipt of summons;

(2)       The date and time of the three (3) attempts on at least two (2) different dates to cause personal service and the details of the inquiries made to locate the defendant residing thereat; and

(3)       The name of the person at least eighteen (18) years of age and of sufficient discretion residing thereat, name of competent person in charge of the defendant’s office or regular place of business, or name of the officer of the homeowners’ association or condominium corporation or its chief security officer in charge of the community or building where the defendant may be found.

Motions vs. pleadings

Pleadings:

Pleadings are formal written statements submitted by the parties in a legal proceeding, outlining their respective claims, defenses, and other assertions. The primary purpose of pleadings is to inform the court and the opposing party of the issues in dispute, thereby framing the scope of the litigation.

Complaint: Initiates a civil action by stating the plaintiff's cause of action.

Answer: The defendant's response to the complaint, which may include defenses and counterclaims.

Counterclaim: A claim presented by the defendant against the plaintiff.

Cross-claim: A claim asserted between co-parties arising out of the same transaction or occurrence.

Third-party (or fourth-party, etc.) complaint: A claim by a defending party against a non-party alleged to be liable for all or part of the claim against the defending party.

Reply: A response by the plaintiff to the defendant's answer, particularly when the answer includes a counterclaim.

Motions:

Motions are formal requests made to the court seeking a specific ruling or order related to the procedural aspects of a case. As defined in Rule 15, Section 1 of the Rules of Court, a motion is "an application for relief other than by a pleading." Motions can address a variety of procedural issues, such as requests for extensions of time, dismissals, or amendments to pleadings. They are typically categorized as:

Litigated (or litigious) motions: Motions that require a hearing because they affect the substantial rights of the parties.

Ex parte motions: Motions that do not adversely affect the rights of the other party and may be resolved without a hearing.

Non-litigious motions

Non-litigious motions. – Motions which the court may act upon without prejudicing the rights of adverse parties are non-litigious motions. These motions include:

a)        Motion for the issuance of an alias summons;

b)        Motion for extension to file answer;

c)        Motion for postponement;

d)        Motion for the issuance of a writ of execution;

e)        Motion for the issuance of an alias writ of execution;

f)         Motion for the issuance of a writ of possession;

g)        Motion for the issuance of an order directing the sherif f to execute the final certificate of sale; and

h)        Other similar motions.

These motions shall not be set for hearing and shall be resolved by the court within five (5) calendar days from receipt thereof.

Litigious motions

Litigious motions. – (a) Litigious motions include:

1)        Motion for bill of particulars;

2)        Motion to dismiss;

3)        Motion for new trial;

4)        Motion for reconsideration;

5)        Motion for execution pending appeal;

6)        Motion to amend after a responsive pleading has been filed;

7)        Motion to cancel statutory lien;

8)        Motion for an order to break in or for a writ of demolition;

9)        Motion for intervention;

10)      Motion for judgment on the pleadings;

11)      Motion for summary judgment;

12)      Demurrer to evidence;

13)      Motion to declare defendant in default; and

14)      Other similar motions.

(b)       All motions shall be served by personal service, accredited private courier or registered mail, or electronic means so as to ensure their receipt by the other party.

(c)       The opposing party shall file his or her opposition to a litigious motion within five (5) calendar days from receipt thereof. No other submissions shall be considered by the court in the resolution of the motion.

The motion shall be resolved by the court within fifteen (15) calendar days from its receipt of the opposition thereto, or upon expiration of the period to file such opposition.

Prohibited motions

Prohibited motions. – The following motions shall not be allowed:

(a)       Motion to dismiss except on the following grounds:

1)        That the court has no jurisdiction over the subject matter of the claim;

2)        That there is another action pending between the same parties for the same cause; and

3)        That the cause of action is barred by a prior judgment or by the statute of limitations;

(b)       Motion to hear affirmative defenses;

(c)       Motion for reconsideration of the court’s action on the affirmative defenses;

(d)       Motion to suspend proceedings without a temporary restraining order or injunction issued by a higher court;

(e)       Motion for extension of time to file pleadings, affidavits or any other papers, except a motion for extension to file an answer as provided by Section 11, Rule 11; and

(f)        Motion for postponement intended for delay, except if it is based on acts of God, force majeure or physical inability of the witness to appear and testify. If the motion is granted based on such exceptions, the moving party shall be warned that the presentation of its evidence must still be terminated on the dates previously agreed upon.

A motion for postponement, whether written or oral, shall, at all times, be accompanied by the original official receipt from the office of the clerk of court evidencing payment of the postponement fee under Section 21(b), Rule 141, to be submitted either at the time of the filing of said motion or not later than the next hearing date. The clerk of court shall not accept the motion unless accompanied by the original receipt.

Omnibus motion

Omnibus motion. – Subject to the provisions of Section 1 of Rule 9, a motion attacking a pleading, order, judgment, or proceeding shall include all objections then available, and all objections not so included shall be deemed waived.

Dismissal with prejudice

Dismissal with prejudice. – Subject to the right of appeal, an order granting a motion to dismiss or an affirmative defense that the cause of action is barred by a prior judgment or by the statute of limitations; that the claim or demand set forth in the plaintiff’s pleading has been paid, waived, abandoned or otherwise extinguished; or that the claim on which the action is founded is unenforceable under the provisions of the statute of frauds, shall bar the refiling of the same action or claim.

Dismissal upon notice by plaintiff; two-dismissal rule

Dismissal upon notice by plaintiff. – A complaint may be dismissed by the plaintiff by filing a notice of dismissal at any time before service of the answer or of a motion for summary judgment. Upon such notice being filed, the court shall issue an order confirming the dismissal. Unless otherwise stated in the notice, the dismissal is without prejudice, except that a notice operates as an adjudication upon the merits when filed by a plaintiff who has once dismissed in a competent court an action based on or including the same claim.

Dismissal upon motion by plaintiff; effect on existing counterclaim

Dismissal upon motion of plaintiff. – Except as provided in the preceding Section, a complaint shall not be dismissed at the plaintiff’s instance save upon approval of the court and upon such terms and conditions as the court deems proper. If a counterclaim has been pleaded by a defendant prior to the service upon him or her of the plaintiff’s motion for dismissal, the dismissal shall be limited to the complaint. The dismissal shall be without prejudice to the right of the defendant to prosecute his or her counterclaim in a separate action unless within fifteen (15) calendar days from notice of the motion he or she manifests his or her preference to have his or her counterclaim resolved in the same action. Unless otherwise specified in the order, a dismissal under this paragraph shall be without prejudice. A class suit shall not be dismissed or compromised without the approval of the court.

Dismissal due to fault of plaintiff

Dismissal due to fault of plaintiff. – If, for no justifiable cause, the plaintiff fails to appear on the date of the presentation of his or her evidence in chief on the complaint, or to prosecute his or her action for an unreasonable length of time, or to comply with these Rules or any order of the court, the complaint may be dismissed upon motion of the defendant or upon the court’s own motion, without prejudice to the right of the defendant to prosecute his or her counterclaim in the same or in a separate action. This dismissal shall have the effect of an adjudication upon the merits, unless otherwise declared by the court.

Pre-Trial; When conducted

When conducted. – After the last responsive pleading has been served and filed, the branch clerk of court shall issue, within five (5) calendar days from filing, a notice of pre-trial which shall be set not later than sixty (60) calendar days from the filing of the last responsive pleading.

Pre-Trial; Nature and purpose

Nature and [p]urpose. – The pre-trial is mandatory and should be terminated promptly. The court shall consider:

(a)       The possibility of an amicable settlement or of a submission to alternative modes of dispute resolution;

(b)       The simplification of the issues;

(c)       The possibility of obtaining stipulations or admissions of facts and of documents to avoid unnecessary proof;

(d)       The limitation of the number and identification of witnesses and the setting of trial dates;

(e)       The advisability of a preliminary reference of issues to a commissioner;

(f)        The propriety of rendering judgment on the pleadings, or summary judgment, or of dismissing the action should a valid ground therefor be found to exist;

(g)       The requirement for the parties to:

1.         Mark their respective evidence if not yet marked in the judicial affidavits of their witnesses;

2.         Examine and make comparisons of the adverse parties’ evidence vis-a-vis the copies to be marked;

3.         Manifest for the record stipulations regarding the faithfulness of the reproductions and the genuineness and due execution of the adverse parties’ evidence;

4.         Reserve evidence not available at the pre-trial, but only in the following manner:

       i.          For testimonial evidence, by giving the name or position and the nature of the testimony of the proposed witness;

     ii.          For documentary evidence and other object evidence, by giving a particular description of the evidence.

No reservation shall be allowed if not made in the manner described above.

(h)       Such other matters as may aid in the prompt disposition of the action.

The failure without just cause of a party and counsel to appear during pre-trial, despite notice, shall result in a waiver of any objections to the faithfulness of the reproductions marked, or their genuineness and due execution.

The failure without just cause of a party and/or counsel to bring the evidence required shall be deemed a waiver of the presentation of such evidence.

The branch clerk of court shall prepare the minutes of the pre-trial, which shall have the following format:

Notice of pre-trial

Notice of pre-trial. – The notice of pre-trial shall include the dates respectively set for:

(a)       Pre-trial;

(b)       Court-Annexed Mediation; and

(c)       Judicial Dispute Resolution, if necessary.

The notice of pre-trial shall be served on counsel, or on the party [if he] or she has no counsel. The counsel served with such notice is charged with the duty of notifying the party represented by him or her.

Non-appearance at any of the foregoing settings shall be deemed as non-appearance at the pre- trial and shall merit the same sanctions under Section 5 hereof.

Pre-Trial; Appearance of parties; effect of failure to appear

Appearance of parties. – It shall be the duty of the parties and their counsel to appear at the pre-trial, court-annexed mediation, and judicial dispute resolution, if necessary. The non-appearance of a party and counsel may be excused only for acts of God, force majeure, or duly substantiated physical inability.

A representative may appear on behalf of a party, but must be fully authorized in writing to enter into an amicable settlement, to submit to alternative modes of dispute resolution, and to enter into stipulations or admissions of facts and documents.

Effect of failure to appear. – When duly notified, the failure of the plaintiff and counsel to appear without valid cause when so required, pursuant to the next preceding Section, shall cause the dismissal of the action. The dismissal shall be with prejudice, unless otherwise ordered by the court. A similar failure on the part of the defendant and counsel shall be cause to allow the plaintiff to present his or her evidence ex parte within ten (10) calendar days from termination of the pre-trial, and the court to render judgment on the basis of the evidence offered.

Pre-trial brief; effects of failure to file

Pre-trial brief. – The parties shall file with the court and serve on the adverse party, in such manner as shall ensure their receipt thereof at least three (3) calendar days before the date of the pre-trial, their respective pre-trial briefs which shall contain, among others:

(a)       A concise statement of the case and the reliefs prayed for;

(b)       A summary of admitted facts and proposed stipulation of facts;

(c)       The main factual and legal issues to be tried or resolved;

(d)       The propriety of referral of factual issues to commissioners;

(e)       The documents or other object evidence to be marked, stating the purpose thereof;

(f)        The names of the witnesses, and the summary of their respective testimonies; and

(g)       A brief statement of points of law and citation of authorities.

Failure to file the pre-trial brief shall have the same effect as failure to appear at the pre-trial.

Pre-trial Order

Pre-Trial Order. – Upon termination of the pre-trial, the court shall issue an order within ten (10) calendar days which shall recite in detail the matters taken up. The order shall include:

(a)       An enumeration of the admitted facts;

(b)       The minutes of the pre-trial conference;

(c)       The legal and factual issue/s to be tried;

(d)       The applicable law, rules, and jurisprudence;

(e)       The evidence marked;

(f)        The specific trial dates for continuous trial, which shall be within the period provided by the Rules;

(g)       The case flowchart to be determined by the court, which shall contain the different stages of the proceedings up to the promulgation of the decision and the use of time frames for each stage in setting the trial dates;

(h)       A statement that the one-day examination of witness rule and most important witness rule under A.M. No. 03-1-09-SC (Guidelines for Pre-Trial) shall be strictly followed; and

(i)        A statement that the court shall render judgment on the pleadings or summary judgment, as the case may be.

The direct testimony of witnesses for the plaintiff shall be in the form of judicial affidavits. After the identification of such affidavits, cross-examination shall proceed immediately.

Postponement of presentation of the parties’ witnesses at a scheduled date is prohibited, except if it is based on acts of God, force majeure or duly substantiated physical inability of the witness to appear and testify. The party who caused the postponement is warned that the presentation of its evidence must still be terminated within the remaining dates previously agreed upon.

Should the opposing party fail to appear without valid cause stated in the next preceding paragraph, the presentation of the scheduled witness will proceed with the absent party being deemed to have waived the right to interpose objection and conduct cross-examination.

The contents of the pre-trial order shall control the subsequent proceedings, unless modified before trial to prevent manifest injustice.

Distinction between pre-trial in civil cases and in criminal cases

In a civil case, Pre-trial shall be set not later than 60 calendar days from the filing of the last responsive pleading.

In criminal case, once the court has acquired jurisdiction over the person of the accused, arraignment and pre-trial shall be set within 10 calendar days from the date of court’s receipt of the case for a detained accused, and within 30 calendar days from the date the court acquires jurisdiction over a non-detained accused, unless a shorter period | is provided by special law or Supreme Court circular.

As to form required for agreements or admissions, what is the difference in both civil and criminal cases?

In civil cases, it may be oral or written.

In criminal cases, all agreements or admissions made or entered during pre-trial shall be reduced in writing and signed by both the accused and counsel; otherwise, they cannot be used against the accused.

In case the parties do not attend, what are the effects or consequences?

In civil case:

Plaintiff and counsel – failure shall cause the dismissal of the action with prejudice, unless otherwise ordered by the court.

Defendant and counsel – failure shall be a cause to allow the plaintiff to present his or her evidence ex parte within 10 calendar days from termination of the pre-trial, and the court to render judgment basis of the evidence offered.

In criminal case, non-appearance only subjects counsels or prosecutors to sanctions.

Are the parties required to submit pre-trial brief in both civil and criminal cases?

No. Only in civil cases where parties are required to submit pre-trial briefs at least 3 days from date of pre-trial.

Court Annexed Mediation (CAM)

Court-annexed mediation. – After pre-trial and, after issues are joined, the court shall refer the parties for mandatory court-annexed mediation.

The period for court-annexed mediation shall not exceed thirty (30) calendar days without further extension.

Judicial Dispute Resolution (JDR)

Judicial [d]ispute resolution. – Only if the judge of the court to which the case was originally raffled is convinced that settlement is still possible, the case may be referred to another court for judicial dispute resolution. The judicial dispute resolution shall be conducted within a non-extendible period of fifteen (15) calendar days from notice of failure of the court-annexed mediation.

If judicial dispute resolution fails, trial before the original court shall proceed on the dates agreed upon.

All proceedings during the court-annexed mediation and the judicial dispute resolution shall be confidential.

Judgment after pre-trial

Judgment after pre-trial. – Should there be no more controverted facts, or no more genuine issue as to any material fact, or an absence of any issue, or should the answer fail to tender an issue, the court shall, without prejudice to a party moving for judgment on the pleadings under Rule 34 or summary judgment under Rule 35, motu proprio include in the pre-trial order that the case be submitted for summary judgment or judgment on the pleadings, without need of position papers or memoranda. In such cases, judgment shall be rendered within ninety (90) calendar days from termination of the pre-trial

The order of the court to submit the case for judgment pursuant to this Rule shall not be the subject to appeal or certiorari.

Depositions pending action

Depositions pending action, when may be taken. – Upon ex parte motion of a party, the testimony of any person, whether a party or not, may be taken by deposition upon oral examination or written interrogatories. The attendance of witnesses may be compelled by the use of a subpoena as provided in Rule 21. Depositions shall be taken only in accordance with these Rules. The deposition of a person confined in prison may be taken only by leave of court on such terms as the court prescribes.

Use of depositions. – At the trial or upon the hearing of a motion or an interlocutory proceeding, any part or all of a deposition, so far as admissible under the rules of evidence, may be used against any party who was present or represented at the taking of the deposition or who had due notice thereof, in accordance with any one of the following provisions: 

(a) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness; 

(b) The deposition of a party or of any one who at the time of taking the deposition was an officer, director, or managing agent of a public or private corporation, partnership, or association which is a party may be used by an adverse party for any purpose;  

(c) The deposition of a witness, whether or not a party, may be used by any party for any purpose if the court finds:

(1)  that the witness is dead; or

(2)  that the witness resides at a distance more than one hundred (100) kilometers from the place of trial or hearing, or is out of the Philippines, unless it appears that his or her absence was procured by the party offering the deposition; or

(3)  that the witness is unable to attend or testify because of age, sickness, infirmity, or imprisonment; or

(4)  that the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or

(5)  upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used; and 

(d) If only part of a deposition is offered in evidence by a party, the adverse party may require him or her to introduce all of it which is relevant to the part introduced, and any party may introduce any other parts.

Effect of substitution of parties. – Substitution of parties does not affect the right to use depositions previously taken; and, when an action has been dismissed and another action involving the same subject is afterward brought between the same parties or their representatives or successors in interest, all depositions lawfully taken and duly filed in the former action may be used in the latter as if originally taken therefor.

Objections to admissibility. – Subject to the provisions of Section 29 of this Rule, objections may be made at the trial or hearing to receiving in evidence any deposition or part thereof for any reason which would require the exclusion of the evidence if the witness were then present and testifying.

Effect of taking depositions. – A party shall not be deemed to make a person his or her own witness for any purpose by taking his or her deposition.

Effect of using depositions. – The introduction in evidence of the deposition or any part thereof for any purpose other than that of contradicting or impeaching the deponent makes the deponent the witness of the party introducing the deposition, but this shall not apply to the use by an adverse party of a deposition as described in paragraph (b) of Section 4 of this Rule.

Rebutting deposition. – At the trial or hearing, any party may rebut any relevant evidence contained in a deposition whether introduced by him or her or by any other party.

Persons before whom depositions may be taken within the Philippines. – Within the Philippines, depositions may be taken before any judge, notary public, or the person referred to in Section 14 hereof.

Persons before whom depositions may be taken in foreign countries. – In a foreign state or country, depositions may be taken

(a) on notice before a secretary of embassy or legation, consul general, consul, vice-consul, or consular agent of the Republic of the Philippines;

(b) before such person or officer as may be appointed by commission or under letters rogatory; or

(c) the person referred to in Section 14 hereof.

Depositions before action or pending appeal

Depositions before action; petition. – A person who desires to perpetuate his or her own testimony or that of another person regarding any matter that may be cognizable in any court of the Philippines, may file a verified petition in the court of the place of the residence of any expected adverse party.

Interrogatories to parties

Interrogatories to parties; service thereof. – Upon ex parte motion, any party desiring to elicit material and relevant facts from any adverse parties shall file and serve upon the latter written interrogatories to be answered by the party served or, if the party served is a public or private corporation or a partnership or association, by any officer thereof competent to testify in its behalf.

Answer to interrogatories. – The interrogatories shall be answered fully in writing and shall be signed and sworn to by the person making them. The party upon whom the interrogatories have been served shall file and serve a copy of the answers on the party submitting the interrogatories within fifteen (15) calendar days after service thereof, unless the court, on motion and for good cause shown, extends or shortens the time.

 Objections to interrogatories. – Objections to any interrogatories may be presented to the court within ten (10) calendar days after service thereof, with notice as in case of a motion; and answers shall be deferred until the objections are resolved, which shall be at as early a time as is practicable.

Number of interrogatories. – No party may, without leave of court, serve more than one set of interrogatories to be answered by the same party.

Scope and use of interrogatories. – Interrogatories may relate to any matters that can be inquired into under Section 2 of Rule 23, and the answers may be used for the same purposes provided in Section 4 of the same Rule.

Effect of failure to serve written interrogatories. – Unless thereafter allowed by the court for good cause shown and to prevent a failure of justice, a 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 appeal.

Admission by adverse party

Implied admission. – Each of the matters of which an admission is requested shall be deemed admitted unless, within a period designated in the request, which shall not be less than fifteen (15) calendar days after service thereof, or within such further time as the court may allow on motion, the party to whom the request is directed files and serves upon the party requesting the admission a sworn statement either denying specifically the matters of which an admission is requested or setting forth in detail the reasons why he or she cannot truthfully either admit or deny those matters. Objections to any request for admission shall be submitted to the court by the party requested within the period for and prior to the filing of his or her sworn statement as contemplated in the preceding paragraph and his or her compliance therewith shall be deferred until such objections are resolved, which resolution shall be made as early as practicable.

Production or inspection of documents or things

Motion for production or inspection; order. — Upon motion of any party showing good cause therefor, the court in which an action is pending may (a) order any party to produce and permit the inspection and copying or photographing, by or on behalf of the moving party, of any designated documents, papers, books, accounts, letters, photographs, objects or tangible things, not privileged, which constitute or contain evidence material to any matter involved in the action and which are in his or her possession, custody or control; or (b) order any party to permit entry upon designated land or other property in his or her possession or control for the purpose of inspecting, measuring, surveying, or photographing the property or any designated relevant object or operation thereon. The order shall specify the time, place and manner of making the inspection and taking copies and photographs, and may prescribe such terms and conditions as are just.

Physical and mental examination of persons

When examination may be ordered. – In an action in which the mental or physical condition of a party is in controversy, the court in which the action is pending may in its discretion order him or her to submit to a physical or mental examination by a physician.